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Against a unitary clause-final focus: Evidence from Russian and Polish

  • Przemysław Tajsner EMAIL logo
Published/Copyright: April 4, 2017
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Abstract

This article argues against Neeleman et al.’s (2009) claim that in Russian focus is unitary and uniformly clause-final. First, it is pointed out that the account presented in Neeleman et al.’s study suffers from a number of conceptual shortcomings; among them are the lack of a structural basis of the postulated “right periphery focus” or the indeterminate status of the notion of “clause-finality”. Based on a larger set of data from Russian and Polish, it is then argued that neither the facts regarding the scope of quantifiers nor the available options of split scrambling allow a clause-final focus hypothesis to be sustained. More evidence against this position is provided from focus fronting of phrasal heads and instances of multiple and complex focus. The hypothesis that the factor inducing alleged focus fronting is the presence of contrast is, in turn, confronted with cases of ex situ information focus and in situ contrastive focus. In a wider perspective, the paper is critical of both a cartographic approach and a “focus-final” hypothesis. It is therefore suggested that an alternative is needed to both approaches, and a tentative preview for such a preview is given in the concluding section.

1 Introduction

The view of focus in Russian presented in Neeleman et al. (2009) is in opposition to a number of standard assumptions recently made about focus in the literature. First, it questions the validity of the cartographic approach to focus and refutes focus fronting. Second, it breaks with the distinction between new information and contrastive (identification) focus. Third, it abstracts from a distinction between narrow and broad focus (as based on the facts of focus projection). Fourth, it obviates a need for distinguishing focus in situ from focus ex situ, as all focus is presupposed to be in situ.

1.1 Purpose and organization of the paper

The purpose of this paper is neither to defend the cartographic project nor to gather more arguments against it. Rather, it mainly aims to counterbalance a number of definitive points made by Neeleman et al. (2009) with respect to focus in Russian as part of their more general anti-cartographic stance. At the same time, staying critical of cartography, the paper opts for an alternative to both the left periphery focus and the focus-final hypothesis. Developing such an alternative in detail is not the primary aim of the present paper, though – this would require more attention and space. Rather, I will present a brief preview of an alternative approach at the end of the paper, which is meant merely as an invitation for further study.

The remainder of Section 1 recalls the key notions of the grammar of focus relevant to the subsequent discussion. Section 2 presents the three types of evidence produced by Neeleman et al. (2009) in favor of their hypothesis that focus is uniformly clause-final. Section 3 discusses two conceptual problems arising from this stance and Section 4 provides empirical counterevidence to their proposal. Section 5 raises a few speculative points and implications for a general theory of focus arising from the previous discussion and Section 6 offers concluding thoughts.

1.2 Focus in cartography

Under a cartographic view, focus is linked to a dedicated position in the left periphery, whose classic formulation, resulting from the splitting of CP, is Rizzi’s (1997) template, as in (1) below:

(1)

CP = [ForceP [TopicP [FocusP [TopicP [FinitenessP IP]]]]]

(see Rizzi 1997)

Thus, a phrase designated for a focus interpretation (somehow) finds its way to the position of the specifier of the Focus Phrase in which it enters a checking relationship with a focus head with respect to the feature [+F], as schematized in (2) below:

(2)

The placement of a phrase in Spec. FocP triggers specific interpretations at the interfaces: special focus semantics on the meaning side and the marked intonation on the sound side.

Rizzi (2014) characterizes the cartographic approach as attempts to “‘syntacticise’ as much as possible aspects of scope-discourse semantics, in that fundamental scope-discourse interpretive properties are traced back to basic syntactic configuration in a transparent and straightforward manner”, so that “[…] syntax wears interface properties on its sleeves” Rizzi (2014: 527).

1.3 Focus type, focus fronting, and cartography

A debatable issue is how a position of focus relates to the dichotomy between identification focus and (new) information focus, originally postulated by É. Kiss (1998). [1] Under one view, focus in the left periphery (ex situ focus) always marks (exhaustive) identification or contrast (e. g., Drubig 2003; López 2009). The instances of overt focus fronting from Hungarian, Polish and Catalan respectively, given in (3)–(5) below, all involve exhaustive identification of the capitalized constituent.

(3)
[TopPJános [FocPMARIVAL [NNPveszett[TPössze tV]]]].
Janos.nom Mari.dat.focfall.pst.3sgout

‘It is stated about John that it was Mary that he fell out with.’

