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UBC Theses and Dissertations

Passives in Mandarin Chinese Li, Erica Wen 1994

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PASSIVES IN MANDARIN CHINESE b y ERICA WEN LI A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS in THE FACULTY OF GRADUATE STUDIES Department of Li n g u i s t i c s We accept thib thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA A p r i l 1994 © E r i c a Wen L i , 1994 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Department of L~ \ K/QiUt'S ( C CS The University of British Columbia Vancouver, Canada Date fOQcP^y - rb i . I ^ q ^ -DE.6 (2/88) ABSTRACT T h i s t h e s i s examines t h e s y n t a c t i c p r o p e r t i e s o f p a s s i v e c o n s t r u c t i o n s i n Mandarin Chinese w i t h i n t h e framework o f Government and B i n d i n g . The t h e o r e t i c a l framework o f a n a l y z i n g p a s s i v e s i s t h a t o f Baker, Johnson and R o b e r t s (198 9, h e n c e f o r t h BJR) and Hal e and Key s e r (1993). I t i s arg u e d t h a t what c o u l d be and s h o u l d be a n a l y z e d as a p a s s i v e i n Mandar i n Chinese i s the c o n s t r u c t i o n c h a r a c t e r i z e d by t h e p r e s e n c e o f bei, hence t h e so-c a l l e d J b e i - c o n s t r u c t i o n . I f u r t h e r argue t h a t t h i s p a s s i v e c o n s t r u c t i o n i s d e r i v e d by NP-movement, as i s t h e case w i t h E n g l i s h . I m a i n t a i n BJR's p r o p o s a l t h a t Agent i s always p r e s e n t i n p a s s i v e s , be i t n u l l o r o v e r t . However, Ch i n e s e d i f f e r s from E n g l i s h i n t h a t t h e o v e r t NP i s n e v e r r e a l i z e d as an a d j u n c t , u n l i k e t h e by NP p h r a s e i n E n g l i s h . A second g o a l o f t h i s t h e s i s i s t o a d d r e s s t h e i s s u e o f what c l a s s e s o f v e r b s a r e e l i g i b l e f o r p a s s i v i z a t i o n i n Mandarin C h i n e s e . I propose t h a t by a d o p t i n g t h e model o f argument s t r u c t u r e by H a l e and K e y s e r (1993), and i n p a r t i c u l a r , t h e i d e a t h a t t h e m a t i c s t r u c t u r e o f a p r e d i c a t e i s r e p r e s e n t e d s y n t a c t i c a l l y i n th e l e x i c o n , we can e x p l a i n why p a s s i v i z a t i o n i s r e s t r i c t e d t o c e r t a i n t r a n s i t i v e p r e d i c a t e s . By p r o p o s i n g t h a t t h e NP i n [Spec VP] p o s i t i o n i s t h e t a r g e t f o r p a s s i v i z a t i o n , t h e semantic n o t i o n o f a f f e c t e d argument i s c a p t u r e d s y n t a c t i c a l l y . TABLE OP CONTENTS Page ABSTRACT i i TABLE OF CONTENTS i i i ACKNOWLEDGMENTS v i CHAPTER 1 INTRODUCTION 1 1.1 Introduction 1 1.2 Overview of GB Theory and works i n Chinese syntax within the framework 4 1.2.1 X-bar Theory 5 1.2.2 Theta Theory 7 1.2.3 Case Theory 8 1.2.4 Theory of Government 9 1.2.5 Binding Theory 10 1.2.6 Control Theory 11 1.2.7 Bounding Theory 12 CHAPTER 2 OVERVIEW OF ANALYSES OF PASSIVES IN ENGLISH... 13 2.1 Passives i n Transformational Grammar 13 2.2 Passives Under the GB Approach 15 CHAPTER 3 PRELIMINARIES OF PASSIVES IN MANDARIN CHINESE 19 3.1 S i m i l a r i t i e s Between Passives i n Chinese and English 19 iii 3.2 Differences Between Passives i n Chinese and English 22 3.3 Previous Analyses of Passives i n Chinese 24 3.3.1 A S e r i a l i z a t i o n Analysis of the bei-construction 24 3.3.2 bei as a Modal 28 3.3.3 jbei-construction Involves NP Movement.... 3 0 CHAPTER 4 PASSIVES IN SIMPLEX STRUCTURES 31 4.1 Passives and Actives 31 4.2 Passives involves NP movement 35 4.2.1 Reflexive Binding 35 4.2.2 you 'there' Insertion 37 4.2.3 V P - e l l i p s i s 37 4.2.4 Negation 39 4.3 The Morpheme bei i n Passives 40 4.4 Generating Passives 45 CHAPTER 5 PASSIVIZABILITY IN MANDARIN CHINESE 49 5.1 Basic Facts 49 5.1.1 bei obligatory 49 5.1.2 bei impossible 50 5.1.3 i3ei optional 53 5.2 Argument structure 54 5.3 Studies on T r a n s i t i v i t y Alternations i n English 55 5.4 Towards an Explanation 57 iv 5.5 Typology of T r a n s i t i v i t y Alternations i n Chinese 62 5.6 Previous Analyses on P a s s i v i z a b i l i t y 64 CHAPTER 6 PASSIVES IN COMPLEX STRUCTURES 66 6.1 'Retained Object Passives' 66 6.1.1 S e r i a l i z a t i o n 66 6.1.2 Complex V-0 Construction 69 6.2 Pa s s i v i z a t i o n of the Double Object Constructions 73 6.3 Remaining Problem 76 CHAPTER 7 CONCLUSION 79 BIBLIOGRAPHY 82 ACKNOWLEDGMENTS I am immensely i n d e b t e d t o ray s u p e r v i s o r Haraida Derairdache, w i t h o u t whom the c o m p l e t i o n o f t h i s t h e s i s would n o t be p o s s i b l e . She g u i d e d , i n s p i r e d and encouraged me throu g h o u t t he w r i t i n g p r o c e s s . Working under h e r s u p e r v i s i o n i s d e f i n i t e l y an e n r i c h i n g i n t e l l e c t u a l e x p e r i e n c e . Her i n s i g h t s i n s y n t a x w i l l r e m a i n i n v a l u a b l e f o r me. I am g r a t e f u l t o my committee members D a v i d Ingram and Henry D a v i s , and a l s o M i c h a e l Rochemont and Guy Garden f o r t e a c h i n g me s y n t a x . I thank Yanfeng Qu f o r making i n s i g h t f u l s u g g e s t i o n s now and the n . Thanks a r e a l s o due t o T a y l o r R o b e r t s , L i s a Mathewson, Sohee C h o i , Y u k i k o Tamura, P i n g J i a n g - K i n g and a l l o t h e r p e o p l e i n my department f o r making UBC such a g r e a t p l a c e t o work a t . CHAPTER 1 INTRODUCTION 1.1 Introduction T h i s t h e s i s examines p a s s i v e s i n Mandarin Ch i n e s e w i t h i n t h e framework o f Government and B i n d i n g ( h e n c e f o r t h GB). I n M a n d a r i n C h i n e s e , t h e r e i s a c o n s t r u c t i o n w h i c h i s a c a n d i d a t e f o r c o n s i d e r a t i o n as a p a s s i v e . T h i s i s t h e J b e i - c o n s t r u c t i o n , c h a r a c t e r i z e d by the pr e s e n c e o f t h e morpheme jbe i. A l t h o u g h t h i s t o p i c has been e x t e n s i v e l y d i s c u s s e d by Chinese and o t h e r s c h o l a r s ( c f . Wang (1957), Huang (1982) L i (1990)), i t s n a t u r e remains c o n t r o v e r s i a l . The main i s s u e s t h a t p a s s i v e s r a i s e a r e what t h e s y n t a c t i c i d e n t i t y o f t h e morpheme bei i s , and whether t h i s c o n s t r u c t i o n i n v o l v e s NP movement. T h i s t h e s i s a t t e m p t s t o p r e s e n t a u n i f i e d a n a l y s i s o f a l l t h e p r o p e r t i e s o f p a s s i v e s i n Mandarin C h i n e s e . The framework adopted i n c l u d e s t h e t h e o r y o f p a s s i v e s p r o p o s e d by Baker, Johnson and R o b e r t s (1989, h e n c e f o r t h BJR) and t h e model o f argument s t r u c t u r e d e v e l o p e d by Ha l e and K e y s e r (1992). The t h e s i s i s o r g a n i z e d i n t o seven c h a p t e r s . The i n t r o d u c t i o n c h a p t e r o u t l i n e s t h e p r o p o s a l o f t h e t h e s i s , f o l l o w e d by a b r i e f o v e r v i e w o f t h e t h e o r y o f GB and o f t h e Chinese s y n t a c t i c l i t e r a t u r e w i t h i n t h i s framework. B a s i c t h e o r e t i c a l a ssumptions upon w h i c h my t h e s i s i s b ased w i l l be made e x p l i c i t i n t h i s c h a p t e r . I n C h a p t e r 2, I go o v e r two f u n d a m e n t a l l y d i f f e r e n t a pproaches t o t h i s c e n t r a l g r a m m a t i c a l f u n c t i o n c h a n g i n g c o n s t r u c t i o n i n E n g l i s h . I w i l l argue t h a t t h e ' p r i n c i p l e s and parameters' approach ( i . e . GB) i s more e x p l a n a t o r y t h a n t h e r u l e - b a s e d t r a n s f o r m a t i o n a l a p proach. A r e c e n t p r o p o s a l o f BJR w i t h r e s p e c t t o t h e r o l e p l a y e d by a p a s s i v e morpheme i n t h e t a - r o l e and Case assignment w i l l be p r e s e n t e d . I n t h e f o l l o w i n g c h a p t e r , p r o p e r t i e s o f p a s s i v e s i n M a n d a r i n C h i n e s e a r e i l l u s t r a t e d , f o l l o w e d by a r e v i e w o f p r e v i o u s a n a l y s e s o f the j b e i - c o n s t r u c t i o n . I w i l l p u r s u e t h e p r o p o s a l made by L i (1990) t h a t p a s s i v e s i n v o l v e s NP movement, a l t h o u g h I d i f f e r from h e r i n t h e a n a l y s i s o f t h e morpheme Jbei. I w i l l argue a g a i n s t a l e x i c a l a p proach t o t h e a n a l y s i s o f p a s s i v e s as t h i s a p p r o a c h amounts t o c l a i m i n g t h a t p r o p e r t i e s o f p a s s i v e s ( i . e . w h i c h v e r b c l a s s e s a r e e l i g i b l e f o r p a s s i v i z a t i o n o r not) a r e u n p r e d i c t a b l e , w h i c h i s not t r u e . I n p a r t i c u l a r , I argue t h a t a s e r i a l i z a t i o n a n a l y s i s as pr o p o s e d i n Cheng (1988) i s i n a d e q u a t e . C h a p t e r 4 p r e s e n t s my a n a l y s i s o f p a s s i v e s i n a s i m p l e C h i n e s e s e n t e n c e . The U n i f o r m i t y o f T h e t a - r o l e Assignment H y p o t h e s i s ( h e n c e f o r t h UTAH) p r e d i c t s t h a t a p a s s i v e and i t s c o r r e s p o n d i n g a c t i v e s hare p a r a l l e l u n d e r l y i n g s t r u c t u r e s and t h e p a s s i v e i s d e r i v e d v i a NP movement. To account f o r the s y n t a c t i c i d e n t i t y and se m a n t i c f u n c t i o n o f bei, I argue t h a t t h e r e i s always an argument i m m e d i a t e l y f o l l o w i n g Jbe i . T h i s argument can be o v e r t o r empty. I t i s t h e p a s s i v e argument i n t h a t i t r e q u i r e s an e x t e r n a l t h e t a - r o l e and A c c u s a t i v e Case f o l l o w i n g t h e a n a l y s i s o f BJR. The l i c e n s e r o f t h i s p a s s i v e argument i s j b e i , a v e r b a l a f f i x . C h a p t e r 5 i s a d e t a i l e d d i s c u s s i o n on p a s s i v i z a b i l i t y , t h a t i s w h i c h c l a s s e s o f p r e d i c a t e s a r e (or a r e not) e l i g i b l e t o p a s s i v i z e . T h i s i s s u e has been i g n o r e d i n p r e v i o u s a n a l y s e s . I t i s argued here t h a t by a d o p t i n g t h e framework o f Hale and Keys e r (1992), a p r i n c i p l e d a c c o u n t o f p a s s i v i z a t i o n i s a v a i l a b l e f o r Man d a r i n C h i n e s e . C h a p t e r 6 examines p a s s i v e s i n complex s t r u c t u r e s . I t has been argued t h a t NP movement i s not i n v o l v e d i n s e n t e n c e s o f t h i s t y p e . The r e a s o n f o r t h e above c l a i m i s t h a t t h e p o s s i b l e u n d e r l y i n g s t r u c t u r e has not been i d e n t i f i e d . I demonstrate t h a t once we i d e n t i f y t h e u n d e r l y i n g s t r u c t u r e , t h e i s s u e o f NP movement i s no l o n g e r p r o b l e m a t i c . The a l t e r n a t i v e a n a l y s i s p r o p o s e d h e r e i s t h a t : 1) t h e a c t i v e c o u n t e r p a r t o f a p a s s i v e o f t h i s t y p e i s t h e j b a - c o n s t r u c t i o n and 2) t h a t b o t h t h e a c t i v e (jba-) and p a s s i v e ( J b e i - c o n s t r u c t i o n ) have t h e same u n d e r l y i n g s t r u c t u r e , i n c o n f o r m i t y w i t h UTAH. I n t h e l a s t c h a p t e r , c o n c l u s i o n s w i l l be drawn and t h e i m p l i c a t i o n s o f such an a n a l y s i s on p a s s i v e s c r o s s -l i n g u i s t i c a l l y w i l l be p r e s e n t e d . 1 . 2 Overview of GB Theory and works i n Chinese syntax within the framework I n t h e Theory o f Government and B i n d i n g (GB) put f o r t h by Chomsky (1981), t h e r e a s o n t h a t a l l human b e i n g s a r e a b l e t o a c q u i r e languages based on f i n i t e exposure i s t h a t p e o p l e a r e b o r n w i t h an i n n a t e c a p a c i t y , w h i c h i s assumed t o be U n i v e r s a l Grammar (UG) . A c c o r d i n g l y , t h e u l t i m a t e g o a l o f l i n g u i s t i c i n v e s t i g a t i o n i s t o d i s c o v e r t h e n a t u r e o f UG, wh i c h i s t h e e n t i r e system o f p r i n c i p l e s and r u l e s u n d e r l y i n g a l l n a t u r a l l anguages. Under t h i s approach, language v a r i a t i o n i s c a p t u r e d and a c c o u n t e d f o r by d i f f e r e n t parameter s e t t i n g s . The s t a n d a r d GB t h e o r y r e c o g n i z e s f o u r l e v e l s o f s y n t a c t i c r e p r e s e n t a t i o n . T h i s model, known as t h e T-model o f grammar, i s p r e s e n t e d below. (1) T-model o f grammar l e x i c o n X-bar Theory \ / D s t r u c t u r e move a S s t r u c t u r e / \ p h o n e t i c r e p r e s e n t a t i o n l o g i c a l form There a r e seven modules a p p l y i n g a t one o r more o f t h e above f o u r l e v e l s i n grammar. They i n c l u d e X-bar Theory, T h e t a Theory, Bounding Theory, Case Theory, B i n d i n g Theory and t h e Empty C a t e g o r y P r i n c i p l e (ECP). A b r i e f summary o f each module i s p r e s e n t e d as f o l l o w s . 1 . 2 . 1 X-bar Theory T h i s component i n c l u d e s p h r a s e - s t r u c t u r e r u l e s c o n s t r a i n e d by X-bar schemata. The i d e a i s t h a t p h r a s e -s t r u c t u r e r u l e s a r e f r e e l y g e n e r a t e d as l o n g as t h e y a r e i n c o n f o r m i t y w i t h X-bar Theory. I n t h i s way, i m p o s s i b l e p h r a s e - s t r u c t u r e r u l e s f o r n a t u r a l languages a r e e x c l u d e d i n p r i n c i p l e . T h i s component i s e n r i c h e d by Chomsky and L a s n i k (1991) and P o l l o c k (1989). I n p a r t i c u l a r , INFL ( f o r i n f l e c t i o n ) i s s p l i t i n t o two heads Tense and Agr ( f o r agreement) , each head i n d e p e n d e n t l y p r o j e c t i n g a maximal p r o j e c t i o n . Under t h i s a s s umption, a sent e n c e has an u n d e r l y i n g s t r u c t u r e as i n (2) , w i t h a parameter s e t f o r head-i n i t i a l o r h e a d - f i n a l . (2) CP / \ SPEC C' / \ C AGR-S"' / \ SPEC AGR-S' / \ AGR-S TP / \ T AGR-0'' / \ SPEC AGR-0' / \ AGR-0 VP / \ SPEC V / \ V NP The e x a c t c h a r a c t e r i z a t i o n o f p h r a s e s t r u c t u r e s i n M a n d a r i n C h i n e s e i s f a r from c l e a r . T h i s i s s u e , however, i s n o t t h e g o a l o f t h e p r e s e n t work. F o r the p r e s e n t p u r p o s e , t h e f o l l o w i n g assumptions a r e made t h r o u g h o u t t h e t h e s i s : f i r s t l y , C h i n e s e i s h e a d - f i n a l e x cept f o r NP and AP, as p r o p o s e d i n Huang (1982); s e c o n d l y , t h e r e i s no AGR p r o j e c t i o n , as t h e r e i s no e v i d e n c e f o r agreement no AGR p r o j e c t i o n , as t h e r e i s no e v i d e n c e f o r agreement i n C h i n e s e ; t h i r d l y , f o l l o w i n g Cheng (1991), t h e r e i s no INFL node p r e s e n t i n a Chinese sentence s t r u c t u r e , f o r t h e r e a s o n t h a t t h e r e i s no i n f l e c t i o n i n t h e language; l a s t l y , t h e a n a l y s i s o f ASP l e w i l l f o l l o w t h a t o f Cheng (1991). Under h e r a n a l y s i s , a m a t r i x c l a u s e i s a p r o j e c t i o n o f ASP, not o f INFL ( e i t h e r Tense o r AGR) . The a s p e c t marker l e i s g e n e r a t e d i n ASP, a s s i g n s N o m i n a t i v e Case and l o w e r s t o t h e v e r b a t LF because i t i s a m o r p h o l o g i c a l a f f i x , as i s t h e case i n E n g l i s h , where AGR l o w e r s t o V i n s y n t a x . T h e r e f o r e , a s e n t e n c e i n C h i n e s e w i l l have th e f o l l o w i n g s u r f a c e s t r u c t u r e . (3) ASPP / \ NP-^  ASP / \ ASP VP t i / \ V NP V + t i 1 . 