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Phase theory and prosodic spellout:
The case of verbs1
ANGELIKAKRATZERANDELISABETHSELKIRK
Abstract
In this article we will explore the consequences of adopting recent proposals
byChomsky,accordingtowhichthesyntacticderivationproceedsintermsof
phases.Thenotionofphase–throughtheassociatednotionofspellout–allows
for an insightful theory of the fact that syntactic constituents receive default
phrase stress not across the board, but as a function of yet-to-be-explicated
conditions on their syntactic context. We will see that the phonological evi-
dencerequiresustomodifysomewhatthetheoryofwhichfunctionalcategories
actually define a phase. Patterns of default, syntax-determined, phrase stress
arearguedtoresultfromprosodicspelloutrequiringthehighestphraseinthe
spelloutdomaintocorrespondtoamajorprosodicphraseinphonologicalrep-
resentation,andcarrymajorphrasestress.
1.ResearchforthisarticlewassupportedinpartbyNSFGrant#BCS-0004038 toElisabeth
Selkirk.Wewouldliketothankthemanypeoplewhohavegivenusfeedbackonthiswork
sincewefirstbegantodevelopitinajointUMassseminaronmeaningandintonationin
Spring2004andlaterpresenteditattheMediterraneanSyntaxMeetingJune2005,theWork-
shoponProsodicPhrasingatGLOW2006inBarcelona,theProsody-SyntaxInterfaceWork-
shop,UniversityCollegeLondon,October6,2006,NELS2006attheUniversityofIllinois
ChampaignUrbanaOctober2006,andinLinguisticsColloquiaatTokyoUniversityinMarch
2006andattheUniversityofPotsdaminJanuary2007.Inparticular,we’dliketothankShin
Ishihara,CarolineFéry,KyleJohnson,ArsalanKahnemuyipour,CarlosGussenhoven,Hubert
Truckenbrodt,SóniaFrota,MichaelWagner,GorkaElordieta,VieriSamek-Lodovici,David
Adger,MollyDiesing,PilarPrieto,JonNissenbaum,SteveFranks,KarlosArregi,IngoFeld-
hausen,LauraDowning,AnthiRevithiadou,MariTakahashi,MalteZimmermann,Gisbert
FanselowandBobFranks,andananonymousreviewer.
TheLinguisticReview24(2007),93–135 0167–6318/07/024-093
DOI10.1515/TLR.2007.005 cWalterdeGruyter
!
94 AngelikaKratzerandElisabethSelkirk
1. Introduction:Classicpuzzlesinthepitchaccentingofverbs
There are a number of classic puzzles concerning the circumstances under
which verbs may or may not bear neutral, default phrase stress in languages
like English, German or Dutch. Earlier approaches characterized these puz-
zlesintermsoftheabilityofaverbtobearanintonationalpitchaccent(e.g.,
Schmerling1976;Gussenhoven1983,1992;Selkirk1984,1995),butmorere-
cent work (e.g., Ladd 1996; Féry and Samek-Lodovici 2006; Selkirk 2006a)
suggeststhatthepresenceofpitchaccentsreflectspatternsofphrasestress.So
itisthevariationintheabilityofverbstobeardefaultphrasestressinneutral
sentencesthatneedstobeexplained.Wewillargue thatverbsincertainsyn-
tacticconfigurationsmaysimplyfailtobeorganizedintotheconstituentsover
whichphrasestressisdefinedinneutral,all-new,sentenceswhileinothercon-
figurationstheymaythemselvesconstitutesuchaconstituent(Kahnemuyipour
2004;SelkirkandKratzer2005;Selkirk2006c).Theobservedorganizationof
verbsintophrasestressdomainshasareadyaccountintermsofphase-based
spellout.
A central question is why there should be a difference between verbs and
theirargumentsintheirpotentialforpitchaccentingorphrasestress.Inanall-
new neutral sentence where anargument of the verbis present, the argument
DPswillnecessarilyshowapitchaccent.Butthepitchaccenting/stressingpos-
sibilitiesoftheverbaremorevaried.Onepuzzlingfactinvolvesverbsthatare
transitive, which in all-new sentences never necessarily carry an accent. As
(1a) shows, a pitch accent may be present on a transitive verb in medial po-
sitioninanall-newsentence,thoughitspresenceisonlyoptionalthere(pitch
accentsaremarkedby‘´’overthevowel).ThisistruebothinGermanandin
English.Whentheverbisinfinalposition,whichistherequiredorderinGer-
manembeddedsentences,thereisnopitchaccentontheverbinneutralall-new
sentences,asin(1b).Apitchaccentonstudiertin(1b)wouldnecessarilylead
toacontrastiveinterpretation.