(É. Kiss 2007: 74)

(4)
z JANK-IEMMarysiasiękłóc-i-ła,
with Janek-ins.focMary.nomreflquarrel-pst-3sg.f
nie zTomk-iem.
not withTomek-ins

‘It was Janek that Mary quarreled with, not Tomek.’ [2]

(5)
LACATIFAvacomprar(no elsmobles).
detrugpfv.3sgbuynot detfurniture

‘The RUG he bought (not the furniture).’

(López 2009: 17)

Thus, contrastive (exhaustive) ex situ focus is distinguishable from (new) information focus, which is always in situ. The latter is associated with the position of main sentence stress, predictable by some variant of the Nuclear Stress Rule (Chomsky and Halle 1968; Halle and Vergnaud 1987; Cinque 1993), as illustrated by (6):

(6)
Q: Co się stało?(‘What has happened?’)
A: Marysiapo-kłóc-i-łasięzTOMK-IEM.
Mary.nompfv-quarrel-pst-3sg.frefwithTomek.ins.foc

‘Mary fell out with TOMEK.’

On a different view, contrastive focus can also be found in a low in situ position (e. g., Rizzi 1997, 2006; Samek-Lodovici 2005), as illustrated by the following Italian example: [3]

(7)
Pensavocheavesserosceltola,RAGAZZA
think-pst.1sgthattheychoose.pst.3pldetgirl.foc
nonilragazzo.
notdetboy

‘I thought that they had chosen the GIRL, not the boy.’

(Rizzi 2006: 113)

A way to reconcile an apparently low position of contrastive focus, as in (7), with cartography is suggested by Belletti (2004), who argues that objects like la ragazza in (7) are anyhow raised to Spec. FocP in the left periphery with the rest of the sentence remnant-moved to a higher Spec. TopP. In this way, a clause-final position of focus need not, in principle, be incompatible with a cartographic, left-peripheral view of focus. [4]

Another question is whether new information focus can also be found ex situ. In a non-cartographic framework, López (2009) argues against this option for Romance languages, but Benincá and Poletto (2004) point to Italian examples like (8) below, to show this possibility exists: [5]

(8)
Mehadittoqueiltappet,locompra
me.dathastoldthatthecarpetcl.accbuys
l’annoprossimo.
theyearnext

‘He has told me that he will buy the carpet next year.’

No,tisbagli.Ildivanolocompra
noyou.datmistakethesofa.foccl.accbuys
l’annoprossimo.
theyearnext.

‘No, you’re wrong. He will buy the sofa next year.’

(Benincá and Poletto 2004: 56)

Also, as discussed later (Section 4.5.), Fanselow and Lenertová (2011) argue for the option of ex situ information focus for German.

1.4 Focus projection

A distinguishing property of new information focus is its ability to project. Contrastive and exhaustive foci cannot project beyond their immediate phrasal projection – they must be narrow; new information focus, on the other hand, can project: it may be narrow or broad (Chomsky 1971; Gussenhoven 1983; Selkirk 1984; Reinhart 1995; Gussenhoven 2007; Selkirk 2007; Büring 2006). Thus, under a standard view of VP focus projection, formulated by Selkirk (1995), focus can be projected to a VP from its accented V head (a case of vertical focus projection) or from its accented complement (horizontal focus projection). [6] Such a projection results in the formation of broad VP focus, which answers wh-questions of the form: What did x do? or What happened?[7]

As illustrated by (9) and (10), if focal stress falls on football, the new information part may be the nominal phrase (DP) itself, the verb phrase, or the whole sentence, i. e., the information focus may be extended to VP or TP. However, the same extension is not possible for contrastive focus – the element in focus is just the constituent carrying focal stress, as shown by (11) and (12). Also, if the accented constituent is the head verb, e. g., danced, then a new information focus can be extended from V (through VP) to TP, but the same extension is not possible if the accented verb is used contrastively, as illustrated by (13)–(16):

(9)

We played FOOTBALL.

(10)

[TP we [VP played[DP football inf.foc] inf.foc] inf.foc]

(11)

We played FOOTBALL, not volleyball.

(12)

[TP we [VP played [DP football con.foc] con.foc*] con.foc*]

(13)

We DANCED.

(14)

[TP we [VP danced inf.foc]inf.foc]

(15)

We also DANCED, not just sang.

(16)

[TP we [also [VP danced con.foc]] con.foc*]

Büring (2006) argues that Selkirk’s (1995) standard formulation of focus projection should be supplemented by the formulation of the rules of Default Prominence to account properly for, inter alia, transitive structures. For such cases, Default Prominence should guarantee that horizontal focus projection prevails over the vertical one, so that in any V-complement structure, a complement, not a V head, projects its focus to the VP. This prevents cases like We PLAYED football from being interpreted as instances of VP (broad) focus allowing only their narrow focus interpretation (e. g., answering the question Did you WATCH football?, but not the question What did you do?).

