Beruflich Dokumente
Kultur Dokumente
LINGUISTIC STUDIES
Este número da Revista Estudos Linguísticos / Linguistic Studies
foi subsidiado pelo FAAC (ref.ª 440.02, Proc. 11/1/803) e pelo
Projeto Estratégico (PEst-OE/LIN/UI3213/2014) atribuído ao CLUNL
ESTUDOS LINGUÍSTICOS
LINGUISTIC STUDIES
TIMOTHY GUPTON
(University of Georgia)
PILAR CHAMORRO
(University of Georgia)
CHAD HOWE
(University of Georgia)
AROLDO DE ANDRADE
(University of Campinas)
ABSTRACT: This text aims at accounting for the emergence of Topicalisation in the
history of European Portuguese from a corpus-based analysis of plays written by
Portuguese authors born either in the 15th-16th centuries or in the 19th-20th centuries.
The results support the hypothesis that the construction arises with the loss of V-to-
-C movement, by means of a replacement of the older V2 Topicalisation, which is
maintained nowadays only when a contrastive topic is used. This result shows that
syntax is able to trigger changes in information structure, and not the other way
around. An immediate implication of the presented analysis is that the loss of Topi-
calisation in other Romance languages does not obligatorily follow from the loss of
V-to-C, as usually proposed.
1. Introduction*
The passage from medieval into modern stages of Romance languages has
typically entailed, among other syntactic and morphological shifts, the loss
of V2 Topicalisation (V2T) in favour of the use of Clitic Left Dislocation
(CLLD). Against this backdrop, Modern European Portuguese (henceforth
MEP) displays (Modern) Topicalisation (TOP) alongside other strategies to
*
Many thanks to the audience of the first conference ‘Portuguese Linguistics in the United
States’, to Charlotte Galves and to an anonymous reviewer for important comments. All
remaining errors are my own. I acknowledge support by Fapesp (project nr. 2011/19235-2).
This work is related to the thematic project “Portuguese in time and space”, also funded by
Fapesp (project nr. 2012/06078-9).
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 13-34
14 Aroldo de Andrade
express marked topics, such as the already mentioned CLLD, Hanging Topic
Left Dislocation (HTLD) and even some remnants of the older V2T con-
struction. The following examples illustrate these constructions, which differ
syntactically regarding verb position, as well as regarding the availability
and form of a resumptive element (in boldface; topics are underlined and
their referents are elucidated between brackets, whenever necessary):1
(1) a. TOP
Esse nunca tinha ouvido. (provérbio)
this.M.SG never have.PST.1SG hear.PTCP
‘This (proverb), I have never heard of.’ (MENDES [20]:158)
b. CLLD
…e essa hei-de defendê-la… (honra)
… and this.F.SG have.PRT.1SG-of defend.INF-3SG.F.ACC
‘… and this (honour) I will defend it…’ (REBE [20]:653)
c. HTLD
O homem cabe-lhe alguma razão.
the man fit.PRT.3SG-3SG.DAT some.F reason
‘The man, he shall be entitled some reason.’ (REGIO [20]:90)
d. V2T
O que ele quere sei eu.
what he want.PRT.3SG know.PRT.1SG I
‘What he wants, (this) I know.’ (LUCCI [19]:234)
1
References to corpus examples include code, the author’s century of birth and page number.
2
This assumption has been tacitly adopted in a number of papers on the syntax-information
structure interface, sometimes without proper motivation. I assume that it stems from the
notion of ‘equivalence’ used in contrastive linguistics (Krzeszowski, 1990), which derives
the fact that studies on diachronic pragmalinguistics need to assume some sort of speech
function as the tertium comparationis.
On the emergence of topicalisation in European Portuguese 15
source constructions for TOP is thus radically shortened due to both empiri-
cal and theoretical reasons, as I shall discuss.
The empirical research involved the creation of a corpus of theatre plays
by fifteen different Portuguese writers born either in the 15th-16th centuries or
in the 19th-20th centuries. (Data from the 17th and 18th centuries could not be
included due to the influence of Spanish theatre in Portugal.) This choice
offered data from a uniform genre, relatively prolific with regard to the use
of marked topic constructions, with explicit indication of contextual infor-
mation (didascalia) and usually including excerpts of spoken language, once
they are conceived as ‘to be spoken’ texts.3 The ensuing database includes
about 500 sentences with a marked topic, classified according to syntactic
and pragmatic criteria, from which some questions around the emergence of
TOP could be assessed.4
The text is organized as follows. Section 2 gives an overview of marked
syntactic constructions of the preposing type in EP. From there section 3
discusses possible source constructions for Portuguese TOP. In section 4 I
establish the variation contexts between V2T and CLLD, previously argued
to be the constructions to be given emphasis to, as possible sources for TOP.
From there section 5 presents the corpus results on this variation over time.
Section 6 discusses qualitative data related to the finding that V2T is the
source for TOP, and some of its implications. Finally section 7 displays the
concluding remarks.
3
Following general criteria for corpus design, I have separately compared three major text
types: ‘private’, ‘public’ and ‘to be spoken’ texts. In general, the use of marked construc-
tions is gradually bigger, following the mentioned order. However, no significant bias be-
tween construction types has been noticed between these texts. Stylistic biases are more
prone to occur in dissertative texts (included among those of the ‘public’ type) as a tool to
convince the reader. Thanks for an anonymous reviewer for making me explain this issue.
4
The database is available for any interested reader at the following internet address:
https://dl.dropboxusercontent.com/u/1097038/Corpus-Theatre_ClP_MEP.xlsx.
5
This use of ‘preposing’ is less restricted than in Birner and Ward (1998) and related work,
where it refers only to Focus Preposing and Topicalisation.
16 Aroldo de Andrade
between the topic and the eventuality it specifies, foregrounding (cf. Petrova
& Solf, 2008; Jensen & Christensen, 2013), thus helping to observe a formal
and functional distinction between V2T and TOP. Furthermore, I retrieve
delimitation and focus as further concepts encoded in preposing construc-
tions.
The resumption criterion sets apart constructions with a gap (null copy)
in sentence-internal position, such as TOP and V2T, from those with an
overt copy, such as CLLD and HTLD. This basic distinction was already
illustrated in (1a/d) versus (1b/c).
Connectedness (a term coined in Higgins, 1973) informs whether the top-
ic and its sentence-internal copy share syntactic features, such as Case and
thematic selection, setting apart CLLD from HTLD. In this latter construc-
tion the resumptive is not casually or thematically connected to the topic,
thus being either a clitic with distinct casual features–cf. (2a)–a pronoun
(overt or null) or an NP (identical or similar to the topic, such as an epithet)–
cf. (2b):
6
Notice that in many works the event is considered to be foregrounded only if the verb is in
first position of the sentence. Following Petrova & Solf (2008), I consider that V1 and V2 in
ClP is regulated by the syntax-rhetorical structure interface. This allows me to suppose that
event foregrounding is usually grammaticalised is a general requirement in V2 and V2-like
languages.
On the emergence of topicalisation in European Portuguese 17
Two types of analyses have been proposed in the literature for this type of
language: the weak analysis supposes that verb movement occurs only as a
last resort, in the lack of XP movement to the CP domain; the strong hypoth-
esis assumes that V-to-C occurs across the board. In this paper I assume the
second proposal.
These three criteria give the following distribution of preposing construc-
tions with marked topics in EP (where foregrounding is not used with CLLD
and HTLD because it cross-cuts connectedness):
Before going along, I observe the existence of subtypes of TOP that are
sometimes taken as special constructions in the literature: (i) The null object
construction–cf. (4); (ii) The indefinite se construction–cf. (5); (iii) Hyper-
-raising topicalisation–cf. (6); (iv) Null preposition topicalisation–cf. (7):
7
“V2-like” means that Old/Classical Portuguese has V-to-C movement, but does not require
that one and only one constituent moves to the preverbal position. Matrix clauses may in-
deed show V1 and V>2, given different informational-structural requirements (Galves &
Paixão de Sousa, 2013).
18 Aroldo de Andrade
On the other hand, CLLD and V2T remain as possible candidates. They
differ regarding the syntactic change involved: the first presupposes resump-
tive deletion–cf. (11)–whereas the second involves a syntactic change (loss
of verb movement)–cf. (12).
8
The assumption that Focus Preposing and Delimiter Preposing have different informational-
-structural content from topicalisation and dislocation constructions leads me to discard
them as possible sources for TOP.
9
ClP encompasses the 15th-17th centuries, according to Galves, Namiuti & Paixão de Sousa
(2006).
10
From a quantitative standpoint, it is also possible to dismiss HTLD as a source construction
for TOP, once it is used less than 10% of the cases, very far from the frequency of TOP in
MEP, above 50%.
20 Aroldo de Andrade
(14) English LD
I bet she had a nervous breakdown. That’s not a good thing. Gallstones,
you have them out and they’re out. (Roth, 1969:162 In Birner & Ward,
1998:93)
The most accepted proposal for this variation considers three discourse
functions (DFs) for the latter construction (Prince, 1997):
a. DF(LD1): Simplifying discourse processing (by removing a dis-
course-new entity from a disfavourable position, i.e. subject);
b. DF(LD2): Triggering a poset inference (by marking contrast of the
item vis-à-vis others forming a list);
On the emergence of topicalisation in European Portuguese 21
11
This entails that a preposed brand-new element (Prince, 1981) would be either resumed by
a subject in HTLD or be contrastively focused itself.
22 Aroldo de Andrade
In this dialogue, the poset {snack products} was not clearly stated, but the
hearer can build it in his/her discourse model due to the linking relation es-
tablished with a previous item pertaining to it: o chá (‘the tea’).
Finally LD3 displays a resumptive connected to a topic outside of a syn-
tactic island, which is necessarily expressed by CLLD in EP, once the topic
must have a local connexion with its gap in the case of TOP:
5. Corpus results
Before presenting the results, I would like to summarise the possible change
scenarios for the emergence of topicalisation: (i) a change in two stages
(V2T CLLD; CLLD TOP), the first following from a common Ro-
mance shift; (ii) a change from CLLD into TOP, due to informational-
-structural shifts that would have altered the correlation between discourse
function and syntactic form, and (iii) a change from V2T into TOP, due to a
syntactic change, restricting the amount of verb movement to the CP do-
main, a movement with consequences for foregrounding. The following
subsections present the results for the two first scenarios, first looking at the
general results per century, then on different syntactic and pragmatic criteria.
On the emergence of topicalisation in European Portuguese 23
5.1. General results and evidence for the loss of verb movement
Figure 1 below shows the results on the relevant preposing constructions
per century, plus the ambiguity cases between TOP and V2T. Subject expres-
sion is the criterion for distinguishing among the three cases at hand: a pre-
posed topic with a postverbal subject was coded as V2T; a preposed topic with
a null subject or with a preverbal subject that is clearly dislocated was coded
as TOP/V2T (ambiguous); a preposed topic with a preverbal subject that sits
in a bona fide Spec,TP position was coded as TOP.12 The chart includes all
data, irrespectively of the grammatical function of the topic constituent.
0%
15th 16th 19th 20th
12
Nominal and pronominal non-quantified subjects in declarative clauses in the order Topic-
-S-V seem to be found only in MEP, and by hypothesis occupy Spec,TP. We have consid-
ered as occupying a dislocated position:
– S in the configuration S-Topic-V, as they are mapped as hanging topics or foci – cf. (i);
– S expressed as a quantifier in the configuration Topic-S-V, following Bocci (2007)
– cf. (ii);
– S expressed as a preverbal 1st or 2nd pronominal subject in yes-no questions. See observati-
ons in Vanrell Bosch & Fernández Soriano (2013:20-24) – cf. (iii).
The figure shows that the percentage of CLLD keeps around 30% for
texts from all the studied centuries. Instead of a decrease in CLLD, one ob-
serves that V2T is even slightly more frequent than CLLD in the 16th century
(numbers for CLLD/total per century are 32/85; 47/154; 19/65; 55/148).
Therefore, no preference for the use of CLLD is observed in late ClP, unlike
in other Romance languages, thus denying scenario (i). Notice that a slight
decrease in the number of TOP/V2T between the 15th and the 16th century
seems a natural fluctuation.
The figure also shows that a great amount of data express ambiguity be-
tween TOP and V2T, and only in MEP can one find unambiguous cases of
TOP. This is consistent with the hypothesis according to which ClP was a V-
-to-C language, and therefore displayed only cases of V2T, which are dis-
guised due to the high quantity of null subjects.13
5.2. Results on pragmatic criteria
In this and in the following subsection I discuss only the data in variation
contexts between CLLD and TOP, according to the criteria exposed in sec-
tion 4. This reduces the sample to 341 tokens, a fact that led me to display
the results by language period again (ClP versus MEP). Here I examine the
dependent variable presence of resumptive element against two different
pragmatic criteria, givenness and salience (–res. refers to both V2T and
TOP, and +res. indicates CLLD).
Table 2 presents the results on givenness, taking into account the distinc-
tion between new, inferable and evoked (Prince, 1981).
The results indicate that new elements (which besides brand-new ele-
ments, also include elements anchored to the context by a possessive or simi-
lar type of anaphor) distribute more or less evenly regarding [±resumption].
13
Notice that according to Galves & Paixão de Sousa (2013), the use of null subjects com-
pete with VS during ClP, whereas null subjects compete with SV in MEP. This seems to
comply with the hypothesis stated before, according to which null subjects occupy a post-
verbal position and preverbal subjects are always dislocated.
On the emergence of topicalisation in European Portuguese 25
14
The results are significant for the two studied periods: ClP (2=20.5762, p=3.404e-05), and
MEP (2=24.0404, p=6.021e-06).
15
The reader can observe each one of these types of topics in the examples below: in the
preverbal position, in (ia), a shifting topic; in (ib), a contrastive topic preverbally, and, in
the immediate postverbal position, a familiar topic (cf. also Galves & Gibrail, 2012):
(i) a. ... e desses mimos vêm todas as ousadias.
... and of.these gifts come.PRT.3PL all the cockinesses
‘...and all cockinesses come from these gifts.’ (VASC[16]:12)
b. Mas as alheas sinto eu mais que as minhas.
but the foreign feel.PRT.1SG I more than the mine
‘But I feel other people’s longings more than mine own.’ (FERR-C[16]:123)
16
From Fisher’s Exact Test, the results are not signficant for ClP (p=1), but are indeed signif-
icant for MEP (p=5.385e-06).
26 Aroldo de Andrade
6. Qualitative analysis
I lay out in this section some observations regarding the clausal periphery of
ClP and MEP that may explain their differences regarding marked construc-
tions. From there I consider how some cases of V2T in MEP can be accom-
modated in the present analysis.
First of all, consider the close connexion between the syntax of the left-
-periphery and changes in other domains of the syntax of Portuguese, such as
clitic and subject placement. The results shown here are in accordance with
the hypothesis of a change in two steps, the first step being a prosodic shift
from a syllable-based to a rhythm-based system around the beginning of the
17th century, without a clear language-external trigger (Frota, Galves &
Vigário, 2007). As a consequence of this change, the second step involved a
syntactic change involving the loss of V-to-C movement around the begin-
ning of the 18th century. According to Galves, Britto & Paixão de Sousa
17
Except in Table 5, probably due to its small token number.
28 Aroldo de Andrade
(2005), there are two clear pieces of evidence for the latter shift: (i) variation
contexts for clitic pronoun placement, which became obligatory contexts for
enclisis (i.e. post-verbal clitic placement); and (ii) VS order, whose numbers
decreased from 20% into 10% around this time.18
The assumption around the loss of a V-to-C grammar would not only ex-
plain the phenomena previously mentioned, but also provide a natural expla-
nation for the emergence of TOP in EP out of a grammar with V2T. To do
so, I assume an analysis of the left periphery elaborating on proposals laid
out in Frascarelli & Hinterhölzl (2007) and Neeleman et al. (2009), shown in
(18), with clear indication of the position of the verb and of different types of
topics (Con=Contrastive Topic, Fam=Familiar Topic, Shi=Shifting Topic):
(18) a. [ForceP [DelimP [TopicP Con/Shi [FocusP (Con) [FinP V [TP Fam …
b. [ForceP [DelimP [TopicP Con/Shi [FocusP (Con) [FinP [TP Fam V …
First of all, consider the stable features holding in (18a-b). In line with the
observations in section 2, delimiter phrases would occur in Spec, DelimP,
and Con and Shi, in Spec,TopicP; the difference between these two elements
would reduce to the presence of a [+contrastive] feature in the first one, due
to its base-generation in Spec, Focus0 and further movement to check its
topic feature. Finally, Fam would always be encoded in Spec,TP.
This proposal can explain the change from V2T into TOP in the follow-
ing way. The structure in (18a) shows that ClP had obligatory movement of
the (finite) verb into a head of CP, which I consider to be Fin 0, following
Antonelli (2011), entailing the verb’s precedence with respect to Fam, en-
coded by the subject. After the loss of V-to-C movement, MEP exhibits Fam
in preverbal position, as in (18b). I assume here that the preverbal subject of
MEP occurs in Spec,TP, following evidence presented in Costa & Duarte
(2003).
In this scenario, data with post-verbal subjects combined with a preverbal
topic are of special interest, because by hypothesis they should have disap-
peared in MEP, contrary to the facts. The change seems to have involved a
restriction in the types of topic elements requiring verb adjacency: a shifting
topic could be found in Topic-V-S order in ClP, as the contrast in (19a-b)
shows:
18
Among different analyses for clitic placement, I subscribe to a PF account, in line with
Galves & Sandalo (2012). I assume that clitics are X0 elements found to the left of the verb,
thus proclisis is the non-marked placement case; enclisis would be obtained post-
-syntactically. Thus verb movement is not required as a last resort operation, so as to derive
enclisis.
On the emergence of topicalisation in European Portuguese 29
On the other hand, contrastive topics can be found in both ClP and MEP
in Topic-V-S order:
7. Concluding remarks
This paper supports the hypothesis that the emergence of TOP in EP is the
mere consequence of a syntactic change involving the loss of verb move-
ment into the CP domain, which has occurred in the transition between ClP
and MEP, in the beginning of the 18th century. This idea is backed up by the
corpus results showing a considerable stability regarding the influence of
givenness on the choice between non-canonical syntactic constructions. On
the other hand, the quantitative analysis has also pointed out that V2T was
an unconstrained phenomenon in ClP, even if the high quantity of sentences
with null subjects hinders this analysis.
These findings undermine the role of an autonomous informational-
-structural change as a trigger of TOP in Portuguese grammar, so as to relate
it to a later development stemming from the CLLD construction. In other
words, I maintain that changes in the expression of informational-structural
concepts are due to changes in the grammar. This is expected if the use of
information structure concepts is stable over time, a crucial assumption for
this work. In the case at hand, the loss of V-to-C movement has triggered the
loss of unmarked V2T, a construction that became restricted to mark con-
trastive topics in MEP.
On a par with that, this way of interpreting the shifts in the left periphery
of EP is coherent with Birner & Ward’s (1998) proposal for variation affect-
ing non-canonical constructions, which should be well-constrained cross-
-linguistically. In fact, the data analysed here show that non-canonical con-
structions are relatively similar over time regarding their pragmatic value.
Though new function-to-form mappings may be theoretically possible, they
should be seen primarily as consequences of independent changes occurring
in the syntactic domain.
If the emergence of TOP is a natural development in the history of Portu-
guese, a broader explanation for the availability of preposing constructions is
in order, so as to explain why this construction is not found in other Ro-
mance languages (except in colloquial French), where CLLD seems to take
over the functions of Portuguese (and English) TOP. This task is left for
future research.
On the emergence of topicalisation in European Portuguese 31
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DISCUSSING PARAMETRIC VARIATION: IS THERE
DATIVE SHIFT IN BRAZILIAN PORTUGUESE?
ABSTRACT: The main goal of this paper is to derive two different parametric dis-
tinctions that explain the distribution of dative constructions in two dialects of Bra-
zilian Portuguese – the main dialect, spoken by most speakers (BP), and a dialect
spoken in the Zona da Mata Mineira region (MBP). Within a Distributed Morpholo-
gy view, we follow Barbosa’s (2012) parallel between double object constructions
and datives to compounds and N+de+N compound-like expressions. They differ by
means of a macroparameter that regulates the phonological presence of the preposi-
tion and the order of the arguments it mediates. In MBP, however, it is possible to
have datives with a surface order that resembles double object constructions we
argue with Scher (1996) and Armelin (2011) that this resemblance is a byproduct of
a microparameter regulating the absence of the preposition – and the surface order
– in contexts of default Case marking (Kato, 2012) at vP’s left periphery (Belletti,
2002).
*
We would like to thank CNPq (Processes 140146/2011-3 (Ph.D.) and 312610/2013-0 (Re-
search Productivity)), CAPES (PRODOC program, processes 1267797 (PNPD) and
4102/13-4 (BEX)), and the Linguistics Department from the Universidade de São Paulo for
financially supporting the research resulting on this paper. We also thank the audience at
PLUS 2013 for the discussion of a previous version of this work, as well as an anonymous
reviewer for the comments and suggestions provided to us. Any shortcomings and remain-
ing errors are of our entire responsibility.
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 35-60
36 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
1. Introduction
This paper intends to shed light into the debate between the properties de-
fining micro- and macroparametric variation (Baker, 1996, 2008; Kayne,
2008, inter alia). In order to discuss these properties, we will focus on the
dative constructions from two dialects of Brazilian Portuguese (henceforth
BP), making a contrastive approach to English dative shift phenomena. The
key data set that instigates us to pursue this comparison is one of BP’s dia-
lects, spoken at Zona da Mata Mineira, which we will call Minas Brazilian
Portuguese (henceforth MBP, in contrast to standard BP).
