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Deriving four generalizations about nominals in three classifier languages

Published online by Cambridge University Press:  11 January 2022

Trang Phan*
Affiliation:
VNU University of Languages and International Studies, Hanoi
Tue Trinh*
Affiliation:
Leibniz-Zentrum Allgemeiner Sprachwissenschaft, Berlin
Hung Phan*
Affiliation:
Vietnam Institute of Linguistics, Hanoi
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Abstract

This squib presents a set of facts concerning nominal structures in Bahnar, Mandarin, and Vietnamese. It proposes an account of these facts which reduces them to cross-linguistic differences with respect to the availability of particular syntactic configurations involving the bare noun and its extended projection. These differences, in turn, are derived from cross-linguistic variations with respect to the availability of items in the functional lexicon.

Résumé

Résumé

Cette notule présente un ensemble de faits concernant les structures nominales en bahnar, en mandarin et vietnamien. Elle propose une explication de ces faits qui les réduit à des différences interlinguistiques par rapport à la disponibilité de configurations syntaxiques particulières impliquant le nom nu et sa projection étendue. Ces différences, à leur tour, sont dérivées de variations interlinguistiques en ce qui concerne la disponibilité d’éléments du lexique fonctionnel.

Type
Squib/Notule
Copyright
Copyright © Canadian Linguistic Association/Association canadienne de linguistique 2022

1. Classifier languages and parametric variation

One fact about linguistic variation is that nouns which intuitively denote the same concept can have different combinatorial properties in different languages. In English, the noun dog can combine directly with the numeral one, as in John has one dog.Footnote 1 In Vietnamese, on the other hand, the noun chó ‘dog’ cannot combine directly with the numeral một ‘one,’ but requires the mediation of a “classifier” (CL).Footnote 2

  1. (1) John cómột *(con) chó

    John have one  cl  dog

    ‘John has one/a dog’

This difference between English and Vietnamese is representative of the contrast between “number-marking” languages such as English, French, and German, and “classifier” languages such as Chinese, Vietnamese, and Japanese. It has been noted that variation exists among languages of both types. For example, bare nouns can be definite in Chinese but not in Vietnamese, while classifier-noun combinations can be definite in Vietnamese but not in Chinese (see Cheng and Sybesma Reference Cheng and Sybesma1999, Trinh Reference Trinh2011). Among number-marking languages, some, such as English and German, allow bare plurals to be arguments but others, such as French and Italian, do not. Such facts call for an account of the variation at both the macro level between classifier and number-marking languages, and at the micro level between languages within each group. This requires analysis and comparison of particular languages of both types. A fair amount of work has been devoted to the semantics of nominals in number-marking languages (see Link Reference Link, Baeuerle, Schwarze and Stechow1983, Pelletier and Schubert Reference Pelletier, Schubert, Gabbay and Guenthner1989, Barker Reference Barker1992, Schwarzschild Reference Schwarzschild1992, Krifka Reference Krifka, Brown and Miller1999, among others). Also, concrete proposals have been made to account for the macro-variation between classifier and number-marking languages, as well as for the micro-variation among the latter (see Krifka Reference Krifka, Carlson and Pelletier1995; Chierchia Reference Chierchia1998, Reference Chierchia2010; Dayal Reference Dayal2004). Analyses of classifier languages, however, have been fewer and less explicit, and this is true to an even greater extent for the micro-variation between them. Works in this direction, to the best of our knowledge, tend to be heavily syntactic in nature, with semantic considerations playing a secondary role (see Cheng and Sybesma Reference Cheng and Sybesma1999, Reference Cheng, Sybesma, Cinque and Kayne2005; Saito et al. Reference Saito, Lin and Murasugi2008; Wu and Bodomo Reference Wu and Bodomo2009; Watanabe Reference Watanabe2010, among others). This squib is an attempt at balancing the situation. Our objective is to show that given appropriate formalization of certain concepts, several facts about the syntax and semantics of nominals in three classifier languages – Bahnar, Chinese, and Vietnamese – can be made to follow from independently motivated assumptions about the building blocks of semantic representations, as well as plausible hypotheses about linguistic variation.