1.5 Critique of cartography

Despite its descriptive appeal, a cartographic view of sentence left-periphery has been subjected to criticism harsh enough to have Bailyn (2011) declare that the “overall picture that emerges for cartography is fairly bleak” (Bailyn 2011: 667). Furthermore, alternative, non-cartographic accounts of how to encode focus and topic in formal grammar have been advanced (see papers in van Craenenbroeck 2009). One of the toughest points raised against focus cartography is its questionable empirical coverage across languages. Overt “focus movement” to the left of a clause is not universal, and, even when it occurs, the landing site may differ from language to language (Bouchard 2009). [8] Next, there are languages, like Finnish, in which there is room for just one left-dislocated XP and not for complex templates like (1) (López 2009). It can also be argued that, in principle, focus can be associated with any clause-internal position and that the strict ordering of topic and focus, predicted by the cartographic approach, is questionable (Wagner 2009). Moreover, the alleged focus movements can be viewed as triggered by independent factors, such as quantification or contrast (e. g., Horvath 2007; López 2009; Neeleman et al. 2009; Horvath 2010), or as instances of movement for checking a semantically neutral edge feature of C (Fanselow and Lenertová 2011).

As noted above, a contentious point for the cartographic view is the versatile position of focus in a sentence. As acknowledged by Rizzi (2014), focus can be realized in syntax in two ways: (i) it may be “superimposed to the hierarchical structures created by Merge […], an element can be focalized in situ, without being displaced from its argument position”, or (ii) the element in focus “is displaced from its thematic position to another position, typically in the initial periphery of the sentence, where it receives its appropriate scope-discourse property” (Rizzi 2014: 4). Of these two ways, the latter has been widely explored within the cartographic project. However, the facts from Russian (and Polish) appear to show that focus in situ (both for new information and contrast) appears to be even more widespread than “focus fronting” (limited to contrastive focus). One way to respond to this observation is to advance a proposal such as Neeleman et al.’s (2009), which associates movement with contrast and links focus exclusively with a right periphery instead. A plausible alternative, as it seems, would be to develop a non-positional view of focus freely available in different sentence positions, fronted, rear and intermediate, with its specific interpretation as new information or contrast determined only at the C-I interface (see footnote 21 below).

2 Neeleman et al. (2009) on focus in Russian

2.1 The anti-cartographic stance of Neeleman et al. (2009)

Neeleman et al. (2009) present their empirical evidence and arguments against the cartographic view in three major parts. The first deals with the instances of A’-scrambling in Dutch targeting phrases with contrastive interpretation, i. e., contrastive topics and contrastive foci. The second is concerned with the cases of Japanese topic fronting and their uniform linkage to a clause-initial position. The third tackles the conditions of focus in Russian. Jointly, these three parts are meant to refute two major claims of cartography by showing that (i) there is no one-to-one relation between a syntactic position and interpretive effect, and (ii) there is no rigid and cross-linguistically fixed “clausal skeleton”. In what follows, I will not assess the general anti-cartographic stance of Neeleman et al.’s (2009) proposal as a whole. In particular, I will not offer an assessment of, or counter-argumentation to, the facts from Dutch and Japanese. Instead, the discussion is confined to the evaluation of their arguments with regard to the position of focus in Russian.

2.2 Unitary clause-final focus and privative features

The major premises of Neeleman et al.’s (2009) proposal with respect to focus in Russian may be summarized as follows:

  1. There is no dedicated functional Foc head in the left periphery.

  2. Focus is unitary; there is no grammatical distinction between new information focus and identification (contrastive, exhaustive) focus.

  3. The position of unitary focus is clause-final.

  4. There is no principled distinction between in situ and ex situ focus (all focus is in situ).

  5. The observed ex situ focus effect is the result of (A’-) fronting for contrast; there is no fronting for focus.

  6. [+focus] and [+contrast] are privative syntactic features; there are rules applying to categories carrying [+contrast] and other rules applying to categories carrying [+focus], but no rules applying specifically to categories carrying [+contrast, +focus].

The authors’ argumentation in favor of a canonical, clause-final position of focus in Russian is based on three observations: (i) there is complementary distribution of contrastive and new information focus, (ii) contrastive foci obligatorily take the lowest scope position, and (iii) split scrambling is allowed only from the clause-final position. Below is a brief exposition of these three sorts of argument.

