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Abstract
Developed in the 1980s, the Determiner Phrase (DP) analysis stimulated a lot of
interest in the internal structure of nominal phrases and in the study of correspondences between nominal and clausal structure. Research across a range of
languages has uncovered correspondences in areas such as agreement morphology,
syntactic movement, and argument structure, some of which are reviewed here.
Nominal phrases and clauses also match up in terms of their semantic function:
both can serve as predicates or arguments. The issue of exactly what distinguishes
a nominal argument from a nominal predicate has received a lot of attention,
leading in particular to proposals about the underlying role of the definite article
(and determiner elements in general). This article reviews some of these issues
and proposals and suggests a reformulation that appeals to the feature person, a
feature found in both the nominal and clausal domains.
1. Introduction
Twenty-one years after Abneys (1987) influential work on the internal
structure of nominal phrases, this article reviews some of the original
arguments for Abneys DP (Determiner Phrase) analysis, examines several
proposals that grew out of the analysis, and offers a somewhat novel idea
for the reformulation of the core property of the functional head D.
During the 1980s, important work by Chomsky (1986) developed the
idea that verbs project functional structure [i.e., Inflection Phrase (IP), and
complementizer phrase (CP)], leaving open the question of if, and then
how, this idea could be applied to nouns. Over the course of the decade,
other researchers took up the topic of the internal structure of nominal
phrases. Abney (1987), Szabolcsi (1983 and later work) and many others
demonstrated that nominal phrases display clausal properties and proposed
that nouns, like verbs, must also project functional structure. Among the
properties of clauses that may also be found in nominals, we can observe:
(i) (identical) agreement morphology in nominals and clauses, in some
cases licensing pro-drop (non-expression of a pronominal subject); (ii)
instances of wh-movement in nominals and clauses; and (iii) parallel argument structure in nominals and clauses. I briefly discuss and provide evidence
of these properties here (some material drawn from Bernstein 2001).
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2 Judy B. Bernstein
Hungarian, a nominative/accusative language, displays identical agreement affixes on nouns and verbs. The data in (1) and (2) (drawn from
Szabolcsi 1983 and also discussed in Abney 1987) illustrate the Hungarian
nominal and clausal agreement patterns. In (1), Case is expressed on the
possessor and the head noun agrees with the possessor in person and
number. In (2) the sentential subject is also marked for Case and the verb
displays number and person agreement with the subject.
(1) a. az n- vendg-e-m
the I-nom guest-poss-1sg
my guest
b. a te- vendg-e-d
the you-nom guest-poss-2sg
your guest
c. (a) Mari- vendg-e-
(the) Mary-nom guest-poss-3sg
Marys guest
(2)
Mari- alud-t-
Mary-nom sleep-past-3sg
Mary slept.
(Hungarian)
(Hungarian)
(Greek)
(Greek)
nominal phrase to vivlio (the book). In (4), we see the same pattern in the
clause: in (4a) we see the underlying position of the wh-word ti (what)
and in (4b) the raised position.
Both nominals and clauses admit internal and external arguments, as
illustrated in the examples in (5), which are adapted from Chomsky
(1970):
(5)
The sentence in (5a) and the derived nominal in (5b) display both an
internal argument (theme), Carthage, of the lexical head (the verb destroy
or the noun destruction), and an external argument (agent), Rome. In both
domains, the agent subject may bind a reflexive anaphor:
(6)
On the topic of argument structure in nominals, Cinque (1980) demonstrated that only the highest argument in the nominal domain can be
possessivized, and work by many authors since Chomsky has examined
issues related to the argument structure of nominals as well as the nature
of the lexical stem (nominal, verbal, or underspecified) in a derived
nominal like destruction (see, among many others, Grimshaw 1990; Giorgi
and Longobardi 1991; Picallo 1991; Valois 1991; Marantz 1997; Alexiadou
2001).
Analysis of these and other properties within the nominal domain and
an emerging recognition of general similarities between nominal phrases
and clauses led to proposals for parallel syntactic structures for the two
phrase types. Abney (1987) proposed that DP is the maximal functional
category projected by the lexical noun and hosts determiners (e.g., definite
articles). Abney reasoned that determiners in the nominal domain are
analogous to modals in the clausal domain, each lexicalizing a functional
head projected by the lexical noun or verb (Grimshaw 1991). Abneys
research on the syntax of DP led to work focusing on DP properties at
the syntaxsemantics interface, such as issues of reference and definiteness
(e.g., Vergnaud and Zubizarreta 1992; Longobardi 1994; Zamparelli 1995).