The general framework we adopt will be the “principles and parameters” theory (see Chomsky Reference Chomsky, Hale and Keyser1993, Reference Chomsky1995, Reference Chomsky1998, Reference Chomsky and Belletti2004). This theory seeks to find out what is common to all languages (i.e., the principles), and what are the ways in which languages can vary (i.e., the parameters). An influential view, which is sometimes called the “Borer-Chomsky conjecture,” holds that parametric variation is to be reduced to the lexicon, in particular the functional lexicon.Footnote 3

For example, it has been proposed that whether wh-movement exists depends on C (see Huang Reference Huang1981, Reference Huang1982), whether V-raising exists depends on T (see Pollock Reference Pollock1989, Chomsky Reference Chomsky and Freidin1991), and whether N-raising exists depends on D (see Longobardi Reference Longobardi, Baltin and Collins2001, Cinque Reference Cinque2005). Of course, there is no a priori reason to assume that functional items are restricted to those of categories C, T, and D, or that variation is restricted to the ability to trigger movement. The term “functional category” is not definitional, and its extension is to be determined based on considerations of empirical adequacy as well as theoretical economy and elegance. In the same way, the possibility must be kept open that functional categories may differ not only with respect to their featural make-up, but also with respect to their availability: the functional lexicon of one language may contain a certain item which is absent from the functional lexicon of another language (see Manzini and Wexler Reference Manzini, Rita and Wexler1987, Bǒskovíc and Gajewski Reference Bǒskovíc and Gajewski2011). In this squib, we will argue that our three-way comparison of Bahnar, Chinese, and Vietnamese shows that differences of precisely this kind exist.

Before we end this introduction and get to the main discussion, we will address the question of the grammatical status of classifiers. While it is quite uncontroversial to assume that elements such as definite articles, demonstratives, or silent type-shifting operators are functional items, it is less so with classifiers. As classifiers seem to indicate the “class” of the nouns, which is a cognitive notion, one might feel that classifiers should be considered subtantives. Our assumption in this squib will be that they are functional items. We will now provide some justification for this assumption, using, without loss of generalization, examples from Vietnamese for illustration.Footnote 4

One criterion for some lexical item to be considered “functional” is that it can be omitted without affecting the intended meaning: (2) will be understood as saying the same thing as (1), even though it will be perceived as an ungrammatical sentence.Footnote 5

  1. (2) *John có  một chó

    John have one dog

    (‘John has one/a dog’)

Thus, classifiers do not add semantic content to the sentence.Footnote 6 Related to this observation is the fact that there is a degree of arbitrariness in the relation between a noun and the classifier that it requires. Take the classifiers con and cái in Vietnamese, for example. The first typically combines with nouns which denote animals, and the second typically combines with nouns which denote inanimate objects. However, the noun thuyền ‘boat’ may combine with both con and cái, and there is a strong preference, in standard Hanoi dialect at least, for combining the noun dao ‘knife’ with con rather than with cái.

  1. (3)

    1. a. John nhìn thấy một con/cái thuyền

      John see one cl boat

      ‘John sees a boat’

    2. b. John cầm một con/??cái dao

      John hold one cl knife

      ‘John is holding a knife’

Thus, the dependency between a noun and its accompanying classifier is, to some degree, similar to that between a noun and its grammatical gender in such languages as German and French.Footnote 7

Another way in which noun-classifier dependency resembles grammatical gender is that combining a noun with a “wrong” classifier, just like inflecting a noun with a “wrong” gender, results in a grammatical error, not in a different meaning. Thus, the classifier to go with chó ‘dog’ is con, not cái, and the grammatical gender of Haus ‘house’ is neuter, not masculine, but combining chó ‘dog’ with the classifier cái, and Haus ‘house’ with a masculine determiner, will still convey the intended meaning, even though the sentence is perceived as formally deviant.

  1. (4)

    1. a. *John có một cái chó

      John have one cl dog

      (‘John has one/a dog’)

    2. b. *John hat einen Haus

      John have one.masc house

      (‘John has one/a house’)

Last but not least, classifiers show two properties which have been considered distinctive of functional items. First, they are a closed class: while it is imaginable a company might invent a new noun to name a new product, it is unimaginable for it to invent a new classifier to count items of that new product. Second, classifiers has a “world independent” semantics: their denotation stays constant across different states of affairs. This will become clear in the discussion below. At this point, we take these considerations to be sufficient reasons for assuming that classifiers are functional items.

2. Four generalizations about Bahnar, Mandarin, and Vietnamese

Bahnar and Mandarin are similar to Vietnamese in being “classifier languages” of the East Asian variety: nouns can only combine with numerals through the mediation of a classifier, as has been illustrated for Vietnamese in the previous section. Let us now turn to the discussion of demonstratives, argumenthood, and definiteness in these three languages.Footnote 8

In Mandarin and Vietnamese, a demonstrative requires a classifier but does not require a numeral, as shown in (5a) and (5b), repectively.

  1. (5)

    1. a. nei (liang) zhi gou

      dem two cl dog

      ‘those two dogs’

    2. b. (hai) con chó đó

      two cl dog dem

      ‘those two dogs’

In Bahnar, on the other hand, a demonstrative requires both a classifier and a numeral, as shown in (6).