2.2.1 Complementary distribution of contrastive and new information focus

Neeleman et al. (2009) advance a rule, as in (17):

(17)

[Focus] is licensed in a clause-final position

Neeleman et al. (2009: 36)

Their first argument for (17) is derived from the fact that contrastive and new-information foci are necessarily in complementary distribution. They provide the following relevant pair of Russian examples (18):

(18)
a.
Jaslušalajazz-pianistav KONCERTNOMZALE.
Ilisten.pst.1sg.fjazz-pianist.accin concerthall

‘I listened to the jazz pianist in the concert hall.’

b.
*[JAZZ-PIANISTA]1ja slušala t1v KONCERTNOMZALE.
jazz-pianist.accI listen.pst.1sg.fin concerthall

‘I listened to the jazz pianist in the concert hall (and not the jazz-guitarist).’

(Neeleman et al. 2009: 37)

The authors note that a locative PP such as in the concert hall appearing in the final position is interpreted as new information. This is the case in (18a). However, when another phrase is simultaneously fronted as contrastive focus, the clause-final PP can at best be interpreted as an afterthought. Apparently, the reason for the infelicity of (18b) is that the indicated prosody of the PP identifies it as (new) information focus, not as an afterthought. Their conclusion is that the facts of (18) hold because there is only one possible focus position in a sentence, i. e., a final position, and it is this position from which the phrase jazz pianist has been fronted.

2.2.2 Focus and scope of quantifiers

The second argument offered by Neeleman et al. (2009) comes from the observation that contrastively focus-marked phrases obligatorily scope below quantifiers. To substantiate the claim they refer to cases like (19) below:

(19)
KAŽDUJUDEVOČKUjaxočučtobyodinmal’čikljubil
everygirl.accIwantthatoneboyloved
(ane každuju babušku).
andnot every grandma.acc

‘I want one boy to love every girl (and not every grandma).’

(Neeleman et al. 2009: 38)

The scope relation in (19) is ∃ > ∀, not ∀ > ∃, which is against a general preference for “surface scope” observed in Russian. Following Ionin (2001), the authors argue that in general the scope relations between quantifiers in Russian imitate their linear order (scope is “frozen” at the surface): if a quantifier x precedes a quantifier y in linear order, then x is interpreted to have scope over y. [9] The situation in (19) refutes this prediction; the contrastively focused universal Quantifier Phrase (QP) KAŽDUJU DEVOČKU scopes below the existential QP odin mal’čik despite the fact that the former precedes the latter in linear order. The conclusion drawn from this fact is that the focused phrase is reconstructed for the needs of the interpretation at the Logical Form (LF) in a position lower than the position of odin mal’čik, presumably in a clause-final focus position from which it is subsequently overtly moved to the front. The authors take this to be an argument for a uniform clause-final focus position in Russian (Neeleman et al. 2009: 41). Accordingly, (19) may be confronted with a minimally different, non-contrastive case (20), below. In (20) there is preference for the scope relation ∀ > ∃, which mirrors the surface order of quantifiers. Apparently, the presence of contrastive stress/focus in (19) interferes with the preferred option causing the reversal of the scope relation.

(20)
Každujudevočkujaxočučtobyodinmal’čik
every.accgirl.accIwant.prs.1sgthatone.nomboy.nom
ljubil.
like.pst.3sg.m

‘I want one boy to love every girl.’

2.2.3 Split scrambling

As their third argument supporting a clause-final position of unitary focus in Russian, Neeleman et al. (2009) point to the restriction on the application of so-called split scrambling in Russian. Split scrambling is a type of displacement in which only a part of the phrase carrying focal stress is fronted while the rest of its structure is left in situ. [10] The relevant contrasts are illustrated by an example like (21a,b) below:

(21)
a.
[JAZZ-PIANISTA]1japodarilSaše[fotografiju t1]
Jazz-pianist.genIgaveSasha.datpicture.acc
(anejazz-guitarist.gen)
(andnotjazz-gitarista).

‘I gave a picture of a jazz-pianist to Sasha.’

b.
*[JAZZ-PIANISTA]1japodaril[fotografiju t1]Saše
Jazz-pianist.genIgavepicture.accSasha.dat
(anejazz-guitarist.gen)
(andnotjazz-gitarista).

(Neeleman et al. 2009: 40)

The reason why (21b) is judged ungrammatical is that the fronted contrastive phrase originates in a position which is DP(NP)-final, but not clause-final. [11]

3 Conceptual problems with the focus-final hypothesis

The focus-final hypothesis raises two general conceptual objections. The first relates to the lack of a structural definition of “clause-finality” in Neeleman et al. (2009), and the second concerns the idea of unitary focus advanced therein.

