Online satisfaction of lexical requirements determines the time course of gap creation Sachiko Aoshima, Colin Phillips & Amy Weinberg University of Maryland, College Park WCCFL XXII March 23, 2003

Principle-based Grammar Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Grammatical theories: Minimalist Program, LFG, HPSG, Categorial Grammar, among others Parsing theories: Principle-based approach, Constraint-based approach (Gibson 1991, Pritchett 1991, MacDonald et al. 1994, among others)

Implications Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. (Pritchett 1992, Mulders 2002)

Processing wh-questions what did you say t that Mary read How do readers interpret a fronted wh-phrase online?

Processing wh-questions what gap

Processing wh-questions what did gap

Processing wh-questions what did you gap

Processing wh-questions what did you say gap

Processing wh-questions what did you say gap that

Processing wh-questions what did you say gap that Mary

Processing wh-questions what did you say gap that Mary read

Processing wh-questions what did you say gap Generalization Gap for a wh-phrase is initially posited in the first/highest available position.

Two approaches for processing wh- questions Strategy-based Approach: When a wh-phrase has been identified, rank the option of assigning it to a gap above all other options. (Crain & Fodor 1985, Frazier & Clifton 1989, among others)

Two approaches for processing wh- questions Strategy-based Approach: When a wh-phrase has been identified, rank the option of assigning it to a gap above all other options. (Crain & Fodor 1985, Frazier & Clifton 1989, among others) Grammatical principle- based Approach Online interpretation of wh- phrases is driven by independently motivated grammatical requirements, e.g. thematic role assignment. (Gibson 1991, Pritchett 1992, among others)

Two approaches for processing wh- questions: head-initial languages Strategy-based gap WH CP C IP VP NP V … the first possible gap position = complement of the first verb Grammatical principle-based gap WH CP C IP VP NP V … the first opportunity to satisfy thematic requirements = complement of the first verb

Two approaches for processing wh- questions: head-final languages Strategy-based Grammatical principle-based WH C CP VP IP NP WH C V CP VP IP NP gap V CP NP VP The first opportunity to satisfy thematic requirements occurs at the embedded clause. … V the first possible gap position CP gap

Implications Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. (Pritchett 1992, Mulders 2002)

Processing head-final sentences In a head-final language, lexical heads are delayed.  Structure-building should be correspondingly delayed, too. John-ga paatii-de Mary-ni hana-o ageta. John-nom party-at Mary-dat flower-acc gave ‘John gave Mary flowers at the party.’

Our experiments show Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. Experiment 1 & 2 Experiment 2 & 3

Our experiments show Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. Experiment 1 & 2 Experiment 2 & 3

Experiment 1: Goal Strategy-based Grammatical principle-based WH C CP VP IP NP WH C V CP VP IP NP gap V CP NP VP The first opportunity to satisfy thematic requirements occurs at the embedded clause. … V the first possible gap position CP gap (e.g. Crain & Fodor 1985, Frazier & Clifton 1989) (e.g. Gibson 1991, Pritchett 1991)

Long-distance Wh-scrambling formation Japanese wh-phrases are canonically in-situ, but they can be fronted by scrambling. Dare-ni Taro-wa [Jiro-ga t atta-ka] itta. Who-dat Taro-top Jiro-nom met-Q said ‘ Taro said who Jiro met. ’

Question Formation Japanese uses question particles (Q-particles) to mark questions. John-nom the book-acc read. John-nom the book-acc read-Q [yes/no question] Sally-top John-nom what-acc read-declC said-Q [root question] ‘What did Sally say that John read?’ Sally-top John-nom what-acc read-Q said[embedded question] ‘Sally said what John read.’

Diagnostics of Active Gap Filling: Typing Mismatch Effect …John-ga nani-o yonda-to (Declarative) yonda-ka (Q-Particle) …John-nom what-acc read Slowdown: Typing Mismatch Effect (Miyamoto & Takahashi 2001)

Experiment 1: Conditions a. Wh-dat NP-top [NP-nom NP-acc V-DeclC] AdvP NP-dat V-Q b. NP-top [NP-nom Wh-dat NP-acc V-DeclC] AdvP NP-dat V-Q c. Wh-dat NP-top [NP-nom NP-acc V-Q] AdvP NP-dat V d. NP-top [NP-nom Wh-dat NP-acc V-Q] AdvP NP-dat V

Experiment 1: Examples a. どの生徒に 担任は 校長が 本を 読んだと図書室で 司書に 言いましたか。 'Which student did the class teacher tell the librarian at the library that the principal read a book for?' b. 担任は 校長が どの生徒に 本を 読んだと 図書室で 司書に 言いましたか。 c. どの生徒に 担任は 校長が 本を 読んだか 図書室で 司書に 言いました。 'The class teacher told the librarian at the library which student the principal read a book for.' d. 担任は 校長が どの生徒に 本を 読んだか 図書室で 司書に 言いました。