2 . 2 Theta Theory T h e t a Theory i s concerned w i t h t h e mapping of t h e m a t i c r o l e s o n t o NP p o s i t i o n s . The b a s i c p r i n c i p l e o f t h e T h e t a Theory, t h e Theta C r i t e r i o n , h o l d s a t a l l l e v e l s o f r e p r e s e n t a t i o n . T h i s g e n e r a l w e l l - f o r m e d n e s s c o n d i t i o n i s q u o t e d below from Chomsky (1981): (4) T h e t a C r i t e r i o n (Chomsky 1981:36) Each argument b e a r s one and o n l y one t h e t a - r o l e and each t h e t a - r o l e i s a s s i g n e d t o one and o n l y one argument. One c o n t r o v e r s y c o n c e r n i n g Theta Theory r e l a t e s t o t h e d i r e c t i o n a l i t y o f t h e t a assignment. F o l l o w i n g Qu (1993), I assume t h a t i t i s not n e c e s s a r y t o s p e c i f y t h e d i r e c t i o n a l i t y f o r t h e t a - r o l e assignment i n M a n d a r i n C h i n e s e . 1.2.3 Case Theory A b a s i c p r i n c i p l e o f Case Theory i s t h e Case F i l t e r , w h i c h s t a t e s t h a t e v e r y NP w i t h p h o n o l o g i c a l c o n t e n t must r e c e i v e Case (Chomsky 1991). The m o t i v a t i o n f o r NP movement i s t o s a t i s f y t h e r e q u i r e m e n t t h a t NPs need Case, o t h e r w i s e a Case F i l t e r v i o l a t i o n would r e s u l t . L o c a l i t y r e s t r i c t i o n s on Case-assignment i n c l u d e S t o w e l l ' s (1981) A d j a c e n c y C o n d i t i o n and, t h e s t r u c t u r a l c o n d i t i o n t h a t Case assignment t a k e s p l a c e o n l y under Government. As Case Theory i s c o n cerned w i t h a b s t r a c t Case i n r e l a t i o n t o NPs, a b s t r a c t Case does not have t o be r e a l i z e d m o r p h o l o g i c a l l y . Though t h e r e i s no m o r p h o l o g i c a l e v i d e n c e f o r Case i n Mandarin C h i n e s e , a b s t r a c t Case has been argued t o p l a y a c e n t r a l r o l e i n C h i n e s e s y n t a x (see L i 1990, Huang 1982). I assume t h a t Asp i n (3) a s s i g n s N o m i n a t i v e Case v i a Spec-head agreement. 1.2.4 Theory of Government The Empty C a t e g o r y P r i n c i p l e (ECP) i s t h e most d i s c u s s e d n o t i o n i n t h i s component. The ECP s t a t e s t h a t t r a c e s l e f t by movement must be p r o p e r l y governed. A c c o r d i n g t o a r e c e n t p r o p o s a l i n Chomsky and L a s n i k (1991), p r o p e r government e n t a i l s head-government i n c o n j u n c t i o n w i t h antecedent-government. The d e f i n i t i o n o f government, a c e n t r a l n o t i o n i n the GB framework, i s as f o l l o w s : (5) Government (Chomsky and L a s n i k 1991:58) a g o v e r n s P i f a c-commands P and t h e r e i s no b a r r i e r f o r P c-commanded by a There a r e f o u r t y p e s o f Empty C a t e g o r i e s r e c o g n i z e d i n t h e t r a d i t i o n a l GB framework, based on f e a t u r e c o m b i n a t i o n s o f [±anaphoric] and [+pronominal] c o r r e s p o n d i n g t o o v e r t NPs. To i l l u s t r a t e , a t a b l e i s g i v e n i n ( 6 ) . (6) T a b l e o f Empty C a t e g o r i e s O vert NPs Empty NPs +a, -p r e c i p r o c a l s , NP t r a c e r e f l e x i v e s -a, +p pronouns p r o +a, +p PRO -a, -p names v a r i a b l e s I n M a n d a r i n C h i n e s e , e v i d e n c e f o r t h e e x i s t e n c e o f a l l t y p e s o f Empty NPs have been p r o v i d e d . S t i l l , t h e n a t u r e o f some Empty C a t e g o r i e s remains c o n t r o v e r s i a l , i n p a r t i c u l a r , t h e s y n t a c t i c i d e n t i t y o f n u l l o b j e c t s . See e.g. Huang (1989). 1.2.5 Binding Theory The t h e o r y o f B i n d i n g d e a l s w i t h anaphors and p r o n o m i n a l s i n r e l a t i o n t o t h e i r a n t e c e d e n t s . Three B i n d i n g c o n d i t i o n s a r e put f o r t h i n Chomsky (1981), as g i v e n below. (7) B i n d i n g c o n d i t i o n s (Chomsky 1981: 188) A: An anaphor i s bound i n i t s g o v e r n i n g c a t e g o r y . B: A pronoun i s f r e e i n i t s g o v e r n i n g c a t e g o r y . C: An R - e x p r e s s i o n i s f r e e . The l e v e l o f r e p r e s e n t a t i o n a t w h i c h t h e B i n d i n g c o n d i t i o n s a p p l y i s S - s t r u c t u r e o r a r g u a b l y a t LF. B i n d i n g Theory poses r e l a t i v e l y minor problems f o r M a n d a r i n C h i n e s e . To accommodate problems a s s o c i a t e d w i t h p r o n o m i n a l i z a t i o n , a c o n d i t i o n i s p r o p o s e d i n Huang (1982), q u o t e d as f o l l o w s . (8) C o n d i t i o n on P r o n o m i n a l Anaphora i n C h i n e s e (Huang 1982: 395) A pronoun may not cyclic-C-command i t s a n t e c e d e n t . Cyclic-C-command i s d e f i n e d i n terms o f C-command and c y c l i c node, w h i c h r e f e r s t o IP and CP i n C h i n e s e . The i s s u e o f t h e l o n g d i s t a n c e r e f l e x i v e element z i j i has been l a r g e l y s o l v e d by R e i n h a r t and Re u l a n d (1991). 1.2.6 Control Theory The b a s i c c o n c e r n o f t h i s module i s t o de t e r m i n e t h e p o t e n t i a l i n t e r p r e t a t i o n of PRO. When i t i s o b l i g a t o r i l y c o r e f e r e n t i a l w i t h an a n t e c e d e n t , i t i s a case o f o b l i g a t o r y c o n t r o l . However, PRO does n o t have t o have an a n t e c e d e n t . I n t h a t case, PRO, w i t h no a n t e c e d e n t , has an a r b i t r a r y r e f e r e n c e . 1.2.7 Bounding Theory Bounding Theory i s a t h e o r y w h i c h s p e c i f i e s l o c a l i t y c o n s t r a i n t s on movement r u l e s . The b a s i c concept o f t h i s component i s d e f i n e d i n terms o f s u b j a c e n c y , quoted from Chomsky (1986 : 30) . (9) P i s n - s u b j a c e n t t o a i f f t h e r e a r e fewer t h a n n+1 b a r r i e r s f o r P t h a t e x c l u d e a. Under such a f o r m u l a t i o n , t h e n o t i o n o f l o c a l i t y i n t h e d e f i n i t i o n o f b o t h government and movement i s u n i f i e d i n terms o f t h e n o t i o n o f b a r r i e r . I t has been argued by Huang (1982) t h a t S u b j a c e n c y i s o b s e r v e d i n Ma n d a r i n C h i n e s e . T h i s i s done v a c u o u s l y f o r some o f t h e I s l a n d C o n s t r a i n t s , as t h e y a r e not a p p l i c a b l e i n t h e language. F o r a d i s c u s s i o n on t h i s i s s u e , see Qu ( i n p r e p a r a t i o n ) . CHAPTER 2 OVERVIEW OF ANALYSES OF PASSIVES IN ENGLISH The p a s s i v e c o n s t r u c t i o n has remained a f o c u s o f l i n g u i s t i c r e s e a r c h e v e r s i n c e t h e b e g i n n i n g o f g e n e r a t i v e grammar. I t has p l a y e d a c e n t r a l r o l e b o t h i n th e t r a n s f o r m a t i o n a l approach and t h e GB approach. 2.1 Passives i n Transformational Graimar The p a s s i v e t r a n s f o r m a t i o n r u l e as i t appeared i n Chomsky's Syntactic Structure (1957) c o n s t i t u t e s one o f t h e major arguments f o r T r a n s f o r m a t i o n a l Grammar o v e r P h r a se S t r u c t u r e Grammar. S t a t i n g p a s s i v i z a t i o n w i t h i n p h r a s e s t r u c t u r e grammar i s p r o b l e m a t i c m a i n l y because i t i s h a r d t o f o r m a l i z e so many o f t h e changes undergone by p a s s i v i z a t i o n i n t h e form o f ph r a s e s t r u c t u r e r u l e s . The r u l e o f a p a s s i v e t r a n s f o r m a t i o n maps a s t r i n g o f elem e n t s l i s t e d i n t h e s t r u c t u r a l d e s c r i p t i o n (SD) i n t o a n o t h e r s t r i n g , s t r u c t u r a l change (SC), t a k i n g t h e f o l l o w i n g form: (10) p a s s i v i z a t i o n : NP AUX V NP X X SD: 1 2 3 4 5 6 SC: 4 2+Jbe 3 + e n 0 by+2 6 Under t h i s f o r m u l a t i o n o f the r u l e , t h e s t r u c t u r a l change e x p l i c i t l y makes r e f e r e n c e t o t h r e e morphemes i n E n g l i s h . Moreover, t h i s r u l e i s based on E n g l i s h word o r d e r . T h i s e n t a i l s t h a t the r u l e i s l a n g u a g e - s p e c i f i c . Thus, a d i f f e r e n t r u l e has t o be w r i t t e n f o r each p a s s i v e t r a n s f o r m a t i o n c r o s s - l i n g u i s t i c a l l y . A second p r o p e r t y o f t h i s r u l e i s t h a t i t i s s t i p u l a t i v e i n n a t u r e . I t not o n l y r e f e r s t o s p e c i f i c c o n s t i t u e n t s but a l s o s p e c i f i e s t h e i r a d j a c e n c y r e l a t i o n s . T h i s r u l e i s so u n c o n s t r a i n e d t h a t i t can p e r f o r m s e v e r a l o p e r a t i o n s w i t h i n a s i n g l e t r a n s f o r m a t i o n . Thus, f o u r k i n d s o f o p e r a t i o n s a r e i n v o l v e d i n (10) : i n s e r t i o n , d e l e t i o n , a d j u n c t i o n and s u b s t i t u t i o n . A more s e r i o u s p r o blem f o r t h i s r u l e - b a s e d grammar i s t h a t i t does not e x p l a i n why the s p e c i f i c changes p e r f o r m e d by (10) happen. F or i n s t a n c e , why would i t not be t h e case t h a t p a s s i v e i n v o l v e d movement o f t h e u n d e r l y i n g s u b j e c t t o o b j e c t p o s i t i o n and o f t h e d i r e c t o b j e c t t o t h e r i g h t o f a p r e p o s i t i o n by. F u r t h e r , i t seems p u r e l y c o i n c i d e n t a l t h a t NP f r o n t i n g t a r g e t s a n o t h e r NP p o s i t i o n as i t s l a n d i n g s i t e . C o n s e q u e n t l y , i t s h o u l d be p o s s i b l e t o move an NP t o a VP p o s i t i o n . Under t h i s r u l e - b a s e d approach, i m p o s s i b l e s t r u c t u r e s a r e t h u s p r e d i c t e d t o o c c u r . 2.2 Passives Under the GB Approach The above c o n s i d e r a t i o n s l e a d t o a r e c o n s i d e r a t i o n o f approaches t o grammar. To c h a r a c t e r i z e language v a r i a t i o n among n a t u r a l languages, a g e n e r a l e x p l a n a t o r y t h e o r y i s e x p e c t e d t o be as c o n s t r a i n e d as p o s s i b l e so t h a t i m p o s s i b l e s t r u c t u r e s cannot be g e n e r a t e d , and t h u s , c r o s s l i n g u i s t i c g e n e r a l i z a t i o n s , f o r i n s t a n c e NPs movement t o NP p o s i t i o n s , p a s s i v e demotes a s u b j e c t (not an o b j e c t ) can be c a p t u r e d . The t h e o r y o f GB a t t e m p t s t o s o l v e the above-mentioned p r o b l e m s . Under t h i s approach, s u r f a c e a l t e r n a t i o n s r e s u l t from t h e a p p l i c a t i o n o f one g e n e r a l r u l e : Move a. I n t h i s f o r m u l a t i o n , a can be any c a t e g o r y . Though a can v i r t u a l l y move t o any p o s i t i o n , o t h e r p r i n c i p l e s e i t h e r m o t i v a t e o r c o n s t r a i n t h e a p p l i c a t i o n o f Move a. I n e f f e c t , movement t o a c e r t a i n p o s i t i o n t a k e s p l a c e o n l y i f i t has t o do so. To i l l u s t r a t e , t h e d e r i v a t i o n f o r a s i m p l e E n g l i s h p a s s i v e i s shown i n (11) : (11) [ip e [ j . i s [vp[v' k i s s e d Tom]] by Mary]]] > [ip Tomi [ j i i s [yp k i s s e d [ t i ] ] by Mary]] The p a s s i v e morpheme (-en i n E n g l i s h ) i s c r u c i a l i n e x p l a i n i n g Case and t h e t a - r o l e assignment i n p a s s i v e c o n s t r u c t i o n s . Chomsky (1981) p u r s u e d the i d e a t h a t p a s s i v e v e r b s have t h e f o l l o w i n g p r o p e r t i e s t r i g g e r e d by t h e p a s s i v e morpheme: (12) a. The p a s s i v e v e r b does not a s s i g n Case t o i t s d i r e c t o b j e c t . b. The p a s s i v e v e r b does not a s s i g n an e x t e r n a l t h e t a - r o l e t o the s u b j e c t p o s i t i o n . G i v e n t h e assumptions i n (12), t h e o b j e c t o f t h e p r e d i c a t e has t o move t o a Case p o s i t i o n s i n c e i t no l o n g e r r e c e i v e s Case i n i t s D - s t r u c t u r e p o s i t i o n . F u r t h e r , t h e s u b j e c t p o s i t i o n i s a n o n - t h e t a p o s i t i o n , but remains a Case p o s i t i o n (Case i s a s s i g n e d by I N F L ) . Thus, t h i s p o s i t i o n i s a v a i l a b l e f o r t h e u n d e r l y i n g o b j e c t t o move i n t o . An a l t e r n a t i v e t h e o r y , t h e t h e o r y o f g r a m m a t i c a l f u n c t i o n c h a n g i n g has been proposed by Baker (1988). The t h e s i s o f h i s p r o p o s a l i s t h a t g r a m m a t i c a l f u n c t i o n c h a n g i n g phenomena can be a c c o u n t e d f o r by s y n t a c t i c Movement, c o n s t r a i n e d by some g e n e r a l s y n t a c t i c p r i n c i p l e s . I n o t h e r words, t h e r e i s no need t o a p p e a l t o s p e c i f i c r u l e s , whether t h e y a r e l e x i c a l o r s y n t a c t i c . Under t h i s approach. Baker, Johnson and R o b e r t s (1989) p u r s u e d t h e i d e a t h a t f i r s t appeared i n J a e g g l i (1986), t h a t t h e p a s s i v e morpheme i s t h e a c t u a l argument t o w h i c h Case and the agent t h e t a - r o l e must be a s s i g n e d . S p e c i f i c a l l y , t h e p a s s i v e morpheme, f o r example -en i n E n g l i s h , i s s y n t a c t i c a l l y i d e n t i f i e d as an argument. As an argument, t h e p a s s i v e morpheme need a Case and a t h e t a - r o l e . The BJR p r o p o s a l i s a s p e c i f i c a ttempt t o reduce p a s s i v e s t o Movement. I t i s argued t h a t by a d o p t i n g s u c h a c l a