(1) Pitchaccentinall-new,neutralsentenceswithtransitiveverbs
a. Transitiveverbsinmedialposition:optionalpitchaccent
María studiert/studíert die Gesétze.
Maria isstudying the laws
‘Máriaisstudying/stúdyingtheláws.’
b. Transitive verbs in final position: no pitch accent (if not con-
trastive)
Ich glaube, dass María die Gesétze studiert/#studíert.
I think that Maria the laws isstudying
‘IthinkthatMariaisstudyingthelaws.’
Phasetheoryandprosodicspellout 95
c. Verbalargumentsinanyposition:necessarypitchaccent
(see(1ab))
Facts such as these have been widely observed and have been given widely
varying accounts (see, e.g., Gussenhoven 1983, 1992; Selkirk 1984, 1995;
Cinque 1993; Truckenbrodt 1995; Wagner 2005; Féry and Samek-Lodivici
2006).Thisthree-waydistinctioninpossibilitiesofpitchaccentinginneutral
sentences is a reflection, we now think, of a three-way distinction in phrase
stress. The appearance of pitch accent would be associated with the appear-
ance of some degree of phrase stress (Ladd 1996; Féry and Samek-Lodivici
2006; Selkirk 2006a). Where pitch accent is categorically required, as with
verbal arguments in (1ab), a major phrase stress would be present. Cases of
optionalpitchaccent,asin(1a),wouldshowtheoptionalpresenceofaminor
phrasestress.Wherepitchaccentiscategoricallyexcluded,asin(1b),therele-
vantwordwouldbearneithermajornorminorphrasestress.Forthetransitive
verbs,then,theproblemwouldbe toexplain,first,the categoricalabsenceof
majorphrasestress/necessarypitchaccentand,second,theorder-basedalterna-
tionseenin(1ab)betweenthepresenceandabsenceofoptionalminorphrase
stress/pitch accent. We will argue in Section 3 that the distribution of major
phrasestress/necessarypitchaccentinall-newsentencesisdeterminedbyprin-
ciplesofphase-basedspellout(namely,byprinciplesofthesyntax-phonology
interface).Thedistributionofminorphrasestress,ontheotherhand,isappar-
entlyamatterforthephonologyperse,and,specifically,principlesofprosodic
structureorganization(cf.Section4).
Already,thewell-knownfactthatcertain,butonlycertain,intransitiveverbs
insentence-finalpositionmustbearapitchaccentinall-newneutralsentences
indicates that verbs as a class do not have a uniform prosodic treatment, and
thatsyntacticand/orsemanticpropertiesplayaroleindeterminingtheirpros-
ody.
(2) Pitchaccentinall-newsentenceswithintransitiveverbs/predicates
a. Eventives:nopitchaccentonverb
(i) Ich hab’ gerade im Radio gehört, dass der
I have just in.the radio heard that the
König von Báyern ertrunken ist.
king of Bavaria drowned is
‘I just heard on the radio that the King of Bavária has
drowned.’
(ii) Ich hab’ gelesen, dass die Metállarbeiter
I have read that the metal
gestreikt haben.
workers gone.on.strike have
‘Ireadthatthemetalworkerswentonstrike.’
96 AngelikaKratzerandElisabethSelkirk
b. Statives:pitchaccentonverb
(i) Ich hab’ irgendwo gelesen, dass der König
I have somewhere read that the king
von Báyern gespónnen hat.
of Bavaria was.crazy
‘IreadsomewherethattheKingofBaváriawascrázy.’
(ii) Ich hab’ gehört, dass der Rhéin stínkt.
I have heard that the Rhine stinks
‘I’veheardthattheRhínestínks.’
In the sentences in (2b), a pitch accent is required on the verb in an all-new
neutral sentence. Absence of a pitch accent on the verb in these cases would
onlybepossibleiftheverbitselfwereoldinformation,giveninthediscourse:
(3) a. Ichhab’irgendwogelesen,dassderKönigvonBáyerngespon-
nenhat.