3.1 On being clause-final

Neeleman et al. (2009) do not provide any structural account of the clause-final position of focus. Thus, it is not evident how [focus] is accommodated within the CP in (22):

(22)

[CP … [focus]]

(Neeleman et al. 2009: 36)

In other words, “clause-final” position is taken to be syntactically relevant, but the position is not related to any structural property of the “right periphery”. [12] The question of why all foci should appear in a specified “clause-final” position remains unresolved since this position is not structurally dedicated for focus in any way. It would therefore be problematic if dismissing left-periphery focus should not lead to formulating a structural account of the right-periphery focus.

An anonymous reviewer points to two structural options for the focus-final hypothesis to be reconcilable with cartography. One relies on remnant movement and the other on the idea of the right specifier. Under the former, the effect of stranding focus in a final position is achievable by a left-bound movement of the focused phrase to the Spec. of FocP and by (remnant) moving the rest of the structure to a higher Spec. TopP position. This type of analysis has been adopted by Belletti (2004) in her cartographic analysis of in situ contrastive focus in Italian. However, given the encompassing nature of the anti-cartographic argumentation in Neeleman et al. (2009), it is difficult to consider remnant movement as a structural option for their hypothesis. Besides, as noted by Brunetti (2003) and López (2009), it raises the question why contrastive focus should ever surface in the left-periphery if the movement of TP to Spec. TopP were obligatory for its interpretation as topic. Furthermore, one should seriously regard Bouchard’s (2009) criticism of remnant Move (in the context of the analysis of the scope of adjectives in French, and more generally) as a tool so powerful that “it is just as easy to derive all the wrong orders” and “to relate any surface order to any underlying structure”, so that “anything is possible” (Bouchard 2009: 258). He also argues that such tools cannot “make correct empirical generalizations” and the cartographic system which uses them is neither precise nor informative.

Under the right specifier option, a focus phrase (XP) would appear in a specifier of a dedicated FocP located in the right periphery, as schematically given in (23):

(23)

[FocP [Foc [TP …] Foc] XP]

The configuration in (23) would call for the examination of the linearization effects, especially in view of Kayne’s (1994) Linear Correspondence Axiom (LCA) – it is unclear how a focused phrase in (23) could fail to c-command the material in TP in order to be linearized as final. Besides, there is no indication in Neeleman et al. (2009) that the authors could opt for a right-periphery variant of cartography.

3.1.1 Clause-finality in relation to structure and linear order

As can be seen, neither of the two cartography-compatible structural accounts of focus-finality is readily adaptable in Neeleman et al.’s (2009) framework. More generally, it is fairly unclear how these authors define “clause-finality” and the relation between structure and order. On assuming the descriptive generalization in (17) repeated below, they state that “it is irrelevant to the argument we present whether foci are base-generated clause-finally or end up there via a derivation involving movement” (Neeleman et al. 2009: 36).

(17)

[Focus] is licensed in clause-final position.

(Neeleman et al. 2009: 36)

Thus, a phrase carrying focus can be licensed in one of two possible ways: (i) by virtue of being base-generated in a clause-final position, or (ii) by virtue of appearing there at some later stage of a derivation. These two, certainly, may be quite different structural positions. For example, using Neeleman et al.’s (2009) own data, the focused nouns KNIGU [book.acc] (a direct object) and SAŠA [Sasha.nom] (subject) used in (24a) and (24b) occupy different structural positions under standard generative approaches to phrase structure and derivation.

(24)
a.
SašačitaetKNIGU.
Sashareadsbook.acc

‘Sasha reads a book.’

b.
KnigučitaetSAŠA.
book.accreadsSasha
‘Sashareadsthe book.’

(Neeleman et al. 2009: 36)

As for (24b), a way to account for its clause-final subject may be in terms of Generalized Inversion (Bailyn 2003, 2004), so that the OVS order results from two turns of movement: A-movement of the object to Spec. TP and overt V-movement to T0 (with the subject staying in situ in Spec. vP), as summed up in (25) below. Alternatively, Bailyn (2010) suggests that the whole VP may be moved to Spec. TP, as given in (26). [13] In turn, the position of the object in (24a), is, presumably, as shown in (27), a base-generated, in situ position:

(25)

[TP [Knigu]i [T’[T [čitaet]j] [vP SAŠA [v’tj’ [VP tj ti]]]]]

(26)