Since then, D(P) has also been argued to be relevant to properties such as
Case (e.g., Giusti 1995), deixis (e.g., Giusti 1993; Klinge 2008), and specificity (e.g., Campbell 1996; Ihsane and Puskas 2001).1
In this article, I focus on another correspondence between nominals
and clauses, namely, the predicate vs. argument distinction. I re-examine
some of the arguments for D as the functional head relevant to this
distinction (contrasting it with the parallel distinction in the clausal
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4 Judy B. Bernstein
domain), a proposal I ultimately adopt. I consider whether nominal arguments can be distinguished from nominal predicates in terms of interpretive
features. I observe, as many others have, that no single interpretive property
represents the fundamental nature of D(P), and I go on to suggest that the
interpretive properties can be derived from another more fundamental
property. Specifically, I develop the idea that D (and DP) is best viewed
as the locus of person. This property, I argue, underlies whether a given
nominal is referential, definite, and/or an argument (or a predicate).
Because of space limitations, I will not review here proposals for
functional projections intervening between NP and DP (e.g., NumberP,
GenderP, QuantifierP, and CaseP), but I will occasionally touch on issues
relevant to these proposals.
The article is organized as follows. In Section 2, I review some of the
original arguments for DP, including its relevance to the predicate/argument distinction. In this regard, I consider the role of D in nominal
phrases and identify it, following others before me, as the functional head
relevant to establishing reference and anaphoric dependencies. In Section
3, I develop the idea that person is the core property of D and the
feature underlying reference, providing some support for the idea from
constructions involving personal pronouns, definite articles, and proper
names. Section 4 offers some concluding remarks.
2. Predicates and Arguments
Abney (1987) and others developed the influential idea of a nominal
functional projection, DP, analogous to Chomskys (1986) clausal functional
projection, CP:2
(7) clauses:
(8) nominals:
a.
b.
(10) a.
b.
c.
the linguist(s)
[DP [D the [NP [N linguists ]]]]
we linguists
you linguists
[DP [D we/you [NP [N linguists ]]]]
6 Judy B. Bernstein
Example (13a) with bare plural kids! is expected as a vocative; the absence
of an overt article is consistent with a predicate (NP) structure.5 Correspondingly, the impossibility of the kids! in (13b) as a vocative in English
is consistent with the basic idea that the definite article corresponds to D
and vocatives, as non-arguments, do not involve a DP layer.6 The examples
in (13c,d) with a proper name (Patricia) and a pronoun (you) are more
problematic, because these expressions may also function as arguments,
suggesting that they are DPs.7 The internal structures adopted for these
examples [recall (10) and see (14)(15)] are consistent with a DP structure:
the pronoun you in (13d) occupies D and the proper name Patricia in (13c)
is underlying in N and overtly raises to D in certain languages.
Observing that vocative expressions in some languages may include
relative clauses, demonstratives, and even definite articles, Crisma (1997:
31, 135137) in fact proposes that vocatives may have a D position as part
of their structure (although the D may not always be lexicalized). Given
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THE ROLE OF D
8 Judy B. Bernstein
(Italian)
extensive review of these proposals is beyond the scope of this article (but
see Lyons 1999 for extensive discussion and Alexiadou et al. 2007: 578
for a survey of the issues and proposals).11 However, a quick examination
of some simple examples illustrates that no single interpretive property
characterizes D, even though all the examples include a definite article.
For each example in (17), the accompanying parenthetical indicates the
most salient interpretation for the relevant nominal phrase, but not always
the only one [(17g) is from Dchaine and Wiltschko 2002, their (61b)].
Did you go to the beach when
you visited Croatia?
b. I protected my eyes from the
sun.
c. The lion is a dangerous animal.
d. I picked up the car from the
mechanic.
e. Je me suis cass le bras. (French)
(17) a.
f.
g.
(non-specific)
(unique)
(generic)
(possessive)
(inalienable
possession)
(possessive)
(generic or
definite)
One prominent idea found in the literature is that D is relevant to reference. Building on early Minimalist ideas of Chomsky (1993) and the work
of Szabolcsi (1983 and later work) and Stowell (1989), Longobardi (1994,
1996) proposed that a reference feature is encoded in D and that argument
nominal phrases must check this feature, subject to parametric variation
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10 Judy B. Bernstein
(18) a. we linguists
b. you linguists
c. [DP [D we/you [NP [N linguists ]]]]
Recall that I adopted (18c) as the representation of the internal structure
for these types of examples. Let us next examine the referential dependencies admitted between these complex nominals and anaphoric expressions. Consider now the examples in (19).