i m , p r o p e r t i e s o f p a s s i v e s can be e x p l a i n e d r e a d i l y . Moreover, v a r i a t i o n s among p a s s i v e c o n s t r u c t i o n s c r o s s - l i n g u i s t i c a l l y can be c a p t u r e d under such an approach. To i l l u s t r a t e , a p a s s i v e s e n t e n c e as i n (11) has an u n d e r l y i n g s t r u c t u r e d e p i c t e d as f o l l o w s : (13) IP / \ NP I ' e / \ I IP be / \ I VP -en / \ V NP k i s s Tom I n t h e above c o n f i g u r a t i o n , the p a s s i v e morpheme -en r e c e i v e s A c c u s a t i v e Case from t h e v e r b k i s s , and a e x t e r n a l t h e t a - r o l e from VP. Co n s e q u e n t l y , t h e v e r b -f i n a l NP Tom remains C a s e l e s s . To a v o i d a C a s e - f i l t e r v i o l a t i o n , t h i s NP has t o move t o a Case p o s i t i o n . The o n l y s uch a v a i l a b l e p o s i t i o n i s t h e upper [Spec IP] p o s i t i o n . Case b e i n g a s s i g n e d by INFL. A f u r t h e r o p e r a t i o n t h e n t a k e s p l a c e s : t h e p a s s i v e argument i n c o r p o r a t e s i n t o t h e v e r b s . T h i s o p e r a t i o n i s an i n s t a n c e o f X*^  movement : t h e agent argument en does not have t h e s t a t u s o f an independent word, but r a t h e r t h a t o f a c l i t i c . I t i s an X^, e i t h e r N^ o r (as i n P o s t a l (1961) o r H a l e ' s a n a l y s i s o f pronouns) -- t h a t must a t t a c h o r c l i t i c i z e t o a base. I t i s , t h u s , r e q u i r e d t o l o w e r t o a d j o i n t o t h e v e r b . Then two a p p l i c a t i o n s o f XP movement ( i . e . NP-movement) and X*^  movement ( i . e . a f f i x hopping) y i e l d t h e f o l l o w i n g s t r u c t u r e . (14) IP / \ NP I ' Tomi / \ I IP be / \ I VP t j / \ V NP k i s s - e n j t ^ Under t h i s approach, t h e agent i s r e a l i z e d as an a d j u n c t f o l l o w e d by t h e p r e p o s i t i o n by. The BJR a n a l y s i s o f p a s s i v e s w i l l be assumed i n Chapter 4. CHAPTER 3 PRELIMINARIES OF PASSIVES IN MANDARIN CHINESE I n M a n d a r i n C h i n e s e , t h e r e e x i s t s a c o n s t r u c t i o n marked by t h e o b l i g a t o r y p r e s e n c e o f a morpheme j b e i . T h i s p a r t i c u l a r c o n s t r u c t i o n has a t t r a c t e d t h e a t t e n t i o n o f many s y n t a c t i c i a n s ( c f . Wang (1957), Wang (1959), Huang (1982), Cheng (1988), L i (1990), and T s a i ( 1 9 9 3 ) ) . T h i s c h a p t e r i s d e v o t e d t o a co m p a r a t i v e s t u d y o f p a s s i v e s i n E n g l i s h and t h e J b e i - c o n s t r u c t i o n i n C h i n e s e . 3.1 S i m i l a r i t i e s Between Passives i n Chinese and English I n an unmarked sentence i n Chi n e s e , the se n t e n c e i n i t i a l NP o c c u p y i n g t h e s u b j e c t p o s i t i o n i s i n t e r p r e t e d as t h e agent o f t h e t r a n s i t i v e p r e d i c a t e , w h i l e t h e p o s t - v e r b a l NP i s t h e theme. T h i s i s e x e m p l i f i e d i n (13). What i s p e c u l i a r about t h e j b e i - c o n s t r u c t i o n i s t h a t , t h e theme s u r f a c e s i n t h e s u b j e c t p o s i t i o n , w h i l e t h e agent s u r f a c e s i n a p o s i t i o n i m m e d i a t e l y f o l l o w i n g t h e morpheme j b e i . T h i s i s shown i n (16), i n c o n t r a s t w i t h (15) . (15) X i a o l i da l e t a . hi t ASP he ' X i a o l i h i t him.' (16) X i a o l i b e i t a da l e . Jbei him hit ASP ' X i a o l i was h i t by him.' I n (15) , X i a o l i i s t h e i n i t i a t o r o f t h e a c t i o n , him i s the u n d e r g o e r o f the a c t i o n . Compare t h i s w i t h (14), t h e same NP X i a o l i , s u r f a c i n g i n p a r a l l e l p o s i t i o n , i s i n t e r p r e t e d as t h e p e r s o n u n d e r g o i n g t h e a c t i o n o f ' h i t t i n g ' . On t h e o t h e r hand, t h e agent him i s r e a l i z e d i n a p o s i t i o n f o l l o w i n g t h e morpheme Jbe i . T h i s c o n t r a s t i n t h e s y n t a c t i c p o s i t i o n o f arguments i n the above paradigm i s due t o t h e pr e s e n c e o f t h e morpheme Jbei. I n o t h e r words, whenever bei appears, t h e i n i t i a l NP o c c u p y i n g t h e s u b j e c t p o s i t i o n i s i n t e r p r e t e d as t h e l o g i c a l o b j e c t , i . e . , t h e theme o f t h e p r e d i c a t e . T h i s i s t h e co r e p r o p e r t y which d i s t i n g u i s h e s bei c o n s t r u c t i o n from a l l o t h e r s i n Mandarin C h i n e s e , and i s s h a r e d by p a s s i v e c o n s t r u c t i o n s i n E n g l i s h . A n o t h e r p r o p e r t y o f the j b e i - c o n s t r u c t i o n t h a t p a t t e r n s w i t h E n g l i s h p a s s i v e s i s t h a t t h e l o g i c a l s u b j e c t o f t h e v e r b , r e a l i z e d as an NP f o l l o w i n g t h e morpheme bei i s o p t i o n a l , as i s t h e case w i t h t h e a g e n t i v e p r e p o s i t i o n a l p h r a s e by NP i n E n g l i s h . T h i s i s shown i n t h e f o l l o w i n g examples. (17) Ta b e i (wo) da l e . he bei (I) hit ASP 'He was h i t (by me).' (18) He was h i t (by me) . T h i r d l y , as i s the case i n E n g l i s h , o n l y t r a n s i t i v e v e r b s can p a s s i v i z e . The u n g r a m m a t i c a l i t y o f an i n t r a n s i t i v e v e r b o c c u r r i n g i n a p a s s i v e c o n s t r u c t i o n i s seen i n (19). (19) *Ta b e i t i a o l e . he bei jump ASP *'He was jumped.' G i v e n t h e b a s i c s y n t a c t i c and semantic s i m i l a r i t i e s between E n g l i s h p a s s i v e s and Chinese J b e i - c o n s t r u c t i o n s , t h e l a t t e r has been a n a l y z e d as an i n s t a n c e o f p a s s i v e by b o t h t r a d i t i o n a l and contemporary s y n t a c t i c i a n s (see e s p e c i a l l y Wang 1957, Wang 1969, L i 1990). 3.2 Differences Between Passives i n Chinese and E nglish However, t h e r e a r e p r o p e r t i e s o f t h e b e i - c o n s t r u c t i o n t h a t a r e n o t p a r a l l e l t o the E n g l i s h p a s s i v e c o n s t r u c t i o n . F i r s t o f a l l , t h e r e i s a p a s s i v e morpheme -en on t h e v e r b i n E n g l i s h . That C h i n e s e does n o t have an e q u i v a l e n t i s due t o a more g e n e r a l p r o p e r t y o f t h e l a nguage: t h e r e i s no v e r b a l morphology i n M a n d a r i n C h i n e s e . G i v e n t h i s c o n t r a s t , a n a t u r a l q u e s t i o n a r i s e s as t o whether t h e r e e x i s t s a p a s s i v e morpheme i n M a n d a r i n C h i n e s e . A s e cond d i f f e r e n c e between the b e i - c o n s t r u c t i o n i n C h i n e s e and t h e p a s s i v e i n E n g l i s h r e l a t e s t o t h e s y n t a c t i c i d e n t i t y o f bei. We c o u l d assume t h a t bei i s a p r e p o s i t i o n e q u i v a l e n t t o by i n E n g l i s h , g i v e n t h a t t h e y b o t h r e s p e c t i v e l y i n t r o d u c e t h e agent o f the p r e d i c a t e . However, a d o p t i n g t h i s a s sumption e n t a i l s t h a t jbei w o u l d be t h e o n l y p r e p o s i t i o n t h a t l i c e n s e s an empty NP i n M a n d a r i n C h i n e s e . The b e h a v i o r o f c a n o n i c a l p r e p o s i t i o n s i s shown i n t h e f o l l o w i n g paradigm. (20) Ta [ppcong n a l i ] l a i ? he from where come 'Where does he come from?' (21) * N a l i i t a [ppCong t ^ ] l a i ? where he from come 'Where does he come from?' (22) *Ta [ppCong e] l a i . he from come *'He came from ...' , F o r o t h e r p r e p o s i t i o n s , [ppP e] i s n o t a l e g i t i m a t e s t r u c t u r e . F u r t h e r m o r e , (22) demonstrates t h a t t h e NP f o l l o w i n g t h e p r e p o s i t i o n has t o be o v e r t and i t cannot be dropped. Thus, i n [ppP t ] where t i s t r a c e o r PRO i s i l l - f o r m e d i n C h i n e s e . C o n s e q u e n t l y , a p a s s i v e s e n t e n c e w i t h an u n e x p r e s s e d agent as i n (17) cannot have a s t r u c t u r e o f t h e f o l l o w i n g form: [pp bei e] . C o n s e q u e n t l y , i f bei i s t o be i d e n t i f i e d as a p r e p o s i t i o n , i t i s t h e o n l y one t h a t a l l o w s p r o - d r o p . To summarize, p a s s i v e c o n s t r u c t i o n s i n C h i n e s e and E n g l i s h d i s p l a y fundamental s i m i l a r i t i e s and c e r t a i n d i s p a r i t i e s . How t o c h a r a c t e r i z e t h e s y n t a x o f t h i s p a r t i c u l a r c o n s t r u c t i o n i s the c e n t r a l g o a l of t h i s t h e s i s . B e f o r e d o i n g so, l e t us b r i e f l y go o v e r a l t e r n a t i v e a n a l y s e s o f t h e b e i - c o n s t r u c t i o n i n Ma n d a r i n C h i n e s e . 3.3 Previous Analyses of Passives i n Chinese I w i l l r e v i e w t h r e e a n a l y s e s o f p a s s i v e s i n C h i n e s e i n t h i s s u b - s e c t i o n . As I w i l l argue t h a t t h e p r e v i o u s a n a l y s e s a r e i n a d e q u a t e , an a l t e r n a t i v e a n a l y s i s i s n e c e s s a r y . 3.3.1 A S e r i a l i z a t i o n Analysis of the Jbei-construction Cheng (1988) p u r s u e d t h e i d e a t h a t t h e j b e i - c o n s t r u c t i o n can be a n a l y z e d as an i n s t a n c e o f a s e r i a l v e r b c o n s t r u c t i o n . The m o t i v a t i o n f o r such a move i s t h a t i t i s h a r d t o f i n d and, f u r t h e r , t o f o r m a l i z e a g e n e r a l i z a t i o n t h a t e x p l a i n s when p a s s i v e i s l e g i t i m a t e o r n o t . That i s , t h e c o r e problem i s i d e n t i f y i n g w h i c h v e r b c l a s s e s a l l o w p a s s i v i z a t i o n and t h e n f o r m a l l y c h a r a c t e r i z i n g t h e s e v e r b c l a s s e s . T h i s i s s u e w i l l be d i s c u s s e d a t l e n g t h i n Chapter 5. L e a v i n g t h i s i s s u e a s i d e , l e t us c o n s i d e r Cheng's p r o p o s a l i t s e l f . Under Cheng's a n a l y s i s , jbei i s t r e a t e d as a v e r b t a k i n g two arguments. I t s e x t e r n a l argument i s t h e p a t i e n t and i t s i n t e r n a l argument i s the agent. Thus a s e r i a l v e r b c o n s t r u c t i o n i s formed whenever two v e r b s o c c u r i n one s e n t e n c e , one o f wh i c h i s jb e i . T h i s s e r i a l v e r b c o n s t r u c t i o n i s i n t e r p r e t e d v i a a mechanism o f i d e n t i f i c a t i o n , w h i c h b a s i c a l l y ' i n t e r n a l i z e s t h e agent t h e t a - r o l e o f the v e r b o t h e r t h a n jbe i , and meanwhile e x t e r n a l i z e s j b e i ' s i n t e r n a l t h e t a - r o l e ' (Cheng 1988:18). A r e p r e s e n t a t i o n i l l u s t r a t i n g t he i d e n t i f i c a t i o n o f t h e t a - r o l e s , adapted from Cheng (1988:19) i s g i v e n below. (23) Tom b e i t a da l e . <1,2> <1,2> I I I jbei he hit ASP I n such a ca s e , t h e i d e n t i f i c a t i o n mechanism i s r e s p o n s i b l e f o r i n t e r p r e t i n g t h e one who i s p e r f o r m i n g t h e a c t i o n o f h i t t i n g as the agent, and a l s o t h e one b e i n g h i t as t h e p a t i e n t . T h i s i s done by a s s i g n i n g t h e e x t e r n a l t h e t a - r o l e o f jbei and t h e i n t e r n a l t h e t a - r o l e o f hit to t h e same NP Tom, and f u r t h e r t h e i n t e r n a l t h e t a - r o l e o f Jbei and the e x t e r n a l t h e t a - r o l e o f hit t o th e same NP t a 'he'. I n t h i s way, f o u r t h e t a - r o l e s a r e re d u c e d t o two t h e t a - r o l e s . T h i s a n a l y s i s r a i s e s f o u r problems. The f i r s t p roblem i s t h a t t h e t h e t a - r o l e assignment o f jbei v i o l a t e s t h e t h e m a t i c h i e r a r c h y . The t h e m a t i c h i e r a r c h y quoted from Grimshaw (1990:8) t a k e s t h e f o l l o w i n g form: (24) ( A g e n t ( E x p e r i e n c e r ( G o a l ( / S o u r c e / L o c a t i o n / T h e m e ) ) ) ) Though t h e r e a r e s l i g h t v a r i a t i o n s w i t h r e s p e c t t o t h e s e v e r a l t h e t a - r o l e s l o w e r i n the h i e r a r c h y , agent i s alwa y s r a n k s t h e h i g h e s t . Thus, jbei ' s t h e t a - g r i d <l-2> i s mapped onto P a t i e n t and Agent r e s p e c t i v e l y ; t h e P a t i e n t o f Tom i s r e a l i z e d as the h i g h e s t argument <1> and t h e agent i s r e a l i z e d as t h e l o w e s t argument <2> i n v i o l a t i o n o f t h e m a t i c h i e r a r c h y . S e c o n d l y , under t h i s l e x i c a l a n a l y s i s o f t h e j b e i - c o n s t r u c t i o n , t h e p r o p e r t i e s o f b e i , i n p a r t i c u l a r , w hich v e r b s bei can combined w i t h a r e p u r e l y i d i o s y n c r a t i c . These p r o p e r t i e s a r e not p r e d i c t a b l e : a g i v e n v e r b i s s p e c i f i e d i n t h e l e x i c o n as combines w i t h jbei t o form a s e r i a l v e r b . T h i r d l y , i t i s u n c l e a r how e x a c t l y the i d e n t i f i c a t i o n mechanism works. What c o n s t r a i n s the many f u n c t i o n s p e r f o r m e d by such a mechanism i s q u i t e u n c l e a r : why i s 1 i d e n t i f i e d w i t h 2, and 2 i d e n t i f i e d w i t h 1 i n (21). Why does t h e r e v e r s e not h o l d ? T h i s a n a l y s i s r a i s e s a n o t h e r problem. G i v e n t h a t jbei i s a v e r b , why i s t h a t jbei cannot f r e e l y s t a n d a l o n e , e v i d e n c e d from (25). I n p a r t i c u l a r , why i s i t r e s t r i c t e d t o a s e r i a l v e r b c o n s t r u c t i o n ? C o n s i d e r t h e f o l l o w i n g c o n t r a s t between t h e two v e r b s o c c u r r i n g i n (23): (25) *Ta b e i Tom l e . he bei ASP *'He was Tom.' (26) Ta da Tom l e . he hit Tom ASP 'He h i t Tom.' The above paradigm d i f f e r s from t h a t o f a r e a l s e r i a l v e r b c o n s t r u c t i o n , i l l u s t r a t e d below: (27) Ta x i wan sao d i . he wash bowl sweep f l o o r 'He washed bowls and swept t h e f l o o r . ' (2 8) Ta x i wan. he wash bowl 'He washed bowls.' (29) Ta sao d i . he sweep f l o o r 'He swept t h e f l o o r . ' Where wash and sweep can r e s p e c t i v e l y s t a n d a l o n e as i n (28-29) and a l s o combine t o form a s e r i a l v e r b as i n (27) . Note t h a t Agent o f sweep i s i d e n t i f i e d w i t h agent o f wash and f u r t h e r each v e r b r e t a i n s i t s o b j e c t . I n c o n t r a s t , t h e r e i s no r e v e r s a l as i n (23). Thus, a s e r i a l i z a t i o n approach i s i n a d e q u a t e i n p r o v i d i n g a p r i n c i p l e d account of the p r o p e r t i e s o f t h e J b e i - c o n s t r u c t i o n . Problems a s s o c i a t e d w i t h t h i s a n a l y s i s i n c l u d e t h e f o l l o w i n g : 1) The t h e t a - r o l e assignment o f Jbei i s i n v i o l a t i o n o f t h e t h e m a t i c h i e r a r c h y . 