The role of by-phrases in adjectival passivesBerit Gehrke & Cristina Sanchez-Marco (Universitat Pompeu Fabra, Barcelona)

{berit.gehrke / cristina.sanchezm}@upf.eduWorkshop on Aspect and Argument Structure of Adjectives and Participles, University of Greenwich

June 22-23, 2012

1 Introduction

• The received view about adjectival passives (but recall Alexiadou et al. yesterday):

– The external argument of the underlying verb in adjectival passives is ‘truly absent’ (cf.Kratzer 1994, 2000, among others):

∗ No control into purpose clauses; cf. (1-a) (from German)∗ No disjoint reference effect; cf. (2-a) (from German)

– In both respects, verbal passives behave differently ((1-b), (2-b)).

→ The external argument is present in the syntax, even when it is not expressed in aby-phrase (cf. Baker et al. 1989; Kratzer 1994, among many others).

(1) a. *Derthe

Reifentire

warwas

aufgepumpt,inflated

umin order

diethe

Fahrtjourney

fortzusetzen.to continue

b. Derthe

Reifentire

wurdebecame

aufgepumpt,inflated

umin order

diethe

Fahrtjourney

fortzusetzen.to continue

‘The tire was (being) inflated in order to continue the journey.’

(2) a. Dasthe

Kindchild

warwas

schlampigslopp(il)y

gekammt.combed

‘The child was combed in a sloppy manner.’(i) Someone (else) (has) combed the child. disjoint reference(ii) The child (has) combed him/herself. reflexive

b. Dasthe

Kindchild

wurdebecame

schlampigslopp(il)y

gekammt.combed

(i) = Someone (else) (has) combed the child. only disjoint reference(ii) NOT: The child (has) combed him/herself.

• Common assumption about by-phrases:

– They (syntactically and semantically) express the external argument (in passives and nom-inalisations) (most recently in Bruening to appear).

⇒ Given the absence of external arguments in adjectival passives, by-phrases should not bepossible with them.

• The puzzle: There are many instances where adjectival passives combine with by-phrases.

– Such data are reported in the literature on German (Kratzer 1994, 2000; Rapp 1997; Schlucker2005; Maienborn 2007, 2009; Gehrke 2012, to appear); e.g. (3) (from Rapp 1997).

– Spanish examples are attested in corpora; e.g. (4).

1

(3) a. Dasthe

Bildpicture

istis

vonby

einema

Kindchild

angefertigt.produced

‘The drawing was produced by a child.’b. Das

theHaushouse

istis

vonby

Studentenstudents

bewohnt.in-lived

‘The house is inhabited by students.’

(4) a. Lathe

sociedadsociety

estais.LOC

barridaswept

porby

una

vendavalstrong wind

deof

igualitarismo.egalitarianism

‘The society is swept by a strong wind of egalitarianism.’b. Los

theexpertosexperts

adviertenwarn

deof

losthe

peligrosdangers

deof

lasthe

dietasdiets

quewhich

nonot

estanare.LOC

supervisadassupervised

porby

losthe

especialistas.specialists

‘Experts warn of the dangers of diets which are not supervised by specialists.’

(See also McIntyre 2011; Bruening 2012 / Meltzer-Asscher 2011; Doron 2012 / Anagnos-topoulou 2003; Alexiadou et al. yesterday for English / Hebrew / Greek.)

• Different theoretical options:

A. Such combinations are not real adjectival passives.

– They are instances of verbal passives, only some verbs use sein/estar instead of werden/ser.

⇒ We do not think so (and we do not know of anyone who has proposed this).

– Such by-phrases modify the state directly, in the absence of an event (e.g. Meltzer-Asscher2011, for Hebrew)1; hence such participles are like genuine adjectives which take PP argu-ments, similar to, e.g., (5-a), and on a par with by-phrases with genuine nouns (5-b).

⇒ Maybe some, but not all (see also Section 5): There are clear cases in which theparticular by-phrases modify events rather than states (adjectives).

(5) a. (un)glucklich(un)happy

uberabout

diesethis

Entwicklungdevelopment

‘(un)happy about this development’b. ein

aBuchbook

vonby

TanyaTanya

ReinhartReinhart

‘a book by Tanya Reinhart’

B. The previous literature had it wrong: Adjectival passives contain external arguments (Bru-ening 2012).2

– The lack of the disjoint reference effect is an illusion that only appears with (potentially)reflexive predicates.

