To appear in: P. Kosta et al. (eds.). Minimalism and Beyond: Radicalizing the Interfaces. Amsterdam: John Benjamins. What is and what is not problematic about the T-model Natalia Slioussar1 Abstract This paper focuses on two important discrepancies between the T-model of the grammar and performance systems responsible for production and comprehension. It argues that independently from the assumed perspective on the competence-performance distinction, one of them is not problematic and the other is. There is no real contradiction in directionality conflicts, i.e. in the fact that the grammar works strictly bottom-up, while performance systems involve many topdown processes. However, the fact that the computational system takes only lexical items and their features as its input presents a real problem, which manifests itself in the domains of scope and Information Structure. This problem can be solved in the grammar architecture where the C-I interface can be used during the derivation. Acknowledgements The Veni grant 016.104.065 from the Netherlands Organization for Scientific Research (NWO) is gratefully acknowledged. 1 Utrecht institute of Linguistics OTS, Trans 10, 3512JK Utrecht, the Netherlands, and St. Petersburg State University, Universitetskaya emb. 11, 199034 St.Petersburg, Russia Tel.: +31 30 253 6006 Fax: +31 30 253 6000 E-mail: [email protected] 1. Introduction The grammar model assumed in (Chomsky 1995, 2001, 2008) and most other minimalist theories is a bottom-up derivational model that takes lexical items, constructs a syntactic structure out of them and sends this structure to the SM and C-I interfaces. This architecture is known as the Tmodel. In comprehension, we move from left to right, recovering syntactic structures with their meanings from linear strings. What happens in production is more controversial, but it is widely assumed that there are at least some top-down left-to-right processes there. Thus, the process of syntactic derivation in the T-model is not isomorphic to the processes that take place during production and comprehension. Prima facie, how problematic this is depends on one’s perspective on the competence-performance distinction. Most generative linguists view the grammar and performance systems underlying production and comprehension as separate systems, which means that the relations between them can be rather indirect. For other authors, the grammar and performance systems are essentially theories of the same object, but at different levels of description, which implies much closer structural resemblance. However, in this paper I argue that some aspects of this non-isomorphism are not problematic and the others are whatever perspective on the competence-performance distinction is assumed. Directionality conflicts (bottom-up processes in the grammar and top-down processes in performance systems) are unproblematic, while the absence of any dialogue between syntax and semantics before the derivation is completed and the resulting indeterminacy of the grammar with respect to anything that is not encoded by features present a real problem. 2. Competence-performance distinction This section provides some background on the competence-performance distinction that will be necessary for subsequent discussion. This distinction was introduced by Chomsky (1965: 3): Linguistic theory is concerned primarily with an ideal speaker-listener, in a completely homogeneous speech-community, who knows its language perfectly and is unaffected by such grammatically irrelevant conditions as memory limitations, distractions, shifts of attention and interest, and errors (random or characteristic) in applying his knowledge of the language [i.e. linguistic competence] in actual performance. Similar ideas were expressed earlier — e.g. de Saussure distinguished langue ‘language’ and parole ‘speech’. However, de Saussure’s langue refers to an abstract set of rules, which are independent of individual users, while parole refers to the concrete instances of language use. For Chomsky, linguistic competence is the property of an individual language user. Essentially, this notion is synonymous to an individual grammar. This is the view on the grammar that I focus on in this paper, so let me briefly show that it does not exclude other possible views and vice versa. Having adopted this view, we can still speak of the grammar in the Saussurean sense: the set of rules shared by the speakers of the same language at a particular stage of its development. However, in reality defining such a set may be problematic. Firstly, languages are constantly changing, and some groups of speakers are more conservative than the others. Secondly, the borders between closely related languages and dialects are rarely absolute, we usually deal with linguistic continua. Thus, wherever we encounter variation, we are forced to consider smaller groups of speakers and eventually may go down to individual grammars. Nevertheless, the Saussurean view on the grammar is still very useful because discussing such variation, we want to specify which variant is regarded as normative, is more widespread, more recent etc. We can also speak of the whole set of possibilities existing in human languages. In the generative tradition, it is usually termed universal grammar (UG) and described by means of principles capturing what all languages have in common and parameters defining possible differences between them. What the relation is between the UG in this sense and individual grammars is a difficult question. It is widely assumed that language acquisition is possible because children have access to UG. Then mature individual grammar at a particular point (after all, they also undergo changes) can be seen as a variant of UG where all parameters are set. This imposes very important restrictions on possible theories of linguistic competence, but I will not