Abstract
We propose a theory of the person restrictions in clitic double object constructions, a phenomenon known as the Person Case Constraint (PCC). In our proposal, the PCC is concerned with the encoding of perspective, and is, as such, a syntax-semantics interface phenomenon. A phase-based Person-Constraint, triggered by an interpretable person feature on the Applicative head, is responsible for the grammatical marking of the indirect object as a point-of-view center. Variation in the values of the interpretable person feature are shown to have counterparts in logophoric roles. The Person-Constraint has several clauses, which are subject to parametric variation, and which account for the range of cross-linguistic variation in PCC effects. The clauses of the P-Constraint are regulated by a theory of markedness, making predictions about how widely attested and robust the different types of PCC grammars are.
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Notes
DeLancey (1981) extends his proposal about the marking of viewpoint to person-based split ergativity (e.g., in Kham, DeLancey 1981; Dyirbal, Dixon 1979). The essential similarity of these two types of person-sensitive systems of inflectional realization of external and internal arguments—direction marking and person-based split ergativity—has long been recognized (Dixon 1979; DeLancey 1981; Alexiadou and Anagnostopoulou 2006, a.o.), although see Legate (2014) for a morphological syncretism account of split ergativity based on nominal type.
Various names and characterizations have been given to such hierarchies of person and other categories of reference, e.g., Empathy Hierarchy (DeLancey 1981: 644), Animacy Hierarchy (Comrie 1989:128), Hierarchy of Reference (Zwicky 1977), among others. See Lockwood and Macaulay (2012) for a recent overview.
The proximate/obviative distinction in 3Ps is influenced by animacy, as well as by pragmatic factors such as topicality and salience (Jacques and Antonov 2014: 304). Even in the absence of special proximate/obviative marking, we understand the underlying distinction to be one of ‘mental proximity,’ i.e., suitability to be a perspectival center.
Roca (1992) further notes that the effect only holds when the indirect object clitic is 3P, but not when it is 1P or 2P.
Empathy is defined as “the speaker’s identification […] with a person who participates in the event that he describes in a sentence” (Kuno and Kaburaki 1977: 628). The notion of empathy locus, the event participant with whom the speaker identifies (Kuno 1987), is thus very similar to the notion of point-of-view center that we use. We prefer the term point-of-view center because it is also applicable to discourse participants, not just event participants, because it specifies the nature of the phenomenon by evoking perspective, and because it is suggestive of links with the temporal perspective provided by viewpoint aspect.
Some authors, e.g., Walkow (2012), posit that the Appl head is even lower, a complement to V, with the indirect object in its specifier and the direct object its complement.
The proposal that Appl has an iP and an uP bears resemblance to the analysis of collective nouns such as committee in Wurmbrand (2012): such nouns are said to have a set of interpretable and uninterpretable number features, the former plural and the latter singular ([iN: pl] and [uN: sg]), which can be dissociated in agreement.
Note that n is not necessarily the most specific person feature of the indirect object. The interpretable person feature on Appl is independently valued, and so the agreement mechanism ensures compatibility with the person features of the indirect object, not full identity. For instance, a +proximate n value of iP on Appl is compatible with a [+author, +participant, +proximate] specification of iP on the indirect object. In contrast, the uninterpretable person feature on Appl is unvalued and so agreement fully matches the person features of the direct object. Consequently, P-Uniqueness can rule out configurations of indirect and direct object that only partially overlap in features.
We only focus on PCC effects in indicative clauses. Some authors have noted that PCC restrictions don’t obtain in non-finite clauses (e.g., Albizu 1997: 2 on Catalan and Basque; Nevins and Săvescu 2010: 187 on Romanian). We believe that such facts support the view that PCC restrictions reflect the grammatical encoding of perspective, but we cannot offer an account of different types of clauses here.
The order of accusative and dative clitics in French and Spanish noted here concerns 3Ps. 1P and 2P clitics show case syncretism and always precede 3P clitics. See Nicol (2005) on the order of clitics in Romance languages and dialects, and on historical change in Romance.
Czech and Slovenian have been claimed to allow a re-ordering of the typical (for Slavic) linear order indirect object – direct object, with consequences for the type of PCC effects (Medová 2009; Stegovec 2015). We do not provide an account here of how such reorders work, though the affinity with inverse systems is suggestive, and we briefly return to the issue in Sect. 5.
French 1P and 2P object clitics show syncretism between accusative and dative case; only 3P clitics have distinct forms for the two cases. The accusative 3P clitic precedes the dative 3P clitic in the clitic cluster.