⇒ This might be true.

1A similar proposal for German is found in the papers by Maienborn and colleagues (e.g. Maienborn 2011; Gese 2010),who argue that event-related modifiers apply to the state and coerce this state description into an event description. Ouraccount will crucially depart from both Maienborn’s and Meltzer’s in assuming that an event is always present in adjectivalpassives, so that there is no need for event coercion or meaning postulates to account for event-related modification.

2See Alexiadou et al. (yesterday) for further discussion and McIntyre (2011) for some similar claims.

2

– There are plenty of cases where adjectival passives in English do allow for control intopurpose clauses.

⇒ Purpose clauses with Spanish adjectival passives are also attested in the corpus.

– By-phrases with adjectival and verbal passives are the same.

⇒ We do not think so (for German and Spanish).

C. This paper:– Both passives have implicit external arguments (in line with Bruening 2012).

– By-phrases with adjectival passives are fundamentally different from those with ver-bal passives and from by-phrases with adjectives (contra Bruening 2012).

• Structure of the talk:

– Section 2: Different complements in by-phrases with verbal and adjectival passives

– Section 3: Corpus study of Spanish by-phrases

– Section 4: The account

– Section 5: Two types of by-phrases in German

– Section 6: Conclusion

2 The point of departure

• Gehrke (to appear) on German: Only the complements of by-phrases in verbal passives intro-duce discourse referents, allow for control into purpose clauses and for (common intersective)modification (6). Those with adjectival passives do not (7).

(6) a. Dasthe

Bildpicture

wurdebecame

vonby

einema

Kindchild

angefertigt.produced

Esit

hattehad

rotered

Haare.hairs

‘The drawing has been produced by a child. He/she had red hair.’b. Das

theBildpicture

wurdebecame

vonby

einema

Kindchild

angefertigt,produced

umin order

seineits

Elternparents

zuto

erfreuen.make-glad‘The drawing has been produced by a child in order to make his/her parents happy.’

c. Dasthe

Bildpicture

wurdebecame

vonby

einema

blondenblond

Kindchild

angefertigt.produced

‘The drawing has been produced by a blond child.’

(7) a. Diethe

Zeichnungdrawing

ist/waris/was

vonby

einema

Kindchild

angefertigt.produced

??Esit

hattehad

rotered

Haare.hairs

b. ??Diethe

Zeichnungdrawing

ist/waris/was

vonby

einema

Kindchild

angefertigt,produced

umin order

seineits

Elternparents

zuto

erfreuen.make-glad‘The drawing was produced by a child in order to make his/her parents happy.’

c. ??Diethe

Zeichnungdrawing

ist/waris/was

vonby

einema

blondenblond

Kindchild

angefertigt.produced

3

• Spanish behaves similarly in this respect:

(8) a. Elthe

cuadropicture

fuewas

pintadopainted

porby

una

ninochild

quewho

erawas

pelirrojo.red-haired

b. Elthe

cuadropicture

fuewas

pintadopainted

porby

una

ninochild

parato

agradarplease

ato

sushis

padres.parents

c. Elthe

cuadropicture

fuewas

pintadopainted

porby

una

ninochild

pelirrojo.red-haired

(9) a. Elthe

cuadropicture

estabawas.LOC

pintadopainted

porby

una

ninochild

??(quewho

erawas

pelirrojo).red-haired

b. ??Elthe

cuadropicture

estabawas.LOC

pintadopainted

porby

una

ninochild

parato

agradarplease

ato

sushis

padres.parents

c. ??Elthe

cuadropicture

estabawas.LOC

pintadopainted

porby

una

ninochild

pelirrojo.red-haired

• Impressionistic observation in Schlucker (2005); Gehrke (to appear) for German, and by intro-spection for Spanish:

– The complements of by-phrases with adjectival passives have a more generic characterthan those with verbal passives.

⇒ Can this impression be substantiated by corpus data?