We will contrast the data from BP to the data from English known as
double object constructions (DOC; cf. Barss & Lasnik, 1986; Larson, 1988,
inter alia). The DOC would differ from standard dative constructions such
as (1)-(2) in presenting the order verb-theme-goal, with the goal argument
bearing a prepositional marker:
The DOC is a variation of the dative construction – hence, the dative shift
terminology –, with some effects of asymmetry; the goal argument (i.e., the
recipient) precedes the theme and the dative preposition (to) may be absent
from the sentence:
1
The discussion of DOC’s and datives’ properties can be found in Barss & Lasnik (1986),
Larson (1988), Pesetsky (1995), Harley (1997), Bresnan et alli (2007), among other works.
Discussing Parametric variation 37
(5) A Maria deu [PP ao/para o Pedro goal] [DP um livro theme]. (BP)
(6) A Maria deu [DP o Pedro goal] [DP um livro theme] (MBP/*BP)
Although this dialect allows for the same order of arguments seen in the
Double Object Constructions (DOCs) from English, Scher (1996) and Ar-
melin (2011) claim that this order is a mere epiphenomenon, while distinct
properties account for the surface resemblance to English2. The three main
questions we will try to answer are:
(a) How similar are, in fact, English and MBP datives?
(b) What are the properties that make MBP resemble English?
(c) Can we explain the properties from MBP with the same parametric
distinction that separates English and BP?
The hypothesis that guides our work is the following: while apparently
similar to the contrast observed between English and MBP, the dialect varia-
tions detected in the comparison between BP and MBP are to be accounted
for by a different parameter type than the one that excludes dative shift from
BP in general. The parameter contrasting BP and English relates compounds
and datives, as suggested by Barbosa (2012), while accounting for the varied
behaviors seen within the pair English versus BP, as well as the pair BP ver-
sus MBP. From the empirical and theoretical consequences presented
throughout the paper, we consequently question the accuracy of the defining
characteristics of (micro-/macro-) parametric classification, especially when
a non-lexicalist model of grammar (i.e., Distributed Morphology, henceforth
DM; cf. Halle & Marantz, 1993; Marantz, 1997; Embick & Noyer; 2007), is
taken into consideration.
The structure of the paper is the following: in section 2, we present the
basic characteristics of datives in BP and MBP, comparing these properties
to English dative shift phenomena, in order to make clear the empirical dif-
ferences there are between this language and the BP dialects. Section 3
brings the analysis from Barbosa (2012) for English versus BP, while section
4 discusses the micro-/macroparametric properties and the analysis for ex-
plaining the surface effect that makes MBP’s datives look like dative shift.
Section 5 presents the concluding remarks.
2
For an alternative take on the subject, cf. Torres-Morais (2001, 2007), and Torres-Morais &
Lima-Salles (2010).
38 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
3
The goal argument is usually related to the element receiving the object affected by the
action of giving, also known as a recipient. In dative constructions, it is commonly marked
by a (morphological) dative case, or by a preposition, receiving oblique (structural) Case. In
the DOC, the goal argument may appear without the preposition, and as such, it is consid-
ered to receive (structural) accusative Case, just like the theme (a.k.a., the object). Hence,
the name double object construction. Our goal in this paper is to show that the data in
(M)BP is dissociated from the so-called “accusative” properties of the goal argument when
closer to the verb. This independent motivation does not need to associate dative semantics
to oblique Case marking, since the latter is a well-formedness requirement for the computa-
tional component.
4
Although there is no distinction between a and para in BP, it should be noted that speakers
of BP who use para with the goal PP tend not to have a as an option in their grammars. In
the more recent generations, the use of a is restricted to formal contexts, and is not as pro-
ductive as the use of a in MBP.
Discussing Parametric variation 39
As in BP, the order between the theme and the goal argument may vary in
MBP and, importantly, the order goal+theme is marked in terms of informa-
tional aspects as well. In this sense, the same contrastive focus reading ex-
plicated in (10)a for BP may emerge in MBP when the goal is at the left of
the theme (13):
When specifically dealing with the status of the preposition that may in-
troduce the goal argument, it is important to note that para and a differ in
important aspects. First, there can be two elements bearing the preposition
para in the same sentence. In such case (14), the first argument has to be
40 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
interpreted as the goal, while the second PP, an adjunct, is interpreted as the
beneficiary5.
(14) A Maria deu [um livro theme] [pro Paulo goal] [pro Pedro benef.].
‘Maria gave [DP a book] [DP for the Paulo] [DP for the Pedro].’
(15) *A Maria deu [um livro theme] [ao Paulo goal] [ao Pedro benef.].
‘Maria gave [DP a book] [DP to the Paulo] [DP to the Pedro].’
(16) A Maria deu [um livro theme] [ao Paulo goal] [pro Pedro benef.].
‘Maria gave [DP a book] [DP to the Paulo] [DP for the Pedro].’
(17) *A Maria deu [um livro theme] [pro Paulo goal] [ao Pedro benef.].
‘Maria gave [DP a book] [DP for the Paulo] [DP to the Pedro].’
(18) *A Maria deu [um livro theme] [o Paulo goal] [o Pedro benef.].
‘Maria gave [DP a book] [DP the Paulo] [DP the Pedro].’
5
Despite the ambiguity seen in para, the gloss throughout the paper will remain as for, in
order to keep the contrast with a (translated as to).
Discussing Parametric variation 41
nation. The question that emerges form that observation is the following: do
the linear orders for the internal arguments in MBP result from the very
same phenomenon or do they underline different processes? As we will
show in the next section, the properties that derive the V+DP+DP order in
MBP are not exactly the same than those generating it in English.
2.1. Does MBP behave like English, or does it look like English?
It is a widely discussed fact that, in English, the absence of the preposi-
tion correlates directly to displacement: when the preposition is absent, the
goal element is on the left of the theme (20)a, (20)b, except in cases of heavy
NP shift (21):
(21) Mary gave [to Paul] [the heaviest book in the store].
In the same sense, in MBP, but not in English, it is possible to omit the
preposition when no explicit direct object is present in the sentence.
6
The same is true for data relating to interrogative pronouns and fronting.
Discussing Parametric variation 43
So far, there is no evidence that allows us to postulate more than one se-
mantic interpretation for dative structures in MBP, especially when we con-
sider that the preposition a has a semantic restriction in favor of dative (re-
cipient/goal) arguments. When it comes to English, however, there is a de-
bate between two theoretical standpoints. The first one suggests that datives
and DOCs are formed by different structures in syntax (e.g., Pesetsky, 1995;
Harley, 1997; Levin, 2006; Bruening, 2010, inter alia). The second one
claims one of these constructions derives from the other (Bresnan & Nikiti-
na, 2009; Ormazabal & Romero, 2012; inter alia). We believe the answers
given by the second group of works bring consequences that are more inter-
esting to cross-linguistic work, Based on that, we will justify why we rule
out the first group in the discussion ahead. In the following sections, we will
discuss the properties for English and BP, as well as the parametric conse-
quences for the choices we make from here on.
According to Levin (op. cit.), while the English DOCs has a recipient as
possessor reading, the English dative constructions are not like the “true”
morphological datives, since they present the recipient as goal reading. On
that note, the author also says that “Many languages which lack a double
object construction still have a core (i.e., nonadjunct) grammatical relation,
distinct from subject and object, used to express recipient” (Levin, 2006: 2).
When looking at the MBP data discussed above, we saw the preposition a
can only fulfill a goal/dative semantics, i.e., a recipient as possessor reading.
If there is no DOC in MBP (or BP), neither is there dative case marking in
these dialects, there would be no explanation to why the recipient as posses-
sor reading is available. Hence, we should not be able to have separate con-
structions yield separate meanings, since the recipient as possessor seman-
tics is not exclusive of DOCs and morphological datives.
Once we have empirically dismissed the possibility of having DOCs in
both BP and MBP and justified the theoretical point of view we will (not)
base our analyses on, we can move on, motivating a parallel question to-
wards solving the puzzle that the MBP data brings us. That is the goal of the
next section.
support that fact, we can recall that a is not even present in many dialects of
BP speakers, especially the younger speakers and the ones with less experi-
ence through formal instruction – moreover, these variables do not need to
be simultaneous. Scher (1996) provides an analysis under Minimalist terms,
suggesting that, whenever we have the verb+goal+theme sequence, the goal
argument is interpreted as a topic, being left-dislocated above vP in order to
get its discursive features. Armelin (2011) expands Scher’s (op. cit.) analysis
even further, contextualizing it into the cartographic approach, more specifi-
cally, Belletti (2002). As for the absence of the preposition a in such con-
texts, Scher (1996) claims that the phonological contexts allows for a syl-
labic restructuring, while Armelin (2011) briefly suggests a DM-based solu-
tion related to feature incompatibility between the terminal node and the
preposition’s Vocabulary Item (henceforth VI). In section 4, we will try to
address this question, while maintaining the ideas for topic dislocation.
Having in mind the discussion presented in the two previous subsections,
the question we want to address is the following: can we explain, in terms of
a parametric approach, the distinctions seen in the DOC/dative constructions
from English, as well as the DOC-like surface expression of datives in MBP,
contrasted to standard BP datives? If so, can we account for all the differ-
ences by a single (type of) parameter?
3.1. Compounds and dative shift derived from the same structure
According to what we have shown in the previous sections, it seems that
the dative shift phenomena occurring in English is a distinct empirical fact
than the ones seen on either BP or MBP. If we take these differences to be
the result of a parametric variation, we should consider (i) what type of pa-
rameter allows dative shift in English, but not in BP, and (ii) whether the
contrasts between English and BP are byproducts of the same type of varia-
tion that sets BP and MBP apart.
In order to make that distinction, we should think about the current para-
metric variation approaches. The approach we will consider for the differ-
ences between English and BP is that of marcroparameters (Baker, 1996,
2008). Baker (1996) begins that enterprise by questioning the range of ef-
fects and the fragmentation (i.e., the suggestion of more construction-
-specific parameters) of the Pro-Drop parameter (Rizzi, 1982). Going the
opposite direction from most parametric analyses in the literature, Baker
(2008) advances the proposal that we should expect macroparameters,
roughly defined by (a) showing strong effects in grammar variation, (b) its
46 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
variation being realized in the syntax (i.e., not in the lexicon), and (c) being
found when distantly related languages are compared.
At a first moment, let us consider (c). Although BP and English are not as
typologically distant from each other as, for instance, English and Mohawk,
we believe that it would be implausible to consider English and BP as close-
ly related as MBP and BP. Therefore, we will advance the idea that BP and
English behave differently in what concerns dative shift, thus showing char-
acteristics of macroparametric variation.
To present evidence towards this choice, we will follow the analysis
made by Barbosa (2012), a new take on Snyder’s Compounding Parameter
(1995, 2001). Snyder claims that the acquisition by a child of N+N com-
pounds forms in a given language triggers the acquisition of complex predi-
cates such as resultative, verb-particle, double object, causative, perceptual
verb, dative and locative constructions. Snyder also presents cross-linguistic
evidence to show that, if a language has no productive N+N compounds,
then it will not have the complex predicates that are related to them. Barbosa
(2012) uses BP data to show that Snyder’s Compounding Parameter should
not be so pervasive, since not all complex predicates are actually absent in
BP – causative, locative, perceptual and dative constructions are quite pro-
ductive, and occur very early in BP speaking children’s grammar (cf. Bar-
bosa & Simioni, 2011; Barbosa, 2012).
From this perspective, Barbosa tries to find a new explanation for the ab-
sence of productive N+N in BP. He observes that N+de+N form of com-
pound seems to be quite productive in that language. Semantically, he claims
that they are similar to English N+N, once one considers the two forms pho-
nologically analogous. Thus, these constructions would share the same inner
properties, yet realizing distinct surface outputs:
(27)
As we can see, the structure above inverts the order of the compound in
English, since the complement orange should appear before the semantic
head juice. Considering the model of DM, Barbosa proposes that, since BP
and English have the same LF outputs, these different outputs should be
derived after Spell-out, on the way to PF. With the rule in (28), Barbosa ex-
plains the reversed order of English compounds, with its resulting morpho-
logical structure in (29):
(29)
Yet, Barbosa (2012) still needs to account for why BP is not productive
at compulsory dislocated structures. First, there is no robust data for N+N
compounding in BP, in contrast to N+de+N. Even considering this margin-
al type of formation, it rarely has the reverse order seen in English (right-
-side headedness), and most of these cases are byproducts of affixes, such
as ferrovia (‘railroad’, lit. iron + path), also seen as via de ferro; (cf. Bar-
bosa, 2012: 120), and cannot be easily retrieved to their fully-fledged
counterparts.
Based on these arguments, Barbosa (2012) suggests that this difference is
parametrical, and that it applies over two of the complex predicates Snyder
(1995, 2001) say should not be possible in a language such as BP – datives
and DOCs. We claim, along with Barbosa (op. cit.) that the dative shift con-
structions share with compounds the same characteristics that sets them apart
when we compare English and BP: the possibility of omitting the phonologi-
cal output of P.
Once we consider the parameter in (30), the relation between N+N versus
N+de+N compounds and dative shift phenomena can be explained by two
main properties, namely (i) no phonological content for the prepositional
node, and (ii) the “reversed” order of the relevant nominal elements being
related by this prepositional node. It is important to point out that the node c-
-commanding the preposition – either n or v – will derive the distinct behav-
iors form each construction, and that, since English allows both positions
(conditioned to the presence of P) in both constructions, this analysis cap-
tures a desirable pattern.
As for the structure representation for the dative shift phenomena, we
claim that (31), below, is the way datives get to the LF component in both
English and BP. Just like compounds, the surface realization is what will
differ in these two languages: the parameter in (30), above, triggers com-
pulsory dislocation of the complement of P at (31), resulting in the mor-
phological structure (32) ((31) and (32) are adapted from Barbosa,
2012:166-167):
Discussing Parametric variation 49
(31)
(32)
If correct, the structures for dative shift in (31) and (32), above, compare
to the same type of asymmetries seen on English’s versus BP’s compounds.
One could argue that these structures do not accurately represent the asym-
metry effects from Barss and Lasnik (1986), often used in the literature to
justify two sets of independent structure for DOCs and datives. Despite that
fact, we will follow Bresnan et alli (2007), and say these asymmetries are an
epiphenomenon. Once they seem to deal with questions of phonological
requirements during VI insertion, we will postulate the rule in (33) below,
considering that the c-command restrictions are satisfied at LF (once both
interpretations share the same structure) and at PF (since compulsory dislo-
cation occurs only after VI insertion):
posal from Barbosa (2012); along with any other parameter suggested within
the DM framework) will not comply with either side of the parametric mod-
els on the market. If Barbosa’s analysis is correct, the macroparametric fac-
tors (a) (showing strong effects in grammar variation) and (c) (being found
when distantly related languages are compared) seem to be compatible with
the parameter in (30), above. As for (b) (its variation being realized in the
syntax (i.e., not in the lexicon)), there are important theoretical consequences
we should consider. Barbosa’s proposal does not comply with the Borer-
-Chomsky conjecture, presented in (34), below, since it relies on functional
projection variation outside of the lexicon, with no lexical (i.e., word-
-formation component) considered at all. This should be a good thing, how-
ever, if we want this analysis to be a macroparametric one.
However, the relevant steps for this parameter occur after syntactic op-
erations (or, at least, after Spell-out), which is not a concern for the macro-
parametric model either. Thus, it seems that the main assumption behind DM
– namely, that the lexical operations are “distributed” to other places of the
derivation – is not compatible with either macro- or microparametric as-
sumptions. That does not mean we should discard it, but that the conse-
quences for parametric variation within this model should be considered
with more attention, if this analysis proves fruitful. In the next section, we
will present an analysis that explains the differences between MBP and BP,
contextualizing them in terms of a microparameter.
7
It is important to notice that the ambiguity in para does not concern MBP, once the only
cases in which it is used are the ones with benefactive elements.
Discussing Parametric variation 53
claim this feature is exclusive of this MBP VI – a dialect where this distinc-
tion is still active.
We believe that the order V+DP+DP in MBP is restricted to the non-
-insertion of VIs in the contexts where it occurs. In order to determine how
that happens, it is necessary to define the features of VI, so their (non-) in-
sertion can be explained. The relevant VI feature list is presented in (35):
With the features in (35), we guarantee that the P nodes where its com-
plement needs to be interpreted as goal receive a, but not para. Note that,
with this configuration, a presents little restrictions, and could appear in
Case-less contexts8. However, that would violate any Case requirements in
the grammar. Later, we will give an explanation as to why there is no such
occurrences, even maintaining this VI feature set.
The VI description for BP, on the other hand, has the [oblique Case] fea-
ture for a being obligatory, while para will be inserted in nodes where the-
matic role is unspecified, but Case is present:
8
An anonymous reviewer pointed out that one could argue that a is not a preposition, but a
Spanish-Style case-marker. It seem that the analysis of the Vocabulary Item gives us the
opposite result. Instead of marking Case, the insertion of a is restricted by the semantics,
rather than its Case-marking abilities. Rather than implying that Case is in the preposition
per se, the Case marking features are present in the functional structure P. If that node is
specified with a dative semantics, the VI a is inserted.
54 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
(37)
When it comes to BP, the structure in (38), below – a version of (37) de-
prived of the [oblique Case] feature in P –, is ungrammatical, since no VIs
lack the [oblique Case], blocking insertion according the Subset Principle,
which states the following:
(38)
Discussing Parametric variation 55
(39)
Having that question in mind, we suggest that the distinction on the dis-
tribution of datives in BP and MBP should be made in the following manner:
in the MBP contexts where P lacks phonological content, a is not inserted.
This is accomplished due to the parameter in (33).
(41)
Yet, we still need to account for the goal+theme contexts where the prep-
osition’s phonological content is actually there. We will say that these sen-
tences have the [oblique Case] feature, and VI insertion at P occurs normal-
ly, either in BP or in MBP. This displaced argument is a byproduct of
movement by informational requirements – namely, contrastive focus, as
shown in (10), in section 2, above. That is attested by a (sometimes required)
intonational contour for pronouncing the goal argument. The resulting struc-
ture would be as in (42)9:
(42)
9
It is important to notice that this structure would also be adequate for the cases in which
there is contrastive focus in English, generating the goal PP in the order verb+goal+theme.
Discussing Parametric variation 57
5. Concluding remarks
So far, we have seen that the question of parametric variation is not at all
easy to handle. When we observe the dative phenomena in BP, MBP and
English, it may look like the surface phenomena gives a clear-cut distinction
of what happens. Yet, the empirical tests and the structure we proposed
based on the evidence gathered suggests that MBP and BP are mere dialects.
Due to that, we claim that MBP and BP variation is microparametric. When
it comes to the distinction between BP and English, however, the dative shift
question seems to be much deeper effects into the syntactic/grammatical
structure in general. That allows us to suggest that those effects are the con-
sequence of a macroparameter, namely the one proposed in Barbosa (2012),
which affects the distribution of compounds, as well as the surface realiza-
tion of the prepositional node. Still, there is a lot to account for, such as the
main characteristics claimed to distinguish micro- and macrovariation phe-
nomena. Within DM – and the analysis we have proposed – the component
responsible for handling the parametric differences is the post Spell-out,
morphosyntactic one, not the syntactic nor the lexical one alone. We also
claim that the differences between the languages/dialects do not affect mean-
ing in most cases, but the surface disparities are byproducts of phonological
restrictions given by the parameters in question – more especially Case,
58 Julio W. Curvelo Barbosa, Paula R. Gabbai Armelin & Ana Paula Scher
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Discussing Parametric variation 59
STEPHEN FAFULAS
(East Carolina University)
ABSTRACT: The current study examines simple present and present progressive
forms in Brazilian Portuguese, Argentinean Spanish, and American English. It of-
fers a comprehensive cross-linguistic analysis of progressive aspect in the present
for a specific genre: simultaneous film narrations. In total, 30 participants watched
the Pear Stories Film and were asked to simultaneously tell the story with as much
detail as possible. Each present-time token was coded for the linguistic factors of
lexical aspect, adverb, clause-type, polarity, animacy of the referent, and whether
intervening material appeared between the auxiliary and gerund. Significant differ-
ences were found between each language leading to the conclusion that the progres-
sive has followed a somewhat different evolutionary trajectory in each language.
1. Introduction
Croft (2010) analyzed 20 native-speaker English retell narratives of the ‘Pear
Stories Film’ (Chafe, 1980; http://www.pearstories.org/) and found extensive
morphosyntactic variation. He concludes that this method is appropriate for
viewing language change in synchrony. As Croft suggests, cognitive/func-
tional linguists are in need of ways to document grammatical change in real-
-time. The present investigation extends Croft’s analysis to simultaneous
narrations of the ‘Pear Stories Film’ and observes use of simple present and
present progressive forms in Brazilian Portuguese (BP), Argentinean Span-
ish and American English.
Diachronic grammaticalization paths for tense-aspect-mood expressions
display cross-linguistic similarities (Bybee, Perkins, & Pagliuca, 1994). Evo-
lutionary pathways of progressives and habituals are reflected in present-day
variation of form and function. Progressives exhibit variation of form within
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 61-81
62 Stephen Fafulas
contexts of ongoing action (see King & Suñer, 1980; Klein, 1980; Whitlam,
2010). Table 1 presents an overview of the general uses of each form for BP,
Spanish and English.
Table 1. Availability of Simple present (SP) and Present progressive estar/be form (PP)
for expression of action in progress in Brazilian Portuguese (BP), Spanish and English
gerund ‘have been doing’, and viver + gerund ‘to always be doing some-
thing.’ Fafulas (2015) holds that multiple progressive constructions are
available in Spanish. His results also point to, albeit more limited than in
Spanish, availability of multiple progressive forms in English. The current
study tests the availability of these forms and their linguistic predictors of
use in American English, BP, and Argentinean Spanish.
4. Current study
4.1. Methodology
This investigation explores a corpus of simultaneous oral narratives in
three languages and asks:
(i.) What is the frequency of use of present progressives (aux + V-ndo/-ing)
and simple presents?