(gesponnnenmustbegiveninformation)
b. Ichhab’gehört,dassderRhéinstinkt.
(stinktmustbegiveninformation)
Inhertreatmentoftheprosodiccontrastsincomparableintransitivesentences,
Diesing(1990)arguesthatthepresence/absenceofpitchaccentsonintransitive
verbs in all-new neutral sentences is a function of the position of the subject
oftheverbsinsyntacticstructure,whichatleastinthecaseofunergatives,de-
pendsonwhethertheverbisaneventive(“stage-level”)orstative(“individual-
level”)predicate.Ifthissortofanalysisofdifferentsubjectpositionsfordiffer-
enttypesofintransitivesiscorrect,itsupportstheideathatobligatoryphrase
stressisassigned(ornotassigned)toaverbinfunctionofhierarchicalsyntac-
tic structure, and not merely in terms of its position in the word order of the
sentence.
Section 3 will make the case that the aspects of syntactic structure which
arerelevanttodefiningdefaultpatternsofnecessarypitchaccent/phrasestress
findaninsightfulcharacterizationintermsofthetheoryofphasesandmultiple
spellout. Section 4 addresses the role for phrase stress in characterizing the
distributionofpitchaccentsandtheroleforprosodicphrasinginthegeneration
ofdefaultphrasestress.
Phasetheoryandprosodicspellout 97
2. Background
2.1. Focus-relatedphrasestress
There are two semantic/pragmatic properties that have an impact on phrase
stress. One is the given/new organization of the sentence, which is arguably
representedvia aninterpretable G-feature on givenconstituents (cf. Féry and
Samek-Lodovici2006;Selkirk2006a,b).Theotheriscontrastivefocus,which
wetaketoberepresentedvia aninterpretableF-feature (cf.Jackendoff1972;
Rooth1992,1996)thatmaybebornebyaconstituentinsyntacticstructure.In
this article, we are interested in principles of stress assignment that are inde-
pendentofG-markingorF-marking,andthisiswhyweareprimarilylooking
atsyntacticrepresentationsthatdonotcontaingivenorcontrastivelyfocused
constituents, hence are “neutral”. Ultimately, the interaction between princi-
plesspellingoutthesyntactic-constituent-structure-dependent“default”phrase
stress and F- and G-marking-dependent principles of phrase stress has to be
takenintoaccount.Thefullarrayofstresspatternsweobserveinlanguageis
theresultofthisinteraction.
It is a well-knownfact aboutEnglish, GermanandDutch thata discourse-
given phrase may fail to receive a pitch accent. This is illustrated in the dis-
coursein(4):
(4) A: Ánscombehasbeenféudingwithhercólleagues.
B: WíttgensteinbroughtaglassofwhískeyovertoAnscombe .
G
Perhápstheyhavemadeúp.
IntheBresponsetoA,thereisnopitchaccent(orphrasestress)onAnscombe,
which has been used in the previous sentence in the discourse. But there is
a necessary pitch accent (and phrase stress) on Wittgenstein and (a glass of)
whiskey,whicharenewinthediscourse.
The necessary absence of pitch accent/phrase stress on a discourse-given
entityisarguedinrecentworkbyFéryandSamek-Lodovici(2006)andSelkirk
(2006a,b)tobetheconsequenceofaG-markinginthesyntaxfordiscourse-
givenentitiesandaninterfaceprincipleDestressGiven,partofspellout,which
callsfortheabsenceofphrasestressonG-markedelements:
(5) DestressGiven(FéryandSamek-Lodovici2006;seealsoSelkirk
2006a)
Agivenphraseisprosodicallynon-prominent.
Destress Given plays a role in an additional puzzle about the pitch accent-
ing/stressing of verbs. Consider the discourse in (6), which is a variant of a
classicexampleofLadd’s(1980,1996):
98 AngelikaKratzerandElisabethSelkirk
(6) A. Whydon’tyouháve[someFrénchtóast]?