3 The corpus study

• We extracted data from a corpus of Spanish from the 20th century:

– The corpus:

∗ The documents forming this corpus, containing more than 8 million words and com-prising a wide variety of genres, come from different sources:· Gutenberg project (http://www.gutenberg.org/)· Biblioteca Cervantes (http://www.cervantesvirtual.com/)· Lexesp corpus (Sebastian-Galles 2000)

∗ Texts from the Gutenberg project and Biblioteca Cervantes were annotated automati-cally with linguistic information (morphosyntactic tag and lemma), using an expandedversion of the Freeling morphological analyzer (Sanchez-Marco et al. 2011).

– We obtained frequency counts of all occurrences of:3

∗ Ser ‘be’ + past participles (PP) (verbal passive) combining with por-‘by’-phrases∗ estar ‘be.LOC’ + PP (adjectival passive) combining with by-phrases∗ Adjectives combining with by-phrases

3The frequency counts were obtained using the IMS Open Corpus Workbench (http://cwb.sourceforge.net/) and analyzed with the open-source statistical software R (R-Development-Core-Team 2010).

4

Figure 1: Top left graph: Frequency of ser + PP, estar + PP, & adjectives with by-phrases, relative tothe total number of each category. Top right graph: Frequency of by-phrases with definite determiners.Bottom left graph: Frequency of by-phrases with pronouns. Bottom right graph: Frequency of by-phrases with proper names.

Figure 2: Frequency of by-phrases with indefinite determiners (left) and with bare nouns (right).

5

• The results (Figure 1 and 2):4

– The combination of by-phrases with adjectival passives is not exceptional (graph on the topleft in Figure 1):

∗ 8.7% (N = 314/3,574) of adjectival passives in Spanish contain by-phrases.∗ This is three points less than with verbal passives (11.7%; N = 814/6,923).∗ This difference is not highly significant at a 99.9% confidence level; although it is still

significant at a 95% confidence level (χ2 test, 1 d.f., p < 0.05).∗ The combination of by-phrases with adjectives, on the other hand, is much lower

(0.6%; N = 2,983/486,016). This difference is highly significant at a 99.9% confi-dence level both between adjectives and verbal passives, and between adjectives andstative passives (χ2 test, 1 d.f., p < 0.001).

– There are significant differences in the type of complements we find with by-phrases inadjectival and verbal passives (the other graphs in Figure 1 and 2):

∗ The differences are highly significant (χ2 test, 1 d.f., p-value < 0.001) for definiteand indefinite determiners, pronouns and bare nouns, and significant for proper names(p-value < 0.05):

i. The frequency of by-phrases with NP complements headed by definite determinersis significantly higher with ser + PP than with estar + PP.

ii. The frequency of by-phrases containing pronouns is significantly higher with ser +PP than with estar + PP.

iii. The frequency of by-phrases containing proper names is significantly higher with ser+ PP than with estar + PP.

iv. The frequency of by-phrases containing bare nouns is significantly lower with ser +PP than with estar + PP.

v. The frequency of by-phrases headed by indefinite determiners is significantly lowerwith ser + PP than with estar + PP.

– Adjectives vs. adjectival passives:

∗ Adjectives combining with by-phrases with definite determiners, pronouns, propernames, and bare nouns show similar behavior as adjectival passives in these contexts.→ Differences in the frequencies of types of complements with estar + PP and ad-

jectives are not statistically significant.∗ However, the difference in frequency of by-phrases headed by indefinite determiners

with estar + PP (higher) and adjectives (lower) is highly significant (χ2 test, 1 d.f.,p-value < 0.001).

⇒ By-phrases combining with adjectival passives (estar + PP) are essentially different from by-phrases with verbal passives (ser + PP) and more similar to by-phrases with adjectives.

⇒ However, there is a difference between by-phrases headed by indefinites with adjectival passivesand adjectives in the frequency of indefinite determiners.

⇒ Another difference is that there are many more instances of by-phrases with adjectival passivesthan with adjectives.

4Each bar in the graphs corresponds to the number of by-phrases combining with ser + PP, estar + PP and adjectives,showing the relative frequency of the respective construction on the y-axis.

6

• Two options to interpret these data:

1. By-phrases with adjectives and adjectival passives are of the same type: they modify astate.But: How can we explain the differences (frequency, indefinite complements)?

2. By-phrases with adjectives and stative passives are of a similar yet different type: Thisaccounts for the differences but does not explain the similarities.