2) A l e x i c a l a p p r o a c h i s s t i p u l a t i v e i n n a t u r e . Under such an approach, what s h o u l d be d e r i v a t i v e i s u n p r e d i c t a b l e : i . e . s t i p u l a t e d as an i d i o s y n c r a t i c p r o p e r t y o f a g i v e n l e x i c a l i t e m . 3) The mechanism o f t h e t a i d e n t i f i c a t i o n i t s e l f i s p r o b l e m a t i c . 4) T h i s a n a l y s i s does n o t e x p l a i n why jbei does not have t h e d i s t r i b u t i o n o f a r e a l v e r b . 3.3.2 bei as a Modal T s a i (1993) p r o p o s e s t h a t Jbei can be c o n s i d e r e d as 'a tw o - p l a c e p r e d i c a t e t a k i n g a P a t i e n t as i t s e x t e r n a l argument and a p r o p o s i t i o n as i t s complement' ( T s a i (1993:227)). The main advantage o f such a move i s t h a t i t can acco u n t f o r sen t e n c e s o f t h e f o l l o w i n g t y p e (adapted from T s a i 1993 ( 3 2 ) ) . (30) L i s i b e i [ypAkiu da l e s a n z h i b e n l e i d a ] . jbei hit ASP three home run ' L i s i was h i t t h r e e home r u n by A k i u . ' T s a i a r g u e s t h a t i n (3 0) t h e r e i s no gap i n t h e VP complement o f jbei f o r the P a t i e n t L i s i t o o r i g i n a t e from; s i n c e t h e VP c o n t a i n s b o t h an agent Akiu and a theme t h r e e home run. T h e r e f o r e , t h e s u r f a c e s t r u c t u r e cannot be d i s t i n c t from t h e u n d e r l y i n g s t r u c t u r e : (30) i s b o t h t h e D - s t r u c t u r e and S - s t r u c t u r e o f t h e s e n t e n c e . T h i s t y p e o f p a s s i v e c o n s t i t u t e s t h e s t r o n g e s t e v i d e n c e t h a t p a s s i v e s a r e b a s e - g e n e r a t e d i n Mandarin. However, c o n t r a r y t o t h i s c l a i m , an a c t i v e c o u n t e r p a r t f o r (30) does i n f a c t e x i s t . I propose t h a t t h e double o b j e c t c o n t r a c t i o n i n (31) (which i s a p e r f e c t l y w e l l formed sentence) i s t h e a c t i v e c o u n t e r p a r t o f (30). T h i s p r o p o s a l w i l l be defended i n c h a p t e r 6. (31) A k i u da l e L i s i s a n z h i b e n l e i d a . hit ASP three home run ' A k i u h i t L i s i t h r e e home r u n s . ' G i v e n t h e p r o p o s a l t h a t (31) i s the a c t i v e c o u n t e r p a r t o f ( 3 0 ) , T s a i ' s a n a l y s i s i s no l o n g e r w e l l founded. I w i l l argue i n Chapter 6 t h a t double o b j e c t c o n s t r u c t i o n s p a t t e r n c o n s i s t e n t l y w i t h r e s p e c t t o t h e t a r g e t o f p a s s i v i z a t i o n . The m o t i v a t i o n f o r the p r o p o s a l t h a t jbei c o n s t r u c t i o n s a r e ba s e - g e n e r a t e d and t a k e a VP complement i s thus weakened c o n s i d e r a b l y . 3.3.3 The Jbel-construction Involves NP Movement The p r o p o s a l t h a t j b e i - c o n s t r u c t i o n can be a n a l y z e d as a p a s s i v e appeared i n Huang (1982) and was l a t e r p u r s u e d by L i (1990). I w i l l assume th e b a s i c i d e a o f L i ' s a n a l y s i s . However, my assumptions c o n c e r n i n g C h i n e s e p h r a s e s t r u c t u r e , as g i v e n i n Chapter 1 d i f f e r l a r g e l y from h e r s . A l t h o u g h her a n a l y s i s f i t s i n t o h e r a s s u m p t i o n s , many of her assumptions have been c h a l l e n g e d . F o r i n s t a n c e , she assumes t h a t C hinese i s u n d e r l y i n g l y an SOV language. T h i s has been d i s p u t e d by Sybasma and M u l d e r (1992), who c o n v i n c i n g l y argue t h a t C h i n e s e i s u n d e r l y i n g l y SVO. F u r t h e r , h e r d i s c u s s i o n o f jbei ' s s y n t a c t i c c a t e g o r i c a l i d e n t i t y remains i n c o n c l u s i v e : i t c o u l d be e i t h e r a p a s s i v e morpheme o r a p r e p o s i t i o n . I w i l l c l a r i f y t h i s i s s u e i n C h a p t e r 4. N o n e t h e l e s s , t h e fundamental s p i r i t o f h e r p r o p o s a l , namely t h a t t h e j b e i - c o n s t r u c t i o n s h o u l d be a n a l y z e d as a p a s s i v e , and t h a t i t i n v o l v e s NP movement, i s p u r s u e d i n my a n a l y s i s . F u r t h e r , the u l t i m a t e g o a l o f t h i s t h e s i s i s t o a d d r e s s an i s s u e t h a t she i g n o r e s , namely how t o f o r m a l l y i d e n t i f y t h e c l a s s e s o f p r e d i c a t e s w h i c h a r e o r a r e not e l i g i b l e f o r p a s s i v i z a t i o n . CHAPTER 4 PASSIVES IN SIMPLEX STRUCTURES 4.1 Passives and Actives As shown i n t h e p r e v i o u s c h a p t e r , a l t h o u g h the s u r f a c e r e a l i z a t i o n o f an a c t i v e sentence and i t s p a s s i v e c o u n t e r p a r t a r e not i d e n t i c a l , t h e p a i r a r e t h e m a t i c p a r a p h r a s e s i n t h a t t h e two NPs i n each se n t e n c e b e a r e x a c t l y t h e same t h e m a t i c r o l e s w i t h r e s p e c t t o a g i v e n p r e d i c a t e . Assuming UTAH (Baker 1988:46), i t f o l l o w s t h a t an a c t i v e s e n t e n c e and i t s p a s s i v e c o u n t e r p a r t s h a r e p a r a l l e l D - s t r u c t u r e s . UTAH i s quoted as f o l l o w s ( i b i d . p 4 6 ) . (32) THE UNIFORMITY OF THETA ASSIGNMENT HYPOTHESIS (UTAH): I d e n t i c a l t h e m a t i c r e l a t i o n s h i p s between i t e m s a r e r e p r e s e n t e d by i d e n t i c a l s t r u c t u r a l r e l a t i o n s h i p s between t h o s e i t e m s a t the l e v e l o f D - s t r u c t u r e . R e c a l l t h a t we have argued t h a t t h e p r e s e n c e o f jbei d i s t i n g u i s h e s a p a s s i v e from an a c t i v e s e n t e n c e . However, t h e r e e x i s t s e n t e n ces w i t h s e e m i n g l y p a s s i v e meaning but w i t h o u t t h e morpheme Jbei : (33)a. Mingming chen l e na t i a o chuan. sank ASP that CL. boat 'Mingming sank t h a t b o a t . ' b. Chuan chen l e . boat sank ASP 'The boat sank.' c. Chuan b e i chen l e . boat bei sank ASP 'The boat was sunk.' I n b o t h s e n t e n c e (33b) and (33c) , t h e p r e v e r b a l NP i s not t h e agent o f t h e a c t i o n but t h e theme. I w i l l argue t h a t g i v e n t h a t t h e p r e d i c a t e chen 'sink' has i t s t r a n s i t i v e a l t e r n a t e as i n (33a) , and t h a t i t can p a s s i v i z e , as i n ( 3 3 c ) , chen 'sink' i s an e r g a t i v e v e r b , e x h i b i t i n g e x a c t l y t h e same b e h a v i o r as i t s E n g l i s h c o r r e s p o n d e n t sink. F u r t h e r , the s y n t a c t i c p r o p e r t i e s o f e r g a t i v e and p a s s i v e v e r b s a re not i d e n t i c a l . T h e r e f o r e , I c l a i m t h a t (33b) i s not a p a s s i v e c o n s t r u c t i o n . As d e f i n e d i n Hal e and Keyser (1992: 90), an e r g a t i v e v e r b i s a v e r b w h i c h has b o t h a t r a n s i t i v e a l t e r n a n t w i t h a c a u s a t i v e meaning and an i n t r a n s i t i v e a l t e r n a n t . The b e h a v i o r o f a t y p i c a l e r g a t i v e v e r b such as sink i s shown below. (34) a. The bomb sank t h e boat i n t o t h e l a k e . b. The boat sank i n t o t h e l a k e . c. The boat was sunk. d. John sank the bo a t . I n t h e above paradigm, t h e meanings a r e d i f f e r e n t from one a n o t h e r . (34a) i s a c a u s a t i v e s e n t e n c e , w i t h a meaning t h a t t h e bomb caused the boat t o s i n k . Note t h a t t h e s e n t e n c e - i n i t i a l NP the bomb i s not t h e agent as i t i s an i n s t r u m e n t , which i s inhuman. (34b) , on t h e o t h e r hand, i s s i m p l y a d e s c r i p t i o n o f an ev e n t . (34c) i s a p a s s i v e w i t h an u n e x p r e s s e d agent d e r i v e d from (34d). The same h o l d s f o r t h e Chinese paradigm i n (33). F o r t h e sake o f c l a r i t y , I w i l l use e r g a t i v e v e r b t o r e f e r t o t h e a l t e r n a t i o n between c a u s a t i v e and i n c h o a t i v e . The d i s t i n c t i o n between the above (b) and (c) p a i r s i n (33) and (34) i s f u r t h e r e x p l a i n e d by t h e i r d i f f e r e n t b e h a v i o r s w i t h r e s p e c t t o a g e n t - o r i e n t e d a d v e r b s : an e r g a t i v e v e r b i s i n c o m p a t i b l e w i t h an agent o r i e n t e d a d v e r b because t h e e r g a t i v e v e r b i s d e r i v e d from a t r a n s i t i v e , where i t s s u b j e c t i s a c a u s e r and not an agent as i n (34a) . I n c o n t r a s t , j be i+verb can c o o c c u r w i t h agent o r i e n t e d adverb because the v e r b i s d e r i v e d from a t r a n s i t i v e p r e d i c a t e , where s u b j e c t i s an agent. (35)*Chuan g u y i chen l e . jboat d e l i b e r a t e l y sink ASP *'The boat d e l i b e r a t e l y sank.' (3 6) Chuan b e i g u y i chen l e . jboat jbei d e l i b e r a t e l y sink ASP 'The b o a t was d e l i b e r a t e l y sunk.' The above examples a r e t h e Chi n e s e e q u i v a l e n t o f (32c) and (32d) r e s p e c t i v e l y . The c o n c l u s i o n drawn from t h e above d i s c u s s i o n i s t h a t p a s s i v e c o n s t r u c t i o n s e x i s t i n C h i n e s e . They d i f f e r from a c t i v e c o n s t r u c t i o n s i n the s u r f a c e r e a l i z a t i o n s o f argument NPs. Analogous t o E n g l i s h , a Chinese p a s s i v e s e n t e n c e has a f r o n t e d Theme and an o p t i o n a l l y p r e s e n t Agent. The d i f f e r e n c e between p a s s i v e s and e r g a t i v e s c o r r e l a t e s w i t h t h e f a c t t h a t t h e r e i s a morpheme jbei p r e s e n t i n p a s s i v e s . To summarize, g i v e n t h a t i d e n t i c a l t h e m a t i c r e l a t i o n s h i p s h o l d f o r an a c t i v e sentence and a Jbei-c o n s t r u c t i o n , t h e two c o n s t r u c t i o n s a r e p r e d i c t e d t o have p a r a l l e l u n d e r l y i n g s t r u c t u r e s . A j b e i - c o n s t r u c t i o n i s i n t e r p r e t e d as a p a s s i v e , w h i l e t h e i n t r a n s i t i v e a l t e r n a n t o f an e r g a t i v e p r e d i c a t e i s not a p a s s i v e . 4.2 Passives involves NP movement Once i t i s assumed t h a t an a c t i v e s e n t e n c e and i t s p a s s i v e c o u n t e r p a r t share p a r a l l e l u n d e r l y i n g s t r u c t u r e s , i t f o l l o w s t h a t p a s s i v e s a r e d e r i v e d by movement. We must now e s t a b l i s h t h a t t h i s movement i s an i n s t a n c e o f A movement; t h a t i s , t h e l a n d i n g p o s i t i o n f o r t h i s movement i s an A p o s i t i o n : [Spec ASPP] . I n p a r t i c u l a r , I w i l l argue t h a t t h e p o s i t i o n o c c u p i e d by t h e s e n t e n c e i n i t i a l NP i n a p a s s i v e i s t h e s u b j e c t p o s i t i o n and not a sentence i n i t i a l p r e - I P A' p o s i t i o n . I n o t h e r words, th e d e r i v e d NP i s g r a m m a t i c a l l y a s u b j e c t and not a t o p i c . Four d i a g n o s t i c t e s t s f o r t h i s c l a i m a r e d i s c u s s e d i n S e c t i o n s 4.2.1 t o 4.2.4. 4.2.1 Reflexive Binding As was a rgued by L i (1990) , o n l y a s u b j e c t but not a t o p i c can b i n d a anaphor. Thus we have the f o l l o w i n g c o n t r a s t : (37) a. Tom, fuqin-i_ kuayao z i j i j _ . father boast s e l f 'Tom, h i s father-L b o a s t e d about h i m s e l f i . ' b.* Tom-L, f u q i n k u a j a o z i j i - L . father boast himself I n t h e above ca s e , an anaphor z i j i ' s e l f can o n l y be bound by t h e s u b j e c t fuqin 'father' as i n (a) , not by t h e t o p i c Tom as i n ( b ) . That an anaphor cannot be bound by a t o p i c i s t r u e i n E n g l i s h , as e x e m p l i f i e d i n (38). (38) * J o h n i , Mary l i k e s h i m s e l f i . The u n g r a m m a t i c a l i t y o f (36) and (35b) i s due t o B i n d i n g C o n d i t i o n A w h i c h r e q u i r e s anaphors t o be A-bound. Now i n a jbei c o n s t r u c t i o n , t h e sentence i n i t i a l NP can be t h e a n t e c e d e n t o f a r e f l e x i v e . The i l l u s t r a t i n g examples a r e c i t e d below ( L i 1991:155). (3 9) Taj^ b e i z i j i j ^ de pengyou h a i l e . he bei s e l f poss friend hurt ASP 'He was h u r t by h i s own f r i e n d . ' Thus, we have e v i d e n c e f o r t h e c l a i m t h a t t h e s u b j e c t i n a p a s s i v e i s i n an A p o s i t i o n . I w i l l now t u r n t o a n o t h e r t e s t f o r d e t e r m i n i n g t h e s y n t a c t i c s t a t u s o f t h e l a n d i n g s i t e o f NP movement, whether i t i s an A p o s i t i o n o r an A' p o s i t i o n . 4.2.2 you 'there' Insertion As d i s c u s s e d i n Huang (1982:54) and Qu (1993:311), you 'there' i n s e r t i o n t a k e s p l a c e o n l y b e f o r e an i n d e f i n i t e s u b j e c t , as i n (40). I n c o n t r a s t , you 'there' n e v e r o c c u r s p r e c e d i n g a t o p i c , as shown i n (41). (4 0) You sange r e n x i a n g qu. there three men want go 'Three men wanted t o go.' (41)*You h a i x i a n , wo x i h u a n l o n g x i a . there seafood I l i k e lobster *'There a r e s e a f o o d I l i k e l o b s t e r . ' I f t h e i n i t i a l NP i n a jbei sentence i s t a k e n t o be a s u b j e c t , t h e i n s e r t i o n o f you 'there' i n a p a s s i v e would be e x p e c t e d . T h i s p r e d i c t i o n i s borne o u t : (42) You sange r e n b e i h a i . there three men bei hurt 'Three men were h u r t . ' 4.2.3 V P - e l l i p s i s I n C h i n e s e , an i n s t a n c e o f V P - e l l i p s i s a p p l i e s o n l y t o elements f o l l o w i n g t h e s u b j e c t as i n (43) , but not f o l l o w i n g t h e t o p i c as shown i n (44) . T h i s t e s t i s adopted from Qu (1993). (43) Wo [ j i n g c h a n g youyong], t a ye y i y a n g . I often swim he too same 'I go swimming o f t e n , and so does him.' (44) * Yingwen, [wo h u i shuo ] . Fawen, ye y i y a n g . English, I can speak French too same • ' E n g l i s h , I can speak. Fr e n c h , t o o . ' S p e c i f i c a l l y , i n (43), the c o n s t i t u e n t f o l l o w i n g t h e s u b j e c t [jingshang youyong] 'often swim' can be e l i d e d . I n ( 4 4 ) , t h e c o n s t i t u e n t f o l l o w i n g t h e t o p i c [wo hui shou] 'I can speak' cannot be the t a r g e t o f e l l i p s i s . T u r n i n g t o a p a s s i v e sentence as g i v e n i n (45), t h e c o n s t i t u e n t [bei da le] 'was hit ASP' can be s u b s t i t u t e d by [ye yiyang] 'the same too'. T h i s c o n s t i t u t e s an a d d i t i o n a l e v i d e n c e f o r i d e n t i f y i n g t h e c o n s t i t u e n t [bei da le] 'was hit ASP' as a VP, and t h e s e n t e n c e - i n i t i a l NP Tom as a subj e c t . (45) Tom [ b e i da l e ] , Henry ye y i y a n g . jbei h i t ASP too same 'Tom was h i t , and so was Henry.' 