discuss them in this paper. Let me only note that one can definitely study UG separately from individual grammars, figuring out how different parameter settings are grouped crosslinguistically, which options are more or less widespread, why this could be so, and what generalizations can be made about language change. On the other hand, once the parameters are set, possible variation in UG presumably plays no role for individual grammars — one does not consider possible parameter combinations every time when uttering or comprehending a sentence. Therefore the theories describing this variation and some generalizations behind it, for example, optimality-theoretic constraint systems, may have no relevance at the individual grammar level. Contrasting linguistic competence, or the individual grammar, and performance was crucial for Chomsky not only to justify the fact that linguists often work with idealized objects — in all empirical sciences it is customary to abstract away from certain factors at higher levels of analysis — but also to stress that competence cannot be reduced to performance. Many linguists consider this uncontroversial: linguistic theory should be interested not only in the sentences one actually produced or comprehended, but also in the infinite set of sentences one can produce and comprehend, as well as in the limits of this set. What is more controversial is how exactly the distinction between competence and performance should be implemented. Neeleman and van de Koot (2010) outline two possible approaches to this problem. According to the first one, the grammar is a knowledge base consulted by performance systems responsible for production and comprehension. According to the second approach, the grammar and performance systems can be seen as theories of the same object, but at different levels of description. Marr (1982) demonstrated that information-processing systems must be understood at three levels: (1) the logical structure of the mapping that they carry out from one type of information to another; (2) the algorithm that yields the desired input-output mapping; (3) the physical realization of this algorithm and its input and output. In case of language, grammar corresponds to the first level and performance systems to the second. The majority of generative linguists assume the first approach mentioned above. For example, Chomsky (2000: 117) notes: “There is good evidence that the language faculty has at least two different components: a ‘cognitive system’ that stores information in some manner, and performance systems that make use of this information.” Neeleman and van de Koot argue for the second approach, and I largely agree with their argumentation. In particular, they show that it does not trivialize the grammar and does not reduce competence to performance. For example, under this approach the grammar as the logical level is expected to be optimal, while the algorithmic level may well be highly redundant if this yields faster and more robust results in language production and comprehension. In brief, my main reason for adopting this approach is the following. Let us look at comprehension models. Earliest parsers and some recently proposed ones rely on heuristic strategies (e.g. De Vincenzi 1991; Fodor and Inoue 1995; Frazier and Clifton 1996; Frazier and Fodor 1978). Heuristic strategies, which usually appeal to syntactic simplicity, make use of the core grammatical knowledge. However, several authors argue very convincingly that we also crucially rely on much more complex grammatical principles when we parse and develop models reflecting that (e.g. Phillips 1996; Pritchett 1992; Schneider 1999; Schneider and Phillips 2001). If such grammatical principles must be built in our parsers, a separate grammar module, which they can consult, becomes superfluous. The same can be shown for production models — they are simply less elaborate than parsers so far. Obviously, the two approaches outlined above offer fundamentally different views on the competence-performance distinction and the nature of the individual grammar. Under the first view, the relation between the grammar and performance systems can be rather indirect, while the second presupposes deep structural parallelism. However, in the next section I will discuss certain differences between the T-model of the grammar and production and comprehension systems, and will show that some of them are not problematic for both views on the grammar, while the others are. 3. Potential problems with the T-model: the directionality problem Most authors working in the minimalist framework rely on the T-model of the grammar. This model takes lexical items (words, morphemes or submorphemic units, depending on the theory) as its input, constructs a syntactic structure out of them and sends this structure to the SM and C-I interfaces. The derivation proceeds bottom-up, i.e. largely from right to left if we consider linearized strings. What is the sequence of steps in performance systems? In comprehension, we gradually recover syntactic structures with their meanings from linear strings moving from left to right. What happens in production is more difficult to determine. Existing models, such as (Levelt 1993), claim only that we go from intention to articulation, i.e. from meaning to a linear string, through a formulator that has access to the lexicon and uses grammatical rules, but do not specify how exactly this formulator works. Obviously, we cannot start with the full-fledged meaning of a sentence and then build the corresponding syntactic structure because the former, being compositional, relies on the latter. Most probably, syntax and semantics go hand in hand: we elaborate our intention while building the syntactic structure of the sentence. And there is plenty of evidence suggesting that we can start from different things in this process and often move topdown, from left to right. Let us discuss one such piece of evidence coming from Russian. The analysis of speech disfluencies and errors, in particular, in (Rusakova 2009), shows that people often start sentences with a DP in Nominative or Accusative and then change it to a DP in an inherent case or a PP, as in (1a-c). The opposite, as in (2), happens very rarely. Wherever introspective reports are available, people say that had a particular predicate in mind and then changed their intentions in the latter cases, but very often cannot point to a particular discarded predicate in the former. (1) a. Kakuju strategiju… kakoj my budem priderživat'sja? which.ACC strategy.ACC which.INSTR we will adhere ‘Which strategy will we adhere to?’ (a DPACC was changed to a DPINSTR). b. Poėtomu ėti voprosy tože nado otvečat'. therefore these.ACC questions.ACC also necessary to-answer ‘Therefore it is also necessary to answer these questions’ (a DPACC was used instead of a PP with the preposition na ‘to’). c. Ona uže Zajcevu… proigrala Zajcevoj. she already Zajceva.ACC lost Zajceva.DAT ‘She has already lost to Zajceva’ (a DPACC was changed to a DPDAT). (2) Ja ne hoču, čtoby moimi I NEG want that den'gami kto-to kontroliroval. my.INSTR money.INSTR somebody controlled ‘I do not want anybody to control my money’ (a DPINSTR was used instead of a DPACC, according to the introspective report, the speaker was initially going to use the verb rasporjažat’sja ‘to dispose of’). These data suggest that in production, people can choose arguments before choosing the predicate and provisionally assign them structural cases. Presumably, this leads to overt errors, like in (1a-c), only in a small percentage of sentences because most predicates are indeed used with structural cases and many errors are repaired as a result of the internal feedback loop before the sentence is pronounced. To conclude, the process of syntactic derivation in the T-model is not isomorphic to the processes that take place during production and comprehension. Is this a problem? Some linguists tend to think so and propose alternative grammar models relying (at least partly) on top-down derivation (e.g. Phillips 1996; Richards 1999; Uriagereka 2011; Zwart 2009). Needless to say, other grammar architectures have also been proposed that differ from the T-model in other important ways — for example, Jackendoff’s (1997) multi-layered model, but I will not discuss them here. I do not think that the bottom-up directionality of the grammar is problematic even if the grammar and performance systems are seen as different levels of the same system. On the contrary, I believe that bottom-up models are better suited to describe the core grammatical processes like constituent building and long-distance dependency formation. I find Epstein’s (1999) explanation of the c-command relying on bottom-up structure building very insightful. How can this be reconciled with top-down processes in production and comprehension? Proving a theorem can be a good analogy. We can first decide what we need to prove and then select the axioms to rely on. However, we know from the very start that the axioms are there, and when particular axioms are finally chosen, they will precede the conclusions in the internal hierarchy of the proof. Similarly, when uttering an argument, speakers might not have a particular verb in mind, as in (1a-c), but some abstract schematic structure might already be projected — this would explain how structural cases are assigned in such situations. In my view, the most interesting question, which still has to be addressed, is what this preliminary abstract structure might look like and where it comes from: in particular, how detailed it is, what projections it may and must include before the lexical material is chosen, whether it contains lower copies of arguments that were pronounced before the predicate is selected, whether there is some universal template or a number of them etc. Another noteworthy question is whether anything similar is preliminarily projected during comprehension. What happens once the verb and other material are decided upon is more or less clear: they occupy a lower place in the syntactic tree and essentially precede the fronted argument in the internal hierarchy of the derivation. Thus, as long as derivational timing is not confused with real timing — which regularly happens, as Neeleman and van de Koot (2010) note — there is no contradiction here. 4. Potential problems with the T-model: the input problem As I showed in the previous section, the fact that the grammar works strictly bottom-up, while there are many top-down processes in the performance systems does not seem problematic to me. But another core property of the T-model does. It takes as input lexical items and their features and does not allow for any dialogue between syntax and semantics: first the grammar fully completes a syntactic structure, and then the C-I systems can interpret it. Meanwhile, as I noted above, syntax and semantics most probably go hand in hand during production: the process is initiated on the C-I side — we start with an intention — but then the grammar regularly overtakes the initiative dictating which aspects of the initial vague thought should be clarified and obligatorily encoded in syntax. How exactly this happens is another fascinating question that we know very little about. By itself, the absence of dialogue between syntax and semantics in the T-model is not necessarily problematic. As I showed above, the sequence of steps in the grammar does not have to coincide with the sequence of steps in performance systems. What I do see as a problem is that the T-model has to remain indeterministic with respect to any information that is not encoded by lexical items and their features. One thing that is standardly assumed not to be encoded by features is scope. As