→ We tentatively assume that they are still different, but we need to do more research (some aspectsin which they are still different are discussed in Section 5):

i. Qualitative analysis of instances of adjectives and adjectival passives with by-phrases headedby indefinites

ii. Contrast findings with corpus study of German

iii. Check whether there is a difference between eventive and stative verbs (see Section 5)

4 The account

• Following Gehrke (2012, to appear), we extend the kind/token distinction (Carlson 1977) to theevent domain.

– Adjectival passives involve event kinds, verbal passives event tokens.

– Passive participle formation binds the external argument (with both kinds of passives).

– Adjectival passives:

∗ Additional adjectivization takes place, which existentially binds the event and deter-mines that both event and agent remain in the kind domain.5

∗ The state variable is the only variable still available for binding by tense.

(10) Diethe

Turdoor

istis

geschlossen.closed

//

Lathe

puertadoor

estais

cerrada.closed

a. Lexical semantics of schließ- / cerra- (type 〈e,〈e,〈s,〈ev, t〉〉〉〉):λyλxλ sλe[close(e)∧ BECOME(s,e)∧ closed(y,s)∧Agent(x,e)]

b. Prt0 ge-en/t / -d-: λ℘λyλ sλe∃x[℘(e)(s)(x)(y)]c. A0: λ℘λyλ s∃ek,xk[℘(ek)(s)(xk)(y)]d. geschlossen / cerrado:

λyλ s∃ek,xk[close(ek)∧ BECOME(s)(ek)∧ closed(y,s)∧Agent(xk,ek)]e. AP die Tur geschlossen / la puerta cerrada:

λ s∃ek,xk[close(ek)∧ BECOME(s)(ek)∧ closed(the door,s)∧Agent(xk,ek)]f. copula sein: ∃sλ t etc.

• By-phrases with both passives introduce external arguments, but of different types:

– In both cases, by-phrases are adjuncts (since the external argument is bound at the pointwhen the participle is formed).

– With adjectival passives they modify an event kind, hence their complements also remainin the kind domain.

– With verbal passives they modify an event token.

5Alternatively, we could assume that the event kind is always a causing event, which would then imply a causer.

7

E.g. the semantics of (3-a), repeated in (11-a):

(11) a. Dasthe

Bildpicture

istis

vonby

einema

Kindchild

angefertigt.produced

‘The drawing was produced by a child.’b. ∃s,ek,xk[produce(ek)∧BECOME(s)(ek)∧produced(the drawing,s)∧Agent(xk,ek)∧

by(a child,ek)∧ s overlaps now ]

• This proposal accounts for the results of the corpus study:

– The complements of by-phrases with adjectival passives have a more generic character(preference for bare and indefinite NPs).

– With verbal passives, on the other hand, the complements of by-phrases have a more con-crete character (higher frequency of definite nouns, pronouns, proper names, which referto entities in the discourse).

• This proposal also captures the other properties of by-phrases that we started out with:

– The complements of adjectival by-phrases do not introduce discourse referents, since theyremain in the kind domain.

– NPs in event-related modifiers cannot be modified by token modification but only by kindmodification (see also Aguilar Guevara and Zwarts 2011, for similar properties of weakdefinites, which they analyze as kind descriptions).

• What about adjectival passives vs. adjectives?

5 Event kind vs. state token modifiers

5.1 A further complication of the facts

• Two types of by-phrases with German adjectival passives (Gehrke to appear) (building on obser-vations by Rapp 1996; Schlucker 2005):

– By-phrases that modify the event kind:

∗ Name a sub-kind or establish a kind∗ Behave like other event-related modifiers of adjectival passives

– By-phrases that modify the state token:

∗ Fully acceptable only with stative predicates∗ Contrast with other event-related modifiers

• By-phrases as event kind modifiers (Gehrke to appear):

i. Form a prosodic unit with the participle: Neutral stress is on the modifier ((12-a)).

ii. Such by-phrases are incompatible with un-prefixation ((12-b)).

iii. Such by-phrases cannot switch order with the participle ((12-c)).

iv. The complements have a more generic character (e.g. von Feuer ‘by fire’, von Bomben ‘bybombs’).

v. In all these respects such by-phrases behave like other event-related modifiers that are al-lowed with adjectival passives ((13)).