  1. (6) *(ʔbal) tɔʔ kɔʔ nej

    two cl dog dem

    ‘those two dogs’

Let us state the first generalization.

  1. (7) Generalization 1

    DEM can combine with CL-NP in Mandarin and Vietnamese, but not in Bahnar

Regarding argumenthood, bare classifier phrases (i.e., those of the form CL-NP) can be verbal arguments in Vietnamese, as shown in (8).

  1. (8) con chó muốn sang đường

    cl dog want cross road

    ‘The dog wants to cross the street’

In contrast, this does not hold for Bahnar and Mandarin, as shown in (9a) and (9b), respectively.

  1. (9)

    1. a. *tɔʔ kɔʔ waʔ kwa tɤrɔŋ

      cl dog want cross road

    2. b. *zhi gou yao guo malu

      cl dog want cross road

      Let us state the second generalization.

  2. (10) Generalization 2

    CL-NP can be verbal arguments in Vietnamese but not in Bahnar or Mandarin

We take the semantic type of intransitive and transitive verbs to be 〈e, t〉 and 〈e, 〈e, t〉〉, respectively. For example, $[ [ {{\rm smokes}} ] ] = [ \lambda x\colon x\in D_e\,\;x\,{\rm smokes}] $ and $[ [ {{\rm loves}} ] ] = [ \lambda y\colon y\in D_e\,\cdot [ \lambda x\colon x\in D_e\cdot x\,{\rm loves}\,y] ] $ (see Heim and Kratzer Reference Heim and Kratzer1998, and see footnote 11 below for an explanation of the lambda notation). When we say that a nominal is an argument of a verb, what we mean is that the nominal or its trace is interpreted as an argument to the function denoted by the verb, which entails that only nominals which are of type e or have traces of type e can be arguments. This is the sense in which Chierchia (Reference Chierchia1998) uses the term “argumental” in classifying nominals (see e.g. Chierchia Reference Chierchia1998: 344). Now, it has been proposed that nominals of type 〈e, t〉, when they are in object position, can compose with the verb via the rule of Restrict (see Chung and Ladusaw Reference Chung and Ladusaw2004, Trinh and Sudo Reference Trinh and Sudo2009, Trinh Reference Trinh2011). What Restrict does can be described informally as making a new verb out of a verb and a nominal. This means that nominals which compose with verbs via Restrict are not verbal arguments, in our terminology. Since subjects cannot compose with verbs via Restrict, the fact that a nominal cannot be subject can be considered evidence that it is not of type e (i.e., that it cannot be a verbal argument). Thus, the subject position provides a more reliable diagnostic for argumenthood than the object position. For this reason, we will disregard the object position in our discussion on argumenthood. Note that in other discussions, say one on whether numerals can combine directly with nouns, the position of the relevant nominal will play no role. Thus, examples (1), (2) and (3) all have the nominal in object position. This does not affect anything which we have just said regarding argumenthood.Footnote 9

Regarding definiteness, bare numeral phrases, that is, those of the form Num-CL-NP, can be definite in Bahnar and Vietnamese, as shown in (11a) and (11b), respectively.

  1. (11)

    1. a. ʔbal tɔʔ kɔʔ waʔ kwa tɤrɔŋ

      two cl dog want cross road

      ‘The two dogs want to cross the road.’

    2. b. hai con chó muốn sang đường

      two cl dog want cross road

      ‘The two dogs want to cross the road.’

This does not hold for Mandarin, as shown in (12).

  1. (12) *liang zhi gou yao guo malu

    two cl dog want cross road

    (‘The two dogs want to cross the road.’)

Let us state the third generalization.

  1. (13) Generalization 3

    Num-CL-NP can be definite in Bahnar and Vietnamese, but not in Mandarin

Also regarding definiteness, bare nouns can be definite in Bahnar and Mandarin, as shown in (14a) and (14b), respectively.

  1. (14)

    1. a. kɔʔ waʔ kwa tɤrɔŋ

      dog want cross road

      ‘The dog(s) want(s) to cross the road.’

    2. b. gou yao guo malu

      dog want cross road

      ‘The dog(s) want(s) to cross the road.’

In Vietnamese, however, bare nouns cannot be definite, as shown in (15).

  1. (15) chó muốn sang đường

    dog want cross road

    *‘The dog(s) want(s) to cross the road.’

Let us state the fourth generalization.

  1. (16) Generalization 4

    Bare NP can be definite in Bahnar and Mandarin, but not in Vietnamese

Table 1 summarizes the facts about Bahnar, Mandarin and Vietnamese which we have just discussed.