4.2.4 Negation As shown below, a n e g a t i o n marker meiyou 'not' can o c c u r i m m e d i a t e l y a f t e r a s u b j e c t , but not a t o p i c . (4 6) Wo meiyou shuo huang. I not say l i e 'I d i d n ' t t e l l l i e s . ' (47) Yingwen, wo meiyou xue. English I not learn 'I d i d n ' t l e a r n E n g l i s h . ' (48)*Yingwen, meiyou wo xue. English not I learn 'I d i d n ' t l e a r n E n g l i s h . ' N e g a t i o n has t h e same d i s t r i b u t i o n i n p a s s i v e s . T h i s i s e x p e c t e d i f t h e NP b e f o r e the n e g a t i o n marker i s t h e s u b j e c t , as shown i n (49) and (50). (4 9) Tom meiyou b e i r e n q i f u . n o t jbei man bully 'Tom wasn't b u l l i e d by o t h e r s . ' (50) Tom, q i a n b a o meiyou b e i t o u . w a l l e t n o t jbei stolen 'Tom, h i s w a l l e t i s not s t o l e n . ' (51)*Tom, meiyou qianbao b e i t o u . not wallet bei stolen *'Tom, not h i s w a l l e t i s s t o l e n . ' A l l t h e above t e s t s , t h a t i s r e f l e x i v e b i n d i n g , you ('there') i n s e r t i o n , V P - e l l i p s i s and n e g a t i o n suggest t h e s u b j e c t h o o d o f t h e s e n t e n c e - i n i t i a l NP i n p a s s i v e s . I n a c c o r d a n c e w i t h UTAH, i t e n t a i l s t h a t a t h e m a t i c o b j e c t i s a d e r i v e d s u b j e c t i n p a s s i v e s i n Mandarin. 4.3 The Morpheme Jbei i n Passives The s y n t a c t i c i d e n t i t y o f jbei has been t h e t o p i c o f much debate and has remained u n c l e a r . Among o t h e r t h i n g s , i t i s h a r d t o e s t a b l i s h i t s s y n t a c t i c i d e n t i t y . The t r a d i t i o n a l v i e w i s t h a t when t h e r e i s an NP f o l l o w i n g i t , jbei i s a p r e p o s i t i o n ; when t h e r e i s no NP f o l l o w i n g , Jbei i s a p a r t i c l e (as i n Wang (1957) ) . T h i s i s d e s c r i p t i v e l y c o r r e c t . However, t h i s b i f u r c a t i o n t r e a t m e n t e n t a i l s t h a t t h e r e a re two Jbei's. One i s a p r e p o s i t i o n and t h e o t h e r i s a p a r t i c l e . However, t h e two Jbeis have i d e n t i c a l f u n c t i o n s i n l i c e n s i n g an agent and i d e n t i c a l d i s t r i b u t i o n s i n o c c u r r i n g a f t e r t h e v e r b . Bei has been t r e a t e d as a v e r b i n Cheng (1989) and a modal i n T s a i (1993) , but jbei o b v i o u s f a i l s a l l t e s t s put f o r t h by L i (1991) f o r b e i n g e i t h e r a v e r b o r a modal. L i (1990) remains i n c o n c l u s i v e as t o whether Jbei i s a p a s s i v e morpheme comparable t o E n g l i s h -en or a p r e p o s i t i o n comparable t o E n g l i s h by. She s u g g e s t s t h a t i f i t i s a p a s s i v e morpheme, i t does not p l a y any r o l e i n t h e t a - r o l e o r case assignment. R e c a l l t h a t I have ar g u e d t h a t jbe i i s not a p r e p o s i t i o n e a r l i e r i n Ch a p t e r 3 . BJR's (1989) paper o f f e r s some i n s i g h t i n t o s o l v i n g t h e pr o b l e m o f t h e s t a t u s o f jbei i n Mandari n C h i n e s e . T h e i r c e n t r a l c l a i m i s t h a t c r o s s - l i n g u i s t i c a l l y t h e r e i s a p a s s i v e morpheme ( E n g l i s h -en, f o r example) i n a p a s s i v e c o n s t r u c t i o n and t h i s morpheme i s t h e e x t e r n a l argument, w h i c h , t h u s , has not been s u p p r e s s e d under t h i s a n a l y s i s . The morpheme jbei seems t o be a p a s s i v e morpheme f o r t h e f o l l o w i n g r e a s o n s . F i r s t , what d i s t i n g u i s h e s an a c t i v e s e n t e n c e from a p a s s i v e one i s t h e p r e s e n c e o f jbei as shown i n 4.1. Sec o n d l y , s u b j e c t - o r i e n t e d m o d i f i e r s r e q u i r e t h e s y n t a c t i c p r e s ence o f a s u b j e c t . T h i s r e q u i r e m e n t i s s a t i s f i e d by th e p r e s e n c e o f j b e i . T h i s i s shown by t h e f o l l o w i n g c o n t r a s t . (52) men d a k a i l e . door push-open ASP 'The door i s open.' (53) *men g u y i d a k a i l e . door deliberately push-open ASP *'The door d e l i b e r a t e l y pushed open.' (54) men b e i g u y i d a k a i l e . door deliberately push-open ASP 'The door was d e l i b e r a t e l y pushed open.' I n a s e n t e n c e i n v o l v i n g an e r g a t i v e v e r b as (53) , t h e u n g r a m m a t i c a l i t y r e s u l t s from the absence o f an a g e n t i v e NP f o r a s u b j e c t - o r i e n t e d adverb t o mod i f y . On t h e o t h e r hand, t h e g r a m m a t i c a l i t y o f (54) e n t a i l s t h a t t h e p r e s e n c e o f jbei makes an a g e n t i v e NP a v a i l a b l e t o s a t i s f y t h i s r e q u i r e m e n t . T h e r e f o r e , t h e a g e n t i v e NP must be s y n t a c t i c a l l y p r e s e n t . G i v e n t h a t bei o c c u r s nowhere e l s e o t h e r t h a n i n p a s s i v e s , i . e . , i t s o n l y f u n c t i o n i s t o mark p a s s i v i z a t i o n , i t i s n a t u r a l t o assume t h a t Jbei i s t h e p a s s i v e morpheme. Co n s e q u e n t l y , we w i l l f o l l o w BJR's p r o p o s a l and c l a i m t h a t jbei must be a n a l y z e d as an argument. However, a problem remains: jbei i s i n no sense an NP. Moreover, under BJR's a n a l y s i s , t h e o v e r t jby-p h r a s e i n E n g l i s h i s an a d j u n c t : i t i s o p t i o n a l and i s r e a l i z e d as a p r e p o s i t i o n a l p h r a s e , a j by-phrase ( i . e . i t i s Case marked and t h e t a marked by a p r e p o s i t i o n ) . I n c o n t r a s t , i n Mandarin Ch i n e s e , t he agent NP i s not r e a l i z e d as an a d j u n c t . T h i s i s e v i d e n c e d by t h e f o l l o w i n g examples, f i r s t o b s e r v e d by Xu and Langendoen (1985) . (55) Ta b e i Mingming z a i j i a l i p i a n l e . he bei at home cheat ASP 'He was c h e a t e d by Mingming a t home.' (56) *Ta b e i z a i j i a l i p i a n l e . he bei at home cheat ASP 'He was c h e a t e d a t home.' I f Jbei i n (56) i s a f u l l maximal p r o j e c t i o n ( i . e . NP) , th e u n g r a m m a t i c a l i t y o f (56) i s unexpected. I t i s c l e a r from t h e above c o n t r a s t t h a t t h e r e i s an a d j a c e n c y r e q u i r e m e n t between Jbei and t h e v e r b . I w i l l assume t h a t t h e r e i s always an NP f o l l o w i n g j b e i . When t h i s NP i s not o v e r t , i t i s an empty c a t e g o r y l i c e n s e d by t h e morpheme Jbei. G i v e n t h a t t h i s empty c a t e g o r y i s base g e n e r a t e d and t h a t i t can a l t e r n a t e w i t h an o v e r t NP, i t i s n a t u r a l t o assume t h a t t h i s empty c a t e g o r y i s i d e n t i f i e d as a p r o . S y n t a c t i c e v i d e n c e f o r the pr e s e n c e o f t h i s empty c a t e g o r y i s t h a t i t can b i n d an anaphor as shown i n (57) F a n g z i b e i p r o i f e n g e i t a z i j i ^ l e . house bei a l l o t to himself ASP *'The house was a l l o t t e d t o h i m s e l f by p r o . ' I n t h e above c a s e , NP t a z i j i 'himself i s an anaphor, w h i c h r e q u i r e s a b i n d e r i n an A p o s i t i o n a c c o r d i n g t o B i n d i n g Theory. T h i s r e q u i r e m e n t i s not s a t i s f i e d by any l e x i c a l c a t e g o r y h e r e . The w e l l f o r m e d n e s s of such a s e n t e n c e i n C h i n e s e e n t a i l s t h a t t h e r e i s an empty c a t e g o r y p r e s e n t t o a c t as a b i n d e r . As no NP o r wh-t r a c e i s i n v o l v e d and PRO has t o be ungoverned, t h i s empty c a t e g o r y i s a p r o . However, the above does not h o l d f o r E n g l i s h , as shown from the f o l l o w i n g example: (58) *The house was g i v e n t o himself-[ by Paul-^. I n c o n t r a s t w i t h i t s C hinese e q u i v a l e n t , t h e u n g r a m m a t i c a l i t y o f (58) r e s u l t s from a v i o l a t i o n o f B i n d i n g c o n d i t i o n A as t h e anaphor himself i s not bound by an NP i n A p o s i t i o n . As t h e c o r r e s p o n d i n g E n g l i s h s e n t e n c e i s u n g r a m m a t i c a l , BJR's s t r u c t u r e f o r p a s s i v e s i n E n g l i s h cannot be d i r e c t l y t r a n s f e r r e d t o C h i n e s e . I n what f o l l o w s , I w i l l f o l l o w BJR i n assuming t h a t agent i s always s y n t a c t i c a l l y p r e s e n t i n p a s s i v e s . However, I d i f f e r from BJR i n p r o p o s i n g t h a t i n C h i n e s e , when t h e agent i s o v e r t , i t i s s t i l l i n argument p o s i t i o n and i s not an a d j u n c t . G i v e n t h a t t h e r e i s an argument f o l l o w i n g Jbe i , t h e n jbei i t s e l f i s not an independent NP argument. F u r t h e r , t h i s b e i NP i s n e v e r r e a l i z e d as an agent. Now we can accou n t f o r the u n g r a m m a t i c a l i t y o f (56). The e x p l a n a t i o n i s t h a t jbei i s a morpheme d e n o t i n g p a s s i v i z a t i o n . I t l i c e n s e s an agent NP, wh i c h can be o v e r t o r p r o . Due t o jbe i's a f f i u a l n a t u r e , i t has t o a t t a c h t o something l e x i c a l . When t h e f o l l o w i n g NP i s o v e r t , as i n the case o f (55) , bei a t t a c h e s o r a d j o i n s t o t h e l e x i c a l NP. I n t h e case o f (56), where t h e agent i s not l e x i c a l , Jbei a d j o i n s t o t h e v e r b 'cheat'. C o n s e q u e n t l y , no o t h e r c o n s t i t u e n t s can be i n s e r t e d between jbei and the v e r b . Note t h a t t h e PP a d j u n c t z a i j i a l i 'at home' i s w i d e l y assumed t o be base g e n e r a t e d s e n t e n c e - i n i t i a l l y o r i m m e d i a t e l y f o l l o w i n g t h e s u b j e c t p o s i t i o n . I t can s u r f a c e i n a p o s i t i o n as i n (55) as a r e s u l t o f s c r a m b l i n g . 4.4 Generating Passives The above d i s c u s s i o n o f jbei amounts t o c l a i m i n g t h a t t h e r e i s a p a s s i v e morpheme i n a Chinese p a s s i v e , but s i m i l a r t o L i ' s (1991) s u g g e s t i o n , i t i s not an argument. The a c t u a l argument i s l i c e n s e d by t h e p a s s i v e morpheme. C o n s e q u e n t l y , the NP f o l l o w i n g jbei i s t h e p a s s i v e argument i n t h e sense o f BJR. I t t h e n f o l l o w s t h a t b e i n g an argument i n a p a s s i v e , i t r e q u i r e s an e x t e r n a l t h e t a - r o l e and a s t r u c t u r a l Case a s s i g n e d by t h e v e r b . F o l l o w i n g BJR, I assume t h a t t h i s Case has t o be t h e A c c u s a t i v e Case g i v e n t h e r e i s no ' i m p e r s o n a l p a s s i v e ' i n C h i n e s e as shown i n (17) . F o r a p a s s i v e s e n t e n c e s u c h as (59), t h e u n d e r l y i n g r e p r e s e n t a t i o n i s as g i v e n i n ( 6 0 ) . (59) X i a o h o n g b e i Mingming da l e . jbei hit ASP 'Xiaohong was h i t by Mingming. (60) ASPP / \ ASP' / \ l e VP / \ b e i VP / \ Mingming V' / \ V NP I I h i t Xiaohong As mentioned i n C h a p t e r 2, t h e a n a l y s i s o f p h r a s e s t r u c t u r e assumed above f o l l o w s Cheng (1991) . I n p a r t i c u l a r . A s p e c t heads a maximal p r o j e c t i o n , w h i c h i s a p r o j e c t i o n o f ASP, not INFL o r t e n s e . The A s p e c t u a l s i n c e i t i s an a f f i x . The p a s s i v e morpheme jbei i s assumed t o be g e n e r a t e d i n a d j o i n e d VP p o s i t i o n as C h i n e s e p a s s i v e s a r e m o n o - c l a u s a l ( L i 1990). I n t h e above c o n f i g u r a t i o n and i n p a s s i v e s c r o s s -l i n g u i s t i c a l l y , under B JR ' s a n a l y s i s , t h e v e r b 'hit' a s s i g n s an e x t e r n a l t h e t a - r o l e t o the s t r u c t u r a l l y h i g h e s t V P - i n t e r n a l argument. I n t h i s r e s p e c t , a p a s s i v e s e n t e n c e does n o t d i f f e r from an a c t i v e s e n t e n c e . However, p a s s i v e and a c t i v e d i f f e r s i n one c r u c i a l r e s p e c t : Case assignment. Whereas i n an a c t i v e s e n t e n c e . A c c u s a t i v e Case i s a s s i g n e d t o the NP f o l l o w i n g t h e v e r b , i n a p a s s i v e . A c c u s a t i v e Case i s a s s i g n e d t o t h e NP f o l l o w i n g Jbe i . As a r e s u l t , t h e l o g i c a l o b j e c t NP Xiaohong, r e c e i v i n g an i n t e r n a l t h e t a - r o l e ( i . e . theme) from t h e v e r b , remains C a s e l e s s . To a v o i d a Case F i l t e r v i o l a t i o n , i t has t o move t o a Case p o s i t i o n . The o n l y s u c h p o s i t i o n a v a i l a b l e i s [Spec ASPP], w h i c h r e c e i v e s N o m i n a t i v e Case from ASP. C o n s e q u e n t l y , NP Xiaohong ends up as a d e r i v e d s u b j e c t , and ASP l e l o w e r s t o t h e v e r b because i t i s a bound morpheme. Thus a l l t h e p r o p e r t i e s o f p a s s i v e s f o l l o w i f the NP i m m e d i a t e l y f o l l o w i n g jbei i s a n a l y z e d as an argument, and i f we adopt BJR's p r o p o s a l about Case assignment i n p a s s i v e s . F i n a l l y , l e t us r e t u r n t o t h e e x a c t n a t u r e o f j b e i . L i (1990) p u r s u e d the i d e a o f a n a l y z i n g p a s s i v e morphemes F i n a l l y , l e t us r e t u r n t o t h e e x a c t n a t u r e o f j b e i . L i (1990) p u r s u e d the i d e a o f a n a l y z i n g p a s s i v e morphemes as v e r b s . T h i s p r o p o s a l i s m o t i v a t e d on two grounds. One i s t o save some problems of BJR's a n a l y s i s o f p a s s i v e morphemes as arguments. The o t h e r i s t o p r o v i d e a u n i f i e d a c c o u n t o f c a u s a t i v e morphemes and t h e p a s s i v e morphemes, g i v e n t h a t t h e y can be i d e n t i c a l i n some la n g u a g e s , and t h a t c a u s a t i v e morphemes a r e v e r b a l . S t i l l , a p a s s i v e morpheme d i f f e r s from o t h e r v e r b s i n t h a t i t l a c k s t h e a b i l i t y t o a s s i g n Case. H o s h i (1993) i n d e p e n d e n t l y shows t h a t the i d e a t h a t a p a s s i v e morpheme c r o s s - l i n g u i s t i c a l l y i s an argument cannot h o l d f o r Japanese, where i t i s i d e n t i f i e d as a v e r b . I n t h e a n a l y s i s p u r s u e d h e r e , Jbei i s i d e n t i f i e d as a v e r b a l a f f i x , w h i c h l i c e n s e s an argument i n p a s s i v e s . PASSIVIZABILITY IN MANDARIN CHINESE H a v i n g e s t a b l i s h e d t h e e x i s t e n c e o f p a s s i v e s i n C h i n e s e , l e t us c o n s i d e r t h e i r d i s t r i b u t i o n : t h a t i s , w h i c h v e r b s can be p e r m i t t e d t o p a s s i v i z e . I n E n g l i s h , a l l v e r b s t h a t a s s i g n o b j e c t i v e Case can be p a s s i v i z e d (see Chomsky and L a s n i k 1992, P e s e t s k y (1991). I n C h i n e s e , p a s s i v e s have a more l i m i t e d d i s t r i b u t i o n . The g o a l o f t h i s c h a p t e r i s p r e c i s e l y t o propose an e x p l a n a t i o n f o r th e more r e s t r i c t e d d i s t r i b u t i o n o f p a s s i v e s i n Mandari n C h i n e s e . 