B. I’veforgóttenhowtomáke[Frenchtoast] .
G
B. (#I’veforgóttenhowtomake[Frenchtoast] .)
! G
The verb bears a pitch accent/phrase stress when the object DP is discourse-
given, as in (6B), but we see in (6C) that, if the verb make also lacks a pitch
accentwhenthedirectobjectisgiven,theverbandtheentireverbphrasewould
beinterpreted,erroneously,asgiveninthediscourse.Thismeansthatwhenthe
direct object lacks phrase stress, the adjacent transitive verb here necessarily
bears phrase stress if it is discourse-new. Compare this to the case where a
similarly discourse-new transitive verb like have appears before a discourse-
newandaccented/phrasestresseddirectobject,shownin(6A).Inthiscase,the
appearanceofapitchaccentonthediscourse-newverbisoptional,notneces-
sary. There are similar facts in German, where the so-calleddeaccentingof a
discourse-givendirectobjectcanalsoentailthepresenceofpitchaccent/phrase
stressonthetransitiveverb.Thisistrueregardlessoftherelativeorderofthe
verbandthedirectobject,astheB/B’sentencesinthediscoursein(7)show:
(7) VerbwithG-markeddirectobject
A. Ihavegreatrespectforthelaws.
B. María studíert die Gesetze .
G
Maria isstudying the laws
‘Máriaisstúdyingthelaws.’
B. Ich hab’ gehört, dass María die Gesetze studíert.
! G
I have heard that Maria the laws isstudying
‘I’veheardthatMáriaisstúdyingthelaws.’
WeassumethatthesimpleprominencespelloutprincipleDestressGivenisre-
sponsible for the absence of phrase stress on the discourse-given DPs in the
sentencesabove.Butwewillhavetoexplainwhymainphrasestressisthere-
forerequiredtoappearontheverbadjacenttotheG-markeddirectobject.This
willbetakenupinSection3.
The second principle of focus-related prominence spellout involves con-
trastivefocus.Theterm“contrastivefocus”willbeusedheretodesignatethe
statusofaconstituentinsentenceslikeIgaveonetoSARAH,nottoCAITLIN,
or I only gave one to SARAH, where the meaning of the sentence includes a
specification that there exist alternatives to the proposition expressed by the
sentence which are identical to that proposition except for different substitu-
tionsforthecontrastivelyfocusedconstituent.2Thealternativessetherewould
2.Thistypeoffocusisreferredtovariouslyascontrastivefocus,identificationalfocus,alterna-
tivesfocus,orsimplyfocus(Jackendoff1972;Jacobs1988;Krifka1992;Rooth1992,1996;
Kiss1998;Kratzer2004).
Phasetheoryandprosodicspellout 99
include{IgaveonetoSarah,IgaveonetoCaitlin,IgaveonetoStella,...}.
Thistypeoffocushasadirectroleindeterminingthesemanticinterpretation
of the sentence, affecting truth conditions and conversational implicatures. It
also has an effect on stress patterns. Truckenbrodt (1995) and Rooth (1996)
independentlyproposedaprincipleforthephonologicalinterpretationofcon-
trastivefocus,whichweconsiderheretobeaprincipleofprosodicspellout.
(8) ContrastiveFocusProminenceRule(CFPR;Truckenbrodt1995;
Rooth1996)
Withinthescopeofafocusinterpretationoperator,thecorresponding
F-marked[contrastivefocus]constituentisthemostmetricallypromi-
nent.
Subsequent work by Féry and Samek-Lodovici (2006) and Selkirk (2006a,b)
hasshownthisprincipletohaveverydesirableconsequences,andweadoptit
here.Itseffectonverbsisstraightforward.Likevirtuallyanyotherconstituent
inasentenceofEnglish,averbthatisF-markedcanbearthestressprominence
calledforbytheContrastiveFocusProminenceRule(CFPR).IfthatF-marked
verb appears in a sentence containing other discourse-new constituents that
bearaphrasestress,asin(9),theCFPRpredictsthattheF-markedverbwould
carryayethigherlevelofstress,namelysententialstress,whichwouldmakeit
mostprominentwithinthedomain.(9)containsacaseofcontrastivelyfocused
verbsinaright-node raisingconstructioninEnglish(Selkirk 2002;underline
indicates the greater stress that is associated with contrastive focus, cf. Katz
andSelkirk2006):
(9) A. What evidence do you have that the mother of the bride was
stressedout?