(19) a. Wei linguists like to study ourselvesi/ouri own languages.
b. *We linguistsi like to study themselvesi/theiri own languages.
Here we observe some evidence that, at least for certain languages, D
rather than N is the relevant head for establishing referential dependencies:
the personal pronoun we in (19a), but not the noun linguists in (19b), may
bind a pronominal anaphor.17
Now although examples like (19) are consistent with Longobardis proposal about the relevance of D to reference, they raise another set of
questions. Until this point, I have focused almost exclusively on definite
articles, because these elements are the prototypical candidates for D. If
personal pronouns also correspond to D recall Postals (1966) intuition
we need to re-evaluate the characterization of D, which was developed
primarily around examples with definite articles [recall examples in (17)].
The idea I develop in the next section in fact crucially relies on examples
like (18) and (19). Specifically, I will appeal to the person feature of these
personal pronouns and suggest that this property characterizes D; I will
furthermore suggest that person is necessary for establishing referential
dependencies.
3. D Encodes Person
In this section, I explore and develop the idea that person is the core
feature of D(P), building on recent work by Longobardi (2008) and Bernstein (2008).18 The intuition is that the individuals (DP) vs. properties
(NP) distinction, referential dependencies, and even definiteness rely on
person. Person, which is lexicalized in many languages through personal
pronouns (also reflexives and other anaphors) and also is displayed in the
clausal domain in the form of verbal agreement marking, identifies a
nominal phrase as referring to the participants in the conversation (i.e.,
first person I, me; second person you) or not (i.e., third person they, them
and also lexical nominal phrases). So person, like other core phi features
such as number, has a limited number of values: 1st, 2nd, and 3rd person
(some authors arguing for 4th, 5th, and 6th).
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12 Judy B. Bernstein
PERSONAL PRONOUNS
Recall Postals intuition about we linguists, that we corresponds to a determiner, taken to be D since Abney (1987).19 Examples like (19) further
illustrated that we, rather than linguists, serves as the antecedent for a
possessive or reflexive anaphor, supporting the general hypothesis that D
encodes person and that person is relevant for establishing referential/
anaphoric dependencies.
Related to the Postal examples with pronouns and determiners are
the vocative facts discussed in Section 2. The examples are repeated here
in (20).
(20) a.
b.
c.
d.
from (20) above in (21), representing in upper case letters (in parentheses)
what I take to be unpronounced material.
(21) a.
b.
c.
d.
(YOU) kids!
*The kids!
(YOU) Patricia!
You (KIDS)!
I suggest that the common noun and proper name in (21a,c) have an
implicit second person pronoun, that this YOU occupies D, and that the
common noun or proper name occupies N.20 In (21d), the pronoun you
would again occupy D, and N would contain an unpronounced noun. All
the examples in (21) now have the same internal structure and all involve
second person, except for (21b). The ungrammaticality of *the kids! as a
vocative is now accounted for by the absence of second person, which
should be explicitly or implicitly in D. Moreover, and as I develop in the
next section, the definite article the in D identifies the DP vocative as
third person.
We have now seen two sorts of constructions involving personal pronouns plus nouns, the pronouns taken to occupy D and to supply person
and the nouns to occupy N. If these personal pronouns are D elements
in vocative expressions like you guys! and also in arguments like we linguists,
what of simple personal pronouns like we, whose referential and argument
status are equivalent to those with accompanying nouns (explicit or implicit)?
Work by Cardinaletti (1994) and Longobardi (1994) illustrates that personal
pronouns used in non-argument function as exclamations arguably lack a
determiner layer and correspond to N underlyingly:
(22)
14 Judy B. Bernstein
Why would that be? From the perspective developed here, person-bearing
elements are associated with D precisely because person is its core property.
I take this property to underlie the referential and anaphoric properties
of nominal arguments, and now also vocatives, although I have not
articulated the specifics of such an analysis. Important questions remain,
such as: What is the mechanism responsible for the raising of personal
pronouns to D? Is it a feature of the pronoun itself that compels it to
raise or is it a feature of the functional head D? If the latter, does D
have a probe for person (see Chomsky 2000, 2001 for the idea of functional heads as probes for features)? These questions must remain open for
now.
In the next section, we will see how the basic idea that D encodes
person may generalize to so-called definite expressions, particularly those
involving definite articles but also (other) third-person forms.