5.1 Basic Facts V e r b s b r e a k down i n t o t h r e e c l a s s e s w i t h r e s p e c t t o t h e i r e l i g i b i l i t y f o r p a s s i v i z a t i o n . L e t us examine them i n t u r n . 5.1.1 bei obligatory I n t h e f i r s t c l a s s , t h e pr e s e n c e of bei i s o b l i g a t o r y as e x e m p l i f i e d below. (61) Mingming b e i (Xiaohong) p i p i n g l e . jbei c r i t i c i z e ASP 'Mingming was c r i t i c i z e d (by X i a o h o n g ) . ' T h i s c l a s s o f p r e d i c a t e s i n c l u d e s v e r b s such as piping ' c r i t i c i z e ' , gipian 'cheat', c a i y i 'suspect', kuanshu 'forgive', zhiding 'appoint', and zhua 'arrest', among o t h e r s . • The v e r b s i n t h i s c l a s s p a t t e r n e x a c t l y w i t h p a s s i v e s i n E n g l i s h i n t h a t o n l y t r a n s i t i v e v e r b s e x e m p l i f i e d by ' c r i t i c i z e ' can p a s s i v i z e . I n t r a n s i t i v e v e r b s such as 'dance', w i t h o n l y one argument c o r r e s p o n d i n g t o t h e e x t e r n a l argument, cannot p a s s i v i z e . (62) *Mingming b e i (Xiaohong) t i a o w u l e . jbei dance ASP * ' I t was danced (by X i a o h o n g ) . 5.1.2 bei impossible I n t h e second c l a s s , t h e p r e s e n c e o f jbei i s i m p o s s i b l e . T h i s t y p e o f c o n s t r u c t i o n i s p e c u l i a r t o C h i n e s e , as i t s e q u i v a l e n t i n E n g l i s h i s u n g r a m m a t i c a l . (63) a. J i a o z i c h i duo l e . dumpling eat much ASP *'Dumpling was e a t e n t o o much.' b. * J i a o z i b e i c h i duo l e . dumpling bei eat much ASP *'Dumpling was e a t e n t o o much.' c. J i a o z i b e i c h i l e . dumpling bei eat ASP 'Dumpling was e a t e n . ' (64) a. Mingming de q i a n hua guang l e . Pass.money spend a l l ASP *'Mingming's money was a l l s p e n t . ' b. *Mingming de q i a n b e i hua huang l e . Poss.money bei spend a l l ASP 'Mingming's money was a l l s p e n t . ' c. Mingming de q i a n b e i hua l e . po s s . money b e i spent ASP 'Mingming's money was spent . ' (65) a. Zhang da wan l e . b a t t l e fightover ASP 'The b a t t l e i s f i n i s h e d . ' b.*Zhang b e i da wan l e . b a t t l e bei f i g h t over ASP 'The b a t t l e i s f i n i s h e d . ' c. Zhang b e i da l e . b a t t l e bei f i g h t ASP 'The b a t t l e i s f i n i s h e d . " I n t h e above paradigms, t h e v e r b s i n (a) do not a l l o w a l t e r n a n t s w i t h Jbei as shown i n (b) . I t comes as a s u r p r i s e t h a t s e n t e n c e s i n (63) t o (65) a r e n o t c o m p a t i b l e w i t h bei, and i n f a c t t h e s e p r e d i c a t e s a r e not always i n c o m p a t i b l e w i t h j b e i . I n t h e s e n t e n c e s below, we see t h a t p r e d i c a t e s such as 'eat' and 'spend' c a n a l s o be t r a n s i t i v e . (66) Ta c h i l e j i a o z i . he eat ASP dumpling 'He had some dumpling.' (67) Ta hua q i a n l e . he spendmoney ASP 'He has spent t h e money.' The above p r e d i c a t e s a r e t r a n s i t i v e . I n t h e s e s e n t e n c e s , a g e n t s i m p l i e s c a u s e r . Other p r e d i c a t e s o f t h i s t y p e a r e l i s t e d as f o l l o w s : weichi 'keep', zhuang 'fix', and zhong 'plant'. Thus, the i l l - f o r m e d n e s s o f t h e (b) s e n t e n c e s does not r e s u l t from a p r o p e r t y o f t h e v e r b . I n s t e a d , t h e i l l - f o r m e d n e s s i s due t o t h e AP f o l l o w i n g t h e p r e d i c a t e , as we w i l l argue l a t e r i n t h i s s e c t i o n . 5.1.3 Jbei optional F o r t h e t h i r d c l a s s , jbei's o c c u r r e n c e i s o p t i o n a l . B e s i d e s z a 'break', v e r b s o f t h i s t y p e i n c l u d e s i ' t e a r ' , zhan 'occupy', tongguo 'pass' and caina 'adopt'. (68) a. Wan za l e . jbowl jbreaJt ASP 'The bowl i s broken.' b. Wan b e i za Jbowl jbei jbreaJc 'The bowl i s broken.' As argued i n C h a p t e r 4, t h i s c l a s s o f v e r b s a l l o w b o t h p a s s i v e s and i n c h o a t i v e s . (68a) i s t h e i n t r a n s i t i v e ( i . e . e r g a t i v e ) v e r s i o n o f t h e c a u s a t i v e t r a n s i t i v e s e n t e n c e c o r r e s p o n d i n g t o (34b) whereas (68b) i s t h e p a s s i v e o f t h e t r a n s i t i v e ( a g e n t i v e ) s e n t e n c e c o r r e s p o n d i n g t o (34d). B e f o r e a c c o u n t i n g f o r t h e d i s t r i b u t i o n o f p a s s i v i z a t i o n i n C h i n e s e , l e t us f i r s t examine some t r a n s i t i v i t y a l t e r n a t i o n s i n E n g l i s h . As t h i s d i s c u s s i o n i s based on t h e framework o f argument s t r u c t u r e d e v e l o p e d by H a l e l e . ASP and K e y s e r (1993), an i n t r o d u c t i o n o f t h i s framework i s i n o r d e r . 5.2 Argxunent structure The model o f argument s t r u c t u r e p r o posed by H a l e and K e y s e r (1993) assumes a s t r u c t u r e d l e v e l o f argument s t r u c t u r e i n t h e l e x i c o n . T h i s l e v e l i s known as l e x i c a l s y n t a x (1-syntax) as argument s t r u c t u r e ' i s t o be i d e n t i f i e d w i t h t h e s y n t a c t i c s t r u c t u r e s p r o j e c t e d by l e x i c a l heads' (Hale and K e y s e r 1993:55). T h i s p r o j e c t i o n o f s y n t a c t i c s t r u c t u r e and s e m a n t i c a l l y - b a s e d l e x i c a l c a t e g o r i e s i n c l u d i n g V, N, A and P a r e r e c o g n i z e d as l i n g u i s t i c p r i m i t i v e s . Under t h i s c o n c e p t i o n , t h e m a t i c r o l e s a r e e n t i r e l y d e r i v e d from t h e r e l a t i o n s d e t e r m i n e d by t h e c a t e g o r i e s and t h e i r p r o j e c t i o n s . The 1 - s y n t a c t i c r e p r e s e n t a t i o n ( i . e . t h e argument s t r u c t u r e r e p r e s e n t a t i o n o f a g i v e n verb) i s a s t r u c t u r e r e p r e s e n t i n g a f u l l p r o j e c t i o n o f t h e c a t e g o r y V. As o n l y e lements i n t e r n a l t o t h e l e x i c a l head can be p r e s e n t , f u n c t i o n a l c a t e g o r i e s and e x t e r n a l arguments cannot appear a t t h i s l e v e l . The d i s t i n c t i o n between e x t e r n a l s u b j e c t s and i n t e r n a l s u b j e c t s i s drawn from t h e c l a i m t h a t e x t e r n a l s u b j e c t s a r e not i n t e r n a l t o t h e l e x i c a l r e p r e s e n t a t i o n o f t h e head V. The s u b j e c t s o f s i m p l e t r a n s i t i v e s and u n e r g a t i v e s a r e e x t e r n a l s u b j e c t s , r e l a t e d t o t h e i r v e r b s a t S - s t r u c t u r e t h r o u g h p r e d i c a t i o n . I n c o n t r a s t , i n t e r n a l s u b j e c t s a r e f o r c e d t o appear i n the [Spec VP] p o s i t i o n i n 1-syntax. To i l l u s t r a t e , an 1 - s y n t a c t i c r e p r e s e n t a t i o n f o r t h e E n g l i s h v e r b put as i n She put the books on the shelf i s g i v e n below (Hale and Keyser (1992:70). (69) V / \ V VP / \ NP V book / \ V PP put / \ P NP on s h e l f I n t h i s r e p r e s e n t a t i o n , the agent NP she has no s t a t u s . There a r e no f u n c t i o n a l p r o j e c t i o n s i n 1-syntax r e p r e s e n t a t i o n , hence, no f u n c t i o n a l head t o l i c e n s e an e x t e r n a l argument. 5.3 Studies on T r a n s i t i v i t y Alternations i n English F o l l o w i n g H a l e and K e y s e r (1992) , an e r g a t i v e v e r b has two a l t e r n a n t s : t h e t r a n s i t i v e one w h i c h i s c a l l e d t h e c a u s a t i v e a l t e r n a n t , and t h e i n t r a n s i t i v e one, w h i c h i s c a l l e d t h e i n c h o a t i v e a l t e r n a n t . I n a c a u s a t i v e s e n t e n c e , t h e r e i s not n e c e s s a r i l y a v o l i t i o n a l agent. T h i s i s i l l u s t r a t e d i n (70). G i v e n t h i s a s s u m p t i o n , t h e s e n t e n c e s i n (63a) and (64a) a r e t h e i n c h o a t i v e a l t e r n a n t s w h i l e t h e s e n t e n c e s i n (66) and (67) a r e t h e c a u s a t i v e a l t e r n a n t s o f t h e same p r e d i c a t e s chi 'eat' and hua 'spend' r e s p e c t i v e l y . Under H a l e and K e y s e r ' s p r o p o s a l , the d i f f e r e n c e between s e n t e n c e s i n v o l v i n g an i n c h o a t i v e and a c a u s a t i v e i s c a p t u r e d by a s s i g n i n g them d i f f e r e n t s y n t a c t i c s t r u c t u r e s i n 1-syntax. S p e c i f i c a l l y , a s e n t e n c e w i t h an i n c h o a t i v e p r e d i c a t e as (63a) ' i n v o l v e s a s i m p l e and s i n g l e e v e n t ' (Hale and K e y s e r 1993:86). I n c o n t r a s t , a c a u s a t i v e s e n t e n c e as (66) ' d e p i c t s a more complex s i t u a t i o n c o n s i s t i n g o f two s u b e v e n t s : a cause and an e f f e c t ' . T h i s s e m a n t i c c o m p l e x i t y i s c a p t u r e d s y n t a c t i c a l l y by an e x t r a VP p r o j e c t i o n . To i l l u s t r a t e , t h e D - s t r u c t u r e s f o r t h e two a l t e r n a n t s o f an e r g a t i v e v e r b i n E n g l i s h i s g i v e n below (Hale and K e y s e r 1993 : 88) . (70) Mud g o t on t h e w a l l . IP / \ I ' NP / \ I VP / \ NP V mud / \ V PP g e t on the w a l l (71) The p i g s got mud on the w a l l . IP / \ NP I ' the p i g s / \ I VP / \ V VP / \ / \ V i V NP V get mud / \ t i PP on t h e w a l l I n t h e i n c h o a t i v e case as (70) , t h e r a i s i n g o f t h e l e x i c a l s u b j e c t from [Spec VP] t o [Spec IP] i s t o s a t i s f y t h e Case and agreement r e q u i r e m e n t o f t h e p r e d i c a t e . I n t h e case o f c a u s a t i v e , t h e e x t e r n a l argument the pigs i s g e n e r a t e d i n [Spec I P ] . As a r e s u l t o f t h e e x t r a VP p r o j e c t i o n , v e r b i n c o r p o r a t i o n t a k e s p l a c e . A c c o r d i n g l y , the r a i s i n g o f t h e i n n e r s u b j e c t mud i n t h e Spec o f h i g h e r VP p r o j e c t i o n t o Spec IP i s b l o c k e d as i t can r e c e i v e Case from the i n c o r p o r a t e d v e r b get. 5.4 Towards an Explanation I w i l l assume t h e same d i f f e r e n c e h o l d s between e r g a t i v e and c a u s a t i v e i n C h i n e s e . Thus, the u n g r a m m a t i c a l i t y o f i n c h o a t i v e s o c c u r r i n g w i t h jbei r e s u l t s from t h e i r D-s t r u c t u r e r e p r e s e n t a t i o n . An i n c h o a t i v e s e n t e n c e such as {63a) has t h e u n d e r l y i n g s t r u c t u r e shown i n (72). (72) ASPP / \ NP ASP' / \ ASP VP I / \ l e NP V I / \ j i a o z i V AP 'dumpling' \ c h i A 'eat ' duo 'much' By a s s u m p t i o n . A s p e c t l e l o w e r s t o v e r b f i n a l p o s i t i o n and t h u s s u r f a c e s as (60a) . I n t h i s c a s e , t h e NP i n [Spec VP] p o s i t i o n undergoes NP movement. I n c o n t r a s t , t h e u n d e r l y i n g s t r u c t u r e f o r the c a u s a t i v e a l t e r n a n t o f an e r g a t i v e v e r b as (66) i s r e p r e s e n t e d as f o l l o w s . (73) ASPP / \ NP ASP 1 / \ t a ASP VP 'he' / \ l e V VP / \ / \ V i V NP V I I I c h i j i a o z i t i 'eat' 'dumpling' I n t h e above ca s e , t h e NP 'he' a p p e a r i n g i n Spec ASPP p o s i t i o n i s t h e e x t e r n a l argument o f t h e whole v e r b p h r a s e . The NP 'dumpling' i n Spec VP p o s i t i o n , r e c e i v i n g Case from t h e i n c o r p o r a t e d v e r b 'eat' i s the i n t e r n a l argument o f t h e t r a n s i t i v e p r e d i c a t e . The d i f f e r e n c e between (72) and (73) i s t h a t the former i s d e r i v e d from a v e r b w h i c h d e p i c t s a s i n g l e e v ent. I n t h e l a t t e r c a s e , t h e VP c o n s i s t s o f two s h e l l s because i t d e p i c t s two s u b - e v e n t s : a cause and a r e s u l t i n g s t a t e . C o n s e q u e n t l y , s u c h a p r e d i c a t e i s e l i g i b l e f o r p a s s i v i z a t i o n t o t a k e p l a c e , g i v i n g r i s e t o s u r f a c e forms as i n (74). (74) J i a o z i b e i t a c h i l e . dumpling bei he eat ASP 'Dumpling was e a t e n by him.' By t h e same l i n e o f a r g u m e n t a t i o n , t h e s e e m i n g l y o p t i o n a l p r e s e n c e o f bei i n t h e t h i r d t y p e o f p r e d i c a t e s d i s c u s s e d i n 5.1.3. a c t u a l l y r e s u l t s from d i s t i n c t u n d e r l y i n g r e p r e s e n t a t i o n s . The D - s t r u c t u r e o f (68a) and (68b) t a k e s t h e f o l l o w i n g forms. (75) ASPP / \ ASP' NP / \ ASP VP / \ l e NP V wan 'bowl ' V za •break' S u b s e q u e n t l y , t h e i n c h o a t i v e 'break' i n (a) s u r f a c e s i n a s e n t e n c e w i t h o u t t h e presence o f j b e i . I n c o n t r a s t , t h e (b) s e n t e n c e , w i t h an NP i n [Spec VP] p o s i t i o n , i s th u s e l i g i b l e f o r p a s s i v i z a t i o n because t h e i n t e r n a l argument can g e t Case VP i n t e r n a l l y v i a Spec head agreement. T h i s i s how (68b) i s d e r i v e d . C r u c i a l l y , I propose t h a t what d i f f e r e n t i a t e s t y p e I I ( i . e . jbei i m p o s s i b l e ) and type I I I ( i . e . Jbei o p t i o n a l ) v e r b s l i e s i n t h a t t ype I I p r e d i c a t e o b l i g a t o r i l y s e l e c t s an ' i n t e r n a l manner component' as pro p o s e d by Ha l e and K e y s e r (1992). Take (64a) f o r example: the AP duo 'much' t o g e t h e r w i t h t h e p r e d i c a t e , does not s i m p l y d e s c r i b e t h e event o f e a t i n g , but a l s o t h e manner i n wh i c h t h e event t a k e s p l a c e . F u r t h e r , t h e manner component m o d i f i e r o f an e r g a t i v e p r e d i c a t e i s i n t e r n a l t o t h e argument s t r u c t u r e o f the p r e d i c a t e as i s shown i n (72) . T h i s i n t e r n a l n e s s i s r e p r e s e n t e d i n a p o s t v e r b a l p o s i t i o n . However, t h i s manner Adverb Phrase i s n o t a l l o w e d i n a sentence c o n t a i n i n g a c a u s a t i v e e a t e v i d e n c e d by t h e f o l l o w i n g example. (76)*Ta c h i duo l e j i a o z i . he eat much ASP dumpling 'He a t e t o o much dumpling.' F u r t h e r , n o t e the c o n t r a s t shown between the above and t h e f o l l o w i n g example. To e x p l a i n t h i s c o n t r a s t o f t h e i n c o m p a t i b i l i t y of manner adverb and theme, I pro p o s e t h a t t h e manner component i n t r a n s i t i v i z e s t he p r e d i c a t e . Thus, a complex i n t r a n s i t i v e p r e d i c a t e i s formed by a t r a n s i t i v e v e r b and a manner AP, f o r example, duo 'much', wan 'over', and hao 'set'. (77) Ta c h i duo l e . he eat much ASP 'He a t e t o o much.' The i l l - f o r m e d s e n t e n c e i n (76) i s thus n o t an e l i g i b l e i n p u t t o p a s s i v i z a t i o n . So (76) i s an i m p o s s i b l e D-s t r u c t u r e f o r (77). A c c o r d i n g l y , a s e n t e n c e o f t h e f o l l o w i n g form w i l l n o t be d e r i v e d . (78) * J i a o z i b e i (ta) c h i duo l e . dumpling bei (he) eat much ASP *'Dumpling was e a t e n too much (by h i m ) . The above c a s e i s an i n s t a n c e o f i m p e r s o n a l p a s s i v e s as i t i s d e r i v e d from p a s s i v i z a t i o n o f an i n t r a n s i t i v e p r e d i c a t e chi duo 'eat much'. Hence we a r e i n a p o s i t i o n t o propose t h a t t h e p r e s e n c e o f a VP i n t e r n a l manner component b l o c k s p a s s i v i z a t i o n o f an e r g a t i v e v e r b . 