(ii.) Are there differences between American English, Argentinean Spanish, and BP?
(iii.) Which linguistic factors are correlated with the use of each form in each of
these languages?
The participants for the current study were all native speakers of their re-
spective languages. The relevant information for each participant group is
summarized in Table 2.
Each participant watched the ‘Pear Stories Film’, a movie that contains
sound but no dialogue. Participants were asked to simultaneously tell the
story with as much detail as possible as if telling it to a friend on the phone
that could not see the video. Participants completed a brief background ques-
tionnaire (either written or orally) from which the participant information
presented in Table 2 was derived.
Mean
Group Participants Inclusion Criteria
Age
All living in Rio de Janeiro, BP-speaking
Brazilian 10 parents, limited English and Spanish
38.5
Portuguese (3M/7F) proficiency, limited experience in Eng-
lish and Spanish speaking countries
All living in Buenos Aires, Spanish-
Argentinean 10 -speaking parents, limited experience in
38.8*
Spanish (5M/5F) English and Portuguese-speaking coun-
tries, majority from River-plate region
All born in USA, English-speaking par-
American 10
19.6 ents, no significant time abroad in Span-
English (4M/6F)
ish or Portuguese-speaking countries
*= A handful of participants in this group did not give their age; calculations are based on
approximate/average ages.
Table 2. Participant Groups of the current study
68 Stephen Fafulas
First, each digital audio recording obtained from the simultaneous narra-
tion of the ‘Pear Stories Film’ was transcribed. Subsequently, all verb forms
were tabulated and the range and frequency by group calculated. Next, each
token of a verb produced in a context with present time reference was sepa-
rated for coding. The initial analysis concerned frequency and use of the
variants: present tense and estar/be progressive forms. Then similar counts
and analyses were conducted for other-based auxiliaries with V-ndo/-ing
(e.g. andar/to go around, venir/vir/come along, ir/to go, seguir/conti-
nuar/keep on + V-ndo/-ing). Forms such as existential + V-ndo/-ing and
elliptical/bare gerunds were excluded, given these did not match the criterion
of a progressive construction as a periphrastic formed of an auxiliary verb
(e.g. estar/be, ir/go, andar/go around) and a present participle (Verb + -an-
do, -endo, -iendo, -ing, etc.). In addition, all tokens of estar/ser ‘to be’ as a
main verb and ter / hay ‘there is/are’ functioning as existentials were exclud-
ed given these were invariantly produced with the simple present. BP infini-
tival forms, such as ‘continua a tirar’ (4 tokens total) were coded as simple
present given their lack of progressive morphology.
After the frequency of forms was tabulated, each form was coded for
these linguistic variables:
(a) Adverbial phrase (locative, temporal, other (e.g., sequential), none)
(b) Lexical aspect (statives, activities, achievements, accomplishments)
(c) Clause type (subordinate vs. main)
(d) Animacy of the subject (animate vs. inanimate)
(e) Polarity of the clause (negative particle present?)
(f) Intervening material between the auxiliary verb and the gerund (yes/no?)
Example of coding:
O homem está realmente colhendo pêras da árvore
‘The man is really gathering pears from the tree’
[estar progressive: locative, activity verb, main clause, animate subject, no
negative, yes intervening]
Estar + V-ndo
(Es)tá realmente colhendo pêras com uma vestimenta…
“(He) Is really collecting pears with an apron…”
The pear stories film 69
Other-base + V-ndo
O homem não se da conta e continua colhendo seus frutos
“The man does not notice and continues collecting his fruits”
5. Results
5.1. Distribution of forms
The overall distribution of forms can be seen in Table 3. In total, participants
produced 2314 verbal predicates for analysis. As anticipated, participants pro-
duced mostly present tense forms. However, the languages differ in their use of
other tensed verbs and infinitives. This could mean that each language allows
for different verbal tenses and moods in the narration of present-tense actions.
Table 4 reveals that the simple present was the most frequently used form
by the groups in the current study. However, the frequency of use of each
form is noticeably different across language groups. Of the three languages,
Argentinean Spanish allows for the most use of the simple present in the
corpus of simultaneous narrations. This finding might affirm claims that the
simple present is more available for the expression of action in progress in
Spanish than in BP and English. At the same time, the simple present is also
frequent in BP. It is known that the simple present is available for other
functions such as historical narrations and in the reporting of sequential
events. Thomas (1969: 117) observes that in Carioca Portuguese narrations,
the indicative may replace the preterite or imperfect. Cunha (2004: 230)
holds that the simple present is frequent in sports narrations and as a rhetori-
cal device to project past events into the present and add a quality of “liveli-
ness” to the discourse. While future research is necessary, the results of the
current study indicate that the simple present is more available for ongoing
action with speech time than previously claimed, and this function is strong-
er in Argentinean Spanish than in BP or American English. Equally as re-
vealing is the use of the estar/be and other-based progressives by each
group. For the American English group, be + V-ing constitutes 39.9% of
their total forms. Among the BP group the estar + V-ndo form makes up
12.7% of their total forms. Finally, the Argentinean Spanish group uses estar
+ V-ndo at a rate of only 4.1% but they nearly twice the amount of other-
-based progressives. The BP group also uses more other-based progressives
than estar + V-ndo. In summary, be + V-ing in American English is three
The pear stories film 71
times more prevalent in simultaneous narrations than the estar + V-ndo form
in BP, and almost ten times more common than estar + V-ndo in Argentinean
Spanish. Equally as notable, other-based progressives are more frequent over-
all than estar + V-ndo in the Romance languages, but not in English.
5.2. Linguistic variables
The remaining analyses are concerned with the linguistic variables asso-
ciated with the use of each form by each language group. In each table, SP
stands for Simple Present, EPP Estar/Be Present Progressive, and OPP for
Other-Based Present Progressives. Each table displays the results of the
across-category distribution for each form and the linguistic variable in ques-
tion. That is, the percent and token count of each form used across all cate-
gories of the linguistic factor are presented. The across-category distribution
reveals the total use of each form (approximately 100%) across all categories
of the factor in question. For example, consider the American English group
in Table 5; the across-category division is: SP 39.1% with stative predicates,
3.4% with activity predicates, 38.0% with accomplishment predicates, and
19.4% with achievement verbs. This is the total distribution of simple pre-
sent forms across the four categories of the factor lexical aspect for this
group. The same holds for the present progressive be + V-ing and other-
-based progressive. The results of the individual chi-squares appear in the
discussion section.
5.2.1. Lexical aspect
As seen in Table 5, American English and BP allow for the pairing of
progressive morphology with stative verbs while Argentinean Spanish does
not. American English also allows for more progressives with accomplish-
ments than do BP or Argentinean Spanish. In fact, Argentinean Spanish dis-
allows the estar progressive with accomplishment predicates. While the es-
tar progressive is highest with activity verbs for BP and Argentinean Span-
ish, the ‘be’ progressive is much lower in American English.
5.2.3. Animacy
Table 7 reveals that the majority of subject tokens in the ‘Pear Stories
Film’ were animate. The results show a stronger favoring of animates with
progressive morphology (both estar/be and other-based progressives) than
The pear stories film 73
with simple present morphology. While both simple present and present
progressive forms are favored with animates, there is a stronger pairing of
animate and progressive morphology than there is between inanimate and
progressive. This is in line with the proposal that progressive aspect is heavi-
ly associated with dynamic situations, which are generally acted out by ani-
mate agents (Bybee, Perkins, & Pagliuca, 1994). Differences are also visible.
BP allows for the most estar progressives with inanimates (5.5%) and Ar-
gentinean Spanish the most other-based progressives with inanimates
(5.3%).
5.2.4. Polarity
Table 8 displays the results for polarity and form by language group.
According to Torres Cacoullos (2000) negative clauses are more conserva-
tive and display older patterns of the language. Negative polarity contexts
are more resistant to change and the extension of new uses of a given lin-
guistic form. If the present progressive is the form undergoing change,
expanding its use to more contexts, it is predicted that the simple present
will be preferred in negative polarity contexts. Torres Cacoullos (2000)
adds that negative polarity situations will disfavor the estar + V-ndo pro-
gressive precisely because positive polarity is consistent with overtness
which is one of the core features of the progressive. As predicted, the data
show that the estar + V-ndo, as well as other-based progressives, are pro-
hibited in negative polarity contexts by the BP and Argentinean Spanish
groups. Although not favored, the ‘be’ progressive is possible in negative
polarity contexts for the American English group. This could potentially
signal that the progressive is more grammaticalized in American English
than in these other two languages.
74 Stephen Fafulas
5.2.6. Adverb
Lastly, the results and distribution of simple present and present progres-
sive forms based on adverbial type in the context are presented in Table 10.
All three groups display a similar pattern in that the be/estar progressive is
highest with no accompanying adverb, followed by locative adverbs. In fact
this pattern holds for other-based progressive constructions as well. Thus, in
the majority of contexts observed in the current study, morphological mark-
ing and the semantics of the verb are sufficient for expressing the nature of
the predicate. This is quite possibly a result of the task, which presented
action clearly identifiable in the video and subsequently may have required
fewer adverbial tools for specification. The finding that estar and ‘be’ pro-
gressives are common with locative adverbs is linked to their diachronic
development, as they originated out of verbs that were used to locate a sub-
ject in a place (Bybee, Perkins, & Pagliuca, 1994).
Other
Locative Temporal No
Adverb Types of Ad-
Adverb Adverb Adverb
verbs
Group SP EPP OPP SP EPP OPP SP EPP OPP SP EPP OPP
American (59) (59) (6) (36) (45) (2) (10) (2) (0) (245) (141) (14)
English 16.9 23.9 27.3 10.3 18.2 9.1 2.9 0.8 0 70.0 57.1 63.6
Argentinean (122) (7) (15) (37) (3) (6) (30) (0) (3) (428) (19) (33)
Spanish 19.8 24.1 26.3 6.0 10.3 10.5 4.9 0 5.3 69.4 65.5 57.9
Brazilian (127) (24) (22) (44) (14) (11) (44) (8) (9) (207) (27) (37)
Portuguese 30.1 32.9 27.8 10.4 19.2 13.9 10.4 11.0 11.4 49.1 37.0 46.8
Note: SP=simple present; EPP=estar/be progressive; OPP=other-based progressive
Table 10. Distribution of adverbs in the context by form and group in simultaneous narrations
6. Discussion
The present investigation offers an empirical analysis of simple present and
present progressive forms in simultaneous narrations of the ‘Pear Stories
Film’. Croft (2010) used the ‘Pear Stories Film’ to show how morphosyntac-
tic variation might be observed in real-time, analyzing retells of the film by
native speakers of English. The current study extends Croft’s analysis with a
cross-linguistic observation of one linguistic function: the expression of on-
going action simultaneous with speech time. The current study takes a first
step in resolving previous uncertainties of the values and possible uses of
simple present and present progressive forms in Spanish, English, and BP
(see sections 1-3).
Results indicated both similarities and divergences across language types.
The overall distributions in the corpus of oral narratives revealed that the
76 Stephen Fafulas
American English group employed the ‘be’ progressive much more than the
Argentinean Spanish or BP speakers used the estar progressive. At the same
time, the Argentinean Spanish group used more simple presents than either
other group, and the BP group displayed the highest overall percentage of
other-based progressives. Furthermore, BP and Argentinean Spanish both
used more other-based progressive types than estar + V-ndo, while the
American English speakers used vastly more be + V-ing than other-based
progressives. Thus, it appears that in Argentinean Spanish and BP other-
-based progressives are much more commonly used in film narrations than
they are in American English. These finding add to those of Fafulas (2015)
who considered a range of progressive constructions in monolingual and
bilingual Spanish oral narrations and found that speakers from Spain used
more other-based progressives than estar + V-ndo while the opposite was
true for speakers from Mexico. The current study as well adds results for
different progressive constructions in BP. Future analyses will need to test
whether a similar diversity of progressive constructions is used in other gen-
res and speech contexts.
The linguistic factors observed in the current study also uncover signifi-
cant disparities between the three groups. Table 11 displays the chi-squares
for each and the distribution of simple presents and present progressives by
group. The results in Table 11 show that Argentinean Spanish and BP be-
have more similarly than either group does in comparison to American Eng-
lish. This is likely due to the historical origins of Portuguese and Spanish
(Clements, 2009).
All three groups show a strong significance for lexical aspect. This lends
support to claims that inherent semantics of the verb predict morphological
pairing, making this a potential universal property of languages. Regarding
The pear stories film 77
clause type there are cross-linguistic differences. American English does not
reach significance while Argentinean Spanish and BP do show significance
in their distribution of forms across main and subordinate clauses. Table 11
reveals differences in the cross-linguistic strength of the effects of animacy
on morphological distribution and tense/aspect marking. One can also note
in Table 11 that the distribution of forms in the corpus of simultaneous nar-
ratives is significantly affected by polarity for the BP group only. Table 11
illustrates that American English does not reach significance for the percent-
age of intervening elements and progressive type while in BP and Argen-
tinean Spanish there are significant differences. The results in Table 11 dis-
play further cross-language differences in that the American English group
reached significance for distribution of simple presents and present progres-
sives with adverbial types, while the BP and Argentinean Spanish groups did
not render significant results.
The current study holds that synchronic studies of grammatical variation
in semi-spontaneous speech should be compared to previous classifications
of cross-linguistic prototypical gram types in order to explore the extent to
which diachronic changes may have resulted in language-specific form-
-function mappings. It is through this method that new language-specific
changes and the expansion of previous usages of gram types and linguistic
forms can be uncovered. With this approach, the present investigation was
able to further advance our understanding of recent developments such as the
spread of progressives to stative verbs in BP and American English, but not
in Argentinean Spanish. Michaelis (2011: 1386) explores the stativity of
progressive phrases in English, citing this language as typologically rare in
that the simple present does not allow an “in-progress” reading of present-
-tense predications in which the event denoted by the verb is ongoing at
speech time. Michaelis also points out the fact that currently in other Ger-
manic languages, and in earlier stages of English, the simple present is used
to report an event ongoing at speech time. The present study found that the
simple present is used in narrative discourse to depict events “simultaneous
with speech time”, with all lexical aspectual classes in English, however this
specific function varies by language type and between typologically similar
languages (Spanish and Portuguese).
The differences prescribed by grammarians and researchers in as far as
the uses of the simple present and present progressive are at least partly
traceable to the specific diachronic developments of form-function parings
across languages. The present study holds that methodologies such as those
of Dahl (1985) and Bybee, Perkins, and Pagliuca (1994) should be comple-
mented by cross-linguistic studies of oral data. Usage-based researchers have
exposed the mechanisms by which once prevalent forms in a language,
which might still be taught as standard and cited as frequently used in
78 Stephen Fafulas
7. Conclusions
Through a corpus of simultaneous oral narratives of the ‘Pear Stories Film’,
the current study provided an overview of important similarities and differ-
ences in the use of simple present and present progressive forms by speakers
of BP, Argentinean Spanish, and American English. While each form is pos-
ited to have followed a similar grammaticalization pathway (Bybee, Perkins,
& Pagliuca, 1994), observable differences in frequency of use and linguistic
constraints lead to the conclusion that in each language these forms may
have developed somewhat differently and may currently be at different
points in the grammaticalization process. This idea is not new among usage-
-based linguists (see Bybee, 2010). If all languages followed the same pre-
cise path without divergence there would be much less grammatical varia-
tion and change. Thus, while diachronic accounts of the development of
tense-aspect forms offer the global patterns through which grammatical
forms may change, the current study follows in the work of Croft (2010) in
providing evidence of the necessity to complement these findings with syn-
chronic analyses of cross-linguistic grammatical variation in semi-
-spontaneous speech. Specifically, the findings of the present analysis sup-
port the claims of Mendes and Howe (2013) who hold that previous cross-
-linguistic comparisons of the progressive have obscured important lan-
guage-specific behaviors of these forms. The present investigation has ex-
tended this to more language types and included the simple present form to
explore the extent to which it competes with progressives in depicting “on-
going action simultaneous with speech time”. Importantly, the present inves-
tigation posited that other-based progressive constructions, aside from the
frequent be/estar progressive, compete in the domain of imperfective aspect,
and are essential in the analysis of the development and present-day use of
progressive and present forms. Without the inclusion of these constructions
The pear stories film 79
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The pear stories film 81
MARCELLO MODESTO
(Universidade de São Paulo)
ABSTRACT: This paper examines the interaction between topics and focused
phrases and their behavior with respect to reconstruction and minimality in Brazili-
an Portuguese; and shows that a topic may be moved across a moved focused
phrase, but may not move over a base generated focus or another (moved or base
generated) topic. Such state of affairs is explained if focused phrases (when moved)
are moved in the PF component of grammar, as argued by Aoun and Benmamoun
1996. Wh-phrases are argued to behave differently (being moved in the syntax) due
to the presence of a wh-feature, which is moved to the Spec of CP during the syntac-
tic derivation.
1. Introduction
In this work, we examine the interaction between topics, focused phrases,
wh-phrases and their behavior with respect to reconstruction and minimality
effects in Brazilian Portuguese (BP). It will be argued that both topics and
focalized phrases may move from their argument position to a dislocated
position in the left periphery of the sentence, or be merged already in that
position, binding a null or an overt pronoun at the thematic position. Moved
elements will display reconstruction, as expected. We assume, as commonly
done (cf. Lebeaux, 1990; Chomsky, 1995; Aoun et al., 2001), that recon-
struction implies movement. Since strong pronouns, not clitics, are used as
resumptives in BP, whenever there is resumption, it will be assumed that no
movement occurred. The interaction between topics, focused phrases and
wh-phrases with respect to reconstruction reveals the following generaliza-
tion: a topic may move across a moved focused phrase, but may not move
over a base generated focus or another (moved or base generated) topic.
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 83-109
84 Marcello Modesto
2. BP data
2.1. Topic and focus
Many authors have tried to define what is usually called Topicalization,
(Clitic-) Left Dislocation and Focalization (Chomsky 1981; Rizzi 1986;
Cinque 1990, a.o.). In this discussion, I will assume the cartographic view of
Rizzi (1997) in which topics and focused phrases need to be in some relation
to a specialized functional projection in the complementizer region of the
clause. Such a relation may come to be by external or internal merge, charac-
terizing what we will call movement. In other words, a topic may be merged
in its thematic position and then remerged in Spec TopP, or it may be
merged from the initial array in Spec TopP and be related to a thematic posi-
tion (occupied, in some languages, by a clitic, a weak, a strong, or a null
pronoun). I will assume that the projection of TopP is only triggered when
some constituent contains a Topic feature; Agree between the Top head and
the head of that constituent is necessary for convergence. Assuming also that
left peripheral positions such as topic and focus are “criterial” or “EPP” po-
sitions (i.e. they force the presence of some constituent in their specifier
position; by containing an EPP feature or some other technical machinery),
either the topic constituent is remerged in Spec TopP or another phrase from
the array is merged there. In this way, topic constructions in BP will present
the two possible structures depicted below:
Focus movement as PF 85
(1) a. [C [TopP esse livro [TP você devia dar esse livro pra Maria
this book you should give this book to Maria
(não pro Paulo)]].
not to Paulo
b. [C [TopP esse livro [TP você devia dar ele pra Maria
this book you should give it to Maria
(não pro Paulo)]].
not to Paulo
(2) ESSE LIVRO você devia dar _ pra Maria (não uma agenda).2
this book you should give to Maria (not a calendar)
In this case, the fronted element, bearing focal stress, usually introduces
new information,3 whereas the open sentence that follows it expresses old
information, given by the discourse. In English, just like in BP, this structur-
al option is restricted to a specific kind of contrastive focus: (2) presupposes
that you believe that you should give a calendar to Mary, and tries to correct
that belief.
1
The analysis of Topicalization in English may not be as simple as described by (1a) for BP;
it may involve movement of a null operator. The assumption of a null operator, opposed to
actual movement of the focused phrase in Focalization, is used in Rizzi (1997) to highlight
his claim that Focus is quantificational while Topic is not, explaining for instance why only
Focus movement (and Topicalization in English) gives rise to WCO effects. I will disregard
these language particular idiosyncrasies.
2
Throughout this paper, capitalized letters indicate phrases receiving Extra High (Ex-H)
pitch, as defined in Zubizarreta (1998): a nuclear pitch accent that is higher relatively to the
other pitch accents in the intonational contour than in the case of “unmarked” main promi-
nence. Also throughout, an underscore marks the argumental position related to the dislo-
cated focused phrase.
3
One instance in which the fronted focused phrase constitutes old information, pointed out
by Zubizarreta (1998), is the case of answers to wh-questions where the alternatives are ex-
plicit in the discourse, as in the extract below:
(i) Q: What does John read every day: the news or the horoscope?
A: The NEWS John reads every day.
86 Marcello Modesto
(4) a. Pra Maria, (eu acho que) você devia dar um livro _
to Maria (I think that) you should give a book
(não uma agenda).
(not a calendar)
‘To Maria, (I think) you should give a book’
b. Pra Maria, (eu acho que) você devia dar um livro pra ela
to Maria (I think that) you should give a book to her
(não uma agenda).
(not a calendar)
‘To Maria, (I think) you should give a book to her (not a calendar).’
c. PRA MARIA (eu acho que) você devia dar um livro _
to Maria (I think that) you should give a book
(não pra Joana/*não uma agenda).
(not to Joana/*not a calendar)
‘To Maria, (I think) you should give a book (not to Joana).’
the structure (5a), in which the PP was moved, and (5b), in which the PP is
merged already in the periphery. In the examples in (4) and (5) we use PPs
instead of DPs to make clear that the topics (dislocated phrases) discussed here
are not “hanging topics” as defined by Benincà and Poletto 2004. However,
using PPs raises the question of what is the null resumptive category in the-
matic position, in such cases. I will simply assume that a null pronoun may
resume a PP, since its Case will be valued by binding of the dislocated topic.