B. Sheassémbled ,andthenlóst theinvitátions.
F F
Inthiscase,defaultstressassignmentisresponsibleforthenormalphrasestress
thatappearsonthediscourse-newdirectobject,whileprominencespellout,in
the form of the CFPR, requires the additional presence of phrase stress at an
evenhigherlevelontheverb.Thereisnooptionalitytothephrasestress/pitch
accent on the verb in (9). Compare the case where lost is not a contrastive
focus:
(10) A. What’sgoingon?
B. Mymótherlost/lósttheinvitátions!
Here,asin(1a),thepitchaccentonthemedialtransitiveverbisoptional,re-
flectinganabsenceofmajorphrasestress.
Insum,thetheoryofprosodicspelloutneedstoincludetheG-markingand
F-marking spellout principles Destress Given and Contrastive Focus Promi-
100 AngelikaKratzerandElisabethSelkirk
nenceRule,whichgiverisetostresspatternsthatarenotpredictedbythede-
faultprinciplesofphrasestressontheirown.3 Forthisreason,inouranalysis
ofdefaultphrasestresspatternsbelow,wewilllargelyconfineourattentionto
sentencesthatare“neutral”inthattheylackanycontrastivefocusordiscourse-
givenconstituents.
2.2. Prosodicstructurerepresentationofphrasestress
Neither Destress Given nor the CFPR presupposes any particular theory of
the phonological representation of phrase stress. Whatever phrase stress is,
the CFPR says that an F-marked element must have a higher level of it than
other elements in the same focus scope. And whatever phrase stress is, De-
stressGivensaysthataG-markedelementcan’thaveany.However,theinves-
tigationof the interactionof CFPR andDestressGivenwiththe principles of
defaultphrasestressbyFéryandSamek-Lodovici(2006)andSelkirk(2006a)
providesevidencethatwehavetodistinguishlevelsofphrasestressthatarede-
finedintermsofphrasesoftheprosodichierarchy,namelyintonationalphrase,
major phrase and minor phrase, cf. Section 4. So in what follows, we opt to
understandthepatternsofdefaultphrasestressintermsofthatprosodicphras-
ing.
Evidence for a theory of phonological representation which includes a hi-
erarchicalprosodicphrasingstructurethatisindependentofbutrelatedtothe
syntactic structure of the sentence is provided by a wide range of segmen-
tal and suprasegmental phenomena, both phonological and phonetic (see, for
example,NesporandVogel1986;Selkirk1986,2003;InkelasandZec1990;
Truckenbrodt1999;Frota2000;aswellasthearticlesinthecurrentissue).Ac-
cording to the prosodic structure theory of stress (Selkirk 1980; Hayes 1981,
1995;NesporandVogel1986,andothermorerecentwork),thedifferenttypes
ofprosodicconstituentsintowhichasentenceisparsedinphonologicalrepre-
sentationmayeachbeprosodicallyheaded,andthenotion“stress”isdefined
intermsofthisprosodicheadedness.A“stressedsyllable”isthesyllablethat
istheheadofafoot,forexample,whileasyllablethatcarries“wordstress”or
“mainwordstress”istheheadofthefootthatistheheadoftheprosodicword.
Thissortofstressrepresentationcanbedepictedwithaprosodic-constituent-
bracketedmetricalgrid(HalleandVergnaud1987;Hayes1995),inwhichthe
position of a grid mark x within a constituent marks the locus of the head-
prominent,stressedconstituentatthenextleveldownintheprosodicstructure:
3.FortheinteractionoftheseprincipleswhenaconstituentisbothF-markedandG-marked,see
Selkirk(2006a).
Phasetheoryandprosodicspellout 101
(11) ( x ) prosodicword “(main)wordstress”
(x )(x ) foot “stress”
bal.le.ri.na = ballerina
Abovetheleveloftheword,prosodic-structuretheorists(Selkirk1978,1986,
2005;NesporandVogel1983,1986;BeckmanandPierrehumbert1986,Pier-
rehumbertandBeckman1988,andothers)concurinisolatingatleasttwodis-
tinctlevelsofprosodicphrasingwhichplayaroleinthephonologyandwhich
haveareliablerelationtosyntacticconstituency–theintonationalphraseand
alowerlevelofprosodicphrasingvariouslyreferredtoasphonologicalphrase,
major phrase, or intermediate phrase.4 We’ll use the term “major phrase” for
thisleveland“majorphrasestress”torefertotheheadofmajorphrase(MaP).