1P and 2P clitics in Catalan (as in Romance more generally) do not show a distinction between accusative and dative case, only 3P clitics do. The linear order of clitics is 2P-1P-3P.
A number of authors have pointed out similarities between the strong PCC effects found in French and Greek and agreement restrictions found in Icelandic (Boeckx 2000; Anagnostopoulou 2003, 2005, 2017; Béjar and Rezac 2003; Bianchi 2006; Ormazabal and Romero 2007, a.o.). In the presence of quirky dative subjects, agreeing nominative arguments in Icelandic have to be 3P (Sigurðsson 1996; Taraldsen 1995). The restriction can be seen both in monoclausal structures without external arguments (experiencer unaccusatives and passives), and in structures with embedded infinitives under experiencer verbs. We do not have space here to illustrate the facts of Icelandic nor provide a proper analysis. We just note that our account can be extended to Icelandic virtually unchanged, except for the position where the interpretable person feature resides: a v that introduces an experiencer argument, rather than Appl.
Ultra-strong PCC effects have also been documented in Slavic. Sturgeon et al. (2011) provide experimental data suggesting that Czech is of the ultra-strong PCC variety. The authors further report that corpus data, confirmed with native-speaker consultants, support a claim made in Medová (2009) that the otherwise ungrammatical Acc-Dat order obviates PCC violations. Because of this, Sturgeon et al. (2011) do not endorse the view that Czech has PCC effects, as these are traditionally understood. Bhatt and Šimík (2009), on the other hand, classify Czech as having weak PCC.
The *<3,3> prohibition is also present in various Catalan dialects (Bonet 1995; Walkow 2012). In Standard Catalan, the *<3,3> prohibition holds only when the dative is 3P singular; when the 3P dative is plural, it can co-occur with a 3P accusative (see Bonet 1991: 74). Prohibited orders can be realized by substituting the dative clitic by the clitic hi. This clitic is analyzed by Anagnostopoulou (2003); Nevins (2007) and Rezac (2011) as a locative clitic, i.e., non-agreeing in person. Bonet (2008) and Walkow (2012) treat hi as a dative clitic, also without person specification. Regardless of the exact status of hi, its use amounts to a deletion of the person feature from the dative clitic, which is in agreement with our suggestion that [+proximate] and [−participant] are incompatible in the relevant dialects.
The applicative suffix ng is likely the source for the dative case form of the direct object in ditransitives, as direct objects in mono-transitives are typically marked accusative.
Nevins and Săvescu (2010: 187) write that “clusters with a 3rd person dative clitic are uniformly unacceptable, regardless of number.” We have indeed found speakers for whom this is the case but have also confirmed with other speakers that the order <3,2> is acceptable.
Farkas and Kazazis (1980: 76–77) note that ethical datives are less acceptable than goal datives in <3,2> combinations (but not for all speakers), and they attribute this to the fact that ethical datives are more natural empathy loci than goal datives, which in turn are more natural empathy loci than themes, accounting for PCC effects. However, it is generally believed that ethical dative clitics do not give rise to PCC effects (Perlmutter 1971; Anagnostopoulou 2003; Bianchi 2006; Juitteau and Rezac 2007; Rezac 2011, a.o.) and they are analyzed as being higher in the structure (Bosse et al. 2012; Charnavel and Mateu 2015). We thus assume that ethical datives are not associated with an interpretable p-feature. Furthermore, on our account <3,2> configurations in me-first grammars are not subject to the P-Constraint. Therefore, we consider the effect observed by Farkas and Kazazis (1980) to be independent of the PCC.
According to the judgements of one of the authors and as confirmed by 4 native speaker consultants, though reports in Haspelmath (2004) suggest otherwise.
Romanian and Bulgarian present a complication with plural direct object clitics (as noted by Nevins 2007 for Romanian). The orders <3,2> and <1,2>, which are acceptable when the accusative clitic is singular (29a), become unacceptable when the accusative clitic is plural. The <3,1> and <2,1> orders remain unacceptable. It appears that Bulgarian has a strong PCC grammar (<3,3> orders are allowed) while Romanian has a super-strong PCC grammar (prohibiting <3,3> orders) with plural accusatives clitics. Because of such complications, Ciucivara (2011) argues that Romanian does not exhibit PCC effects. Nevins and Săvescu (2010) attribute the facts to the syncretism between accusative and dative case that 1P and 2P plural clitics exhibit in Romanian (the same is true for Bulgarian). We do not develop here an account of the role of number in PCC effects, but note that similar differences between singular and plural have been described for other languages with PCC effects and direct/inverse systems. In Shambala, which has the strong PCC, combinations of a plural and singular 3P require the plural 3P to be the direct object (Duranti 1979). Nevins and Sandalo (2011) report that number affects the direct/inverse system of Kadiwéu.