Alternatively, the resumptive may be elided because it contains a subset of the
features present in the topicalized PP (see Roberts 2010), making the uttering
of it redundant. We have no space to discuss such matters. We will simply
assume that the structures in (5) both exist in BP: one in which there is move-
ment of some argument or adjunct to the left periphery, and one in which there
is no movement and a (possibly null) pronoun occupies the theta position re-
lated to the topic (be it a DP or a PP). I will also assume that overt resumption
implies lack of movement (although that may not be true of languages like
Italian, in which clitics are used for resumption).
(5) a. [Pra Maria, [eu acho que você devia dar esse livro pra Maria]
to Maria I think that you should give this book to Maria
b. [Pra Maria, [eu acho que você devia dar esse livro pro]
‘To Maria, I think you should give this book.’
(6) a. (Eu acho que) (d)o Pedro, eu conheço uma mulher que gosta
(I think that) of.the Pedro I know a woman that likes
(dele).
(of.him).
‘I think that Pedro, I know a woman who likes him.’
b. *(De) quem voce conhece uma mulher que gosta?
(of) who you know a woman that likes
‘*Who do you know a woman who likes?’
4
There is a preference, in BP, to use the silent pronoun when referring to inanimate things
and a full pronominal when referring to animate beings. Disregard to that preference does
not lead to ungrammaticality.
5
The topics in (6-8) cannot be the hanging topics discussed by Benincà and Poletto 2004,
since they follow the complementizer in embedded clauses. In fact, BP does not have the
kind of hanging topic discussed by the Italian authors. BP has a kind of hanging topic found
also in Chinese, which is a topic that has no thematic place in the sentence, discussed later
in this work.
88 Marcello Modesto
(7) a. (Eu acho que) filmes de arte, ver (eles) em vídeo é perda de tempo.
(I think that) films of art watch (them) in video is waste of time
‘I think that art movies, to watch them on video is a waste of time.’
b. *O que ver em video é perda de tempo?
what to watch in video is waste of time
‘*What to watch on video is a waste of time?’
(8) a. (Eu acho que) o Pedro, a Maria só foi embora depois que
(I think that) the Pedro the Maria only went away after that
encontrou (ele).
saw (him)
‘I think that Pedro, Maria only went away after seeing him.’
b. *Quem a Maria só foi embora depois que encontrou?
who the Maria only went away after that saw
‘*Who did Maria only go away after seeing?’
Since extraction from strong islands is the relevant context, from (6-8),
we conclude that topic-comment structures in BP are ambiguous between
Topicalization, a syntactic derivation which involves movement, or Left
Dislocation, which involves no movement but external merge of a phrase in
a dislocated position related to a (silent or overt) pronoun in argument posi-
tion. When the topic is related to a position inside a (strong) island, as in (6-
-8), the structure is unambiguously a case of Left Dislocation, even if no
overt pronoun is present, since movement from strong islands is barred.
2.2. Island contexts and reconstruction
As expected, if Topicalization involves movement, reconstruction of top-
icalized phrases is possible:
(9) O seu melhor aluno, todo professor convidou _ pra fazer pós.
the his best student every professor invited (him) to do graduate
‘His best student, every professor invited him to enter the graduate program.’
In (9), we see that the pronoun seu (‘his’) may be bound by the quantifier
todo (‘every’). However, to have this bound reading, there must not be an
overt resumptive pronoun in the argument position related to the topicalized
phrase. With the overt pronoun, the only possible readings are the ones in
which seu assumes second person interpretation6 or it refers to some student
6
In BP, as the pronoun você (which is syntactically third person) replaced the second person
pronoun tu ‘you’, the third person possessive pronouns seu ‘his’ became ambiguous be-
tween second and third person interpretations, so the analytical form dele (literally of+him)
is used for third person in most cases, in order to avoid ambiguity. Therefore, a phrase such
Focus movement as PF 89
in particular. This is what we expect: the version of (9) with an overt pro-
noun in argument position is a case of Left Dislocation, which involves no
movement and therefore cannot reconstruct the topic into the argument posi-
tion. The version of (9) with a gap is ambiguous between Topicalization and
Left Dislocation (using a silent pronoun). We can assume that, if the intend-
ed meaning of (9) requires reconstruction, the ambiguous sentence will be
analyzed only as Topicalization.
Following this reasoning, we predict that, in island contexts, reconstruc-
tion should be never possible. An ambiguous sentence between a topicalized
and a left dislocated structure will be analyzed as Left Dislocation only,
since no movement can happen from inside of a (strong) island. This predic-
tion is borne out:
(10) a. O seu melhor aluno, todo professor que convidou (ele) pra fazer
the his best student every professor that invited (him) to do
pós se arrependeu.
graduate refl regretted
‘Your best student, every professor who invited him to enter the grad-
program regretted it.’
b. O seu melhor aluno, que todo professor tenha aborrecido (ele)
the his best student that every professor have bothered (him)
é duvidoso.
is doubtful
‘Your best student, that every professor bothered him is doubtful.’
c. O seu melhor aluno, todo professor cumprimentou a família dele
the his best student every professor congratulated the family his
depois de sabatinar (ele).
after of questioning (him)
‘Your best student, every professor congratulated his family after ques-
tioning him.’
as “o seu melhor aluno” may be translated either as ‘his best student’ or as ‘your best stu-
dent’. This ambiguity will be crucial in telling when reconstruction is allowed.
7
The sentences in (10) are somewhat marginal if seu is interpreted as third person when it is
not bound. This is due to the fact, pointed out in Negrão and Müller (1996), that, in BP,
there has been a specialization of pronominal forms: seu (interpreted as third person) is used
in bound contexts (when the pronoun is bound by a quantifier) whereas dele (of+him) is
used otherwise.
90 Marcello Modesto
(12) a. (Eu acho que) O PEDRO, eu conheço uma mulher que viu _ .
(I think that) the Pedro I know a woman that saw _
‘I think that Pedro, I know a woman who knows him.’
b. (Eu acho que) FILMES DE ARTE, ver _ em video é
(I think that) films of art watch _ in video is
uma perda de tempo.
a waste of time
‘I think that art movies, to watch on video is a waste of time.’
c. (Eu acho que) O PEDRO, a Maria só foi embora depois
(I think that) the Pedro the Maria only went away after
que viu _.
that saw _
‘I think that Pedro, Maria only went home after seeing him.’
(13) a. (Eu acho que) O PEDRO,eu conheço uma mulher que viu ele
(I think that) the Pedro I know a woman that saw him
na festa .
at.the party.
‘I think that Pedro, I know a woman who saw him at the party.’
8
There may be some BP speakers who accept (11b), focalization with resumption; my own
judgment is only representative of the BP spoken in big cities, generally by educated peo-
ple.
Focus movement as PF 91
The contrast between (13) and (11) shows that sentences in which a fo-
calized phrase is related to a position occupied by an overt resumptive pro-
noun inside an island are possible, whereas sentences in which the pronoun
is not in an island are not. It is possible, then, to assume that focalized con-
stituents may be generated in either position. In other words, Focalization
may or may not involve movement, just like Topicalization/Left Dislocation.
When the constituent is moved, an overt resumptive pronoun is impossible
in the (argument) position related to the focalized phrase; when it is base
generated in the left periphery position (in the case where insertion in the
argument position and movement to the dislocated position would violate
some island constraint, for instance), an overt or null pronoun occupies the
position to which the focalized phrase is related to. The sentences in (13)
indicate that this possibility is empirically correct. Theoretically, the assump-
tion is also not problematic since the two possible derivations are not compa-
rable in terms of economy: if there is no resumptive pronoun in the initial
array, the focalized phrase is inserted (merged) in its thematic position and
moves. If there is a resumptive pronoun in the initial array, the pronoun is
inserted in the -position and the focalized phrase in the dislocated position.
The only open question is why it should be the case that, in sentences that
do not involve islands, an initial array containing a resumptive pronoun is
excluded. Although we do not have an answer for that question, the general-
ization we can extract from (12-13) is that the focalized phrase will be gen-
erated in the dislocated position (binding a null or overt resumptive pronoun)
only if related to an argument position inside an island. Informally speaking,
the numeration without the resumptive pronoun is always preferred, if a
convergent derivation can be obtained.9 This resembles the behavior of wh-
-phrases in BP: wh-phrases are (not obligatorily, but usually) moved overtly;
however, if the wh-phrase is inside an island, it obligatorily stays in situ. In
9
I do not see how this generalization should be formalized since it clearly cannot be stated as
a condition on the well-formedness of numerations.
92 Marcello Modesto
this way, both focalized phrases and wh-phrases are preferably moved (for
unclear reasons). As for violation of islands effects, we now see that no
movement is involved when the focalized phrase is related to a position in-
side an island: it actually binds a (null or overt) resumptive pronoun in that
position.
We should expect, following the considerations above, that focalized
phrases reconstruct only when moved, and that seems to be what we get, i.e.
sentences “b”, “c” and “d” in (14) only have the interpretation where seu is
taken as a second person pronoun:
10
Mary Kato (p.c.) suggested that the absence of the bound reading in the (b) example, for
instance, in contrast with (a) could be caused by the complexity of the former. It is easy to
show, however, that increasing the complexity of (14a) would not affect the possibility of
the bound reading:
(i) O SEU DEPARTAMENTO todo professor que chegou da Europa acha o
the his department every professor that arrived from Europe considers the
melhor.
best.
Focus movement as PF 93
11
I intentionally placed the direct object in the higher dislocated position in (16b, c, d) to
show that the impossibility of moving two focalized phrases is not related to superiority ef-
fects. This can also be seen by the fact that (16c), for instance, is bad with both orders:
(i) *PRO LUIZ eu acho que ESSES CDS a Maria recomendou.
to Luiz I think that these CDs Maria recommended
Focus movement as PF 95
are in different clauses. There can be no more than one F-marked constituent
even if one of them stays in situ, unless in the case of multiple wh-phrases,
to which we will return. I will try to explain those facts by assuming, with
Zubizarreta, that a focused phrase cannot be deaccented. At PF, dislocated
phrases will receive ex-H pitch by virtue of occupying the Spec FocP posi-
tion, and what follows the dislocated Ex-H pitch phrase is deaccented (this
last part according to Zubizarreta). If two phrases occupy the Spec position
of (the same or different) FocP projection, one of these two phrases would
have to be both deaccented and Ex-H, causing the derivation to crash at PF.
Even if the F-marked phrase stays in situ, it cannot be deaccented, explain-
ing the impossibility of (16d). On the other hand, (16e) is possible because,
as we independently conclude below, moved wh-phrases do not sit at Spec
FocP but at Spec CP. In this way, moved wh-phrases are not marked Ex-H at
PF and the rest of the sentence need not be deaccented. It is then predicted
that a non-wh-phrase when focus-moved cannot co-occur with any F-marked
phrase, including a wh in situ, and the prediction is borne out, as seen in (21)
below.
It also seems problematic that both topics and focalized phrases can either
stop at the embedded CP complex or move up to the matrix clause even if
related to a position in the lower clause. We will assume that, in the former
case, TopP and FocP are simply not present in the structure of the matrix
clause. If they were, then topics and focused phrases should move to that
position, in order to check the features of the Top and the Foc heads. How-
ever, having checked their features in the lower clause would prevent those
phrases from moving any further and the derivation would not converge. In
the latter case, when topics and/or focus move to the matrix CP complex
from an embedded clause, it must be the case that there are no TopP and
FocP in the lower CP complex, for the reasons just described.
With these considerations out of the way, it is possible now to examine
the interaction between moved topics and focalized phrases. Consider (17):
(17) a. O seu melhor aluno, PRA FAZER PÓS (eu tenho impressão
the his best student to do graduate (I have impression
que) todo professor convidou.
that) every professor invited
‘His best student, to enter the graduate program, I have the impression
that every professor invited.’
b. O seu melhor aluno, eu tenho impressão que PRA FAZER PÓS
the his best student I have impression that to do graduate
todo professor convidou.
every professor invited
‘His best student, I have the impression that, to enter the graduate pro-
gram, every professor invited him.’
96 Marcello Modesto
In (17a, b), the focalized phrase was moved since it is not related to a po-
sition inside an island. Both sentences in (17) allow a bound reading of the
pronoun in the topic phrase, so the topic must have been derived by move-
ment if that interpretation is considered. We see, then, that Topicalization
can apply over a focused phrase derived by movement. However, if the fo-
cused phrase is base generated in the dislocated position, the bound reading
of the pronoun in the topic becomes unavailable:
In (18a, c), the focused phrase must be generated in the dislocated posi-
tion since it is related to a position inside a strong island. The topic, on the
other hand, could in principle be moved or base generated since it is not
related to a position inside an island. Those sentences, however, do not allow
for the bound reading of the pronoun inside the topic, so the topic must have
been left dislocated (generated at the dislocated position). Sentences (18b,
d), without the intervention of the focused phrase, do allow for the bound
reading. We conclude, then, that a topic can be topicalized over a moved
focused phrase but not over a base generated focused phrase. This conclu-
sion contrasts with the interaction between two topics:
Focus movement as PF 97
(19) a. O seu melhor aluno, pra fazer pós, (eu tenho impressão
the his best student to do graduate I have impression
que) todo professor convidou.
that every professor Invited
‘His best student, to enter the graduate program, I have the impression
that every professor invited him.’
b. O seu melhor aluno, eu tenho impressão que pra fazer
the his best student I have impression that to do
pós, todo professor convidou.
graduate every professor invited
‘Your best student, I have the impression that, to enter the graduate
program, every professor invited him.’
c. Pra fazer pós, o seu melhor aluno, todo professor
to enter the grad-program his best student every professor
convidou.
invited
‘To enter the graduate program, his best student, every professor
invited.’
d. Pra fazer pós, eu tenho impressão que o seu
to enter the grad-program I have the impression that his
melhor aluno, todo professor convidou.
best student every professor invited
‘To enter the graduate program, I have the impression that, his best
student, every professor invited him.’
In (19), the topic containing the pronoun seu might have been moved or
generated in the dislocated position, since we are assuming that those struc-
tures are usually ambiguous between Topicalization and Left Dislocation.
The second topic, however, must have been moved, since a pronominal ele-
ment cannot refer to the VP fazer pós inside the PP.12 The sentence (19b),
however, does not allow a bound reading of the possessive pronoun in the
higher topic, whereas the ones in (19a,c,d) do. The generalization then seems
to be that, in contrast with the facts in (18), a topic can be moved over an-
other moved topic only if they occupy Spec positions of the same projection.
The same pattern can be seen with respect to a base generated topic. Topical-
ization over a base generated topic is not possible, so sentences (20b, d) do
12
Left dislocation of a PP with a VP complement related to a position inside an island will
be, then, also impossible and those sentences will never be possible since neither the Topi-
calization or Left Dislocation strategies are possible:
(i) *Pra fazer pós, o professor que convidou o seu melhor
to enter the grad-program, the professor that invited the his best
aluno t/pro se arrependeu.
student self regretted
‘To enter the graduate program, the professor who invited his best student regretted doing it.’
98 Marcello Modesto
not allow for the bound reading. Sentences (20a, c), however, allow for the
bound interpretation since both topics are Specs of the same Top projection:
13
If , are in the same minimal domain, they are equidistant from . (Chomsky 1993: 17).
Focus movement as PF 99
projected in the embedded clause, then both topics move to the higher
clause, as in (20c). In both cases, the two topics are equidistant from their
argument position, deriving the fact that no intervention will ensue if the
topics are Specs of the same head. The only way to check features of both
topic heads if two TopP are present in the structure is resorting to base gen-
eration of one of the topics in the Spec position of the higher TopP, which is
the strategy used in (19b) and (20b, d) explaining the lack of reconstruction.
This approach runs into problems, however, in trying to explain why recon-
struction is also impossible in (18a, c), where a base generated focused
phrase intervenes between the topic and its original position. In those cases,
there is, presumably, no feature that a topic could check in the domain of the
head of the Focus projection, so movement of the topic does not “skip” any
position where its features could have been checked. In this sense, Relativ-
ized Minimality is descriptively more adequate since any A’-specifier will
intervene between the topic and its trace (unless the focused phrase is de-
rived by movement, for reasons that will become clear as we proceed). We
will keep to the descriptive generalization, assuming that those cases involve
some kind of Minimality effects. In this way, a topic cannot be moved over a
base generated focused phrase or another (moved or base generated) topic
(unless the two topics are equidistant from the trace positions) because a
specifier position of a “similar kind” intervenes between the moved phrase
and its trace position.
2.4. Interaction with wh-phrases
Still following Rizzi (1997) and Zubizarreta (1998), we assume that a
wh-phrase always bears the feature F and is moved to Spec FocP. Thus, we
predict not only that a wh-phrase cannot co-occur with a dislocated focalized
phrase in the same CP complex in any order, since they compete for the
same position, but also that a moved wh-phrase cannot co-occur with a
fronted focused phrase at all (even if in different clauses), since prosodic
constraints do not allow a Foc projection inside the presupposition of another
FocP. In the same way, in situ focused phrases and wh-phrases cannot co-
-occur with a dislocated focused phrase because F-marked constituents can-
not be deaccented:
Notice that we are following Rizzi in assuming exactly the same deriva-
tion for sentences (24c) and (25). However, there is an asymmetry between
these two sentences left unexplained: as mentioned before, (25) allows re-
Focus movement as PF 101
construction of the topic to the argument position; (24c), on the other hand,
does not allow that reading (the topic must be left dislocated):
If both focused phrases and wh-phrases are moved to Spec Foc, as Rizzi
assumes, this asymmetry cannot be explained. Nevertheless, Rizzi’s argu-
ments, involving adjacency effects and possible word orders in Italian, are
very convincing to the effect that wh-phrases are moved to Spec FocP. The
impossibility of having a wh-phrase and a focused phrase both fronted in the
same sentence in BP, in any order, seems to argue that, in this language, it
also should be the case that wh-phrases and focused phrases compete for the
same position. However, BP differs from other Romance languages in an
important aspect: a wh-phrase can always be followed by the complementiz-
er que, even when there is a preceding topic. Consider the sentences below:
14
We also assume that the head of CP is optionally null when a wh-phrase occupies its Spec.
15
That only base generated topics can appear in that position is also clear since movement is
only driven by feature checking considerations (as it is commonly assumed). In this way,
no topic could be moved to this adjoined position because there is no relevant (topic) fea-
ture that can be checked there.
Focus movement as PF 103
It also becomes clear now why multiple wh questions are possible, con-
trasting with the sentences in (21). In (30), for instance, the wh-phrase is in
Spec CP position and so does not receive Ex-H at PF. The sentence need not
be deaccented in this case and another wh in situ is possible:16
3. Minimality
Let us recapitulate what we have concluded so far: a) movement of a topic is
possible over a moved but not over a base generated focused phrase; b)
movement of a topic is impossible over another topic (either moved or base
generated) and movement of wh-phrases is impossible over topics. These
conclusions are summarized below (where elements related to traces indicate
movement and elements related to pro indicate base generation):
16
Following this logic, we should expect that something like (i) would be possible. However,
although (i) would have no problem at PF, it is semantically awkward. For one thing, the
sentence asserts that João is the correct value for the variable in “Pedro recommended
something to x” but at the same time it questions what is the x such that Pedro recommend-
ed x to João. The sentence is then impossible since one cannot assert that João is the cor-
rect value for a certain variable if one does not know which variable that is:
(i) O que o Pedro recomendou PRO JOÃO?
what the Pedro recommended to João
104 Marcello Modesto
4. Focalization as PF-movement
There is an asymmetry between reconstruction of topics and focused phrases
that has not yet been explained: reconstruction must be total just in the case
of Focalization, but not Topicalization. We see that reconstruction is total in
(32a) since the pronoun in the relative clause of the focused phrase can be
bound by the quantified sentential subject but, in (32b), if there is recon-
struction, it must be partial, because the pronoun in the topic phrase cannot
be bound by the subject, which is not predicted by our analysis so far, since
the topic apparently could be moved in that case:
17
This structure will always derive an ungrammatical sentence (irrespectively of its reading),
since the wh-phrase does not have the option of being generated already in CP and move-
ment would cause a Minimality violation.
Focus movement as PF 105
The same pattern can be seen in (33) concerning binding facts discussed
by Lebeaux (1989). In (33a, c), coreference between the pronoun and the R-
-expression inside the focalized phrase is impossible, while, in (33b, d), co-
reference is possible:18
18
The most embedded element inside the focused phrase receives main prominence in (33a,
c): the verb fez and Maria respectively. However, varying the main prominence inside the
focused phrase does not seem to alter the possibility of coreference.
106 Marcello Modesto
(24) c. O seu melhor aluno, o que todo professor convidou pra fazer?
the his best student what every professor invited to do
‘Your best student, what did every professor invited to do?’
5. Conclusion
We have shown that topics in BP can be moved, characterizing the construc-
tion we have been calling Topicalization, or generated already in a dislocat-
ed position, characterizing Left Dislocation. As expected, only the former
will show reconstruction effects. A left dislocated topic which is related to a
(argument) position occupied by a null or overt resumptive pronoun in the
argument position can be generated as the Spec of a TopP in the C system or
in a position adjoined to CP. A topic that is not related to any position in the
sentence can only be adjoined to CP.
108 Marcello Modesto
In the same way, a focalized phrase can be moved to the Spec of a FocP
or be generated in that position, being related to a null or overt resumptive
pronoun in the sentence. When moved, the focused phrase is moved in the
PF component and so will not affect any LF operation: it shows total or radi-
cal reconstruction and it does not alter binding relations. When it is generat-
ed already in the dislocated position, it must be related to a position inside an
(strong) island.
Wh-phrases in BP are moved to Spec FocP and then to Spec CP in order
to check its focus and wh-features, which are inherently possessed by C0.