[TP [VP Knigu čitaet]i [T’ T [vP SAŠA [v’ v ti]]]]

(27)

[TP [Saša]i [T’[T [čitaet]j] [vP ti [v’ tj’ [VP tj KNIGU]]]]]

Thus, in (24a) the object is base-generated (first merged) as clause-final, while in (24b) the subject has been crossed over by the following (c-commanded) elements (in one or two separate steps). Although structurally distinct, the object of (24a) and the subject of (24b) have two things in common: they are both superficially clause-final and they are both foci. However, the problem is that generalization (17) holds not just for superficial word order, but for underlying structure, which Neeleman et al. (2009: 36) explicitly admit. Accordingly, one of their further examples is (28):

(28)
KAŽDOMUSTUDENTUjaxočučtobytypredstavilodnogo
everystudent.datIwantthatyouintroducedone
učitelja,(anekaždomuprofesoru).
teacher.accandnoteveryprofessor.dat

‘I want you to introduce one teacher to every student (and not to every professor).’

(Neeleman et al. 2009: 38)

In (28), the focused fronted phrase KAŽDOMU STUDENTU is a dative indirect object, whose canonical position “c-commands (and precedes) the direct object position”. But, the authors simultaneously argue that the focused phrase in (28) is “launched from the sentence-final position” (Neeleman et al. 2009: 39) without suggesting any structural account of this position.

If (17) holds of underlying structure, then the dative indirect object is predicted to appear “right-most” at some stage of the derivation leading to (28). But, devising a derivation that would meet this prediction proves problematic. An option to consider is an instance of the remnant VP movement to the outer Spec. of vP, with the indirect object first raised to the inner Spec. vP, and the subject raised from the innermost Spec.vP to Spec. TP, as schematically presented in (29):

(29)

[TP Subjectk … [vP [VP [IO]j [V’V DO]]i [vP [IO]j [vPSubjectk [v VPi]]]]

In (29), the indirect object is structurally the right-most non-null element potentially meeting the criterion of clause-finality. However, a serious problem with this proposal is that it appears irreconcilable with an approach to derivation based on phases (Chomsky 2001, 2007, 2008). Specifically, (29) does not represent a status at the completion of a phase; rather, it is some CP-phase-internal “snapshot” with the subject already merged in Spec. TP, but with the CP-phase not yet completed, i. e., with the indirect object not yet moved to the edge of CP. The merger of the IO at the edge of CP is necessary, or else it will have to be transferred to Spell-out as superficially clause-final. It appears that the “clause-final” position of the indirect object cannot be defined at such an incomplete stage of the derivation.

One can see a further problem with Neeleman et al.’s (2009) generalization (17) holding of underlying structure, not just linear order. Unless some clear criterion is adopted for deciding which of the possible stages in a derivation qualifies for licensing clause-final focus, any stage could potentially suffice. For example, in deriving (24b) (by Generalized Inversion), one could distinguish a number of stages, as given in (30):

(30)
(n+)1.[vP Saša čitaet[VPčitaet knigu]]
2.[vP knigu[vP Saša čitaet [VPčitaetknigu]]]
3.[T’ čitaet [vP knigu[vP Saša [VPčitaetknigu]]]]
4.[TP knigu[T’ čitaet[vPknigu [vP Saša [VPčitaetknigu]]]]]

The final element at stage (n+)1 is knigu, at stage 2 it is čitaet, and at stages 3 and 4 it is Saša. But, it remains unclear which of these “clause-final” positions counts as appropriate for licensing focus in accordance with (17). If it must be a position at the completion of the derivation, then there is no way in which a fronted element (e. g., the dative indirect object in examples like (28)) could be licensed for focus in accordance with (17). If all intermediately “final” positions could license focus, then it is not explained why, of the three words used in (24b), only Saša is chosen to carry focal stress and to be interpreted as focus. Finally, if only the base position is deemed appropriate for licensing focus, then the presence of focus on Saša is left unexplained because this word is not base-generated in a final position (first merged).