Judgments are confirmed by 5 native speakers. We have also confirmed the absence of CLR effects with 1 native speaker of Romanian.
Recall that when the direct object is plural, Bulgarian additionally prohibits <3,2> and <1,2> configurations (see fn. 24), suggesting a strong PCC setting. If indeed the plural paradigm is strong, we would expect CLR effects to obtain. Results here are inconclusive and require more investigation. 2 native speakers do not find (i) acceptable, but 3 native speakers do.
- (i)
The non-agreeing direct object also appears in the dative, rather than in the unmarked, nominative case. A further complication arises in past/perfective sentences, which follow an ergative pattern. See Béjar and Rezac (2009: 64–67).
The anti-agreement strategy is also available in the case of *<3,3> violations in dialects of Catalan. <3,3> orders are realized by deleting the person feature from the accusative clitic. A combination of els ‘3pl.acc’, and li ‘3sg.dat’, results in the combination [əlzi] which Bonet (1995: ex. (4c)) argues is the 3pl.dat /lzi/. In other words, the person feature of the accusative clitic has been deleted, and only the number feature survives, and it is spelled-out on the dative clitic. Such facts lend support to a uniform analysis of PCC and *<3,3> effects, as noted by Walkow (2012).
The question arises as to what Case mechanism licenses the non-agreeing object. We leave this issue unresolved, as it is independent of our main concern, but note the separation of case and agreement in recent syntactic research. Another question concerns the uninterpretable p-feature on Appl. Here we can follow Preminger (2014), who suggests that failed agreement (with an uninterpretable probe) need not lead to ungrammaticality.
A similar case is found in Matsigenka. Benefective verbs with a 1P/2P direct object (a PCC violation) can be realized through an alternative strategy that involves the use of a benefective pro-form ashi, with the verb agreeing only with the direct object (O’Hagan 2014: 20–21, ex. (37)).
It is worth pointing out that the absence of a clitic cross-referencing the indirect object in Kambera and Matsigenka is not simply a morpho-phonological phenomenon. Kiowa, a language discussed in Adger and Harbour (2007), shows PCC effects even when a gap in its agreement paradigm leaves the agreement for the indirect object null. In Kiowa, the strong PCC effect is seen on the form of the obligatory agreement prefix, a portmanteau morpheme expressing combinations of the ϕ-features of the subject, indirect and direct objects. 3P animate plural indirect objects do not trigger phonologically overt agreement, yet they trigger abstract agreement and also PCC effects (see (ia) and (ib), (Adger and Harbour 2007: ex. (33, 34))).
- (i)
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Acknowledgements
Thanks to Thomas Borer, Isabelle Charnavel, Elsi Kaiser, Stefan Keine, Javier Ormazabal, and Susi Wurmbrand for insightful discussions. We also thank the students in the Fall 2015 and Spring 2016 syntax seminars at USC, where parts of this work were developed, as well as audiences at the Universidad Catolica Pontificia del Perú, Lima (July 2016); at USC’s Syntax+, NELS 47 at the University of Massachusetts, Amherst, Hispanic Linguistic Symposium at Georgetown University, and at University of Arizona (October 2016); Syntax Interface Lectures at Utrecht University and at Unicamp, Campinas, Brasil (November 2016); Workshop on the PCC at the University of Vienna (December 2016), and at the University of Connecticut Linguistic Colloquium (March 2017). We have also benefited from presentations of an early version of this work at the 4th Cambridge Comparative Syntax Conference, Cambridge University, and at the 25th Colloquium on Generative Grammar, Bayonne, France (May 2015); and at the VII Encuentro de Gramática Generativa, Buenos Aires (July 2015). Constructive comments by four anonymous reviewers and by our editor Julie Anne Legate helped make the paper better.
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Pancheva, R., Zubizarreta, M.L. The Person Case Constraint. Nat Lang Linguist Theory 36, 1291–1337 (2018). https://doi.org/10.1007/s11049-017-9395-7
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DOI: https://doi.org/10.1007/s11049-017-9395-7