5.5 Typology of T r a n s i t i v i t y Alternations i n Chinese Not c o i n c i d e n t a l l y , the t h r e e t y p e s o f p r e d i c a t e s o u t l i n e d above c o r r e s p o n d l a r g e l y t o t h e f o u r c l a s s o f v e r b s i d e n t i f i e d i n Cheng (1988a). Under Cheng's t y p o l o g y , t h e r e a r e f o u r c l a s s e s o f v e r b s w i t h r e s p e c t t o t r a n s i t i v i t y a l t e r n a t i o n s . The f i r s t c l a s s does not a l t e r n a t e w i t h r e s p e c t t o t r a n s i t i v i t y . F o r example, xihuan 'like', t i a o 'jump' and dao ' f a l l ' . The second c l a s s i n c l u d e s v e r b s t h a t can f r e e l y a l t e r n a t e between a t r a n s i t i v e and an i n t r a n s i t i v e use. V e r b s o f t h i s c l a s s i n c l u d e chen 'sink', chi 'eat' and mai 'buy'. The t h i r d c l a s s c o n s i s t s o f v e r b s w h i c h show t r a n s i t i v i t y a l t e r n a t i o n s o n l y when i m m e d i a t e l y f o l l o w e d by r e s u l t a t i v e o r d i r e c t i o n a l v e r b s . The f o u r t h c l a s s shows t r a n s i t i v i t y a l t e r n a t i o n s o n l y when t r i g g e r e d by modals rongyi 'easy' o r nan 'hard'. Sentences c o n t a i n i n g t h i s t y p e o f p r e d i c a t e have been a n a l y z e d by Cheng as m i d d l e c o n s t r u c t i o n s . There i s some o v e r l a p between my c l a s s i f i c a t i o n and Cheng's t y p o l o g y . L e a v i n g th e d e t a i l s a s i d e , i t i s c l e a r t h a t my a n a l y s i s d i f f e r s r a d i c a l l y from t h a t o f Cheng (1988a) . Based on work o f Hale and K e y s e r (1992) , t h e d i f f e r e n c e between the i n c h o a t i v e a l t e r n a n t and t h e c a u s a t i v e a l t e r n a n t o f the same p r e d i c a t e r e s u l t s from t h e i r d i s t i n c t u n d e r l y i n g s t r u c t u r e s . Hence f o r t h e i n t r a n s i t i v e use, t h e theme o r i g i n a t i n g from th e [Spec VP] p o s i t i o n i s not r e p r e s e n t e d as the u n d e r l y i n g o b j e c t o f t h e p r e d i c a t e . C o n s e q u e n t l y , the apparent r e v e r s a l o f t h e p o s t v e r b a l NP t o p r e v e r b a l p o s i t i o n does not t a k e p l a c e under my a n a l y s i s . On the o t h e r hand, t h e d i f f e r e n c e i n t h e b e h a v i o r o f t h e two t y p e s o f v e r b s i s encoded i n t h e u n d e r l y i n g s t r u c t u r a l p o s i t i o n o f t h e argument NP and t h e e x t r a VP s h e l l . C o n s e q u e n t l y , t h e t r a n s i t i v i t y a l t e r n a t i o n i s o n l y a p p a r e n t . As a r e s u l t , t h e t y p o l o g y o f t r a n s i t i v i t y a l t e r n a t i o n s p r o p o s e d by Cheng i s p r o b l e m a t i c and need t o be improved. T h i s i s d e s i r a b l e s i n c e t h a t t y p o l o g y i s s i m p l y a d e s c r i p t i v e l i s t i n g ; on the o t h e r hand, the e f f e c t o f t r a n s i t i v i t y a l t e r n a t i o n s i s c a p t u r e d d i r e c t l y i n my t y p o l o g y . An argument i n f a v o r o f my a n a l y s i s o v e r a l e x i c a l a p p r o a c h s u c h as t h a t of by Cheng i s t h a t t h e A f f e c t e d n e s s C o n s t r a i n t can be c a p t u r e d i n s y n t a c t i c s t r u c t u r a l terms. The A f f e c t e d n e s s C o n s t r a i n t p r o p o s e d i n J a e g g l i (1986) e x p r e s s e s t h e f o l l o w i n g g e n e r a l i z a t i o n . (79) The A f f e c t e d n e s s C o n s t r a i n t ( J a e g g l i 1986:607) I f a complement o f X i s u n a f f e c t e d , i t i s i m p o s s i b l e t o e l i m i n a t e t h e e x t e r n a l t h e t a - r o l e o f X. S y n t a c t i c a l l y , t h i s g e n e r a l i z a t i o n amounts t o c l a i m i n g t h a t t h e e x t e r n a l t h e t a - r o l e o f p r e d i c a t e X can be e l i m i n a t e d o n l y i f t h e complement o f X i s a f f e c t e d . I assume t h a t ' e l i m i n a t e ' means t h a t the element need not be o v e r t l y r e a l i z e d . One advantage o f my p r o p o s a l i s t h a t t h e a f f e c t e d n e s s c o n s t r a i n t can be s t a t e d i n d i r e c t l y s t r u c t u r a l terms, s i n c e an a f f e c t e d argument i s always r e p r e s e n t e d i n Spec VP. 5.6 Previous Analyses on P a s s i v i z a b i l i t y The t r a d i t i o n a l v i e w r e g a r d i n g where p a s s i v i z a t i o n o c c u r s i s t o u t i l i z e t h e n o t i o n o f ' a d v e r s i t y ' (Wang (1957), Cheng (1989) and L i (1991)). I n o t h e r words, p a s s i v e s a r e a s s o c i a t e d w i t h an a d v e r s a t i v e r e a d i n g . T h i s g e n e r a l i z a t i o n i s t r u e h i s t o r i c a l l y , as bei was a v e r b w i t h a meaning o f ' s u f f e r ' . But t h i s s e m a n t i c a l l y -b a sed g e n e r a l i z a t i o n does not h o l d s y n c h r o n i c a l l y any more. My v i e w i s s u p p o r t e d by t h e f o l l o w i n g examples. (80) Ta de c a i g a n b e i s h a n g j i kanzhong. he poss. a b i l i t y bei boss appreciate 'His a b i l i t y i s a p p r e c i a t e d by h i s b o s s . ' (81) Zhebu z u o p i n b e i y i cheng Yingwen. t h i s work bei t r a n s l a t e into English 'This work i s t r a n s l a t e d i n t o E n g l i s h . I t i s c l e a r t h a t t h e r e a r e no n e g a t i v e c o n n o t a t i o n s w i t h one's a b i l i t y b e i n g r e c o g n i z e d by o t h e r s o r one's work b e i n g t r a n s l a t e d i n t o a n o t h e r language. Cases l i k e t h i s a r e numerous. CHAPTER 6 PASSIVES IN COMPLEX STRUCTURES I n t h i s c h a p t e r , two t y p e s o f complex s t r u c t u r e s a r e examined. The f i r s t t y p e i s r e f e r r e d i n t h e l i t e r a t u r e as ' r e t a i n e d o b j e c t p a s s i v e s ' . The second t y p e i s p a s s i v i z a t i o n w i t h double o b j e c t c o n s t r u c t i o n s . 6.1 'Retained Object Passives' The s o - c a l l e d ' r e t a i n e d o b j e c t p a s s i v e s ' have been ar g u e d as t h e b e s t e v i d e n c e a g a i n s t a movement a n a l y s i s o f J b e i - c o n s t r u c t i o n i n Mandarin C h i n e s e . As t h e name s u g g e s t s , i n t h i s t y p e o f c o n s t r u c t i o n , t h e r e i s s t i l l a o b j e c t NP o c c u r r i n g i n p o s t v e r b a l p o s i t i o n . As d i s c u s s e d i n G o o d a l l (1993), t h e r e a r e b a s i c a l l y t h r e e c a s e s o f ' r e t a i n e d o b j e c t p a s s i v e s ' where NP movements does not seem t o be a t work. L e t us t a k e t h e s e c a s e s i n t u r n . 6.1.1 S e r i a l i z a t i o n The f i r s t c a s e i n v o l v e s s e r i a l i z a t i o n , e x e m p l i f i e d by a sen t e n c e o f t h e f o l l o w i n g form ( G o o d a l l 1993 ( 8 b ) ) . (82) Xuesheng b e i l a o s h i gan chu l e x u e x i a o . student bei teacher force leave ASP school 'The t e a c h e r e x p e l l e d t h e s t u d e n t from s c h o o l . ' A t f i r s t s i g h t , t h e r e seems t o be no movement i n v o l v e d as p o i n t e d out by G o o d a l l (1993 (9b), ( l i b ) ) . No e l i g i b l e u n d e r l y i n g s t r u c t u r e s a p p a r e n t l y e x i s t , as e v i d e n c e d by t h e f o l l o w i n g i l l - f o r m e d s e n t e n c e s . ( 8 3 ) * L a o s h i gan chu l e xuesheng x u e x i a o . teacher force leave ASP student school (84) * L a o s h i gan chu l e x u e x i a o . teacher force leave ASP school (85) * L a o s h i gan chu l e xuesheng. teacher force leave ASP student The i l l - f o r m e d n e s s o f (83) s u g g e s t s t h a t t h e p a s s i v e o f a d o u b l e o b j e c t c o n s t r u c t i o n cannot be d e r i v e d from (79) s i n c e (79) i s un g r a m m a t i c a l . Furthermore, i t i s shown i n (84) and (85) t h a t n e i t h e r o f the NPs can be dropped. I f t h e r e i s no way t o d e r i v e (82) , t h i s case would pose a s e r i o u s p r o b l e m f o r a movement a n a l y s i s o f p a s s i v e s . However, an a l t e r n a t i v e a n a l y s i s e x i s t s f o r t h e sent e n c e i n (82) : i t c o u l d be a n a l y z e d as a s e r i a l v e r b c o n s t r u c t i o n , w i t h t h e u n d e r l y i n g s t r u c t u r e d e p i c t e d i n (86) . (86) ASPP / \ xuesheng-[^ ASP ' / \ l e VP / \ b e i VP / \ l a o s h i V / \ VI VP / \ NP V t i / \ V2 VP gan / \ V3 NP chu x u e x i a o The above s t r u c t u r e f o r s e r i a l v e r b c o n s t r u c t i o n f o l l o w s t h a t o f Cheng (1989). I n p a r t i c u l a r , a complex p r e d i c a t e V i s formed w i t h t h e v e r b gan 'force' and chu xuexiao 'leave school'. The r a i s i n g o f t h e f i r s t v e r b gan 'force' i s an i n s t a n c e o f v e r b movement. The c o r r e s p o n d i n g a c t i v e a l s o i n v o l v e s s e r i a l i z a t i o n , as shown below. (87) L a o s h i gan xuesheng chu x u e x i a o . t e a c h e r f o r c e s t u d e n t l e a v e s c h o o l Under t h e above a n a l y s i s , a case o f ' r e t a i n e d o b j e c t p a s s i v e s ' can be d e r i v e d by NP-movement from (87) and v e r b movement, y i e l d i n g (86) . The e x i s t e n c e o f t h e a c t i v e c o u n t e r p a r t o f (87) e n a b l e s us t o c l a i m t h a t an a c t i v e c o u n t e r p a r t f o r t h i s t y p e o f p a s s i v e can be g e n e r a t e d from an i d e n t i c a l u n d e r l y i n g s t r u c t u r e f o r p a s s i v e s . G i v e n an u n d e r l y i n g r e p r e s e n t a t i o n , t h e t a r g e t f o r p a s s i v i z a t i o n i s t h e NP i n [Spec VP] p o s i t i o n as shown i n (86) . 6.1.2 Complex V-0 Construction The second case t o be c o n s i d e r e d i s a p a s s i v e s e n t e n c e i n v o l v i n g p a r t / w h o l e r e l a t i o n s h i p . C o n s i d e r t h e f o l l o w i n g example ( G o o d a l l ' s ( 8 c ) ) . (88) Wuge mantou b e i t a c h i l e l i a n g g e . f i v e r o l l bei he eat ASP two * ' F i v e r o l l s were e a t e n two by him.' A p p a r e n t l y t h e r e i s no gap f o r one o f t h e NPs t o o r i g i n a t e from i n (88) as the o b j e c t p o s i t i o n f o l l o w i n g t h e v e r b e a t i s f i l l e d by t h e NP two. T h e r e f o r e a pr o b l e m a r i s e s f o r a movement a n a l y s i s o f p a s s i v e s i f NP movement has no t a r g e t , as seems t o be t h e case i n (88). A r e c e n t s t u d y o f c o n t r o l i n complex p r e d i c a t e s by Huang (1992) o f f e r s i n s i g h t i n t o s o l v i n g t h e problem. S p e c i f i c a l l y , s e n t e n c e s o f t h i s t y p e a r e c a l l e d a 'complex V-0 c o n s t r u c t i o n ' f o l l o w i n g Huang (1992) as t h e y have b a - c o n s t r u c t i o n c o u n t e r p a r t s : t h a t i s , t h e y have c o u n t e r p a r t s c h a r a c t e r i z e d by t h e p r e s e n c e o f t h e morphemes ba. T h i s c o n s t r u c t i o n i s p e c u l i a r i n C h i n e s e as t h e r e i s no w e l l f o r m e d c o r r e s p o n d e n t i n E n g l i s h . I f o l l o w Huang (1990) and Cheng (1991) i n a n a l y z i n g ba as a dummy Case marker i n s e r t e d as S - s t r u c t u r e . The c o r r e s p o n d i n g j b a - c o n s t r u c t i o n f o r (88) i s g i v e n i n (89) . (89) Ta ba wuge mantou c h i l e l i a n g g e . he ba f i v e r o l l eat ASP two *'He a t e f i v e r o l l s two.' I n a complex V-O c o n s t r u c t i o n , two o b j e c t s a r e i n v o l v e d . Note i n p a r t i c u l a r , t h e two NPs do not n e c e s s a r i l y b e a r a p o s s e s s i v e r e l a t i o n s h i p . They a r e wuge mantou ' f i v e r o l l s ' and liangge 'two' i n the above ca s e . To c a p t u r e t h e i n t u i t i o n t h a t NP ' f i v e r o l l s ' i s a s s o c i a t e d w i t h two t h e t a - r o l e s , t h e f o l l o w i n g u n d e r l y i n g form f o r (88) and (89) i s p o s t u l a t e d f o l l o w i n g Huang's p r o p o s a l . / \ NP t a / ASP' \ l e VP / \ NP V / / wuge mantou V c h i \ NP l i a n g g e I n t h e above s t r u c t u r e , NP wuge mantou i s t h e o b j e c t o f th e V p h r a s e chi liangge. The v e r b chi a l o n e has i t s o b j e c t liangge. C r u c i a l l y , t h e r e i s a c o n s t a n t s e m a n t i c r e l a t i o n s h i p h o l d i n g between t h e e x t e r n a l o b j e c t wuge mantou and t h e r e s t o f the sen t e n c e : t h e l a t t e r i s an a f f e c t e d theme i n the event d e s c r i b e d by t h e VP s t r u c t u r a l l y . I n a d d i t i o