Table 1: Four generalizations about Bahnar, Mandarin, and Vietnamese

As we can see, three typologically similar languages can display subtle, intricate and quite puzzling distinctions in distribution and interpretation with respect to the nominal domain. We will propose an account of the four generalizations established above which derives these distinctions from the sort of parametric variations mentioned in the introduction, namely differences in terms of availability of items in the functional lexicon.

3. Deriving the generalizations

Our analysis of the facts just presented extends the proposal made in Trinh (Reference Trinh2011) for the differences between Mandarin and Vietnamese to include Bahnar. The definitions below, save that of K2 in (22b), are taken from that work, barring notational differences which are not substantial. The section will start with some theoretical groundwork and ends with the derivation of the four generalizations stated above, in the form of informal proofs.

3.1 Theoretical groundwork

This section lays out some assumptions and terms that underlie our analysis. It should be noted that most, if not all, of these assumptions have been motivated elsewhere, in particular in Chierchia (Reference Chierchia1998) and Trinh (Reference Trinh2011) as well as in works cited therein.

3.1.1 Bare nouns

Following Chierchia (Reference Chierchia1998) and several others, bare nouns will be assumed to denote atomic predicates (i.e., sets of singularities) in number-marking languages, and to denote cumulative predicates (i.e., sets of both singularities and pluralities) in classifier languages. Thus, suppose a, b and c are the only dogs in world w, then the English word dog denotes, in w, the set {a, b, c}, while the denotation in w of its Vietnamese counterpart, chó, is the set ${ {a, \;b, \;c, \;a\oplus b, \;a\oplus c, \;b\oplus c, \;a\oplus b\oplus c} } $, where $x\oplus y$ is the plurality consisting of x and y.Footnote 10 The lexical entries for dog and chó are given in (17b).Footnote 11

  1. (17)

    1. a. $[[ {{\bf dog}}]]^w = [ \lambda x.\,\,x\,{\rm is\ a\ singular\ dog] } = {\rm { \ }a, \;b, \;c \ }$

    2. b. $[[{{\bf ch {o^{\!\!'}}}} ]]^w = [ \lambda x.\,x\,{\rm is\ a\ singular\ dog\ or\ a\ plurality\ of\ dogs] } = { \ }a, \;\,b, \;\,c{\rm , \;}\,\,a\;\oplus b, \;\,\,a\oplus c, \;\,\,b\oplus c, \;\,\,a\oplus b\oplus c $

Let ‘x ⊏ y’ mean x is a proper part of y and ‘$x{\rm \sqsubseteq }y$’ mean that x is a part of y, i.e. is a proper part of or identical to y. Thus, a ⊏ $a\oplus b$ and $a\oplus b{\rm \sqsubseteq }a\oplus b$, but $a\oplus b \;\;$ ̸⊏ $a\oplus b$.

3.1.2 Numerals

For the semantics of numerals, the function sup is defined as one which maps a predicate P to the “supremum” of P, which is to say, that entity which has all and only members of P as (proper or non-proper) part.

  1. (18) $x\sqsubseteq sup( P ) \Leftrightarrow _{{\rm def}}\forall y( {y\in P\leftrightarrow y\,{\rm \sqsubseteq }x} ) $

Suppose $P = { {a, \;b, \;c, \;a\oplus b} } $, then $sup( P ) = a\oplus b\oplus c$.Footnote 12 Counting requires uniformity: only individuals with the same number of atomic parts can be counted (Ionin and Matushansky Reference Ionin and Matushansky2006).Footnote 13 Uniformity is defined in (19), where n is a variable ranging over natural numbers and x P is the number of parts of x that are P.Footnote 14

  1. (19) $P\,is\ uniform\Leftrightarrow _{{\rm def}}\exists n( \forall x( P( x ) \to \vert x\vert _P = n) ) $

To illustrate, the lexical entry for the numeral two is given in (20), where ℘ (P) is the power set of P, i.e. ℘ (P) = {Q|Q ⊆ P}.

  1. (20) $[[{{{\bf two}}}]]^w( P ) = [ \lambda x.\,\exists y( y\in \wp ( P ) \wedge \vert y\vert _P = 2\wedge x = sup( y ) ) ] $ if P is uniform, undefined otherwise

Thus, numerals are of type 〈〈e, t〉, 〈e, t〉〉, that is, the type of restrictive modifiers. Suppose P = {a, b, c}, then $[ [ {{{\bf two}}} ] ] ^w( P ) = { {a\oplus b, \;a\oplus c, \;b\oplus c} } $. However, if $P = { {a, \;b, \;a\oplus b} } $, then $[[{{{\bf two}}}]]^w(P)$ will be undefined, as P is not uniform.