Experiment 1: Design & Procedure 2 x 2 factorial design 4 lists were created by distributing 24 items in a Latin Square design 48 filler sentences Comprehension questions: matching a subject with a predicate Self-paced reading task -Moving Window - 48 native speakers of Japanese

Experiment 1: In-situ Condition b. NP-top [NP-nom Wh-dat NP-acc V-DeclC] … Verb-Q d. NP-top [NP-nom Wh-dat NP-acc V-Q] … Verb

F1 (1, 47) = 5.5, p <.01 F2 (1, 18) = 2.8, p = 0.09 V-DeclC/Q Miyamoto & Takahashi’s observation is replicated. Wh-dat

Experiment 1: Scrambled Condition a. Wh-dat NP-top [NP-nom NP-acc V-DeclC] … Verb-Q c. Wh-dat NP-top [NP-nom NP-acc V-Q ] … Verb.

Experiment 1: Scrambled Condition a. Wh-dat NP-top [NP-nom NP-acc V-DeclC] … Verb-Q c. Wh-dat NP-top [NP-nom NP-acc V-Q ] … Verb. Slowdown

Experiment 1: Scrambled Condition a. Wh-dat NP-top [NP-nom NP-acc V-DeclC] … Verb-Q c. Wh-dat NP-top [NP-nom NP-acc V-Q ] … Verb. Slowdown

F1 (1, 47) = 6.1, p <.01 F2 (1, 18) = 5.6, p <.01 V-DeclC/Q Readers also exhibit Typing Mismatch effect in the embedded clause in the scrambled conditions. Wh-dat

Experiment 1: Results Scrambled Condition Readers create a gap position in the embedded clause. Wh-gap is predicted until it can be interpreted. This finding is expected under the grammatical principle-based approach. NP-top Verb CP gap NP-nom Verb VP WH-dat gap

Our experiments show Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. Experiment 1 & 2 Experiment 2 & 3

English Filled Gap Effect who My brother wanted to know Stowe 1986

English Filled Gap Effect who Ruth My brother wanted to know Stowe 1986

English Filled Gap Effect who Ruth will My brother wanted to know Stowe 1986

English Filled Gap Effect who Ruth will bring gap My brother wanted to know Stowe 1986

English Filled Gap Effect who Ruth will bring us My brother wanted to know home to at Christmas Slowdown Stowe 1986 Readers slow down upon encountering an NP where a gap was expected.

Japanese Filled-Gap Effect Position of the unexpected NP is before the verb Second NP-dat is unexpected if the first NP-dat has already been interpreted in embedded clause. WH-dat NP-top CP gap NP-nom Verb VP NP-dat Slowdown upon encountering an NP where a gap was expected. Slowdown

Experiment 2: Conditions WH-dat NP-top CP NP-nomVP WH-nom NP-dat CP NP-nom Verb VP NP-dat target control gap Verb NP-dat Slowdown

Experiment 2: Conditions a. Filled WH-dat NP-top [NP-nom Adv NP-dat NP-acc Verb-DeclC] Verb-Q b. Non-Filled WH-nom NP-dat [NP-nom Adv NP-dat NP-acc Verb-DeclC] Verb-Q

Experiment 2: Examples a. どの子供に 母親は お手伝いさんが 台所で 父親に お弁当を 渡したと 言いましたか。 ‘To which children did the mother tell that the housekeeper handed a lunchbox to the father at the kitchen?’ b. どの子供が 母親に お手伝いさんが 台所で 父親に お弁当を 渡したと 言いましたか。 ‘Which children told the mother that the housekeeper handed a lunchbox to the father at the kitchen?’

Experiment 2: Design & Procedure 2 conditions 2 lists were created by distributing 20 paired items in a Latin Square design 60 filler sentences Comprehension questions: matching a subject with a predicate Self-paced reading task -Moving Window - 34 native speakers of Japanese

Japanese readers exhibit Filled Gap effect. Confirms that they interpret a sentence-initial wh-phrase in the embedded clause, before reaching the embedded verb (Region 7). F1 (1, 33) = 11.9, p <.01 F2 (1, 19) = 6.4, p <.05 NP-dat

Summary: Experiment 1 and 2 Further support for Principle-based theory. No need to assume parser-specific strategy. Gap creation takes place before the verb is processed. Structure- building is not delayed in a head-final language. NP-top Verb CP gap NP-nom Verb VP WH-dat gap

Our experiments show Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. Experiment 1 & 2 Experiment 2 & 3

English pronoun and its antecedent To which of his children did the man give a gift?

English pronoun and its antecedent To which of his children did the man give a gift?

English pronoun and its antecedent To which of his children did the man give a gift? Which of his children gave the man a gift? ?