n , a p a r t and whole s e m a n t i c r e l a t i o n h o l d s f o r t h e two o b j e c t NPs. The i n n e r o b j e c t liangge r e c e i v e s a P a t i e n t r o l e from t h e v e r b . There a r e two ways f o r t h e o u t e r o b j e c t NP wuge mantou t o s a t i s f y t h e Case f i l t e r . One i s t o get i t Case-marked by i n s e r t i n g Jba, thus y i e l d i n g t h e s u r f a c e form i n (89) . The o t h e r way i s t o move t h i s NP t o [Spec ASPP] p o s i t i o n under p a s s i v i z a t i o n . T h i s i s how (88) i s d e r i v e d . Thus t h e d e r i v e d s t r u c t u r e o f p a s s i v e s under my a n a l y s i s i s shown i n (91) . / \ wuge mantou-j_ ASP ' / \ l e VP / \ b e i VP / \ t a V / \ t i V / \ V NP c h i l i a n g g e There i s an a c t i v e c o u n t e r p a r t f o r t h i s t y p e o f p a s s i v e , t h a t i s t h e j b a - c o n s t r u c t i o n . The s i g n i f i c a n c e o f t h i s i d e n t i f i c a t i o n i s t h a t r e t a i n e d o b j e c t c o n s t r u c t i o n s a r e no l o n g e r p r o b l e m a t i c . T u r n i n g t o t h e t h i r d c a s e , c o n s i d e r a s e n t e n c e as i n (92) ( G o o d a l l ' s ( 8 a ) ) . (92) T a i z i b e i t a da l e l a . table bei he apply ASP wax 'The t a b l e was a p p l i e d wax by him.' As G o o d a l l (1993) no t e d , t h i s s entence can be r e l a t e d t o J b a - c o n s t r u c t i o n : (93) Ta ba t a i z i da l e l a . he ba table apply ASP wax 'He a p p l i e d wax f o r t h e t a b l e . ' s i m i l a r l y , t h i s p a i r can be a c c o u n t e d f o r by a d o p t i n g t h e above a n a l y s i s o f complex V-0 c o n s t r u c t i o n s . The D-s t r u c t u r e i s g i v e n below. (94) ASPP / \ t a ASP' / \ ASP VP l e / \ NP V t a i z i / \ V NP da l a I n t h e above s t r u c t u r e , the e x t e r n a l o b j e c t i s a s s i g n e d an a f f e c t e d theme r o l e by t h e V phrase da la 'apply wax' c o m p o s i t i o n a l l y , and t h e Goal t h e t a - r o l e a s s i g n e d t o t h e i n t e r n a l o b j e c t NP la 'wax'. Under t h i s a n a l y s i s , a j b a - c o n s t r u c t i o n and a b e i - c o n s t r u c t i o n a r e two s u r f a c e r e a l i z a t i o n s o f a s i n g l e u n d e r l y i n g r e p r e s e n t a t i o n . The p a s s i v e c o u n t e r p a r t i s d e r i v e d by movement of t h e a f f e c t e d argument. T h i s argument i s s t r u c t u r a l l y r e p r e s e n t e d i n [Spec VP] p o s i t i o n , w h i c h i s t h e o n l y t a r g e t o f p a s s i v i z a t i o n . The V i n t e r n a l NP i s not a p o s s i b l e t a r g e t . 6.2 P a s s i v i z a t i o n of the Double Object Constructions The p r e d i c t i o n drawn from my a n a l y s i s c o n c e r n i n g p a s s i v i z a b i l i t y i s t h a t t h e a f f e c t e d argument i s t h e one t h a t g e t s p a s s i v i z e d . L e t us see whether t h i s p r e d i c t i o n i s t r u e i n a d o u b l e o b j e c t c o n s t r u c t i o n . C o n s i d e r t h e f o l l o w i n g s e n t e n c e s . (95) Z h u x i shouyu t a l i a n g m e i j i n p a i . d i r e c t o r award he two gold medal 'The d i r e c t o r awarded him two g o l d medals.' (96) Tom gaosu l e t a n a c i s h i g u . t e l l ASP he that accident 'Tom t o l d him about t h e a c c i d e n t . ' The two o b j e c t s i n each sentence e x h i b i t an asymmetry under p a s s i v i z a t i o n as shown from t h e f o l l o w i n g p a i r s . (97) Ta b e i shouyu l i a n g m e i j i n p a i . he bei award two gold medal 'He was awarded two g o l d medals.' (98) * L i a n g m e i j i n p a i b e i z h u x i shouyu l e t a . two gold medal bei d i r e c t o r award ASP he 'Two g o l d medals were awarded him.' (99) Ta b e i Tom gaosu l e n a c i s h i g u . he bei t e l l ASP that accident 'He was t o l d t h e a c c i d e n t by Tom.' ( 1 0 0 ) * N a c i s h i g u b e i Tom gaosu l e t a . t h a t accident bei t e l l ASP he 'That a c c i d e n t was t o l d him by Tom.' As we can see i n each o f t h e above example, o n l y t h e i n d i r e c t o b j e c t , w h i c h b e a r s a G o a l t h e t a - r o l e can undergo p a s s i v i z a t i o n . T h i s G o a l argument i s r e p r e s e n t e d s t r u c t u r a l l y i n [Spec VP] p o s i t i o n . A n a t u r a l q u e s t i o n r a i s e d would be whether t h i s NP i s an a f f e c t e d argument. A c c o r d i n g t o a r e c e n t s t u d y on double o b j e c t c o n s t r u c t i o n s , t h e answer i s y e s . I n p a r t i c u l a r , as p o i n t e d out i n L e f e b v r e (1993:397), i n a d o u b l e o b j e c t c o n s t r u c t i o n , 'the G o a l i s t h e a f f e c t e d argument of t h e c o n s t r u c t i o n . ' T h e r e f o r e , t h e c o n c l u s i o n i s i n c o n f o r m i t y w i t h my a n a l y s i s f o r p r e d i c a t e s i n s i m p l e x s t r u c t u r e s . Note t h a t i n a p p l i c a t i v e c o n s t r u c t i o n s , i t i s t h e g o a l and not t h e theme t h a t i s the t a r g e t f o r p a s s i v i z a t i o n . I n the s p i r i t o f a L a r s o n i a n a n a l y s i s , t h e u n d e r l y i n g s t r u c t u r a l r e p r e s e n t a t i o n f o r (95) t a k e s t h e f o l l o w i n g form: / \ ASP / \ l e VP / \ v / \ VP V / \ NP t a / \ V V NP shouyu l i a n g m e i j i n p a i T h i s s t r u c t u r e f o r double o b j e c t c o n s t r u c t i o n s d i f f e r s f rom t h e one f o r E n g l i s h advanced by L a r s o n (1988) and f o l l o w s Cheng (1988b). The g e n e r a l i z a t i o n c o n c e r n i n g p a s s i v i z a b i l i t y i n complex s t r u c t u r e s i s t h a t t h e a f f e c t e d argument i s t h e t a r g e t o f p a s s i v i z a t i o n . The a f f e c t e d argument i s r e p r e s e n t e d i n t h e p o s i t i o n o f [Spec V P ] . 6.3 Remaining Problem However, t h e r e e x i s t s e n t e n c e s t h a t r u n c o u n t e r t o t h e above p r e d i c t i o n . They a r e se n t e n c e s i n v o l v i n g p r e d i c a t e gei 'give' and i t s synonym song. (102) Wo g e i / s o n g l e t a naben shu. I give ASP he that book 'I gave him a book.' (103) *Ta b e i wo g e i / s o n g l e naben shu. he bei I give ASP that book 'He was g i v e n a book by me.' (104) Naben shu b e i wo g e i / s o n g l e t a . that book bei I give ASP he 'That book was g i v e n t o him by me.' I t i s not c l e a r t o me why t h i s p a i r o f v e r b s d i s p l a y s u c h p e c u l i a r b e h a v i o r . To d e r i v e the above s e n t e n c e s , t h e u n d e r l y i n g s t r u c t u r e must be assumed t o t a k e t h e f o l l o w i n g form: (105)ASPP / \ wo ASP' / \ l e VP / \ V / \ V VP / \ NP V naben shu / \ V NP g e i t a Note t h a t t h i s s t r u c t u r e d i f f e r s from t h a t p r o p o s e d f o r a l l t h e o t h e r above c o n s t r u c t i o n s . As I c o u l d not f i n d a p r i n c i p l e d e x p l a n a t i o n t o d e r i v e t h i s p e c u l i a r i t y , I can o n l y s p e c u l a t e t h a t i t i s because o f t h e i d i o s y n c r a t i c p r o p e r t i e s o f t h e v e r b grei and song, w h i c h b o t h mean ' g r i v e ' . I t poses a problem f o r the c l a s s i f i c a t i o n o f dou b l e o b j e c t c o n s t r u c t i o n s i n t o s o u r c e and g o a l c o n s t r u c t i o n s as i n L i (1990) . I have shown here t h a t t h e r e i s no d i s t i n c t i o n i n the b e h a v i o r o f t h e two t y p e s but o n l y one between p r e d i c a t e 'give' and a l l o t h e r s . The e x p l a n a t i o n f o r t h i s l e x i c a l e x c e p t i o n needs f u r t h e r i n v e s t i g a t i o n . CHAPTER 7 CONCLUSION T h i s t h e s i s p r e s e n t s a s y n t a c t i c a n a l y s i s o f p a s s i v e s i n Ma n d a r i n C h i n e s e w i t h i n t h e framework o f GB. F i r s t o f a l l , s t a r t i n g from a c o m p a r a t i v e s t u d y o f p a s s i v e s i n E n g l i s h and the j b e i - c o n s t r u c t i o n i n Ch i n e s e , I argue t h a t t h e l a t t e r has the p r o p e r t i e s o f t h e p a s s i v e i n E n g l i s h . Hence, t h e j b e i - c o n s t r u c t i o n s h o u l d be d e r i v e d by NP movement, as i s the case w i t h p a s s i v e s i n E n g l i s h . The a c t u a l a n a l y s i s t h a t I adopt i s t h a t o f BJR (1989) . My a n a l y s i s o f t h e J b e i - c o n s t r u c t i o n , t h u s , c o n f i r m s BJR's p r o p o s a l t h a t the p a s s i v e morpheme i n p a s s i v e s c r o s s - l i n g u i s t i c a l l y i s s y n t a c t i c a l l y a c t i v e . That i s , i t i s an argument t h a t i s s y n t a c t i c a l l y r e p r e s e n t e d even when i t i s n o n - o v e r t . However, I d i f f e r f rom them i n p r o p o s i n g t h a t i n Chinese t h i s argument i s not s i m p l y t h e p a s s i v e marker, but t h e element l i c e n s e d by i t . A second g o a l o f t h i s t h e s i s i s t o add r e s s t h e q u e s t i o n o f what t y p e s o f p r e d i c a t e s can p a s s i v i z e . I have p r o p o s e d t h a t we can c o r r e c t l y p r e d i c t w h i c h c l a s s e s o f v e r b s a r e e l i g i b l e f o r p a s s i v i z a t i o n once we adopt t h e framework o f argument s t r u c t u r e by Hal e and K e y s e r (1993) . Under t h i s model, the t a r g e t f o r p a s s i v i z a t i o n i s c o n s i s t e n t l y t h e a f f e c t e d argument, w h i c h i s r e p r e s e n t e d s y n t a c t i c a l l y i n [Spec VP] p o s i t i o n . Hence th e s e m a n t i c n o t i o n ' a f f e c t e d argument' can be c a p t u r e d s y n t a c t i c a l l y . G i v e n my a n a l y s i s , t h e apparent a l t e r n a t i o n s o f v e r b s w i t h r e s p e c t t o t r a n s i t i v i t y r e s u l t from d i f f e r e n t u n d e r l y i n g t h e m a t i c s t r u c t u r e s . T h i s i s s u p p o r t e d by UTAH, a c c o r d i n g t o which, d i f f e r e n t t h e m a t i c r e l a t i o n s h i p s a r e not t o be r e p r e s e n t e d by i d e n t i c a l u n d e r l y i n g s t r u c t u r e s . H a l e and K e y s e r (1993) p r o p o s a l f o r p r o j e c t i n g argument s t r u c t u r e from t h e l e x i c o n t o s u r f a c e s y n t a c t i c r e p r e s e n t a t i o n i s c o m p a t i b l e w i t h t h e M i n i m a l i s t program i n i t i a t e d by Chomsky (1993) . The same p r e d i c t i o n r e g a r d i n g a f f e c t e d arguments h o l d f o r p a s s i v i z a t i o n i n complex s t r u c t u r e s i n c l u d i n g s e r i a l v e r b c o n s t r u c t i o n s , complex V-0 c o n s t r u c t i o n s and d o u b l e o b j e c t c o n s t r u c t i o n s . As t h e c o n s i s t e n t p a t t e r n f o r p a s s i v i z a t i o n had not been r e c o g n i z e d i n p r e v i o u s d i s c u s s i o n s , t h e s e e m i n g l y u n p r e d i c t a b i l i t y o f p r e d i c a t e s w i t h r e s p e c t t o p a s s i v i z a b i l i t y was argued as e v i d e n c e f o r b a s e - g e n e r a t i n g b e i - c o n s t r u c t i o n s ( c f . G o o d a l l (1992)) o r making p a s s i v i z a b i i t y a l e x i c a l p r o p e r t y o f p r e d i c a t e s as i n Cheng (1988). By e x p l a i n i n g w h i c h NP can p a s s i v i z e i n t h e s e s t r u c t u r e s , t h e argument t h a t j b e i - c o n s t r u c t i o n s s h o u l d be b a s e - g e n e r a t e d o r l e x i c a l l y d e r i v e d d i s a p p e a r s . However, f u r t h e r r e s e a r c h i n t o t h e p r o p e r t y o f gei and song, b o t h w i t h t h e meaning 'give' i s needed i n e x p l a i n i n g t h e i r e x c e p t i o n a l b e h a v i o r w i t h r e s p e c t t o p a s s i v i z a t i o n . BIBLIOGRAPHY B a k e r , M. (1988) Incorporation: A Theory of Graitmatical Function Changing, Chicago: The U n i v e r s i t y o f Ch i c a g o P r e s s . B a k e r , M., K. Johnson, and I . R o b e r t s (1989) ' P a s s i v e Arguments R a i s e d , ' L i n g u i s t i c Inquiry 20, 219-252. Cheng, L. L.-S. (1988a) T r a n s i t i v i t y A l t e r n a t i o n s i n Man d a r i n C h i n e s e , MIT, Ms. Cheng, L. L.-S. (1988b) D a t i v e C o n s t r u c t i o n s i n Ma n d a r i n and Cantonese, MIT Ms. Cheng, L. L.-S. (1988c) R a i s i n g S t r u c t u r e s and P a s s i v e s i n M a n d a r i n C h i n e s e , MIT Ms. Chomsky, N (1981) Lectures on Government and Binding, F o r i s , D o r d r e c h t . (1986) B a r r i e r s , Cambridge, MA: MIT P r e s s . Chomsky, N. and H. L a s n i k (1991) ' P r i n c i p l e s and Parameters Theory,' To appear i n J . Ja c o b s , A. van Stechow, W. S t e r n e f e l d , and T. Vennemann, eds., Syntax: an International Handbook of Contemporary Research, B e r l i n : de G r u y t e r . G o o d a l l , G. (1993) Spec-Head Agreement, Case, and t h e M o t i v a t i o n f o r NP-movement, UC I r v i n e / T E A L workshop handout. Grimshaw, J . (1990) Argument Structure, Cambridge, MA: MIT P r e s s . H a i e , K and S. K e y s e r (1992) 'On Argument S t r u c t u r e and t h e L e x i c a l E x p r e s s i o n o f S y n t a c t i c R e l a t i o n s ' , A View from Building 20: In Honor of Sylvain Bromberger, MIT P r e s s . Hoffman, M. (1991) A r g u m e n t - S t r u c t u r e - C h a n g i n g Morphology, D o c t o r a l D i s s e r t a t i o n , MIT. H o s h i , H. (1993) T h e t a - r o l e Assignment, P a s s i v i z a t i o n , and E x c o r p o r a t i o n , U n i v e r s i t y o f C o n n e c t i c u t , Ms. Huang, C.-T. J . (1982) L o g i c a l R e l a t i o n s i n C h i n e s e and t h e Theory o f Grammar, D o c t o r a l D i s s e r t a t i o n , MIT. Huang, C.-T. J . (1992) 'Complex P r e d i c a t e s i n C o n t r o l ' , R. L a r s o n , S. l a t r i d o u , U. L a h i r i , and J . Higginbotham, eds., Control and Grammar, Kluwer Academic P u b l i s h e r s : D o r d r e c h t . Huang, C.-T. J . 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(1993) ' V i s i b i l i t y , Complement S e l e c t i o n and t h e Case Requirement o f CP', MIT Working Papers in L i n g u i s t i c s 18: 215-242. Wang, H. (1959) 'Ba z i j u he b e i z i j u ' ( The ba- and j b e i - c o n s t r u c t i o n ) , t r a n s l a t e d by W. Wang i n Project of l i n g u i s t i c Analysis 4, 1963.Wang, L. (1957) Zhongguo Yufa L i l u n (Theory of Chinese Syntax), Zhonghua P r e s s , B e i j i n g . Xu, L and D. Langendoen (1985) 'Topic S t r u c t u r e s i n C h i n e s e ' , Language 61, 1-27. 

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