3.1.3 Classifiers

From what has just been said, it follows that numerals cannot combine with bare nouns in classifier languages, since these nouns denote cumulative predicates which are not uniform. This is why mediation of the classifier is required. The function at is defined as one which maps any cumulative predicate P to a subset of P whose members have no proper parts that are P.

  1. (21) $x\in at( P ) \Leftrightarrow _{{\rm def}}x\in P\wedge \neg \exists y( {y\in P\wedge y }$ ⊏ x)

We are now ready to propose meanings for the classifier. Anticipating the discussion which will come presently, we define two types of classifiers, K1 and K2Footnote 15

  1. (22)

    1. a. [[K1]]w = [λP.at(P)] $[ [ {{\rm KIND\;NP}} ] ] ^w = [ \lambda w$

    2. b. [[K2]]w = [λn:n ∈ D〈〈e, t〉, 〈e, t〉〉[λP.n(at(P))]]

As we can see, K1 maps a predicate to a predicate, while $[ [ {{\rm K}_2} ] ] $ maps a numeral and a predicate P to a predicate. This means we have two different bracketings for numeral phrases of the surface profile [Num K noun].

  1. (23)

Both of these structures have been argued to exist. Specifically, it has been proposed that Chinese opts for (23a) and Japanese for (23b) (see Saito et al. Reference Saito, Lin and Murasugi2008). We will argue that Chinese and Vietnamese opt for (23a) while Bahnar opts for (23b).

3.1.4 Definiteness and kind reference

A silent morpheme the is defined which has roughly the same meaning as the English definite article the. Specifically, $[ [ {{\rm \tf="Times-RomanSC (Screen)" the}} ] ] ^w$maps a P to the “maximal” entity in P if there is one, undefined otherwise. This captures both the existence and uniqueness presuppositions of definiteness (see Heim Reference Heim, Stechow and Wunderlich1991).

  1. (24) $[ [ {{\rm \tf="Times-RomanSC (Screen)" the}} ] ] ^w( P ) = sup( P ) $ if sup(P) ∈ P, undefined otherwise

Suppose P = {a}, then $[ [ {{\rm\tf="Times-RomanSC (Screen)" the}} ] ] ^w( P ) = a$. If $P = { {a, \;b, \;a\oplus b} } $, then $[ [ {{\rm \tf="Times-RomanSC (Screen)" the}} ] ] ^w( P ) = a\oplus b$. However, if P = {a, b} or $P = \emptyset $, then $[ [ {{\rm \tf="Times-RomanSC (Screen)" the}} ] ] ^w( P ) $ will be undefined. This is the same THE as in Trinh (Reference Trinh2011).

Among the individuals in the universe of discourse, there are kinds, which are functions from properties to individual concepts (see Chierchia and Turner Reference Chierchia and Turner1988; Chierchia Reference Chierchia1998). A silent morpheme kind is defined which turns nouns into names of kinds in (23), where ${\oplus} P$ is the ${\oplus} $-closure of P, i.e. ${\oplus} P = { sup( Q ) \vert Q\subseteq P} $.Footnote 16

  1. (25) $[ [ {{\rm \tf="Times-RomanSC (Screen)" kind\;NP}} ] ] ^w = [ \lambda w $.$sup( {{[ [ {{\rm NP}} ] ] }^w} ) ] $ if $[ [ {{\rm NP}} ] ] ^w = {\oplus} [ [ {{\rm NP}} ] ] ^w$ and $\exists w\colon \vert {{[ [ {{\rm NP}} ] ] }^w} \vert > 1$, undefined otherwise

Thus, $[ [ {{\rm \tf="Times-RomanSC (Screen)" kind}} ] ] ^w$maps each cumulative predicate P into the function from each world w to $[ [ {{\rm \tf="Times-RomanSC (Screen)" the\;NP}} ] ] ^w$. Note that this definition of kind entails that neither [CL NP] nor [Num CL NP] can combine with kind, as these are not cumulative predicates.

In addition to the operator kind, the inverse of kind is also defined. It is ext, which is also a silent morpheme and which maps kinds into the plurality which instantiate them in each world.Footnote 17

  1. (26) $[ [ {{\rm \tf="Times-RomanSC (Screen)" ext\;}[ {{\rm \tf="Times-RomanSC (Screen)" kind\;NP}} ] } ] ] ^w = [ [ {{\rm \tf="Times-RomanSC (Screen)" kind\;NP}} ] ] ^w( w ) $

In addition, we propose the following preference principle. At this point we will have to assume that this is a primitive of natural language grammar.Footnote 18

  1. (27) The kind-over-the principle

    If both $[ [ {{\rm [ \tf="Times-RomanSC (Screen)" kind\;}\alpha ] } ] ] ^w$ and $[ [ {{\rm [ \tf="Times-RomanSC (Screen)" the\;}\alpha ] } ] ] ^w$ are defined, use [kind α] instead of [the α]

In other words, when it is possible to use kind, it is not possible to use the.