Japanese pronoun and its antecedent which of his children (DAT) the man (NOM) … which of his children (NOM) the man (DAT) … *?*?*?*?

Japanese pronoun and its antecedent which of his children (DAT) the man (NOM) … his which of his children (NOM) the man (DAT) … *?*?*?*? which of his children (DAT)

which of his children (DAT) the man (NOM) … which of his children (NOM) the man (DAT) … Experiment 3: Gender Mismatch the woman Gender Mismatch paradigm: Carreiras et al. (1996); Osterhout et al. (1997); Sturt (2003)

which of his children (DAT) the man (NOM) … which of his children (NOM) the man (DAT) … Experiment 3: Gender Mismatch the woman Gender Mismatch paradigm: Carreiras et al. (1996); Osterhout et al. (1997); Sturt (2003)

Experiment 3: Conditions a. Scrambled - Gender Mismatch Adverb / [his / which NP]-dat / Adverb / NP FEMALE -nom / Adverb / NP-acc / verb-Q / NP MALE -top / verb b. Scrambled - Gender Match Adverb / [his / which NP]-dat / Adverb / NP MALE -nom / Adverb / NP-acc / verb- Q / NP FEMALE -top / verb c. Non-scrambled - Gender Mismatch Adverb / [his / which NP]-nom / Adverb / NP FEMALE -dat / Adverb / NP-acc / verb-Q / NP MALE -top / verb d. Non-scrambled - Gender Match Adverb / [his / which NP]-nom / Adverb / NP MALE -dat / Adverb / NP-acc / verb- Q / NP MALE -top / verb.

Experiment 3: Examples a. 台所で 彼の どの子供に 朝食後 叔母が 急いで お弁当を 渡 したか 父親は 覚えていた。 b. 台所で 彼の どの子供に 朝食後 叔父が 急いで お弁当を 渡 したか 叔母は 覚えていた。 c. 台所で 彼の どの子供が 朝食後 叔母に 急いで お弁当を 渡 したか 父親は 覚えていた。 d. 台所で 彼の どの子供が 朝食後 叔父に 急いで お弁当を 渡 したか 父親は 覚えていた。

Experiment 3: Design & Procedure 2 x 2 factorial design 4 lists were created by distributing 24 items in a Latin Square design 56 filler sentences Comprehension questions: matching a subject with a predicate Self-paced reading task - Moving Window - 40 native speakers of Japanese

Experiment 3: Results: Scrambled conditions Slowdown at mismatching NP is observed. F1(1, 39) = 8.6, p<.01; F2(1,23)=7.4, p<.01 ± Match his/her

Experiment 3: Results: Non-scrambled conditions Slowdown at mismatching NP only when NP is possible antecedent. Fs<1 ± Match his/her

Summary: Experiment 3 NP-nom Verb HIS-WH gap  Binding constraint application takes place in advance of the verb.  Wh-gap is also posited in the first clause.

Summary Further support for Principle-based theory. No need to assume parser-specific strategy. Gap creation takes place before the verb is processed. Structure- building is not delayed in a head-final language. NP-subj Verb WH-dat Exp 3 gap

Summary Further support for Principle-based theory. No need to assume parser-specific strategy. Gap creation takes place before the verb is processed. Structure- building is not delayed in a head-final language. NP-subj Verb CP gap NP-subj Verb VP WH-dat Exp 3 gap Exp 2

Summary Further support for Principle-based theory. No need to assume parser-specific strategy. Gap creation takes place before the verb is processed. Structure- building is not delayed in a head-final language. NP-subj Verb CP gap NP-subj Verb-Q VP WH-dat Exp 3 gap Exp 1 Exp 2

Conclusion Structure-building is driven by the need to satisfy grammatical requirements of lexical heads. Parsing decisions may be reducible to the need to satisfy lexical requirements.  Strategy-based accounts of parsing decisions may not needed. Structure-building should be delayed in a head-final language. Experiment 1 & 2 Experiment 2 & 3  

Acknowledgments Gerry Altmann Cedric Boeckx Dianne Bradley Marcel den Dikken Janet Fodor Ana Gouvea Martin Hackl Yuki Hirose Norbert Hornstein Atsu Inoue Yuki Kamide Yoshihisa Kitagawa Nina Kazanina Reiko Mazuka Shigeru Miyagawa Edson Miyamoto Leticia Pablos Mamoru Saito Carson Schütze Technical assistance Tomohiro Fujii,Takuya Goro, John Matthews, Utako Minai, Yoshinori Miyazaki, Mitsue Motomura, Kaori Ozawa, Takae Tsujioka, Noboru Yamada, Masaya Yoshida This research is funded by NSF Grant #BCS Human Frontiers Grant #RGY MURI Grant # Patrick Sturt Shoichi Takahashi John Trueswell Hiroko Yamashita Masaya Yoshida