8

(12) a. Diethe

Zeichnungdrawing

istis

vonby

einema

KINDchild

angefertigt.made

b. Diethe

Suppesoup

istis

(*von(*by

Maja)Maja)

ungewurzt.unseasoned

c. *Derthe

Briefletter

warwas

geschriebenwritten

vonby

eineman

Experten.expert

(13) a. Derthe

Briefletter

warwas

mitwith

(einem)(a)

BLEIstiftpencil

geschrieben.written

b. *Derthe

Briefletter

warwas

mitwith

(einem)(a)

Bleistiftpencil

ungeschrieben.unwritten

c. *Derthe

Briefletter

warwas

geschriebenwritten

mitwith

(einem)(a)

Bleistift.pencil

• By-phrases as state token modifiers (Gehrke to appear):

i. Do not form a prosodic unit with the participle: Neutral stress is on the participle; sec-ondary stress on the modifier ((14-a)).

ii. Such by-phrases are compatible with un-prefixed participles (14-b).

iii. Such by-phrases can switch order with the participle (14-c).

iv. The complements have a more concrete character (e.g. vom Feuer ‘by the fire’, von derBombe ‘by the bomb’).

v. In all these respects such by-phrases behave differently from other event-related modifiersthat are allowed with adjectival passives (13).

(14) a. Erhe

istis

vonby

derthe

MuSIKmusic

beEINdruckt.impressed

b. Diethe

DresdnerDresden-

Burgercitizens

sindare

vonby

solchensuch

Problemenproblems

unbeeindruckt.unimpressed

‘The citizens of Dresden are not concerned with such problems.’c. Die

theDresdnerDresden-

Burgercitizens

sindare

unbeeindrucktunimpressed

vonby

solchensuch

Problemen.problems

• New observation here:

– Such by-phrases behave more like PP arguments of adjectives ((15)).

– However, the neutral word order with adjectives is yet different, as it is not the one in (15-a)but the one in (15-b).

(15) a. Erhe

istis

uberabout

diethe

EntWICKlungdevelopment

UNglucklich.unhappy

b. Erhe

istis

(un)glucklichunhappy

uberabout

diesethis

Entwicklung.development

• For a complete picture we would need to:

– Look at German corpus data in addition

– Disentangle by-phrases with eventive and stative verbs (in the corpus)

– Compare by-phrases with adjectives and those with adjectival passives of stative verbs

9

5.2 The analysis in Gehrke (to appear)

• Possibility of phrasal and lexical adjectivisation (Kratzer 1994, 2000; Rapp 1996)

(16) Lexical adjectivisationAP

V

geschlossen

Aa f f

�

(17) Phrasal adjectivisation: Event kind modifiersAP

VP

PP

von einem Kind

V

angefertigt

Aa f f

�

⇒ The PP is prosodically integrated into the participle and cannot appear after it.

⇒ Un-prefixation is not possible, since only lexical adjectivisation is compatible with un-.

(18) Modifiers of AP: State modifiersAP

PP

von der Musik

A′

V

t1

Aa f f

(un)beeindruckt1-�

⇒ These modifiers are not prosodically integrated into the participle.

⇒ They can appear after the participle.

⇒ The participle itself, which is the output of lexical adjectivisation, is compatible with un-.

Some final speculation:

• It might even possible that event-related modifiers are semantically incorporated into the partici-ple before adjectivization (in the sense of Dayal 2011, and others), which would explain theirprosodic integration and the lack of a discourse referent. We leave this for future research.

10

6 Conclusion

• By-phrases are possible (German, Spanish) and equally attested (Spanish) with both adjectivaland verbal passives.

⇒ Both kinds of passives involve implicit external arguments.

• However, the by-phrases are crucially different in both types of passives:

– In both, the external argument is bound at the point of participle formation.

– In adjectival passives, the external argument remains in the kind domain, because a by-phrase modifies an event kind (at least with one kind of by-phrase).

– In verbal passives, the by-phrase modifies an event token.

⇒ This accounts for the differences in the kinds of complements in such phrases.

• We do not fully understand the differences and the commonalities of by-phrases with adjectivalpassives and adjectives.

• Future work:

– Corpus data analysis of German (tricky because of word order issues)

– Disentangle stative and eventive verbs (tricky because no real consensus)

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