3.2 Accounting for the facts

We are now in the position to derive the generalizations established in section 2. Our proposal concerns only the functional lexicon, and is quite simple. Specifically, we assume that Mandarin and Vietnamese differ in the way proposed by Trinh (Reference Trinh2011), and add Bahnar to the list. Our addition results in the following: (i) Bahnar has K2 but not K1, while the opposite holds for Mandarin and Vietnamese; (ii) Bahnar and Vietnamese have the but Mandarin does not; (iii) all three languages have kind; (iv) Bahnar and Mandarin have ext but Vietnamese does not. Table 2 summarizes this cross-linguistic distribution of the functional morphemes K1, K2, the, kind and ext.

Table 2: Functional elements in nominal structures

This distribution of functional items across Bahnar, Mandarin, and Vietnamese have consequences for the availability of syntactic structures among these three languages. It turns out that these consequences match the generalizations established in section 2 precisely. Let us now derive these.

First, consider generalization 1, repeated below as (28).

  1. (28) Generalization 1

    DEM can combine with CL-NP in Mandarin and Vietnamese, but not in Bahnar

Proof – There are two possible parses for the DEM-CL-NP string: either [DEM [CL NP]] or [[DEM CL] NP].Footnote 19 Under the standard assumption that demonstratives, just like definite and indefinite articles, take predicates (i.e. expressions of type 〈e, t〉) as arguments, [[DEM CL] NP] is excluded, since neither K1 nor K2, our options for CL, is of type 〈e, t〉.Footnote 20 Thus, [DEM [CL NP]] is the only possible parse. Given that NP is a predicate, hence of type 〈e, t〉, CL in the DEM-CL-NP string must be of type 〈〈e, t〉, τ〉 where τ is some arbitrary type. As K1 is of type 〈〈e, t〉, 〈e, t〉〉 and K2 of type 〈〈〈e, t〉, 〈e, t〉〉, 〈〈e, t〉, 〈e, t〉〉〉, CL in the DEM-CL-NP string must be K1 and cannot be K2. Since Bahnar has K2, not K1, while Mandarin and Vietnamese have K1, not K2, the DEM-CL-NP string can be generated in Mandarin and Vietnamese but not in Bahnar. QED.

Next, consider generalization 2, repeated below as (29).

  1. (29) Generalization 2

    CL-NP can be verbal arguments in Vietnamese, but not in Bahnar or Mandarin

Proof – Verbal arguments are of type e (Heim and Kratzer Reference Heim and Kratzer1998). By hypothesis, [K1 NP] is of type 〈e, t〉 and [K2 NP] is a type mismatch, that is, uninterpretable. This means that for a language to have CL-NP as verbal argument, it must have K1 and it must have a silent operator which maps [K1 NP] into an expression of type e. From the inventory of silent operators postulated above, only the fits the description of such an operator, which means that among the three languages under discussion, only Vietnamese fits the description of such a language: it is the only language to have both K1 and the in its functional lexicon. QED.

Next, consider generalization 3, repeated below as (30).

  1. (30) Generalization 3

    Num-CL-NP can be definite in Bahnar and Vietnamese, but not in Mandarin

Proof – By virtue of the definition of K1 and K2, the Num-CL-NP string is parsed as [[Num CL] NP] in Bahnar and as [Num [CL NP]] in Mandarin and Vietnamese. Both of these structures, however, are expressions of type 〈e, t〉. Thus, the only way for a language to have Num-CL-NP interpretable as definite is for it to have a silent operator which maps expressions of type 〈e, t〉 into definite descriptions. Again, the is the only item among those postulated above which can do this. As it is available in Bahnar and Vietnamese but not in Mandarin, generalization 3 holds. QED.Footnote 21

Finally, consider generalization 4, repeated below as (31).

  1. (31) Generalization 4

    Bare NP can be definite in Bahnar and Mandarin, but not in Vietnamese

Proof – From the definition of the, kind and ext, it follows that there are two parses of NP, which results in a definite description: either [the NP] or [ext [kind NP]]. Given the kind-over-the principle, [the NP] is unavailable in Bahnar and Vietnamese, since these languages have both the and kind. By hypothesis, Mandarin does not have the, so [the NP] is not available in Mandarin either. Thus, the only way for a bare NP to be definite in Bahnar, Mandarin, or Vietnamese is to be parsed as [ext [kind NP]]. As Bahnar and Mandarin have ext, while Vietnamese does not, bare NPs can be definite in the first two, but not in the last. QED.