3.2
(French)
Their approach to pronouns and determiners cross-linguistically distinguishes three basic types, corresponding either to the syntactic category
NP (true predicates), DP (true arguments), and P (intermediate status).
Under their analysis, le vin would correspond to a DP under the definite
interpretation of (24) (this particular wine) and to P under the generic
interpretation (wine in general). Whether or not le vin is definite, it
functions as an argument and so could not correspond to NP under their
analysis. The internal structures they assign, corresponding to the possible
interpretations, are the following [their (i) and (ii) in Dchaine and Wiltschko 2002, footnote 21 on p. 430]:
(25) a. [D [ le [NP vin]]]
the wine (definite)
b. [ le [NP vin]]
wine (generic)
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(indefinite)
(deictic)
(deictic)
(impersonal)
16 Judy B. Bernstein
1999: 316). In addition and probably related to the interpretational vagueness of third person, definite articles and third-person clitic pronouns in
many Indo-European languages agree with nouns in number and gender
(and sometimes case), unlike first- and second-person forms (see Kayne
2000; Nevins 2007).
3.3
Longobardi (1994) (see also Vergnaud and Zubizarreta 1992) shows that proper
names in some languages display an optional or obligatory definite article,
argued to be expletive, because it contributes nothing to interpretation.
Consider the Italian and Catalan examples in (29) and (30), respectively.26
(29) a. Maria
b. la Maria
Mary
(30) a. Pere
b. en Pere
Peter
(Italian)
(Catalan)
18 Judy B. Bernstein
The examples are also quite clearly consistent with Longobardis idea
(recall discussion in Section 2.1) that proper names, like common nouns,
start out in N. The examples in (32), like those seen previously, illustrate
that it is the person feature of D (not N) that is relevant for the syntactic
relation that establishes anaphoric dependencies.
(3 2 )
a.
b.
c.
20 Judy B. Bernstein
As far as I know, Giusti is the only author to associate Case with D directly. Recent work by
Watanabe (2006) posits a DP-internal CaseP for Japanese, an idea that has appeared over the years
in work on several languages. Similarly for deixis, Roca (1996) has posited a DP-internal
DemonstrativeP, unlike other authors (e.g., Giusti 1993) who take demonstrative elements to
be adjectival (Dryer 1992) and interpreted through D(P), though not corresponding to D
underlyingly. Klinge (2008) associates D, in particular Germanic th-/- elements, with deixis.
According to Ihsane and Puskas (2001), whose analysis builds on the semantic work of En
(1991), specificity is encoded in the left periphery of the DP ( la Rizzi 1997 on the left
periphery of the clause).
2
Abneys proposal actually aligned DP with IP, but that would no longer be the relevant
analogy.
3
Nowadays, TenseP (TP) would replace IP as the functional projection relevant for tense.
4
Longobardi (2008) points out that if a language does not encode phi features syntactically, it
may in fact admit NP arguments, as allowed for within Chierchias system (see Section 3.4).
5
The following Italian example is even more telling and supports assuming NP for vocatives,
since Italian would bar the same bare plural in argument function: Ragazzi! (Kids!).
6
French is unusual in allowing definite articles in vocatives: les enfants! (children!). This fact
is unexpected under the NP (predicate) approach to vocatives, but also under my proposed
approach to vocatives. Dchaine and Wiltschkos (2002) approach to the definite article in
French (see discussion in Section 3.2) would offer an account, because for them the definite
article does not correspond to D in French.
7
In argument function, both sorts of expressions appear as subjects of lexical verbs: Patricia met
an intelligent woman; You kids talk too much.
8
Longobardi (2008) illustrates the notion of properties, typically adjectives or nouns used as
predicates: The food is hot, I am John, This is gold.
9
Longobardi shows how the nouns from footnote 8 can also name individuals: I met John, Gold
is precious.
10
In this regard, the question of English bare plural arguments is crucial: Girls enrolled in science
courses. For Chierchia, the subject (girls) would be an NP argument; for Longobardi, the subject
would involve a null D.
11
Lyons (1999) extensively reviews the concept of definiteness from various theoretical
perspectives, analyses ranging across notions of familiarity, identifiability, inclusiveness, uniqueness,
and presupposition. As Lyons points out (1999: 274), no one approach is able to account for
the full range of facts; he takes identifiability (i.e., a DPs referent is identifiable to the speaker
and hearer) to be the pragmatic property that definiteness encodes (Lyons 1999: 278).
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22 Judy B. Bernstein
12
Francisco Ordez (personal communication) points out that he would only use this when
talking among family members.