a result, all theories of scope involve indeterminacy, overgeneration or look-ahead, all of which contradicts the core minimalist principles and compromises the T-model architecture. A classical English example in (3) is ambiguous with respect to scope: (3) Somebody loves everybody. ∃>∀, ∀>∃ For this ambiguity to arise, quantifiers should be ale to raise in different order. How is the order decided upon? For example, Fox (1995) has to conclude that syntax must see the semantic effects of the relative scope of two quantifiers. Other authors (e.g. Reinhart 2006) opt for indeterminacy: the grammar allows for both options and which quantifier ends up higher is accidental. The problem might be even more evident in languages like Russian. Russian has surface scope (with some rare exceptions), and different scopal configurations are achieved by overt movement (Ionin 2001; Neeleman and Titov 2009; Slioussar 2011): (4) a. Odin mal’čik ljubit každuju devočku. ∃>∀, *∀>∃ one.NOM boy.NOM loves every.ACC girl.ACC b. Odnu devočku ljubit každyj mal’čik. ∃>∀, *∀>∃ one.ACC girl.ACC loves every.NOM boy.NOM c. Každuju devočku ljubit odin mal’čik. ∀>∃, *∃>∀ every.ACC girl.ACC loves one.NOM boy.NOM These movements do not target specific positions. In (4b-c), objects move to the C domain to scope above subjects, but other reorderings are also possible: for example, DP and PP internal arguments can be reordered inside vP. What drives these movements remains unclear. Despite its importance in the minimalist framework, most authors simply do not address this question. Slioussar (2011) suggests that these movements are triggered by edge features. Introducing edge features, Chomsky (2008) stated that they can attract any constituent if it is not prohibited for independent reasons, and the interpretation of the moved element depends on its final position. This is exactly what we see in (4b-c) and other similar cases. However, if we stay inside the Tmodel, one problem remains: we have to assume that the grammar allows for a wide variety of movements to happen freely, but only when the sentence is completed and interpreted at the C-I interface we can see what the effect of one or the other movement was and whether we actually need it. Obviously, this problem never arises during production: once two relevant elements are selected, we know which scopes over which. If syntax and semantics were allowed to talk through the interface while syntactic structure is constructed, a simple rule “if A scopes over B, move A over the B” would be enough. In other words, this problem is not intrinsic to scope encoding; it is an artifact of the T-model. Another domain where similar problems arise is Information Structure (IS). I will discuss it in detail in the next section. I believe that the grammar model should not solve problems that are never encountered in production and comprehension, especially if solutions to them do not come for granted and require various undesirable modifications or reservations to be made. This is true even if we view the grammar and performance systems as two separate systems, i.e. the relation between them may be rather indirect. After all, under this view the grammar is a knowledge database consulted by performance systems, so it is strange that it goes into troubles answering questions that these systems would never ask. Therefore, I suggest that the grammar architecture should be modified so that syntaxsemantics interface could be used during the derivation. As far as I understand, the basic intuition behind the T-model is that the grammar model should primarily describe what we can do rather than what we actually do in production and processing. But I do not think that this intuition will be lost after the suggested modification. In fact, this modification will not compromise any core principles of the generative framework, such as architectural economy (the grammar would still represent a single computational system with two conceptually indispensable interfaces), autonomy of syntax (semantics would still be able to talk to syntax only through the interface) or inclusiveness, which is discussed in more detail below. Of course, the core idea behind the Tmodel is beautiful in its simplicity: give the grammar a set of words and see what it can do with them. But if the grammar is never given just the set of words and other incoming information is exceedingly difficult to abstract away from one should consider sacrificing this idea. 5. A sample case: problems in the Information Structure domain In most generative models (e.g. Bródy 1990, 1995; Laka 1990; Ouhalla 1994; Rizzi 1997; Tsimpli 1995; Tuller 1992; Vilkuna 1995), IS notions are encoded by features similar to other syntactic features: Top, F etc. For example, F feature triggers overt or covert movement to a dedicated syntactic position [Spec; FocP]. In some languages, it is spelled out as a regular morpheme, while in the others (including all European ones) as the main stress. Other authors assume that F feature is different from other syntactic features (e.g. Jackendoff 1972; Rooth 1985, 1992; Selkirk 1984, 1995; Büring 2006). It only attracts stress and does not trigger movement. Obviously, there are many differences between these two approaches. For example, the former is challenged by in situ foci: Rochemont (1986) and Szendrői (2005) present convincing arguments against covert movement in such cases. The latter is by definition not suitable to describe IS-related word order alternations. However, there is one problem that they share: it is unclear how IS features are put on lexical items. Chomsky (1995: 228) introduced the Inclusiveness principle, which forms the core of the T-model: A ‘perfect language’ should meet the condition of Inclusiveness: any structure formed by the computation [...] is constituted of elements already present in the lexical items selected for