4. Conclusion

We have established four generalizations about the syntax and semantics of nominal structures in three classifier languages – Bahnar, Mandarin, and Vietnamese – which show an intricate pattern of cross-linguistic variation. We developed an analysis which derives these generalization purely in terms of differences among the three languages with respect to their functional lexicon. Specifically, we defined pieces of formal meaning which have been given empirical motivation in other works, and advanced a proposal as to which piece is realized as a functional item in which language. We then showed that syntactic and semantic consequences of our proposal match the four generalizations we established in a precise manner.Footnote 22 The set of facts we discussed is admittedly compact, but its small size allows a fully explicit account to be formulated which forces puzzling stipulations such as the kind-over-the principle to be manifest and which makes it possible to execute exact computations of the meaning of syntactic structures. In addition, it invites expansion of the data base which we hope to pursue in future work.

Footnotes

This research was funded by the Vietnam National Foundation for Science and Technology Development (NAFOSTED) under grant number 602.02-2018.300 to the first author, Trang Phan. The second author, Tue Trinh, also acknowledges the support of the ERC Advanced Grant ERC-2017-ADG 787929.

1 In text, object language expressions are boldfaced.

2 We follow the standard, albeit confusing, practice of using parentheses in examples: (α) means the expression is acceptable with or without α, *( α) means it is only acceptable with α, and (*α) means it is only acceptable without α.

3 As far as we know, the term “Borer-Chomsky conjecture” was coined in Baker (Reference Baker2008: 156), who formulates it thus: “All parameters of variation are attributable to differences in the features of particular items (e.g., the functional heads) in the lexicon.” Borer (Reference Borer1984: 3) proposes a theory which “restricts the availability of variation to the possibilities which are offered by one single component: the inflectional component.” In conjunction with the assumption that inflection is effected by functional heads, Borer's thesis amounts to saying that variation is to be explained via the functional lexicon. And to quote from Chomsky (Reference Chomsky and Kenstowicz2001: 2): “Parametric variation is restricted to the lexicon, and insofar as syntactic computation is concerned, to a narrow category of morphological properties, primarily inflectional.” This is in the same spirit as Borer's thesis.

4 Note, importantly, that we are talking about classifiers and not measure words such as herd, cup, or kilogram. Phrases such as a herd of cows, a cup of milk, or a kilogram of meat express measurements which are more or less purpose-related and exist in both classifier languages and number-marking languages. Classifier phrases such as con chó ‘CL dog’ express “natural units” (see Krifka Reference Krifka2003) and constitute the basis for a typological distinction. For more discussion on the differences between classifiers and measure words, see Her (Reference Her2012b, Reference Hera). Note, also, that the view that classifiers and measure words should be clearly distinguished, while popular, is not one that has not been challenged. For an argument that these two categories are more similar than it appears, see Borer (Reference Borer2005).

5 We did not conduct an experiment to test this intuition systematically, but a cursory informal survey of ten native speakers – five living in Hanoi and five living in Berlin – shows across-the-board agreement that (2) does not sound right and should be corrected to (1). We take this to be evidence that (2) is perceived as deviant, while expressing the same content as (1).

6 An anonymous reviewer pointed out that this claim needed to be qualified given cases of words changing their meaning in accordance with the classifier they combine with. An example from Vietnamese is the word sáo which means ‘flute’ when combined with the classifier cái and means ‘starling’ when combined with the classifier con. We agree that the claim needs to be qualified, or more precisely, clarified. Here is what we say. We take a “word” to be a bundle of phonological, syntactic, and semantic properties. This, we believe, is an uncontroversial position. Equally uncontroversial, in our opinion, is the agreement that two different words, whether by sheer chance or by historical accident, might have the same pronunciation. This means that in the case of cái sáo ‘flute’ vs. con sáo ‘starling,’ we really have two different words with the same pronunciation, each of which requires a different classifier. The argument generalizes to homophonous words whose meanings are more closely related. Thus, while classifiers do not add semantic content to the sentence, they can disambiguate in the same way that pointing at a flute vs. pointing at a starling while uttering the word sáo can disambiguate. Now, having said this, we admit that reality is more complicated than the picture we just painted. The same reviewer brought to our attention cases in Bangla and Assamese where the classifier encodes the speaker's attitude towards the referent of the sister NP. Obviously, appealing to homophony to defend the view that classifiers are functional would be unintuitive. Prima facie the move would then have to be to say that encoding speaker's attitude is not “adding semantic content” in the sense required of a non-functional item. But we admit to having no satisfactory response to this critique, and agree with the reviewer that the issue is “best left for another venue.”