The various intervention facts holding between topics and focused
phrases in BP are explained as Minimality, although it is unclear which
common feature among topics and focused phrases would be responsible for
such effects. We also see that Minimality should be taken as a condition on
derivations (or on the operation move-) and that PF movement is con-
strained in the same ways as syntactic movement is: it is driven by feature
checking considerations, observes islands, etc.
References
Aoun, Joseph. & Elabbas Benmamoun (1996). Minimality, Reconstruction, and PF-
-Movement. Ms., USC, Los Angeles.
Aoun, Joseph, Lina Choueiri & Norbert Hornstein (2001). Resumption, Movement
and Derivational Economy. Linguistic Inquiry, 32, 371-403.
Benincà, Paola & Cecilia Poletto (2004). Topic, Focus and V2: Defining the CP
sublayers. In Rizzi, L. (org). The structure of CP and IP. New York: Oxford
University Press, pp. 52-75.
Cecchetto, Carlo and Gennaro Chierchia (1999). Reconstruction in Dislocation Con-
structions and the Syntax/Semantics Interface. In S. Blake, E. Kim and K.
Shahin (orgs.), Proceedings of the 17th West Coast Conference on Formal
Linguistics. Stanford: CSLI publications, pp. 132-146.
Chomsky, Noam (1981). Lectures on Government and Binding. Dordrecht: Foris.
Chomsky, Noam (1993). A Minimalist Program for Linguistic Theory. In K. Hale &
S. J. Keyser, (eds.), The View from the Building 20. Cambridge, Mass: MIT
Press, pp. 1-52.
Chomsky, Noam (1995). The Minimalist Program. Cambridge, Mass: MIT Press.
Cinque, Guglielmo. 1990. Types of A’ Dependencies. Cambridge, Mass: MIT Press.
Frascarelli, Mara (2007). Subjects, Topics and the interpretation of referential pro.
An interface approach to the linking of (null) pronouns. Natural Language
and Linguistic Theory, 25, pp. 691-734.
Kayne, Richard (1994). The Antisymmetry of Syntax. MIT Press, Cambridge, Mass.
Lasnik, Howard & Mamoru Saito (1992). Move-: Conditions on its Application
and Output. Current Studies in Linguistics, 22, Cambridge, Mass: MIT Press.
Focus movement as PF 109
Lebeaux, David (1989). Relative clauses, licencing, and the nature of the derivation.
NELS 20.
Negrão, Esmeralda & Ana Lúcia Müller (1996). As mudanças no sistema pronomi-
nal do Português Brasileiro: substituição ou especialização de formas?,
D.E.L.T.A., 12 (1), pp. 125-152.
Rizzi, Luigi (1986). On the status of subject clitics in Romance. In Osvaldo Jaeggli
and Carmen Silva-Corvalán, (eds.), Studies in Romance linguistics. Dor-
drecht: Foris, pp. 391-419.
Rizzi, Luigi (1990). Relativized Minimality. Cambridge, Mass: MIT Press.
Rizzi, Luigi (1997). The Fine Structure of the Left Periphery. In: L. Haegeman,
(org.) Elements of Grammar, A Handbook in Generative Syntax. Dordrecht:
Kluwer, pp. 281-337.
Roberts, Ian (2010). Agreement and Head Movement: Clitics, Incorporation, and
Defective Goals. Cambridge, Mass: MIT Press.
Zubizarreta, Maria Luisa (1998). Prosody, focus and word order. Cambridge, Mass:
MIT Press.
O POSSESSIVO DE 2ª PL NO DIALETO MINEIRO:
DP E CP EM ANÁLISE
ABSTRACT: This paper aims to analyze structures, such as “um aluno seus” (a-SG
student-SG your-PL = ‘your student’), that occur in dialectal Brazilian Portuguese. In
these structures, the determiner and the noun are inflected for singular, whereas the
possessive is marked with the plural morpheme ‘-s’. In this case, the possessive with ‘-
s’ refers specifically to 2nd person plural and is often postnominal. Considering these
properties, this paper: firstly, reviews the literature about possessives showing that
this issue has not been addressed in previous studies; secondly, presents several data
that have been collected from spontaneous utterances in the dialect spoken in Minas
Gerais; thirdly, investigates what determines this “split agreement”; and, finally,
explains how the postnominal position is derived.
KEYWORDS: 2nd Person Possessives, Number Agreement, DP, CP, Dialectal Brazili-
an Portuguese
1. Introdução
No português padrão (1a) e em outras línguas românicas, como o espanhol
(1b), pronomes possessivos concordam com o nome em número. No entanto,
têm sido frequentes, em certas variantes do português do Brasil, como no dia-
leto mineiro, ocorrências em que o pronome possessivo de segunda pessoa,
seja pós-nominal (2a) seja pós-cópula (2b), não estabelece concordância em
número com o nome. Desse modo, observa-se uma cisão na concordância em
número, porque, enquanto o determinante e o nome carregam traços de singu-
lar, o possessivo recebe marca morfológica ‘-s’ de plural.
1
“Fico imaginando a alegria suas quando viram o trabalho pronto” (De professora universitária
a membros de um projeto, por ocasião de conversa informal, em Lavras, setembro de 2012).
2
“A caneta é suas” (De cliente de restaurante a garçonete por ocasião de atendimento comer-
cial, em Belo Horizonte, março de 2014).
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 111-128
112 Bruna Karla Pereira
2. Revisão da literatura
ta, portanto, de uma substituição de ‘seu’ por ‘dele’, mas de uma especiali-
zação no uso de ‘seu’ para sintagmas mais genéricos e de ‘dele’ para mais
referenciais. Por exemplo, em (4), o sintagma “todos os homens” inviabiliza
a retomada por ‘deles’ (4b), havendo preferencialmente a retomada por
‘seus’ (4a).
(6) a. Foi uma vitória gerativista e minha quando o grupo de Teoria Gramati-
cal conseguiu as primeiras classificações no concurso de monografias
(Müller, 1997: 174).
b. *Foi uma grande e minha vitória quando o grupo de Teoria Gramatical
conseguiu as primeiras classificações no concurso de monografias
(Müller, 1997: 174).
veremos que o possessivo pós-nominal será analisado não como adjunto, mas
como especificador de uma projeção funcional (PossP) no DP.
2.2.1. O possessivo no DP
Segundo Abney (1987), Giorgi e Longobardi (1991), Cinque (2005) e
Aboh et al. (2010), a estrutura nominal reflete a estrutura sentencial, dentre
outras razões, por disponibilizar uma hierarquia de projeções funcionais, que
é determinada pela Gramática Universal. De acordo com Cinque (2005), os
modificadores são gerados em uma ordem fixa pré-nominal, qual seja, Dem
> Num > A > N. Assim, as diferentes ordens atestadas nas línguas resultam
do movimento da projeção máxima NP (e não do núcleo) para posições de
Spec em categorias funcionais (AgrP), geradas acima dos modificadores,
conforme mostrado no diagrama (7).
(7)
3
“Suppose that each phrase (the one containing an Adjective Phrase, the one containing the
Number Phrase, the one containing the Demonstrative Phrase, etc.) needs to be endowed
with a nominal feature to be licensed (i.e., to count as part of the extended projection of
NP), and that this can be brought about by merging above it an Agr(eement) head whose
Spec ultimately comes to have such a nominal feature” (Cinque, 2005: 325-326).
O possessivo de 2ª PL no dialeto mineiro 117
Por sua vez, uma semelhança entre inglês e espanhol é que ambas as lín-
guas podem expressar posse não apenas por meio de pronomes, mas também
por meio de DPs pós-nominais precedidos por preposição, como em (11).
Contudo, enquanto a construção possessiva em inglês permite a presença de
pronomes possessivos seguidos de preposição (12a).
3. Metodologia
Os procedimentos metodológicos empreendidos para obtenção dos dados
compreendem tanto a utilização de entrevistas e diálogos espontâneos, trans-
critos e disponibilizados para download em bancos de dados,4 quanto a utili-
zação de exemplos efectivos, coletados em diferentes eventos do cotidiano
em Minas Gerais, tais como: conversas espontâneas, debates acadêmicos,
reunião de negócios, atendimento comercial e outros. É a partir desta segun-
da fonte que se obtém a maior parte dos exemplos do fenômeno estudado.
Finalmente, para análise, o trabalho se desenvolve dentro das premissas me-
todológicas da sintaxe comparativa na qual se espera o estabelecimento de
correlações entre o português brasileiro e outras línguas, para enfim se pro-
por uma descrição formal.
4
Em projeto desenvolvido na UFVJM de agosto de 2013 a julho de 2014, foi feita uma sele-
ção de dados com ‘seus’ e ‘suas’ a partir de corpora dos projetos: Mineirês (UFMG),
NURC (UFRJ), CEDoHS (UEFS), ALIP (UNESP) e PHPB (UFRJ/USP/UEFS). Esses da-
dos foram gerados por meio da utilização do AntConc. Como resultado, observou-se que,
em um total de 3.406.316 palavras, sendo a maior parte provinda de corpora de Minas Ge-
rais, São Paulo, Bahia e Rio de Janeiro, e uma pequena parte de Rio Grande do Norte, Per-
nambuco, Paraná e Paraíba, encontraram-se duas ocorrências do fenômeno apenas no banco
de dados do Estado de Minas Gerais (Projeto Mineirês – UFMG): “só pra saber um pouquin
da vida suas” e “se ocêis é inimigo pobrema é seus...”. No entanto, como será visto na seção
4.1.4, a produtividade dessas ocorrências se manifesta claramente em dados anotados de
fala espontânea.
O possessivo de 2ª PL no dialeto mineiro 119
(15) 2ª pessoa do singular: “o que que vocêi conversa com as suasi amigas?”
(Projeto Mineirês, MAR65).
(16) 3ª pessoa do plural: “alguns moradoresi, principalmente da rua São José,
abandonam suasi casas por causa da bagunça” (Projeto Mineirês, OP03).
(17) 3ª pessoa do singular: “elei é um homi qui trabalha na na prefeitura [...]
mais é um homi qui é apaixonadu pur mato, di ficá pescanu, levá suasi pa-
nelinha [...] fritá seu pêxim” (Projeto Mineirês, BH06).
(20) “O seus carro não pode ficar estacionado aqui” (De porteiro a passagei-
ros de um carro, em Ouro Preto, 10 de junho de 2015).
4.1.3. Concordância
Será vista agora uma amostra de ocorrências do possessivo de segunda pes-
soa com concordância padrão (21) e com concordância não padrão (22), típica
de variantes coloquiais em geral no PB e não restrita a dialetos regionais.
120 Bruna Karla Pereira
(21) “convivi com meu avô quando eu era pequeno. E as suas avós? Eram brasi-
leiras tamém?” (Projeto Mineirês, ARC06).
(22) “e que que cê faz com as suas coleguinha? brinca de quê?” (Projeto Mi-
neirês, Fita nº 3).
(23) “só pra saber um pouquin da vida suas. Cê tava falano que sua mãe vende,
cê num vende biscoito tambein não [...]?” (Projeto Mineirês, SJP01).
5
“Prenominal possessives show number agreement in BP1, postnominal ones do not [...] a. o
meus livro b. uns livro meu.”
O possessivo de 2ª PL no dialeto mineiro 121
(24) Preciso de dois favores seus! (‘seus’ = ‘de você’7ou ‘de vocês’?)
6
Para uma reanálise ocorrer, é necessário que a mesma construção “esteja aberta à possibili-
dade de análises estruturais múltiplas, sendo que uma das análises potenciais é a antiga (...)
e a outra análise potencial é a inovadora (...)” (Harris; Campbell, 1995: 72, tradução nossa).
Pensando em termos de reanálise, se pudéssemos escolher uma estrutura ambígua em que a
marca de plural indicar, em uma leitura, o número do nome e, em outra, o número da pes-
soa, compatível com o do antecedente (vocativo), esta estrutura seria (25b). Por sua vez, a
estrutura inovadora seria (26), pois, neste caso, a marca de plural só poderia indicar o núme-
ro da pessoa.
7
Para Perini (1985: 5), ‘de você’ possessivo é agramatical (*pai de você). Por outro lado,
Neves (2000: 473) mostra a seguinte ocorrência: “sei os podres de todos, DE VOCÊ e de
seus amigos”, evidenciando sua gramaticalidade.
8
Exemplo adaptado de “Preciso de um favor seus urgente” (De engenheiro de uma construto-
ra a dois engenheiros de outra companhia, em Belo Horizonte, fevereiro de 2014).
9
Conforme observação de parecerista anônimo, parece haver uma coexistência de duas
gramáticas: uma em que o possessivo concorda em número com o nome e outra em que o
possessivo concorda em número com o possuidor. Apesar de nos parecer clara a existência
de duas gramáticas, teríamos uma ressalva quanto à noção de "concordância com o possui-
dor", que não se aplica. Em Pereira (2016), argumenta-se que, neste dialeto, o pronome
possessivo posposto de 2ª pessoa sofre uma reanálise em seus traços de número. Nesta re-
122 Bruna Karla Pereira
(27) “Fico imaginando a alegria suas quando viram o trabalho pronto” (De pro-
fessora universitária a membros de um projeto, por ocasião de conversa in-
formal, em Lavras, setembro de 2012).
(28) “Sorte suas que só tem o Galo que dá prensa em Minas” (Mensagem de
What’s App a amigos após vitória do Atlético sobre o Cruzeiro, em Belo
Horizonte, 19 de abril de 2015).
(29) “A decisão final é suas” (De economista a dois engenheiros, por ocasião de
reunião de negócios, em Belo Horizonte, fevereiro de 2014).
(32) “O sensor de rotação seus raspa na roda fônica do motor” (Canal High
Torque. Disponível em: <https://www.youtube.com/watch?v=
q0yzIdIydmo>. Acesso em: 31 de julho de 2016. A ocorrência está em
1’50” do vídeo).
análise, o número passa a estar associado à categoria de pessoa e vem do léxico como traço
interpretável deste pronome. Sendo interpretável, o traço não desencadeia concordância,
visto que já está valorado. Portanto, nesta gramática, em posição posposta, ‘seu’ refere-se a
2ª pessoa do singular, e ‘seus’ a 2ª pessoa do plural.
10
Em Pereira (2016), observa-se que o fenômeno pode ser identificado também quando o
nome está no plural e o possessivo posposto no singular: “Amanhã, ele verá dois serviços
seu” (Belo Horizonte, setembro de 2015).
11
Agradeço ao Marcus o envio de dados coletados em Belo Horizonte.
O possessivo de 2ª PL no dialeto mineiro 123
(33) Sobre interfone: “O meu está com defeito, e o Pedro me disse que o seus
também” (De professora aposentada a vizinha, por ocasião de conversa es-
pontânea, em Belo Horizonte, março de 2014).
(34) “Eu não contratei nada seus, não!” (De cliente a engenheiro, em Belo Hori-
zonte, fevereiro de 2014).
12
Segundo Castro (2001 apud Costa; Figueiredo Silva, 2003: 25), se possessivos ocorrem em
posição anteposta, o DP é definido, mas, se ocorrem em posição posposta, o DP é indefini-
do. Os dados (27) e (31) não atendem a esta previsão, pois o possessivo pós-nominal ocorre
com artigo definido.
124 Bruna Karla Pereira
13
A estrutura em (38b) “a suas alegria” é ambígua, como descrito em A e B abaixo. Quando
afirmamos que a posição anteposta do possessivo é incomum, referimo-nos ao padrão des-
crito em B.
A) Pode ser equivalente a “as suas alegrias” em PB padrão. Nesse caso, o DP como um todo é
plural, e a marca de plural no possessivo está associada à concordância nominal , que não é
marcada morfologicamente em todos os elementos do DP, em PB não padrão.
O possessivo de 2ª PL no dialeto mineiro 125
(39) [DP D a [AgrPossP [NPalegriai] Agr FEM [PossP suas Poss 2ªPL [NP ti]]]]
B) Pode ser equivalente a “a alegria de vocês”. Nesse caso, o DP como um todo é singular, e a
marca de plural no possessivo está associada aos traços pronominais de pessoa. Este é o caso de
(20). Em “o seus carro”, ‘s’ indica o número da pessoa (2ª PL) e não dos elementos nominais (D
e N), que estão todos no singular.
126 Bruna Karla Pereira
5. Considerações finais
Nesta pesquisa, temos o propósito de analisar construções nominais e predi-
cativas com possessivo de segunda pessoa do plural, como “o projeto seus” e
“a caneta é suas”, que se mostram recorrentes no dialeto mineiro. Foram
levantadas duas hipóteses de análise, sendo considerada mais adequada a de
Cinque (2005) segundo a qual se justifica a posição pós-nominal do posses-
sivo a partir do movimento do NP para Spec,AgrP, acima de PossP. Esta
investigação, por um lado, demanda a realização de uma série de empreen-
dimentos futuros, tais como: explorar a relação entre possessivos pós-
-nominais e outras categorias no DP; discutir as propriedades oracionais no e
O possessivo de 2ª PL no dialeto mineiro 127
Referências
Abney, Paul (1987). The English noun phrase in its sentential aspect. Dissertação de
doutoramento, MIT.
Aboh, Enoch; Corver, Norbert; Dyakonova, Marina; Koppen, Marjo van (2010).
DP-internal information structure: some introductory remarks. Lingua 120
(4), pp. 782-801.
Bechara, Evanildo (2003). Moderna gramática portuguesa. Rio de Janeiro: Lucerna.
Bernstein, Judy (2005). On the morpho-syntax of possessive constructions. Re-
cherches linguistiques de Vincennes, 34, pp. 55-76.
Cardinaletti, Anna (1998). On the deficient/strong opposition in possessive systems.
Working Papers in Linguistics 8 (1), pp. 65-111.
Castilho, Ataliba (2010). Os possessivos. In: _______. Nova gramática do portu-
guês brasileiro. São Paulo: Contexto, pp. 501-505.
Castro, Ana. (2001). Os possessivos em português europeu e português brasileiro:
unidade e diversidade. Textos Seleccionados. XVI Encontro Nacional da
APL. Lisboa: Colibri, pp. 599-613.
Cerqueira, Vicente (1996). A sintaxe do possessivo no português brasileiro. Disser-
tação de Doutoramento, Universidade Estadual de Campinas, Campinas.
Chomsky, Noam (1995). The Minimalist Program. Cambridge, Mass.: MIT Press.
Cinque, Guglielmo (2005). Deriving Greenberg’s Universal 20 and its exceptions.
Linguistic Inquiry 36 (3), pp. 315-332.
Costa, João; Figueiredo Silva, Maria Cristina (2002). Notes on nominal and verbal
agreement in Portuguese. Revista di Grammatica Generativa 27, pp. 17-29.
Cunha, Celso; Cintra, Luiz (2001). Nova gramática do português contemporâneo.
Rio de Janeiro: Nova Fronteira.
Giorgi, Alessandra; Longobardi, Giuseppe (1991). The syntax of noun phrases:
configuration, parameters and empty categories. Cambridge: Cambridge Uni-
versity Press.
Harris, Alice; Campbell, Lyle (1995). Historical syntax in cross-linguistic perspec-
tive. Cambridge: University Press.
Kato, Mary (1985). A complementaridade dos possessivos e das construções geniti-
vas no português coloquial: réplica a Perini. DELTA 1 (1 e 2), pp. 107-120.
Maynor, Natalie (2000). Battle of the pronouns: y’all versus you-guys. American
Speech 74 (4), pp. 416-418.
128 Bruna Karla Pereira
ALEKSANDRA VERCAUTEREN
(Ghent University & Universidade Nova de Lisboa)
ABSTRACT: Through the analysis of the discourse properties and the distribution of
European Portuguese é que-clefts in root and embedded contexts, this paper aims at
contributing to the discussion in cartographic approaches to Generative Grammar
on how much of discourse properties should be codified in syntax. Building on Cec-
chetto & Donati (2015), I argue that a contrastive interpretation is due to the label
of é que-clefts, which is determined by probing. However, when the é que-cleft has
no label, which is possible in root contexts, the cleft constituent is not necessarily
contrastive but rather referentially controlled. Label-less é que-clefts are the result
of unprobed movement of the cleft constituent. Different types of minimality apply in
labelled and unlabelled é que-clefts. Relativized Minimality causes the incompatibil-
ity of labelled é que-clefts with contexts in which Q-movement takes place. Gross
Minimality in unlabelled clefts causes the low frequency of object clefts.
1. Introduction
The question of how much of discourse properties should be codified in syn-
tax has been widely discussed since Rizzi (1997). Some authors defend a
discourse-free syntax (Chomsky, 2001; Costa, 2010; a.o.), while others ar-
gue that (some) discourse features are active in syntax (Rizzi, 1997, 2013a;
Belletti 2004; a.o.). This paper focuses on European Portuguese (EP) é que-
clefts, for which it has been argued that the cleft constituent (CC henceforth)
1
Research funded by FWO13/ASP/258. I thank Liliane Haegeman, Maria Lobo and Lobke
Aelbrecht for comments on previous versions of this paper, as well as an anonymous re-
viewer of Estudos Linguísticos. I also thank the audience of PLUS 2013 for their useful
comments, in particular João Costa and Patrícia Amaral.
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 129-156
130 Aleksandra Vercauteren
carries a focus feature and moves to the left peripheral FocP (Modesto, 1995;
Ambar, 2005). An example of an é que-cleft is given below:
If this analysis is correct, we expect that the CC will always have a con-
trastive focus interpretation. We also expect it to interact with elements in
the left periphery with similar features, analogous to for instance English
argument fronting. Such fronting operations are restricted in embedded con-
texts with operator movement (see Haegeman, 2012 for a detailed descrip-
tion).
I will illustrate that neither prediction is borne out. On the one hand, the
CC can have interpretations other than contrastive focus, at least in root con-
texts, and on the other hand, although é que-clefts are restricted in embedded
contexts, they are less restricted than for instance English argument fronting.
One prerequisite on embedding is however that the CC has a contrastive
focus interpretation. These observations indicate that é que-clefts have dif-
ferent properties in embedded and in root contexts.