“Sentential stress” and “intonational phrase stress” can be used interchange-
ably to refer to the higher level of phrase stress found in intonational phrase
(IP).
(12) ( x ) intonationalphrase(“sententialstress”)
(x ) ( x ) majorphrase(“majorphrasestress”)
(x )( x ) ( x ) prosodicword
ófficers escorted ballerínas
F
Thesyntax-drivendefaulttheoryofphrasestresswithwhichthisarticleiscon-
cerned can arguably be understood as a theory of phrase stress at the major
phrase level. In the materials investigated for English, each of the stresses
accompanied by a necessary pitch accent in English is separated by a major
phrase(=intermediate phrase)boundary(Selkirk 2006a),whosemarkinEn-
glish declaratives is the presence of a peripheral low (L-) phrase edge tone
(BeckmanandPierrehumbert1986).
Withintheprosodicphrasesofphonologicalrepresentation,accordingtothis
theory,properlyphonologicalconstraintsdeterminethepresenceandposition
of the prosodic heads which represent the main stress of those phrases (cf.
Section4).Patternedonthetheoryofwordstress,theprosodictheoryofphrase
stressleavesitasalanguage-particularoptionwhetherthemainstresswithin
amajorphrasewillfallattherightorleftedgeofthatphrase.InEnglishand
German, for example, the main stress of major phrase falls on the right. A
major phrase consisting of an adjective followed by a noun will carry main
stressonthenoun:
4.An additional lower level of phrasing, variously referred to as minor phrase or accentual
phrase,hasalsobeenisolatedinJapanese(Poser1984;Kubozono1993)andKorean(Jun
1995,1998)andwillplayaroleinSection4inouranalysisofpitchaccentinginEnglishand
German.
102 AngelikaKratzerandElisabethSelkirk
(13) EnglishandGerman:Theheadofmajorphraseisontheright
a. ( x ) ( x ) majorphrase
x x x x x prosodicword
[Theyoungballerinas]hate[thenewlaws]
b. ( x ) ( x ) majorphrase
x x x x x prosodicword
[DiejungenBallerinas]hassen[dieneuenGesetze]
In Persian, by contrast, default main stress of the major phrase falls on the
leftmostelement(Kahnemuyipour2003):
(14) Persian:Theheadofmajorphraseisontheleft
(x ) majorphrase
x x x prosodicword
[indoketâb]
‘thesetwobooks’
Withthistheory, then,a prosodicphrasingorganizationwouldbe established
as part of spellout. Within prosodic constituents, the words must have been
linearizedintotheorderthatappearsonthesurface,alinearizationwhichpre-
sumablyalsoispartofspellout.Andanymainstress/prosodicheadwithinthe
prosodicconstituentisdeterminedbythephonologicalprinciplesfordefining
the presence and rightmost or leftmost position of that main stress. Accord-
ingtothistheoryofdefaultstressassignment,then,anyinfluenceofsyntactic
structureonthelocationofdefaultstressinneutralsentencesisunderstoodas
a matter of how the prosodic phrasing is spelled out on the basis of the syn-
tax,notasadirectassignmentofstressonsomesyntacticallydefineddomain
(cf.Section3.1below).Itisalsopredictedthatthesamespelled-outprosodic
phrasingthatisappropriateforcharacterizingthedistributionofphrasestress
inthesentenceprovidesthedomainsoverwhichotherphonologicalandpho-
netic phenomena are defined as well, whether tonal or segmental. (See, e.g.,
HayesandLahiri1991forevidenceofthissortfromBengali.)
Earlier theories of the relation between syntax and prosodic structure have
understoodthatrelationtobeestablishedinnon-derivationalfashion,anden-
tirely crosscategorially, on the final output of the syntactic component (e.g.,
Selkirk1986,1995,2002,2003,2005;NesporandVogel1986;Truckendbrodt
1999). But recent developments in syntax, in particular the theory of phases,
encouragetheexaminationofthephonologicaleffectsof(i)derivationallyin-
terweavingthe syntacticderivation andthe interface with phonology, and (ii)
privilegingonlycertainsyntacticconfigurations,namelythesyntacticcomple-
mentsofphaseheads,asthelocusofthatspellout.Thephenomenathatwewill
examinebelowcertainlydoarguethatthesyntax-prosodicstructureinterfaceis