It thus appears evident that Neeleman et al.’s (2009) generalization (17) holding of underlying structure is hard to sustain without any structural determination of “clause-finality”. A promising alternative to such indeterminacy is treating the clause-final position of focus as a matter of prosodic marking, not syntactic marking. In this case, a form of “phonological coding” of focus is presupposed, so that its placement and distribution are tackled from the perspective of the syntax-phonology interface, not from a purely syntactic perspective. Some persuasive line of argumentation in this vein has been offered in terms of the Nuclear Stress Rule (Selkirk 1984; Halle and Vergnaud 1987; Cinque 1993; Zubizarreta 1998; Szendrői 2001; Zubizarreta and Vergnaud 2005; Reinhart 2006; Adger 2007). A common denominator of these approaches is the view that, in the unmarked case, focus overlaps with nuclear sentence stress and falls on the most deeply embedded constituent of sentence structure. [14] A constituent bearing nuclear sentence stress is then spelled out in a clause-final location, under some linearization scheme such as LCA [15]. In the marked case, when focus shifts to a different position, some special mechanism has to apply to overrule the effect of the Nuclear Stress Rule. [16]

On the adoption of the nuclear stress-based approach, a clause-final focus position could be explained as a consequence of two independent factors: (i) nuclear stress falling on the most deeply embedded constituent in (a chunk of) structure at the point of transfer to the phonological component, and (ii) a constituent bearing nuclear stress being interpreted as (new) information focus at the semantic interface. Neeleman et al. (2009) do not subscribe to a view promoting a link between the deepest embedding and nuclear stress placement in realizing clause-final focus; their descriptive statement (17) is therefore left without structural explication.

It is difficult to address Neeleman et al.’s (2009) argumentation with respect to clause-final focus in Russian without adopting some workable definition of clause-finality based on structural grounds. Therefore, in the subsequent discussion, the following working definition of clause-finality will be adopted:

(31)

A constituent is clause-final if it is phonologically not-null and does not c-

command any phonological material at a point of transfer (Spell-out) to Phonetic Form (PF).

It will be further assumed (after Chomsky 2001, 2007, 2008) that derivation proceeds in phases, with two relevant phases: vP and CP. The two points of transfer to PF occur at the completion of the vP and CP phases, so that a constituent may be clause-final by virtue of being structurally lowest at one of these points. Further, following Zubizarreta and Vergnaud’s (2005) version of Nuclear Stress Rule, it will be assumed that focal stress is assigned to the most deeply embedded element at the completion of a phase.

It can be seen how the above definition applies to the examples in (24). In (24a), the noun KNIGU is clause-final by virtue of being transferred to PF at the completion of the vP phase. The relevant part of structure is given in (32):

(32)

[vP Saša čitajet [VPčitajet KNIGU]]

In (24b), in turn, the noun SAŠA is clause-final by virtue of being most-deeply embedded at the completion of the CP phase, as given in (33).

(33)

[CP [TP knigu [T’ čitajet [vPknigu [vP SAŠA [VPčitajetknigu]]]]]]

It is also evident that under the view of “clause-finality” proposed in (31), the fronted dative object in examples like (28) cannot be “clause-final”, unless it is argued to be moved by some post-cyclic, post-Spell-out operation. This is not, however, what Neeleman et al.’s (2009) analysis of cases like (28) predicts, as will be discussed later.

3.1.2 Clause-finality and the complementariness of information and contrastive focus

Structural indeterminacy of focus-finality creates yet another problem. The logic of Neeleman et al.’s (2009) argument presented in Section 2.2.1 is that the launching site of a contrastive phrase in well-formed cases such as (34) below cannot be as indicated by the location of the trace in (18b) repeated below, but rather it should be clause-final, as marked by the position of the trace in (34):

(18)
b.
*[JAZZ-PIANISTA]1jaslušala t1vKONCERTNOMZALE.
jazz-pianist.accIlisten.pst.1sginconcerthall

‘I listened to the jazz pianist in the concert hall (and not the jazz-guitarist).’

(34)
[JAZZ-PIANISTA]1jaslušala[v koncertnomzale] t1.
jazz pianist.accIlisten.pst.1sgin concerthall

‘It was a jazz pianist I listened to in the concert hall.’

In (34), the locative PP does not carry nuclear stress, and it is not interpreted as new information focus, but only as part of the background or an afterthought; hence there is no clash between two types of focus in one sentence. Sentence (34) is therefore well-formed, but it gives rise to the following issue. The order in (34) can only be derived by the movement of the verb over the PP, or else the standard view that transitive verbs first merge with direct objects cannot be sustained. [17] Thus, the underlying order of constituents in (34) must be S–PP–V–O. But if that is the case, then, the superficial S–V–O–PP order of the earlier example (18a) can be derived by the movement of the verb and the object across the PP, as indicated by the placement of the traces in (35) below:

(35)
Ja[slušala]2[jazz-pianista]1vKONCERTNOMZALE t2 t1
Ilisten-pst.1sgjazz-pianist-accinconcerthall

‘I listened to the jazz pianist in the concert hall.’