I account for these observations building on the idea that the root can re-
main label-less, while embedded structures need a label in order to be visible
in the computation, as was argued by Cecchetto & Donati (2015). More pre-
cisely, I propose that the lack of a label on root é que-clefts, due to unprobed
movement, allows them to be interpreted rather freely, as long as the CC can
be linked to an element in the Common Ground. In contrast, embedded é
que-clefts, which enter further computation, do need a label. This is only
possible if the CC undergoes probed movement. I propose that a focus fea-
ture on C probes the CC and triggers movement. The probe provides the
label of the new syntactic object, which will be labelled CP, with a visible
focus feature on it. Because of this label, the CC will have a contrastive fo-
cus interpretation. Additionally, since focus features are Q-features (Rizzi,
2004), the structure is ungrammatical in contexts with other Q-movement
operations, such as relative clauses. Regarding the sequence é que, I will
adopt the standard view that it is a grammaticalized unit without internal
structure, lexicalizing one single left peripheral head (Ambar, 2005; Soares,
2006; Lobo, 2006; Costa & Lobo, 2009).
The paper is organized as follows: in section 2 I describe the relevant da-
ta. The first part of the section focuses on the discursive value of é que-
-clefts, showing that the CC is not always contrastively focalized, but rather
referentially controlled. The second part discusses the restrictions on embed-
ding. Section 3 focuses on the role of contrast, showing first that contrastive
Don’t put a label on me 131
2. Data
This section presents two aspects of é que-clefts about which the FocP-
analysis makes predictions. First I show that, contrary to standard assump-
tions, the CC of é que-clefts is not always interpreted as a contrastive focus.2
When examining data from spontaneous speech, we find a variety of discur-
sive values associated with é que-clefts. In the second part of this section I
demonstrate that é que-clefts cannot be embedded in contexts where Q-
movement takes place.
The data analyzed in this paper is mainly from the Cordial-SIN corpus, a
corpus of spontaneous and semi-directed speech, obtained from native
speakers of EP with little or no scholarly education, from rural areas.3 The
corpus examples cited in this paper are followed by the code of the locality
and the number of the file, according to the Cordial-SIN norms. Constructed
examples were all judged for acceptability by native speakers from Lisbon.
The source of any other examples will be indicated in the text. Examples
illustrating discourse properties will be paraphrased in order to illustrate the
relevant interpretation as accurately as possible. Word-by-word glosses will
be provided for é que-clefts only, or whenever discussing syntactic proper-
ties of other structures.
2.1 Discourse value
Traditionally it is assumed that the CC of é que-clefts is interpreted as a
contrastive focus (Casteleiro, 1979; Modesto, 1995; Costa & Duarte, 2001;
Ambar, 2005; a.o.). Indeed, the corpus analyzed for this research contains
2
By contrastive focus I mean the same as identificational focus. It differs from informational
focus in that the constituent marked with contrastive focus is not necessarily the new por-
tion of the proposition. The definition of contrastive focus I assume throughout this paper is
approximately the one proposed by Kiss (1998). The only difference is that I do not make
any assumptions on the degree of givenness of the set of alternatives, since givenness can
refer to several concepts as well (see Prince 1981 and Gundel 2003 for a discussion). I as-
sume the set of alternatives needs to be logically deducible:
(i) An identificational focus represents a subset of a logically deducible set of elements for
which the predicate can potentially hold; it is identified as the exhaustive subset of this
set for which the predicate actually holds.
3
The corpus used is Martins, A. M. (coord.) [2000- ] 2010. CORDIAL-SIN: Corpus Dialec-
tal para o Estudo da Sintaxe / Syntax-oriented Corpus of Portuguese Dialects. Lisboa, Cen-
tro de Linguística da Universidade de Lisboa. URL: http://www.clul.ul.pt/en/resources/411-
cordial-corpus
132 Aleksandra Vercauteren
(2) INF1A cagarra onde é que vai ver o peixe é de dia, não é de noite.
‘The shearwater, it looks for fish by day, not by night.’
INQ2 Sim senhora.
‘Ok.’
INQ1 É de dia. Mas é uma que faz pa-pa-pa de noite.
‘It is by day. But it is one that goes pa-pa-pa by night.’
INQ2 A cagarra não é a mesma coisa.
‘The shearwater is not the same thing.’
INQ1 Espera lá.
‘Wait.’
INF2 A de noite não é esta.
‘The one by night is not this one.’
INF3 Gorguja.
‘Gorguja.’
INQ1 Não...
‘No...’
INQ2 A cagarra cá não é a mesma coisa.
‘The shearwater is not the same thing here.’
INF3 A gorguja é que é de noite.
the gorguja be.PRES.3SG that be.PRES.3SG of night
‘The gorguja is by night.’ (CLC05)
In this dialogue, the inquirers are asking for the name of a seabird. The
first informant says that the cagarra ‘shearwater’ hunts by day. The first
inquirer replies that they need the name of a bird that hunts by night, hence,
they are not looking for the name cagarra. Then the second informant con-
firms that this night hunting bird is not the cagarra, and finally the third
informant says it is the gorguja that hunts by night, thus identifying the bird
they are looking for and contrasting it with the cagarra.
Now consider the following example:
(3) INF É uma injustiça mesmo. A gente tem o prejuízo (...) e, no fim, com a
licença de caça e tudo, não se podemos caçar desde que a gente não
pague ali à sociedade.
‘It is really unfair. We suffer the losses and in the end, even with a
hunting license, we cannot hunt if we don’t pay the association.’
INQ Pois é.
‘I see.’
INF Temos que pagar dez contos de entrada; temos que pagar de seis em
seis meses cinco contos... Isto (...) é uma roubadeira!
Don’t put a label on me 133
‘We have to pay ten thousand quid to enter; we have to pay five thou-
sand quid every six months…That…is a rip off!’
INQ Pois é.
‘It is.’
INF Não é? É só uma roubadeira. Não tem lucro nenhum. O caçador não
tem lucro nenhum.
‘Isn’t it? It is just a rip off. There’s no profit at all. The hunter has no
profit at all.’
INQ Pois.
‘True.’
INF Pois então! Pois se as fazendas são nossas,
‘Well then! And if the farms are ours,’
a gente é que tem os prejuízos,
the people be.PRES.3SG that have. PRES.3SG the losses
a gente é que está a criar a caça!
the people be.PRES.3SG that be.PRES.3SG breed the game
‘it is us who suffer the losses, it is us who is breeding the game!’
(EXB03)
In this dialogue, the participants are talking about flowers and their col-
ors. The é que-cleft is a polarity question in which the CC introduces the
topic of this question. It is not contrasted with the previous flower; it simply
introduces a new topic.
Another discourse function often associated with the CC of é que-clefts is
that of a scene-setter:
In some cases, the CC does not have a specific referent and seems to
function as a discourse connector, indicating how the information in the cleft
clause should be interpreted in relation to the previous discourse. In the ex-
ample below, the CC indicates that what is described is a succession of
events, depois ‘afterwards’ does not refer to any moment in particular:
Don’t put a label on me 135
Data from question-answer pairs provide evidence for the hypothesis that
the CC in é que-clefts has to be referentially controlled: unlike canonical
clefts (8), é que-clefts cannot constitute the answer to a wh-interrogative
(Soares, 2006; Vercauteren, 2010), as illustrated in (8a).4 In the following
contexts, # indicates that the sentence is grammatical but inappropriate in the
context, boldface indicates intended information focus:
4
Canonical clefts are the Portuguese counterpart of English it-clefts. Even though canonical
clefts are not the default answering strategy, the contexts where they can be used to consti-
tute an answer to a wh-interrogative are much less restricted than for é que-clefts.
136 Aleksandra Vercauteren
É que-clefts can also answer non d-linked interrogatives if the cleft con-
stituent is properly controlled. In (10), the constituent is a member of a set of
time intervals that has been identified in the previous discourse:
5
Note that the alternatives of the set have to be identified, a generic set is not enough to
license é que-clefts. This corroborates the definition of implicit control, in which it is ex-
plicitly mentioned that the set should be previously mentioned:
(i) [S]f:= {x: x is a car}
A. Que carro é que estavas a conduzir no momento do accidente?
‘What car were you driving at the moment of the accident?’
B. #O meu Porche é que estava a conduzir.
‘My Porche (is that) I was driving.’
(ii) [S]f:={my Mitsubishi, my Toyota, my Porche,…}
A. Qual dos teus carros é que é mais rápido?
‘Which one of your cars is the fastest?’
B. O meu Porche é que anda mais depressa.
‘My Porche (is that) is the fastest.’
Don’t put a label on me 137
The other types of relation with the common ground are also all attested
in the corpus. As such, the CC can be directly controlled by an element in
the common ground. In the next example, the cleft constituent refers to an
element that has been previously introduced:
(12) (as crias) Andam com as mães a comer. Comer, come, com o pau, mas
mamar, não mama. Agora, as ovelhas não põem isso. Deixam lá as crias à
parte, à noite vêm, tiram o leite à ovelha, e depois (...)
138 Aleksandra Vercauteren
(the offspring) walks with their mother to eat. It does eat, with the stick, but
suckle, it does not. Now, they don’t put this on the sheep. They keep the
offspring apart, by night they come, they milk the sheep, and then (…)
o que resta de leite é que vai para lá
what remain.PRES.3SG of milk be.PRES.3SG that go.PRES.3SG to there
ele (...) escorropichar. (ALC22)
EXPL drink up
‘what is left of milk (is that)(the offspring) goes there to drink up.’
Another prediction of this analysis is that the CC interacts with other left
peripheral elements. As has been discussed extensively in the literature since
Emonds (1970), some patterns involving the Left Periphery of the clause are
highly restricted in embedded contexts. These patterns are called Root
Transformations or Main Clause Phenomena (MCP) and have been widely
discussed in the literature, see for example Aelbrecht et al. (2012) for some
recent proposals concerning these phenomena and an extensive bibliography.
6
Portuguese has marks of personal agreement on the infinitive in certain contexts. As an
anonymous reviewer points out, some infinitive complements have been argued to have a
(reduced) left periphery. Infinitival complements with inflected infinitive do not seem to be
one of those complements (Gonçalves & Duarte, 2001).
Don’t put a label on me 139
7
I adopt the terminology of Haegeman (2003). She distinguishes between event conditionals
(i), which modify the event expressed by the predicate of the main clause, and premise con-
ditionals (ii), which introduces a context in which the main clause is evaluated:
(i) If it rains we will all get terribly wet and miserable.
(ii) If [as you say] it is going to rain this afternoon, why don’t we just stay at home and watch a
video?
Both types of conditionals do not only differ in interpretation, but also in internal and exter-
nal syntax. Only the first blocks Main Clause Phenomena such as argument preposing.
Premise conditionals occupy a more peripheral position than event conditionals. See Hae-
geman (2003) and, for EP, Lobo (2003).
140 Aleksandra Vercauteren
Third, there can only be one Q-moved element in the CP of the clause:10
8
See Kayne (1975) and Hulsey and Sauerland (2006) a.o. for an analysis of relative clauses
without movement.
9
An anonymous reviewer points out that the example in (18) can also be analysed as involv-
ing a null object. However, the data in (19-21) support the hypothesis that the CC undergoes
Q-movement.
10
In some non-standard varieties of EP, there can be two CCs. Note that these structures are
ungrammatical for most speakers:
(i) A gente é que lá é que fazia as cangas
the people be.PRES.3SG that there be.PRES.3SG that made the oxbows
para a gente. (STJ57)
for the people
‘The people made the oxbows for us there.’
It is possible that in these varieties, the CC does not necessarily undergo Q-movement, as I
will suggest is section 4.
Don’t put a label on me 141
11
The CC can undergo long movement, hence the ungrammaticality of (21) is not due to a
general ban on long movement of the CC.
(i) [O João]i é que eu acho que a Maria
the João be.PRES.3SG that I think.PRES.1SG that the Maria
beijou ti.
kiss.pret.3sg
‘I think that Maria kissed João.’
142 Aleksandra Vercauteren
‘There was a wheel that the force of the water put [the wheel] into motion,
with the buckets, because it has these buckets since it stanches the river and
irrigates that big field over there.’
Since a full DP occupies the base position of the head of the relative
clause, it is hard to assume it has been Q-moved to the left periphery.12 It is
notable that all three instances of é que-clefts embedded in relative clauses
found in the Cordial-SIN corpus are cases of resumptive relative clauses,
with a full DP doubling the head. The resumptive strategy would thus be a
way of avoiding an intervention effect.
Unlike English MCP, é que-clefts can occur in complements of factive
verbs (24), in clausal subjects (25) and in clausal complements of nouns
(26). In section 3.2 I will show that their appropriateness in these contexts
depends on the discourse context.
12
Also if we assume that it is not the head of the relative clause itself that moves, but a (cov-
ert) operator (see Chomsky, 1977), the lack of a gap makes it hard to argue for a movement
operation in these relative clauses. We could assume movement in combination with multi-
ple spell-out, but as far as I know, doubled elements are never quantificational in EP, and
as such we do not expect any intervention effects.
13
http://afilosofia.no.sapo.pt/platao1.htm
Don’t put a label on me 143
14
As an anonymous reviewer correctly points out, fronting is generally much more restricted
in English than it is in Romance, also in root contexts.
144 Aleksandra Vercauteren
15
Liliane Haegeman (p.c.) points out that this sentence might be odd because of the avoid
pronoun principle in null subject languages. However, in the absence of é que, the pronoun
can be overt without giving rise to the same oddness:
(i) O João vai ao dentista, já que ele precisa.
the João go.PRES.3SG to.the dentist since he need.PRES.3SG.
16
http://alzheimerdepapie.blogs.sapo.pt/
146 Aleksandra Vercauteren
Again, the second example, where o casal ‘the couple’ is contrasted with
the CC ele ‘he’, is much better than the first one, where there is no contras-
tive interpretation provided by the context. Note that referential control is
not enough; otherwise we would expect example (31a) to be felicitous, since
the CC co-refers with a given referent.
The same pattern can be observed in complements of nouns:
Once again, the contrastive (32b) is much better: from the context we can
deduce that a razão ‘reason’ is contrasted with all other alternatives, while in the
previous example the CC is not contrasted with any alternative. Also in com-
plements of non-assertive verbs, é que-clefts occur more easily if the CC is con-
trastive:
Finally, the same pattern can be observed in subject clauses. The (b) ex-
ample is contrastive in the sense that generally there can only be one winner,
so all alternatives to João are excluded:
(35) When two objects α and β are merged, a subset of the features of either α or
β become the label of the syntactic object {α, β}. A label
(i) can trigger further computation
(ii) is visible from outside the syntactic object {α,β}
(C&D: 32)
selection and (iv) they are needed to explain locality restrictions on move-
ment.
The idea that labels are needed to trigger syntactic computation predicts
that every syntactic object will need a label, except those that do not enter
any further operations (see Citko, 2008: 941 for a similar suggestion). Since
the computation ends at the root of sentences, root sentences do not need a
label, although nothing prevents them from having one. In short, root sen-
tences differ from embedded ones in that they do not need a label.17
C&D argue that labels are determined by the probing algorithm (also see
Citko, 2008):
(36) The label of a syntactic object {α, β} is the feature(s) which act(s) as a
Probe of the merging operation creating {α, β}.
This predicts that each time merge is not probed, the resulting syntactic
object has no label, and the computation cannot proceed, since labels are
needed for a syntactic object to be visible in the computation and to trigger
further computation. Together with the previous prediction, this means that
unprobed movement can only take place in a very restricted set of contexts
in which labels are not necessary. Since the root can remain label-less, un-
probed movement to the root is possible. This is the second ingredient of the
analysis.
A third ingredient is that probed movement gives rise to different inter-
vention effects than unprobed movement. The former type is restricted by
Relativized Minimality (Rizzi 1990, 2004): if an element with the same fea-
ture as the probed feature sits in a position c-commanding the foot of the
movement chain, the result is ungrammatical. This was illustrated in section
2.2: a Q-feature on the CC blocks movement of another element, if this
movement is probed by a Q-feature. Unprobed movement on the other hand
is restricted by Gross Minimality (C&D): any shared feature can create a
minimality effect. The more features are shared with the intervening ele-
ment, the more difficult movement becomes. I refer to C&D for a detailed
discussion and several examples that support this view on minimality and
labeling.
17
Lobke Aelbrecht (p.c.) points out that this might imply look-ahead. I refer to C&D for a
discussion of this issue. An anonymous reviewer raises the question whether the idea that a
syntactic object can remain label-less is compatible with Minimalism. In the framework
adopted here, labeling comes ‘for free’, in the same manner merge does: since a label is de-
termined by probing (see (37)), the presence or absence of a label will depend on whether
merge is probed or not. Within the Minimalist framework, merge is seen as a costless oper-
ation that does not need any trigger. However, other requirements of the computation will
rule out unprobed merge in the majority of the cases. I refer to C&D for further details.
150 Aleksandra Vercauteren
The question arises what these exact features might be. First of all, I as-
sume that CCs of embedded é que-clefts carry a focus feature. This feature
gives rise to the obligatory contrastive focus interpretation. Additionally,
since foc is a Q-feature (Rizzi, 2004), apart from giving rise to the interven-
18
In the absence of é que, this structure is perfectly grammatical:
(i) O João perguntou quem disseste que a Maria beijou.
the João ask.PRET.3SG who say.PRET.2SG that the Maria kiss.PRET.3SG
An anonymous reviewer suggests that it might be the case that é que creates an island, in
way similar to secondary que in Spanish recomplementation structures (see Villa-García,
forthcoming). This is not the case, as can be seen in example (39b).
Don’t put a label on me 151
tion effects described in section 2.2, it creates a weak island for extraction.
As such, non-specific wh-constituents cannot be extracted across the CC, as
in (39a), but specific wh-constituents can marginally move across the CC
(39b), as is the case for extraction of a wh-constituent from a wh-island (see
(40)).
19
The felicity of é que-clefts with a non-specific CC is context-dependent. See Vercauteren
(2015) for details.
152 Aleksandra Vercauteren
When the structure reaches the interfaces, there is no label that indicates
how it should be interpreted, hence the previous discourse is searched for a
plausible interpretation. This is not possible when the CC is not referentially
controlled, giving rise to infelicitous clefts such as the ones discussed in
section 2.1. However, nothing prevents the CC from undergoing probed
movement, even in root contexts, giving rise to a contrastive interpretation.
Both derivations co-exist.
One prediction this analysis makes is that in root contexts, movement will
be restricted by Gross Minimality. This is borne out by the fact that object
clefts are quite rare. In the corpus, the number of subject clefts is over-
whelmingly bigger than the number of object clefts (629 vs. 28). This is
because in object clefts, the CC has to cross the subject which, being a DP as
well, has several features in common with the CC, while in subject clefts, the
CC does not have to cross any constituent with the same features. 20 I refer to
20
An anonymous reviewer suggests that the difference between subjects and objects might be
due to the fact that (dislocated) subjects can be base generated in their surface position,
with a doubling null pronoun in the base position, as has been argued by for instance Bar-
bosa (1995) for EP. Although it might be the case that in some EP varieties subject CCs in
é que-clefts can be base generated, this is certainly not generally true, since subject CCs
cannot be extracted from a strong island:
(i) *o Joãoi é que vi a menina que ti ama.
the Joãoi be.PRES.3SG that see.PST.1SG the girl that ti love.PRES.3SG
Don’t put a label on me 153
In short, the analysis in terms of labeling can easily explain why there is
an interpretative difference between root and embedded é que-clefts, and it
makes accurate predictions concerning intervention effects and recursivity.
5. Conclusion
In this paper I showed that the CC of é que-clefts is not always contrastive,
contrary to standard assumptions. The only prerequisite seems to be that the
CC is referentially controlled. Contrastive CCs do not need to be referential-
ly controlled.
Second, although é que-clefts are restricted in embedded contexts, they
pattern differently than English MCP. Based on the EP data, I distinguish
two groups of contexts: temporal and event conditional clauses, relative
clauses and wh-interrogatives do not allow English MCP or é que-clefts be-
cause the Q-operator cannot cross the fronted argument/the CC, which also
carries a Q-feature. The second group consists of factive/non-asserted com-
plements, clausal subjects, peripheral adverbial clauses and complements of
nouns. These allow for contrastive é que-clefts but block English MCP (with
the exception of peripheral adverbial clauses).
The analysis I proposed to account for the interpretative differences be-
tween root and embedded é que-clefts is based on the labeling theory devel-
oped by C&D. I argue that, contrary to embedded é que-clefts, which need a
label in order to be visible for further computation, root é que-clefts can re-
main label-less. As such, the CC can undergo unprobed movement to the left
periphery, giving rise to a label-less syntactic object. Since there is no label
that indicates how the structure should be interpreted, the previous discourse
is searched for a possible interpretation. That is why the CC needs to be ref-
erentially controlled.
Embedded é que-clefts need a label in order to be visible for further com-
putation, hence the CC needs to be probed. The features on the label of the
154 Aleksandra Vercauteren
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Don’t put a label on me 155
HANNAH B. WASHINGTON
(The Ohio State University)
1. Introduction
In European Portuguese (EP), pronominal clitic objects display a general
trend of postverbal–or enclitic–placement, with proclisis licensed by specific
triggers.1 These proclisis triggers have traditionally been characterized as
giving rise to obligatory proclisis, and included in the set of triggers are ne-
gation, subordinating conjunctions, quantifiers, WH operators, and certain
1
Many thanks to the audiences of the inaugural meeting of the PLUS conference and NWAV
43, as well as to Scott Schwenter, Andrea Sims, and the anonymous reviewers of this vol-
ume for their invaluable feedback. All remaining shortcomings are strictly my own.