7 Note that functional items indicating grammatical gender can disambiguate in the same way classifiers do, as discussed in footnote 6. An example from German is the masculine noun Gehalt, which means ‘content,’ and the neuter noun Gehalt, which means ‘salary.’ The homophony of these two historically related but synchronically distinct words can be disambiguated by the masculine definite article der and the neuter definite article das.

8 Observations on Vietnamese are based on intuitions of all three authors, who are native speakers of this language. Observations on Bahnar are based on field work done by the third author. Observations on Mandarin Chinese are based on Cheng and Sybesma (Reference Cheng and Sybesma1999).

9 We thank an anonymous reviewer for drawing our attention to this issue.

10 What holds for bare nouns in Vietnamese is assumed to hold for bare nouns in Bahnar and Mandarin also.

11 The λ-notation is used here as proposed in Heim and Kratzer (Reference Heim and Kratzer1998: 34–35) which has become standard: “[λα:ϕ.γ]” represents the smallest function which maps every α such that ϕ to γ, where α is the argument variable, ϕ the domain condition, and γ the value description. Following standard practice, we use lower case “x,” “y” for variables of type e, and upper case “P,” “Q” for variables of type 〈e, t〉. Note that the domain condition is omitted when there is no need to make it explicit.

12 Note that the supremum of P does not have to be a member of P.

13 The reason for this requirement is obvious: if individuals of different numerosity, say a and $b\oplus c$, can be considered units in counting, we would not know how many dogs there are when we hear ‘there are two dogs’.

14 Limiting n's range to natural numbers serves to simplify the exposition and suffices for present purposes, but will obviously raise questions about such sentences as John read 2.5 Russian novels. We leave such issues for other occasions (see Haida and Trinh Reference Haida and Trinh2016, Reference Haida, Trinh, Dǒcekal and Wagiel2021 for discussion).

15 K1 is Trinh's (Reference Trinh2011) CL. K2 does not feature in that work, and is motivated here by the observations about Bahnar.

16 Note that kind is K in Trinh (Reference Trinh2011). The definition imposes on kind the requirement that its argument be a cumulative predicate, and that its extension contain more than one element in at least some possible world (Xis the cardinality of set X). The first requirement prevents the kind reading for singular nouns in English and CL-NP combinations in Vietnamese. The second requirement prevents concepts that are necessarily true of singularities only, for example ‘being Noam Chomsky’ or ‘being the shoe on my left foot,’ from serving as names of kinds (see Chierchia Reference Chierchia1998). Both requirements are empirically motivated.

17 Trinh (Reference Trinh2011) uses the same name for the inverse of the kind operator, which is called K there. Note that ext is of type 〈〈s, e〉, e〉.

18 This is the “Preference Principle” proposed in Trinh (Reference Trinh2011), with the if-clause added. Thus, it makes more explicit what is assumed in Trinh (Reference Trinh2011).

19 We assume that DEM, CL, and NP are adjacent and together make up one constituent, that is to say, there is no movement nor any intervening empty categories. We thanks an anonymous reviewer for pointing out the necessity of this qualification.

20 An anonymous reviewer raises the question of whether it is correct to claim that DEM takes predicates as arguments, given the fact that in languages like Portuguese and Greek exhibit DEM + definite article + NP sequences. We have not investigated the relevant phenomena and can only say, at this point, that what we analyze as DEM here might be split into the definite article plus another element in those languages.

21 An anonymous reviewer pointed out that our conclusion disagrees with the proposal made in Rullmann and You (Reference Rullmann, You, Heusinger and Turner2006), which provides an e-type analysis of CL-NP in Mandarin. We acknowledge and thank the reviewer for drawing our attention to this fact.

22 An anonymous reviewer raised the issue of “explanatory adequacy”: How do children acquire grammars which involve such silent operators as the and kind from the primary linguistic data? We admit that regarding this conceptually important issue we have nothing more concrete to say than the general statements made in the introduction, namely that acquisition is setting of parameters and variation is confined to the functional lexicon. We would note, in this connection, that the lack of a specific hypothesis about how the proposed syntactic and semantic analysis squares with theories of language acquisition is, in our view, a feature common to many, if not most, of the works in the technical literature. The same reviewer pointed out that our account would be more explanatorily adequate if further facts were presented whose description required the elements of our analysis, and in addition to showing that the data can be, we also show that they have to be, analyzed the way we propose. This point is, of course, valid, and the criticism could be made that our present proposal is more like the work of an engineer whose goal is primarily to get things to work than that of a scientist whose goal is primarily to explain why things work the way they do. To this we can only say: “guilty as charged.”

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Figure 0

Table 1: Four generalizations about Bahnar, Mandarin, and Vietnamese

Figure 1

Table 2: Functional elements in nominal structures