13
For a DP argument like the lion, Longobardi, building on work by Carlson (1977), appeals
to a distinction between kind referring for the generic interpretation and individual referring
for the definite one.
14
She distinguishes coindexing from coreference, which she takes to be a semantic/pragmatic
notion, following Fiengo and May (1994; see Pereltsvaig 2007: 678).
15
Pereltsvaig (2007: 70) discusses sign languages such as American Sign Language (as described
in MacLaughlin 1997), which assign reference spatially. Unlike MacLaughlin (1997: 59), who
takes these spatial loci to involve person, Pereltsvaig takes the relatively large number of spatial
loci in sign languages to support her proposal of referential indices, which would similarly
involve a large number.
16
A reviewer asks why this construction is restricted to plural. The idea developed in Bernstein
(2008) is that these pronoun-plus-noun constructions (for those languages admitting them)
require (i) agreement in number between pronoun and noun, and (ii) the expression of person
in D. This is satisfied by the examples with first-plural we/us, second plural you, and third plural
(vernacular) them: we/us linguists, you linguists, them linguists (see Section 3.2 for the proposal
that th- encodes third person). Although *I linguist displays person through I, it lacks number
agreement between the singular noun linguist and the pronoun I, which Kayne (1989) argued
is unmarked for number. Similarly, Kayne observed that you is grammatically plural (you are vs.
*you is), which explains the number mismatch in *you linguist. As for the impossibility of
h- pronouns in this construction (*he/him linguist), see Section 3.2 for the idea that h- does not
encode person, but rather gender.
17
I expect this to be the case in languages admitting this type of construction. Italian, for
example, displays the same pattern: Noi italiani ammiriamo il nostro presidente (We Italians admire
our president.).
18
I depart from Lyons (1999: 313) approach, which conflates person and definiteness and starts
from the observation that personal pronouns and so-called personal determiners (e.g., we linguists) come from the same source (Lyons 1999: 310). I also depart from the specifics, but not
the spirit, of Platzack (2004), who takes person to correspond to a functional projection internal
to DP.
19
Roehrs (2005), on the basis of new data and arguments, concludes, as Postal did, that the
relationship between the determiner pronoun and noun is one of complementation and not
apposition.
20
I suspect that You Patricia! is not pronounceable because of non-agreement (in number)
between the pronoun, which is grammatically plural, and the singular proper name. Given the
right context, the expression becomes possible when the proper name is plural: You Patricias!
21
There have been proposals equating a th- morpheme with definiteness (see Bernstein et al.
1999; Dchaine and Wiltschko 2002) and deixis (Klinge 2008).
22
I abstract away from the idea that demonstratives, like pronouns, may not correspond to D
underlyingly (see Giusti 1993; Bernstein 1997). In this way, they would resemble the simple
pronouns discussed above.
23
Historically, the neutral pronoun it patterned with the other h- forms: her, him, and hit. The
form hit is still heard in conservative varieties of English such as Appalachian English.
24
Similarly, Nevins (2007) study of the morphological properties of the person-case constraint
led him to conclude that third person, like first and second, is always featurally represented (p.
311).
25
I opt for their over his/her in this example, because it is more natural sounding, particularly
in colloquial language. This is consistent with the claim that th- (and not h-) encodes third
person.
26
Catalan reserves this form of the definite article for proper names. With common nouns, the
masc. sg. form of the article would be el: el gos the dog (see Longobardi 1994: 656 for
discussion).
27
Recall that Longobardi (2008) distinguishes individuals from properties, only the former
involving person specification.
28
Historically, many present-day determiners developed from pronouns or demonstratives.
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Varieties of English may differ as to which phi feature is encoded in the verbal system. In
current work, Raffaella Zanuttini and I contrast what we take to be singular number expressed
through verbal -s in standard English (following Kayne 1989) to what we propose to be third
person expressed with the identical verbal form in Appalachian English.
30
I do not mention the Slavic articleless languages here, because they have personal pronouns,
which can be used to establish the DP status of nominal phrases. Pereltsvaig (2007) appeals
additionally to differences between post-copular instrumental and nominative nominal phrases
in Russian to argue for the DP status of the latter but not the former. Interestingly, and as
expected given her analysis, post-copular pronouns are also typically nominative (Pereltsvaig
2007: 27).
31
Siewierska (2004: 261ff.) discusses the diachronic grammaticalization of person markers:
independent person marker > weak form > clitic > agglutinative affix > fusional form >
[p. 262, (31)].
32
Watanabe (2006), in fact, argues that DP is projected in Japanese.
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