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 157-176
158 Hannah B. Washington
adverbs (Barrie, 2000; Cunha & Cintra, 2002; Perini, 2002; Galves & Sanda-
lo, 2012; inter alia). However, in these so-called obligatory proclisis con-
texts, a great deal of variation is still found in clitic placement. Building on
recent variationist work (Andrade, 2010a; Washington, 2012) that has un-
covered previously undocumented contexts that allow for non-normative
clitic in EP, the present study shows that prior formal analyses alone are
inadequate to explain the variation in usage, which both Andrade (2010a)
and Washington (2012) found to be present across a wide variety of linguis-
tic registers. In the present paper, I offer a new analysis that focuses on clitic
placement in complex predicates–that is, restructuring environments involv-
ing two verbs (cf. Andrade, 2010a)–which differ in terms of the degree of
grammaticalization of the governing verb as either auxiliary-like or semanti-
cally additive (as suggested by Washington, 2012). The present study care-
fully considers the variation as a result of the lexical frequency of the finite
or governing verb. Specifically, it will be argued that the lexical frequency
of the verbal hosts plays a crucial role in the current synchronic trend toward
generalized enclisis in the presence of proclisis triggers.
2. Background
2.1. Clitics in Romance and EP
The pronominal object clitic system in Romance languages has been de-
scribed as more affix-like than clitic systems in other languages. One reason
for this description derives from the fact that pronominal object clitics in
Romance do not have the freedom of host selection and must surface directly
adjacent to verbal hosts (Spencer & Luís, 2012). Generally speaking, pro-
nominal clitic objects in Romance languages (e.g. Spanish, Italian) are
placed before finite verb forms, and they can be placed postverbally in the
presence of nonfinite and command forms (ibid.). In consideration of these
facts, the synchronic tendency across Western Romance varieties is clearly
one of generalized proclisis of object clitics. In Medieval varieties of these
languages, however, we find a pattern of second-position (Wackernagel)
clitics, such that the clitics occupy the second position in the phrase with the
associated verb typically in first or third position. This second-position
placement holds in both main and subordinate clauses, with clitics generally
appearing immediately prior to the verb form unless the verbal constituent
came sentence-initially. In the context of a verb-initial clause, clitics tended
to be placed immediately following the verb (Spencer & Luís, 2012).
European Portuguese, however, diverges from other Romance varieties
with respect to clitic objects. While objects in Brazilian Portuguese (BP) dis-
play generalized preverbal clitic placement like other Romance varieties, EP
clitics are typically postverbal units. Unlike Spanish and Italian, BP strongly
The effects of lexical frequency on object clitic placement in European Portuguese 159
prefers clitic placement prior to the lexical or main verb in complex predicates,
as in (2b) below. The examples in (1) show the typical placement found in
simple and complex predicates in EP, with enclisis to the main or lexical verb
as the norm. The situation shown in (1c) reflects what has been described as
‘clitic climbing’ in EP (cf. Andrade, 2010a). The corresponding examples in
(2) show the general placement patterns for simple and complex predicates in
BP, both of which reflect proclisis to the lexical verb.
(1) a. Eu vejo-te.
1sg see.1s-CL.2sg.acc
‘I see you.’ (EP)
b. Eu vou ver-te.
1sg go.1sg to see.inf-CL.2sg.acc
‘I am going to see you.’ (EP)
c. Eu vou-te ver.
1sg go.1sg-CL.2sg.acc see.inf
‘I am going to see you.’ (EP)
(2) a. Eu te vejo.
1sg CL.2sg.acc-see.1s
‘I see you.’ (BP)
b. Eu vou te ver.
1sg go.1sg CL.2sg.acc-see.inf
‘I am going to see you.’ (BP)
These patterns in BP, which are also found in French, are quite different
from the available options in EP, which itself differs from the rest of the
Romance family due to its generalized pattern of enclisis in main clauses.
However, BP is thought to be relatively stable in its preference for proclisis
to the lexical verb throughout the grammar, while EP places clitic objects in
different positions based on the morphological and syntactic conditions of
the phrase, as outlined below. That is, in EP certain verbal forms diverge
from the typical placement patterns, such that object pronouns are placed
between the stem and the inflectional morphology for person/number and
tense/aspect. Consider the following:
The placement of clitics in (3) and (4) exemplify the patterns observed
with future or conditional stems and the inflectional affix for person and
number of the subject and tense and aspect. The placement of clitics between
the verbal stem and the inflectional affix, along with various other facts of
the EP clitic system, has led some scholars to conclude that EP has a mixed
clitic/affix system. Specifically, morphophonological alternations occur
across the boundary between the stem and the enclitic in EP (e.g. ver + o >
vê-lo ‘to see him’), while proclitics in contrast with enclitics can have scope
over coordinating clauses. With these facts in mind, numerous authors have
argued that pronominal object clitics function as affixes when attached as
enclitics to the right edge of the verbal host, as in (3) and (4), and as clitics
when attached as proclitics to the left edge of the verb phrase (cf. Luís &
Otoguro, 2004; Galves & Sandalo, 2012; Spencer & Luís, 2012). However, a
mixed system of this sort presents interesting theoretical problems for both
morphological and syntactic accounts for placement, and the differences in
behavior between proclitics and enclitics has led other authors to argue
against treating the pronominal object system as either only affixal or only
syntactic (e.g. Vigário, 1999).
The placement of object clitics in preverbal position in EP requires the
presence of certain trigger words. As described in §1, these triggers include
preverbal negation (não, nunca, ninguém, etc), subordinating conjunctions
(que), quantifiers and demonstratives (este, isto, muitos, etc.), WH operators
(quando, onde, quem, qual, etc.), and certain adverbs (talvez, mal, etc.) (Bar-
rie, 2000; Cunha & Cintra, 2002; Perini, 2002; inter alia). The examples
below show normative clitic placement (proclisis) following the subordinat-
ing conjunction que ‘that’ with simple (5a) and complex (5b) verb phrases.
While these contexts are often described as requiring proclisis, some prior
descriptions of object clitic placement in EP attest the variation in placement
patterns following these triggers (e.g. Cunha & Cintra, 2002). In the follow-
ing sections, I will summarize the relevant work on variation in clitic place-
ment within these contexts and discuss some analyses that attempt to unify
The effects of lexical frequency on object clitic placement in European Portuguese 161
2
Andrade (2010a) looks specifically at clitic climbing–that is, the movement of pronominal
clitics leftward to a higher position in the syntax. Because clitic climbing in EP can result in
either proclisis (in triggered contexts) or enclisis to the auxiliary verb (in non-triggered con-
texts), Andrade (2010a) distinguishes between placement and position of the clitic. Howev-
er, since I am considering only triggered contexts involving two-verb predicates in this pa-
per, I will use placement and position interchangeably, with enclisis referring to placement
following the nonfinite verb (V V=CL) and proclisis referring to placement before the gov-
erning or finite verb (CL=V V).
162 Hannah B. Washington
than less frequent ones. The frequency effects reported by Andrade (2010a)
will be discussed in more detail in §3.
Washington (2012, 2015) builds on Andrade’s (2010a) work by present-
ing a variationist analysis that considers only environments following a) the
epistemic adverb talvez ‘perhaps’; b) the subordinate conjunction and rela-
tive pronoun que ‘that, which’; and c) the preverbal sentential negation não
‘not’. These three environments were chosen as representative sample of the
variety of triggers available (an adverb, a conjunction, and negation), and
they reflect differences in Vigário & Frota’s (1998) phonological schemati-
zation of Type I (talvez, não) and Type II (que) proclisis triggers available in
EP, which have been posited to differ in the admissibility of the change in
progress toward generalized enclisis. All three environments under consider-
ation are described as indisputably and normatively triggering proclisis by
grammarians and linguists alike (Cunha & Cintra, 2002; Perini, 2002; Mar-
tins, 1993; Barrie, 2000; Luís & Otoguro, 2004; Galves & Sandalo, 2012;
among others). With a total of 1554 tokens of personal object pronouns (me,
te, nos, lhe, lhes) extracted from the European Portuguese portion of the
Corpus do Português (45 million words, Davies & Ferreira, 2006-), Wash-
ington (2012, 2015) employs a mixed effects logistic regression model to
determine which factors are correlated with non-normative clitic placement
following the three proclisis triggers. She finds that the person/number refer-
ence of the subject, the object clitic form, the mood of the verb, the style or
register of the source text, and the complexity of the verb phrase or verbal
construction [V or V V sequence] all play important roles in non-normative
clitic placement. Like Andrade’s (2010a) findings, Washington’s (2012) data
show variation across all registers of language use available in the corpus,
ranging from informal sociolinguistic interviews to literature and journalistic
writings to scholarly articles. The disparity in their results are indicative of
differences in methodologies between the two studies: Andrade (2010a) does
not limit token extraction to normative proclisis contexts, in contrast with
Washington’s (2012) highly restricted contexts involving only normative
proclisis environments. Although Washington (2012) finds significant dif-
ferences in rates of non-normative clitic placement between registers, the
fact that variation in placement occurs in all registers suggests that this varia-
tion cannot adequately be explained as performance errors (cf. Galves &
Sandalo, 2012). Rather, the use of postverbal clitics following proclisis trig-
gers must indeed be part of language users’ grammatical competence.
Washington’s (2012, 2015) results point to a crucial correlation between
verbal constructions–that is, multi-verb verb phrases (V V sequences)–and
non-normative clitic placement. Specifically, the author finds that simple
predicates, as well as two-verb predicates containing perfect (ter/haver +
past participle ‘to have Xed’) and progressive (estar a + infinitive ‘to be
The effects of lexical frequency on object clitic placement in European Portuguese 163
Table 1: Rates of pro- vs. enclitic placement in normatively proclitic contexts in two-verb
sequences using data from the Corpus do Português. Reproduced from Washington (2012,
2015). Only contexts with more than four token occurrences are included in the table.
Table 1 shows the rate of pre- and post-verbal clitic placement by the
first, or governing, verb in the verbal sequence. The 367 tokens presented
above reflect the majority of the 399 tokens involving multi-verb predicates
found in the dataset. The 32 tokens missing from Table 1 involve governing
verbs showing four or fewer tokens in the data. The remaining 1155 tokens
extracted from the corpus for Washington’s (2012, 2015) work are not re-
flected in the table because they involve a single verb or perfect construction
(ter/haver + past participle) following the trigger word.
Washington (2012) understands the ordering in Table 1 to be a case of
least to most “grammaticalized” verbs when coupled with an infinitival verb
form. In essence, the verbs closer to the bottom of the table provide less se-
mantic content to the verb phrase than those further up, and these more
grammaticalized units instead add to the temporal, aspectual, or modal con-
tent of the verb phrase. Grammaticalization, then, is understood in this con-
text as a reduction in constituent structure and the reclassification as fixed
expressions that have taken on a grammatical, morphological, or modal role,
having largely lost their semantically additive meanings. For example, estar
a + infinitive and ir + infinitive are used to indicate progressive aspect and
future tense, respectively, without also indicating action on the part of the
speaker beyond what is expressed by the infinitival verb that follows. Wash-
ington’s (2012) analysis depends on the assumption that more grammatical-
ized two-verb sequences like estar a + infinitive ‘to be Xing’ show rates of
enclisis that are slightly lower than the average found in the data at large,
while those that add greater semantic content to the proposition show much
higher rates of non-normative enclisis. Under this analysis, the adjacency (cf.
Torres Cacoullos & Walker, 2011) of these verbs with a following infinitive
indicates increased unithood over time, which would encourage the reanaly-
sis of the verb phrase and the subsequent usage of syntactic patterns found in
simple verb phrases containing a single verbal element.
As explained by Torres Cacoullos (2013), proclisis in the corresponding
estar + gerund constructions in Spanish indicates a high degree of cohesion
The effects of lexical frequency on object clitic placement in European Portuguese 165
between the two verb forms. When proclisis is found in these sequences, the
verbal construction is understood to function more like a single verbal unit
rather than as two adjacent predicates, suggesting that the auxiliary has be-
come grammaticalized as a tense-mood-aspect marker. Accordingly, Wash-
ington’s (2012) assertion that higher rates of proclisis in EP in the presence
of complex predicates reflects a higher degree of grammaticalization will be
assessed in the present study through the consideration of frequency effects.
Higher frequency lexical items that have become associated with certain
types of units can result in more grammaticalized meanings and are also
typically more resistant to analogical changes (cf. Bybee, 2002). According-
ly, we would expect to see more normative clitic placement in the presence
of high frequency verbal constructions (i.e. V V[+infinitive] sequences) that re-
flect more grammaticalized or cohesive meanings if grammaticalization is
indeed the mechanism promulgating a change in progress in EP.
Schwenter & Torres Cacoullos (2014) present similar clitic placement
patterns with respect to grammaticalized constructions in two-verb sequenc-
es in Mexican Spanish. In this language, both proclisis to the governing verb
and enclisis to the lexical verb are acceptable regardless of preverbal con-
stituents. Their data show that constructions like estar + gerund ‘to be Xing’
(progressive) and ir a + infinitive ‘to be going to X’ (future) show much
lower rates of enclisis (18% and 9%, respectively) than do more modal se-
quences like poder + infinitive ‘to be able to X’ and querer + infinitive ‘to
want to X’ (26% and 44% respectively). To account for these differences by
governing verb, these authors suggest the general pattern for clitic placement
in Mexican Spanish–that is, proclisis in simple predicates–is actually “dif-
fusing construction by construction” with respect to complex predicates
(Schwenter & Torres Cacoullos, 2014:528). Furthermore, they believe this
pattern to have begun with more grammaticalized, cohesive expressions,
spreading to other verb+infinitive constructions that contain a pronominal
clitic object through analogical change. This pattern of diffusion has its roots
in the placement patterns of simple predicates and spreads to the two-verb
constructions that function with greater unithood, and it only then finally
affects complex predicates that function as separate semantic units. The
similarities between the results in Washington (2012) and Schwenter &
Torres Cacoullos (2014) for two-verb constructions point to a cross-
-linguistic trend of pronominal object clitic movement propelled by gram-
maticalization effects.
166 Hannah B. Washington
3. Frequency effects
The study of frequency effects in phonetic and morphosyntactic variation
and change has been of recent interest to researchers (cf. Bybee, 2007;
Bybee, 2010; Bybee, 2011). It has been widely noted that phonological
changes are due to phonetic reduction in highly frequent tokens, as the result
of automation of articulation (Bayley, Greer & Holland, 2013; Bybee, 2002).
Under this view, forms that are produced more often offer more opportuni-
ties for reduction through the automation of articulatory pathways. In con-
trast, it has been argued that morphosyntactic changes are the result of ana-
logical change, which first affects low frequency forms (cf. Bybee, 2002).
Within Bybee’s (2002) model, high frequency morphosyntactic construc-
tions have a conserving effect against analogical leveling in the system due
to greater repetition and thus entrenchment of the forms.
Recent studies of morphosyntactic variation have sought to include fre-
quency information into variationist models. Erker & Guy (2012) and Bay-
ley, Greer & Holland (2013), for example, offer two such analyses of subject
personal pronoun expression for North American speakers of Spanish. These
studies use binary frequency measures (high vs. low, where high frequency
corresponds to forms that make up over 1% of the total data) to analyze the
effects of verbal frequency on subject expression, resulting in divergent out-
comes. While Erker & Guy (2012) find that high frequency verbs amplify
the independent effects of tense/mood/aspect and switch reference, Bayley,
Greer & Holland (2013) do not find significant differences in rates of subject
expression between frequent and infrequent verbs and instead find that ver-
bal frequency is better accounted for as an independent effect on the varia-
tion. Recent studies of this sort demonstrate the value of considering the
effects of lexical frequency on morphosyntactic variables.
With respect to clitic positioning, Davies’ (1997) and Andrade’s (2010a)
studies on variable clitic placement in complex predicates in diachronic and
synchronic Portuguese, respectively, take verbal frequency into account. In
these studies, the governing verb (i.e. the finite verb) in the complex predi-
cate is taken as the verb of interest with respect to frequency. Using binary
measures of frequency, they classify the verbs into two categories: frequent
and infrequent. Davies (1997) takes a sample of eight verbs in his corpus,
and Andrade (2010a) looks a larger number of verbs. Both studies find that
more frequent verbs show a higher rate of clitic climbing, while less frequent
verbs show a lower rate, meaning that the clitics tend to surface in postverbal
position with respect to the main verb more often in the presence of low
frequency governing verbs.3
3
As mentioned previously, clitic climbing can also mean the enclitic or postverbal placement
of the clitic object with respect to the governing verb. In the present study, postverbal or
enclitic placement refers to attachment to the right edge of the lexical or main verb.
The effects of lexical frequency on object clitic placement in European Portuguese 167
Because neither of these studies accounts for the preverbal placement in-
duced by proclisis triggers, thus potentially confounding the results due to
novel distributions in the data, the present study considers only contexts in
which such triggers are present. Furthermore, frequency measures in the
current study will be analyzed as a continuous factor that ranges from 0 to
the maximum rate of occurrence per million words in the corpus rather than
as a binary factor in order to capture gradient patterns. That is, Andrade
(2010a) and Davies (1997) analyze frequency measures as binary measures
either within the corpus or within their particular datasets, defining each verb
as either high frequency or low frequency. In contrast, the present study con-
siders individual governing verbs, which each reflect a single number for the
frequency per million words in the corpus. This numeric frequency measure
is then matched with the rate of non-normative enclisis for a given governing
verb. Accordingly, the frequency measures are not subjected to arbitrary
divisions or binning of perceived high and low frequency, and the frequency
measures reflect the rate at which each verb is found in the corpus from
which tokens were originally extracted, regardless of any coding decisions
that might have influenced the total number of tokens extracted involving
any given governing verb.
4. Methodology
I examine frequency effects in clitic placement in the complex predicates
that Washington (2012) considered for EP, presented above in Table 1, in
the presence of the three proclisis triggers que, talvez, and não. As previous-
ly mentioned, these three triggers are taken as representative of Vigário &
Frota’s (1998) division between Type I and Type II triggers, with phonolog-
ical differences found between the three. Talvez displays the lowest rate of
non-normative enclisis, while que and não are quite similar in their rates.
Considering the similarities to Mexican Spanish (Schwenter & Torres
Cacoullos, 2014) with respect to verb sequences that have higher rates of the
less preferred enclitic placement, the question of verbal frequency remains
highly relevant for both Spanish and EP. That is, could the generalization of
enclisis in EP (as put forth by Vigário & Frota, 1998) be spreading in pro-
clisis contexts based on verbal frequency? And, is verbal frequency the cor-
rect operationalized measure for Schwenter & Torres Cacoullos’ (2014) and
Washington’s (2012) claims that placement patterns are (at least partially)
based on degree of grammaticalization?
To address these questions, frequency counts for each of the verbs pre-
sented in Table 1 are obtained from the Corpus do Português (Davies &
Ferreira, 2006-). Verbal frequencies from only the European Portuguese
portion of the corpus are extracted, thus providing faithful frequencies that
168 Hannah B. Washington
match not only the corpus but also the specific language variety within the
corpus from which Washington’s (2012) data were extracted. Two types of
frequency measures are considered:
tive behavior: as the governing verb’s frequency increases, so does the rate
of normative object clitic placement in these proclisis-triggered context.
General Frequency
frequency of governing
First verb in Procli-
Enclitic (per mil- verb+ infinitive
sequence tic
lion (per million
words) words)
Resolver ‘to 0/6 6/6 (100%) 170.92 31.42
resolve/
decide to X’
Pretender ‘to 0/6 6/6 (100%) 183.25 119.62
attempt to X’
Group I Procurar ‘to 0/5 5/5 (100%) 258.14 94.27
seek to X’
Tentar ‘to 0/6 6/6 (100%) 270.67 194.04
try to X’
Conseguir ‘to 1/26 25/26 (96%) 549.46 297.59
manage to X’
Querer ‘to want 12/57 45/57 (79%) 1402.66 699.13
to X’
Dever ‘should 6/23 17/23 (74%) 1072.97 659.48
X’
Vir ‘to come 8/26 18/26 (69%) 1327.68 185.89
Group II
to X’
Poder ‘to be able 46/151 105/151 2992.59 2275.45
to / can X’ (69%)
Ir ‘to be going 22/48 26/48 (54%) 2854.18 1135.33
to X’
Estar a ‘to be 11/13 2/13 (15%) 4289.53 605.55
Group III
Xing’
Table 2: Rates of pro- vs. enclitic placement in complex predicates in normatively proclitic
contexts (from Washington, [2012] and Washington, [2015]), with added frequency counts
for each verb per million words in the corpus.
Davies (1997) and Andrade (2010a) report similar findings in their studies of
clitic climbing in all (proclisis and enclisis) contexts: more clitic climbing–
typically resulting in proclisis (cf. [5b]), though sometimes involving enclisis
(cf. [1c])–is found with higher frequency governing verbs. However, both
authors miss the gradience of the pattern by classifying verbs categorically
as either high frequency or low frequency, based on the number of tokens in
the presence of each verb within the data set.
The results for frequency of the governing verb when followed by an infini-
tive show a similar pattern, albeit one that is a bit less clear. That is, the same
170 Hannah B. Washington
Figure 1: Rate of enclisis following proclisis triggers que, talvez, and não by general verbal
frequency of the governing verb. All verbs from Table 2 are included, as well as others with
lower token counts. Multiple R-squared = 0.914.
4
An anonymous reviewer questioned whether estar a CL=V[+infinitive] is possible in EP, with
reference to examples (3) and (4) in which the clitic is placed between the verbal host and
the inflectional affixes, given that the proposal presented in the text suggests that estar a
functions more as inflectional information than as semantically additive content. To my
knowledge, this form is not available in EP, due to the fact that EP strongly prefers enclitics
(estar=CL a + V or estar a + V=CL) in unmarked contexts, although some variation is
found following prepositions and other trigger-like particles (e.g. ter que CL=V) in other-
wise untriggered contexts. While clitic climbing to a postverbal position, such as in es-
tar=CL a + V, is possible in the triggered contexts included in this investigation, it is quite
uncommon. In general, the triggered contexts show clitics that have ‘climbed’ to absolute
preverbal position (trigger CL=V V) or clitics that remain attached postverbally to their lex-
ical host (trigger V V=CL).