N [numeration]; no new objects are added in the course of the computation apart from rearrangements of lexical properties. Let us take focus as an example. Usually, constituents rather than single words are focused. Introducing an F feature on a constituent violates Inclusiveness. Putting it on a lexical item and allowing it to percolate is also problematic. Lexical items inside the focused constituent have no property corresponding to F (they are not focused per se, they are part of the focus). Even when a single word is focused, it would be strange to assume it has ‘forms’ inherently specified for IS features, like case forms or tense forms. Alternatives to feature-based approaches rely on configurations. Most configurational IS models are prosody-oriented (e.g. Reinhart 1995, 2006; Neeleman and Reinhart 1998; Costa 1998, 2004; Szendrői 2001, 2005). In these models IS-related word order alternations that cannot be captured by base-generation are seen as movements into or out of the main stress position, which correlates with focus and giveness or D-linkedness. Several other models are syntaxoriented (e.g. Neeleman and van de Koot 2008; Slioussar 2007, 2010, 2011). Neeleman and van de Koot (2008) claim it is advantageous for interface mapping if topics and foci correspond to syntactic constituents and topics c-command foci. Slioussar (2011) argues that IS-related reorderings encode relative accessibility (whether A is more or less accessible than B) and contrast (broadly conceived), rather than topics and foci. All configurational approaches agree that IS-related movement does not target dedicated syntactic positions and is not driven by specialized features, but have difficulties explaining how exactly it is triggered. Some authors simply ignore this question; the others allow for free nonfeature-driven movement; Slioussar (2007, 2010, 2011) relies on edge features. However, whether non-feature-driven movement or edge features are used, the models face the same problem as in the case of scope discussed above. The grammar remains indeterministic with respect to IS: some reorderings may or may not take place, and their effect will become clear only when the finalized derivation is interpreted at the C-I interface. Now let us see whether the possibility to use the C-I interface in the process of derivation that was suggested above for scope encoding will solve the problems faced by different approaches to IS. The situation will become better for feature-based models because it will be possible to access constituents during the derivation. But putting IS features on these constituents will still violate the inclusiveness principle, which lies at the heart of the generative framework. For prosody-oriented configurational models to work, semantics should be able to talk not only to syntax, but also to prosody. The authors developing such models either do not explain how exactly this can happen (e.g. Neeleman and Reinhart 1998; Reinhart 1995, 2006) or opt for grammar architectures that are substantially different from the T-model. For example, Szendrői (2001) assumes that syntactic and prosodic structures are two separate levels of the computational system that are coordinated by a set of mapping rules and are both accessible at the C-I interface. Obviously, this system is less parsimonious than the standard generative one. Finally, the possibility to use the C-I interface while the sentence is constructed can be enough for syntax-oriented configurational models to function smoothly. For example, Slioussar (2011) observes that in Russian, if a constituent A is more accessible than a constituent B, A is moved to the first available position above B (unless it already is above B). But similar movements can also take place to encode scope or contrast. In the T model, one can work only with resulting configurations, and the rules for interpreting them become rather cumbersome: if a constituent A moved over a constituent B, A scopes over B, and/or A is more accessible than B, and/or B is contrasted. This is a genuine ambiguity that arises in comprehension (although it can be easily solved in context), but it would be strange to assume that people face similar complications in production. They simply wait until A and B are constructed in the process of derivation and make sure that A is above B if A is more accessible than B. If syntax and semantics can talk during the derivation, a very simple rule will suffice to describe this: if A is more accessible than B move A over B. As a result, the model will also get rid of undesirable indeterminacy. Thus, all approaches to IS will benefit from the possibility of dialogue between syntax and semantics, but syntax-oriented configurational models are in the best position. For them, this modification of the grammar architecture is enough to solve all problems. Slioussar (2011) discusses other arguments in favor of such models, but they are outside of the scope of this paper. 6. Conclusions In this paper, I identify two important discrepancies between the T-model of the grammar, which is assumed in the majority of minimalist studies, and performance systems responsible for production and comprehension. First, the process of syntactic derivation proceeds bottom-up in the T-model, while performance systems involve many top-down processes. Second, the T-model takes as input only lexical items and their features and does not allow for any dialogue between syntax and semantics before the derivation is completed. However, in production syntax and semantics most probably go hand in hand: we elaborate our intention while building the syntactic structure of the sentence. I argue that the first discrepancy is not problematic, while the second one is, and this does not depend on the chosen perspective on the competence-performance distinction. 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