The effects of lexical frequency on object clitic placement in European Portuguese 173
6. Concluding remarks
This paper has provided evidence for frequency effects related to modern
pronominal object clitic placement in the presence of two-verb sequences in
EP. If the “regression of proclisis” is indeed related to changes in the re-
quirements of clitics with relation to their hosts, and phonologically weaker
triggers are leading the change, as Vigário & Frota (1998) suggest, then this
frequency account offers predictions about which verbal (or syntactic) hosts
will be found to lead the change toward generalized enclisis in all environ-
ments. The analysis also presents some interesting questions about cross-
-linguistic variation, namely the issue of pronominal clitic object placement
in Spanish complex predicates. In spite of Washington’s (2012) findings
showing similarities between Mexican Spanish and EP clitic placement in
two-verb sequences, it appears that the movement of the patterns with re-
spect to verbal frequency reflects divergent trends. As suggested here, EP is
moving toward generalized enclisis, and this trend includes contexts with
proclisis triggers. In contrast, Mexican Spanish–and indeed Spanish at large
(cf. RAE, 2009-2011) – is a generalized proclisis language, with required
proclisis in the presence of simple finite predicates. Similarities in the per-
centages of enclisis between the two languages led Washington (2012) to
conclude that verbal restrictions on clitic placement are a function of the
degree of grammaticalization of the verbal construction. However, if we
think of the similarities in enclisis rates (i.e. with querer and poder construc-
tions having higher rates of enclisis than estar and ir constructions in both
languages) as a reflection of similarities in relative frequency cross-
174 Hannah B. Washington
-linguistically, then it appears that related but divergent changes are in pro-
gress. While higher frequency constructions in European Portuguese have a
tendency to hang on to “remnant”, unproductive placement patterns follow-
ing certain environmental restrictions (proclisis), the same higher frequency
constructions in Mexican Spanish result in the more generalized pattern
found consistently throughout the system (proclisis). Interestingly, the diver-
gent directions of the frequency effect in the two languages have the same
functional result of preverbal placement of the pronominal object clitics. But
the relationship between Mexican Spanish and EP provides evidence for
Bybee’s (2010:75) assertion that “high-frequency forms are less likely to
undergo analogical change than low-frequency forms”. That is, the Spanish
patterns seem to show analogical behavior at a higher rate in the presence of
high frequency forms. However, if we account for behavior related to ad-
vanced unithood or increased grammaticalization in the Spanish data (cf.
Torres Cacoullos, 2013), we can see that the divergent patterns are likely
resulting from different processes. Whereas proclisis environments with
complex predicates in EP are moving toward enclisis through analogical
change disseminating through lower frequency verbs, Mexican Spanish is
showing an increase in proclisis as complex predicates become more unit-
-like due to grammaticalization processes.
The frequency findings of this paper leave a number of open questions.
First and foremost, the verbal constructions from Schwenter & Torres
Cacoullos’ (2014) Mexican Spanish data should be analyzed for frequency
to confirm the parallels drawn here regarding cross-linguistic similarities in
frequency of various two-verb predicates. Beyond this, the frequency of
verbal hosts in simple, single-verb predicates in EP should be analyzed for
frequency to determine whether the frequency effects reported in this study
are at work across all verbal hosts. In essence, Washington (2012) finds a
much higher rate of non-normative postverbal clitic placement in complex
predicates than in simple ones. Because the clitic in a complex predicate is
semantically associated with the second verb, the fact that these construc-
tions generally show higher rates of enclisis (to the second verb) is expected.
This is because the constraints in the syntax put pressure on the system to
place the clitic adjacent to its verbal host, which in these cases could be in-
terpreted as a semantic host. If indeed the frequency patterns found for com-
plex predicates reflect patterns seen for single-verb predicates, this would
provide strong evidence for a lexically-driven change in the morphosyntax
resulting from changes to the prosodic restrictions. These questions are left
for future study.
The effects of lexical frequency on object clitic placement in European Portuguese 175
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176 Hannah B. Washington
HANNAH B. WASHINGTON
(The Ohio State University)
1. Introduction
Recent work on indexical relationships between linguistic forms and social
structures has illuminated the connection between social information and
speech patterns (Eckert, 2008; Beaton & Washington, 2014; Sinnott, 2013).1
Most previous studies on indexical relationships focus on speakers’ selection
1
We are grateful to Scott Schwenter, Sarah Sinnott, the audience of the inaugural PLUS
conference, and an anonymous reviewer for their insight and comments on earlier versions
of this work. Any remaining shortcomings are strictly our own.
Estudos Linguísticos/Linguistic Studies, 11, Edições Colibri/CLUNL, Lisboa, 2015, pp. 177-195
178 Hannah B. Washington & Mary Elizabeth Beaton
2. Background
2.1. Indexicality
Indexicality and the indexical field offer frameworks for the analysis of
clusters of social meanings inherent in linguistic forms. Indexicality was first
proposed for linguistic anthropology (Silverstein, 2003) and expanded for
phonetic (Eckert, 2008), morphosyntactic (Sinnott, 2013), and lexical (Bea-
ton & Washington, 2014) variation. The application of the theory of indexi-
cality to each of these cases of linguistic variation is explained in the sec-
tions that follow. We use this prior work on indexicality as a point of depar-
ture for the present pragmatic study, which adds a deeper understanding of
how speakers access and move between meanings within the indexical field.
The indexicality framework assigns a neutral base-level meaning to a lin-
guistic form, called nth order meaning, and maps macro social structures
onto it, forming n+1 order meanings. The n+1 meanings form a living struc-
ture and reinforce each other through each utterance in which the n+1 order
meanings are used. In this way, people create meaning in language, and lan-
guage creates meaning for society. As Ochs (1990: 287-8) explains, “lan-
guage must be studied not only as a symbolic system that encodes local so-
cial and cultural structures, but also as a tool for establishing (i.e. maintain-
ing, creating) social and psychological realities”. More succinctly, each in-
stantiation of a linguistic form that indexes a social meaning is necessarily
said in a context that differs slightly from the prior context. Thus, the repeti-
tion of a sound, word, or construction solidifies its social meaning and each
new context allows speakers to make new associations with the form.
2.2. Phonetic and morphosyntactic variation within indexicality
Eckert (2008) expands on Silverstein’s (2003) concept of meanings de-
rived from indexical orders by introducing the indexical field–a “constella-
tion” of meanings that are interrelated and can give rise to new meanings.
She creates three types of indexical meanings for /t/ release, i.e. hyper-
aspiration of /t/, in American English: social types, permanent qualities and
stances. Stances are moment-to-moment characterizations of the speaker. If a
speaker frequently displays a certain stance, she undergoes a process of
“stance accretion” (cf. Rauniomaa’s [2003] presentation, cited in Bucholtz &
180 Hannah B. Washington & Mary Elizabeth Beaton
Figure 1: Eckert’s (2008) indexical field for /t/ release. Boxes denote social types, bold de-
notes permanent qualities, and grey denotes stances.
Eckert proposes the indexical field for phonetic variables with little men-
tion of its use for morphosyntactic or lexical forms. Sinnott (2012, 2013)
broadens this work through her discussion of the indexicality of T/V address
forms in Spanish (tú, usted), extending the possibilities for indexical work to
morphosyntactic forms.
Figure 2: Indexical field for favelado from Beaton & Washington (2014). Lower case =
permanent qualities; upper case = social types; dotted line separates the positive
reappropriated meanings from the negative qualities and social types.2
The indexical field for favelado proposed by Beaton & Washington (2014)
includes permanent qualities and social types, much like Eckert’s (2008) in-
dexical field for phonetic variables. Since lexical items usually point to the
external world, these authors do not include stances as part of the field. Ano-
ther factor that comes into play with a socially-charged lexical item like favelado
is the polarization of meanings. Favelado functions much like queer, dyke, gay
(McConnell-Ginet, 2001), nigger (Croom, 2011), and the Cantonese word
tongzhi ‘comrade’ (Wong, 2005; Wong, 2008), in that the reclaiming of a
negatively-valenced term has occurred in a particular context. Figure 2 above
shows Beaton & Washington’s (2014) indexical field.
Beaton & Washington (2014) suggest that the modern-day usage of fave-
lado reflects a grammaticalization process by which a noun comes to be used
as an adjective and then as an adverb. Through this process, the characteriza-
tion of inanimate objects as favelado becomes possible. The internet abounds
with examples of adjectival uses of favelado, such as in the following exam-
ple captioning a picture of a newly constructed mansion:
2
In the indexical field, the social type funkeiro refers to people who listen to funk, which is a
popular style of music in Brazil.
182 Hannah B. Washington & Mary Elizabeth Beaton
The picture being described resembles the slums in only one way: the
ground was not landscaped, suggestive of the dirt floors common in favelas.
Favelado in this context cannot index meanings associated with people, such
as illiterate, violent, etc.
Another example is found in descriptions of new and expensive athletic
shoes or certain kinds of name-brand clothing3, which have been described
as favelado through association with a perceived sense of the style prefer-
ence of slum-dwellers. The mansion and expensive clothing obviously have
little to do with the favela itself, and the use of favelado as an adjective ab-
stracts over qualities associated with slums and slum-dwellers.
2.4. Indexicality as pragmatics
In his work on lexical pragmatics, Blutner (1998:9) defines systematic
polysemy as “the phenomenon that [sic] one lexical unit may be associated
with a whole range of senses, which are related to each other in a systematic
way”. This concept of systematic polysemy, whereby meanings are intimate-
ly and systematically linked to each other, is delineated in the sociolinguistic
literature by movement between meanings, which Eckert (2008) describes as
“side-stepping”. Side-stepping is the process by which interlocutors shift
between indexical meanings, allowing for the creation of new meanings
through close association with existing indexes. In indexicality, contextual
information helps a hearer locate meanings within the indexical field. For
instance, the interactional context helps a hearer determine the social mean-
ing of /t/ release or of favelado.
One fundamental device for discourse pragmatic enrichment is the Grice-
an notion of implicature (Grice, 1989[1975]), which has been split into two
primary divisions of implicated meanings: conventional implicatures and
conversational implicatures. If a linguistic form has a conventional implica-
ture, the meaning it conveys is inseparable from the form that expresses it
and is not cancelable, meaning that these implicatures arise invariably.
Meanwhile, an important test for conversational implicatures is whether the
implicature is cancelable by linguistic or nonlinguistic material within the
context: conversational implicatures are necessarily cancelable, meaning that
these implicatures can be explicitly denied. For example, to say ‘I am not
unhappy’ implicates that the speaker is less than happy. However, this impli-
cature can be canceled if the speaker states, ‘I am not unhappy–actually, I’m
quite happy!’ These implicatures can be either generalized (GCI) or particu-
3
For example, speakers turn to Yahoo Answers to help them determine whether certain kinds
of clothing are favelado: http://br.answers.yahoo.com/question/index?
qid=20111030120034AAkhv9C and http://br.answers.yahoo.com/question/index?
qid=20120915085932AA8vZGO
Pragmatics and indexicality 183
larized (PCI), with the primary difference between the two being that GCIs
arise unless blocked by contextual information, while PCIs depend heavily
on the context. For example, in the sentence ‘If it starts to rain, I’m going
inside’, the GCI is that if it does not start to rain, the speaker will not go
inside. In this example, a PCI that can arise is that the speaker cannot get
wet, if the context allows for it due to specific conditions that are mutually
understood between the speaker and the hearer (e.g. the speaker is wearing
water-soluble hair dye).
A recent study has modeled an indexicality-pragmatics interface with ref-
erence to morphosyntactic variables. In this work, Sinnott (2013) uses prag-
matic notions to construct an indexical model for the use of T/V address
forms in Madrid Spanish (in essence, tú vs. usted). She employs a layered
model, reproduced below, to illustrate the relation between conventionally
and conversationally-implicated meanings.
In her model, the innermost layer contains the factors that a speaker con-
siders when deciding between the use of one form over the other. That is,
this layer reflects the most basic levels of meaning related to the hearer (age,
sex, profession) and the situation (relation, location); these foundational
pieces of information point to “membership in a population” (Eckert, 2008)
and thus make up the nth order meaning. The selection of T/V then reflects
the relationship between the speaker’s and the hearer’s membership within
each of the categories, with reference to the culturally-determined and con-
ventionally-implicated meaning of social distance between speakers. The
second and third layers in the field, represented as the outer layers, reflect
the n+1 order meanings, or the social structures that are activated by usage.
When expressed by use of the V form, distance activates certain indexes in
the second layer, e.g. formality and respect. The third layer, in contrast, is
184 Hannah B. Washington & Mary Elizabeth Beaton
used when speakers choose an address form against social norms, e.g. in
disrespecting an elder. In short, the first layer is indicative of conventionally-
implicated meanings, while the indexes in the second and third layers reflect
conversational implicatures that are contextually created and canceled to
accomplish pragmatic goals. In the second layer, we find the generalized
conversational implicatures (GCIs), whose meanings arise unless blocked by
contextual information. This contrasts with the social meanings in the third
layer, for which more calculation and contextual information is required to
access these indexes, or PCIs. Accordingly, access to certain kinds of mean-
ings depends largely on contextually available information. Sinnott’s (2013)
work broke ground in understanding different indexical values as calculable
pragmatic phenomena, and we build on her approach in the section that fol-
lows.
3. Analysis
3.1. Favelado vs. morador de favela: Testing for implicatures
The data for this study come from online discussions about slums and
what it means to be a slum-dweller (morador de favela/favelado) and online
commentary characterizing inanimate objects as favelado. A wide cross-
section of society participates in online forums, and these forums provide a
space for the negotiation of meaning. Modern search engines make access to
this abundant, constantly updated material readily available. Using this data,
we argue that the use of morador de favela conventionally implicates the
meaning of a person from a slum. This meaning has a direct connection to
inhabitants of the places that are delimited as slums while avoiding ideolo-
gized meanings. In example (2) below, three native speakers of Portuguese
debate the difference between the terms morador de favela and favelado:
Joca: Mas não seria melhor dizer “morador de favela”? Parece que existe
uma diferença sutil entre “favelado” e “morador de favela”. Nem todo mo-
rador de favela é favelado. E também favelado tem uma conotação mais
ampla, não só econômica, significando, por vezes, uma pessoa de gosto
cultural duvidoso, mesmo que não seja necessariamente pobre.
Dom Casmurro: Acho que todo morador de favela é favelado. Há mil ou-
tras conotações, mas serão sempre metáforas com intenções pejorativas,
Pragmatics and indexicality 185
‘sambistapt: I read in the sports part of the BBC about the 2016 Olympics
in Rio. It was saying that one-fifth of the population of Rio is made up of
“Slum-dwellers”. I don’t know if I understood correctly, does that mean
Favelado?
(3) Soa mal quando dizemos “Você mora na favela...”. Às vezes fica uma situ-
ação chata mas se eu mesmo morasse na favela, eu diria que sim, eu moro
na favela. Quando dizem que uma pessoa habita uma comunidade, a pri-
186 Hannah B. Washington & Mary Elizabeth Beaton
meira palavra que vem na cabeça é: Favelado. Mas fiquem calmos, existe
uma diferença grotesca entre ser favelado e apenas residir.
‘It sounds bad when we say “You live in the favela...” Sometimes this is
annoying, but if I lived in the favela, I would say “yes, I live in the favela”.
When they say a person lives in a ‘community’ (i.e. a favela), the first word
that comes to mind is: Favelado. But stay calm, there’s a grotesque differ-
ence between being favelado and residing in the favela.’
[http://blogdapostgeral.blogspot.com/2010/09/grande-diferenca-entre-o-
-favelado-e-o.html]
This blogger clearly explains that one can live in a favela without being
favelado. This is indicative of GCI status, since the ‘slum-dweller’ implica-
ture can be dissociated from favelado. This is not case for morador de fave-
la, which will be shown below. The following question forum discussion
provided in (4) from a thread on YahooAnswers (http://br.answers.yahoo.
com/) shows that speakers also understand the inverse of what is demon-
strated by (3), i.e. that one can be favelado without living in the favela:
CaRol: Mas tem gente que eu conheço que escuta funk, fala mal dos outros,
xinga todo mundo, fala mal de onde mora, não da [sic] a minima [sic] a es-
cola, fala alto, é chato, inconveniente e fala palavrão até 5 horas da manhã,
e mora em um prédio bom. Para mim isso que eu disse é ser favelado, por-
que tem gente que é normal e discreto e mora no fim do mundo.
Maria Claudia: Não pois um favelado, mesmo depois que deixa a favela,
continua [sic] se comportando como um favelado. É como dizem, a pessoa
sai da favela, mas a favela não sai da pessoa.
CaRol: But there are people that I know who listen to funk, speak badly
about others, cuss all the time, complain about where they live, don’t give a
shit about school, speak loudly, are annoying and say bad words until 5 in
the morning, and live in a nice building. For me, what I said means being
favelado because there are people who are normal and keep to themselves
and live at the ends of the earth.
Maria Claudia: No because a favelado, even after having left the favela,
continues acting like a favelado. It’s like they say, you can take the person
out of the favela, but you can’t take the favela out of the person.’
[http://br.answers.yahoo.com/question/index?qid=20111204144203AA6Oivj]
Pragmatics and indexicality 187
4
And, while some might argue that there is an entailment relationship between morador de
favela and favelado, such that <morador de favela…favelado>, it is not the case that every
morador de favela is favelado due to the implicatures inherent in favelado. Nor is there an
entailment relationship in the other direction, given that not every person or thing described
as favelado comes from or resides in the favela. Similarly, the relationship between these
two terms does not involve hyponymy or hyperonymy.
188 Hannah B. Washington & Mary Elizabeth Beaton
(6) Em outros termos, “favelado” é tudo aquilo que rejeitamos pela falta de
prosperidade, de elegância, de ordem, de beleza ou de polidez, entre outros
aspectos, no qual são ressaltadas as ausências.
‘In other words, “favelado” is everything that we reject for lack of prosper-
ity, elegance, order, beauty or politeness, among other characteristics, in
which absences are highlighted.’
[http://dialnet.unirioja.es/servlet/articulo?codigo=3166013]
favelado is weaker than the argument beginning with mas, leading the hearer
to draw a conclusion about what is contextually meant by favelado. In the
examples in (7)-(10), the latter topos targets a specific GCI, while (11) tar-
gets the entire GCI cluster. However, even when a single implicature is “tar-
geted” for cancellation, the result is cancellation of multiple implicatures,
since each lexical item or expression (i.e. traficante, limpinho, humilde, ter
dignidade) comes with its own conversationally implicated, indexical mean-
ings. A speaker’s motivation for targeting one GCI for cancellation is in line
with Grice’s (1989[1975]) Maxim of Quantity and Horn’s (1984) R principle
(‘say no more than you must’). Accordingly, speakers can be efficient with
their language use by canceling more than what has been explicitly uttered.
By rejecting an implicature associated with favelado in (7), the speaker can-
cels the implicatures that arise with that particular lexical item (e.g. trafican-
te +> violento, deshonesto, etc.). Similarly, by asserting a certain property
that is contrary to typical associations made with favelado in (7)-(10), the
speaker is also making use of the pragmatic tool of implicature to cancel
multiple indexical meanings (limpinho +> orderly, not chaotic, responsible,
chaste, etc.). Thus, speakers make use of cancellation strategies to cancel
large clusters, or otherwise limit the possible implicated meanings of fave-
lado in context by removing certain potential meanings or implicating other
meanings that directly conflict with GCIs associated with favelado. Figure 4
below illustrates a potential indexical field for traficante. We posit that the
overlapping indexes (or implicated meanings) between Figure 4 for trafican-
te and Figure 5 for favelado are the ones that are canceled by an utterance
like (7).
Figure 5: Hypothetical implicatures for favelado in the context of example (7). Meanings that
are shared between the indexical fields for traficante (Figure 4) and favelado (this figure),
shown in bold, become canceled or removed from potential implicatures arising from the use
of favelado when (7) is uttered.
Dasher (2002: 11-12) state, “Despite what is often thought, the loss of an
earlier meaning is relatively rare. What is typical is the accretion of more
and more meanings over time [...]”. From this, we propose that the more
socially charged the lexical item, the more GCIs emerge. That is, traficante
necessarily implicates more social meanings than limpinho or humilde.
Terms that are pregnant with socially charged meanings have more extensive
indexical fields and therefore have a more complex pragmatic structure. In
other words, pragmatic creativity rests in the social complexity of lexical
entries in the collective mind of the speech community.
3.3 PCIs and reclaimed meanings
Particularized conversational implicatures (PCIs) differ from GCIs in that
the former are only accessible in specialized contexts. With respect to fave-
lado, we argue that the PCIs are related to competitive contexts. Beaton &
Washington (2014) show that soccer fans who cheer for the Rio de Janeiro
soccer team Flamengo have been characterized as favelado. These fans have
reappropriated or reclaimed the slur used against them, changing the nega-
tively-charged term to a positively-charged one. Consider the following
example:
4. Conclusions
In this paper, we have shown that speakers of Brazilian Portuguese have the
choice between two apparent synonyms, morador de favela and favelado.
5
This comment has been deleted from the source; originally accessed in June 2012.
6
PCIs, like GCIs, are cancelable. For instance, if the speaker in (13) had uttered, ‘tu é muito
favelado, mas não acho isso bom’ (‘you’re really favelado, but I don’t think that’s a good
thing’), the PCI of ‘badass’ that arises due to the competitive gaming context is canceled out
by the speaker’s explicit denial of any positive accomplishment. This kind of cancelation of
meaning is not available in the present data due to the specificity of the original contexts
required for the PCIs.
Pragmatics and indexicality 193
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