This brings up the question of how clause-finality is determined in the two cases. In (34), “clause-final” means appearing in the lowest base-position, but in (35) it means being the lowest spelled out constituent.

This inconsistency in defining clause-finality in the two cases has negative consequences. It appears that without adopting a firm structural definition of clause-finality, Neeleman et al.’s (2009) method of determining the conditions for licensing focus suffers from circularity: an element may carry focus because it either is clause-final or was clause-final at an earlier stage of the derivation; at the same time, an element can be said to be/have been clause-final precisely because it carries focus. In (34), the fronted object is argued to have been in a clause-final position at an earlier stage of the derivation because it carries focus at the point of Spell-out, while in (35) the PP carries focus because it is clause-final at the point of Spell-out. In addition, it is not clear why in (35) the object does not carry focus even though it must have been clause-final at an earlier stage of the derivation.

As an alternative, one may consider whether the non-occurrence of two types of focus in one sentence can be derived on other, non-positional grounds. Plausibly, the two are mutually exclusive in the interpretive component: if contrastive focus occurs, it has to be interpreted in terms of the “alternative semantics” by which, as expressed by Selkirk (2007: 126), “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 substitutions for the contrastively focused constituent”. [18] Alternatives to the proposition expressed by (34) would be, for instance, “I listened to the violinist in the concert hall”, “I listened to the jazz-guitarist in the concert hall”, etc. In general, these are alternative propositions of the form “I listened to X in the concert hall” that do not contain information gaps other than different values for the variable X. Thus, the interpretation of (34) cannot be that some constituent in (34) other than the contrastive phrase itself is a piece of new information filling such a gap.

A more formalized way of interpreting the situation would be to say that, under the classic divide of a sentence into focus and presupposition (Jackendoff 1972), generally agreed on in the literature on information structure (e. g., Lambrecht 1994; Steedman 2000; Krifka 2007), the presupposition part cannot contain another instance of focus interpreted as new information, as indicated in (36) below: [19]

(36)

*[[Focus][Presupposition [Focus]]]

Constraint (36) would bar any element other than the contrastive constituent itself in (18b) from qualifing as new information. As a result, no stress typical of new information focus should additionally be applied. If such additional stressing is anyhow enforced, as in (18b), the sentence must be judged illicit and cases like (18b) are filtered out at the interpretive interface.

Tentatively, one might suggest the following rationale for the interpretation of the complementariness of contrastive and new information focus as a condition of the interpretive interface. There are two formal devices encoding focus; overt fronting of a focal phrase for contrastive focus, and (unmarked) nuclear stress placement for new information focus. Using both ways of focus coding in a single sentence would cause an interpretive clash, unless appropriately licensed. [20] The non-co-occurrence of contrastive and new information focus in one sentence would follow naturally from the restriction imposed by the interpretive C-I interface system. [21]

3.2 On unitary focus

The second general point relates to Neeleman et al.’s (2009) unitary treatment of focus. They define it, seemingly broadly, as “the information highlighted in a proposition”, and provide the following exemplification:

(37)
a.

What did Rutger buy?

b.

Rutger bought A GUN.

(Neeleman et al. 2009: 17)

They further assume that focus is the constituent that corresponds to the wh-expression. The two conditions may be summarized as in (38):

(38)

Focus is a constituent which:

a.

corresponds to a wh-expression in a correlated question,

b.

is highlighted with respect to the rest of the sentence, which functions as the background.

Thus, in (37b) a gun is the focus element because it corresponds to what, and it is highlighted with respect to the rest of the sentence, which functions as the background containing a variable, i. e., Rutger bought x (see Neeleman et al. 2009: 17). [22]

Neeleman et al’s (2009) characterization of focus in (38) corresponds to what, in less-unitary approaches to focus (e. g., Drubig 2003), is referred to as completive focus, or a completive function of focus. This type has typically been juxtaposed with contrastive focus, exemplified by (39) below:

(39)
a.

Peter bought a rifle.

b.

No, Peter bought A GUN, not a rifle.

It should be noted that in (39b) a gun does not directly correspond to the wh-expression since there is no wh-expression in the immediate context of (39b). [23] The criterion in (38a) is therefore not met and a gun in (39a) could not qualify as a focus element. Further, the only sense in which a gun in (39b) is highlighted is by providing contrast (by correction) to a proposition expressed by (39a). Unlike in (37b), then, it is not highlighted by completing the gap in the background proposition, i. e., Peter bought x.

In sum, it appears that either the case illustrated by (39) does not qualify as focus under formulation (38), or (39b) is a genuine instance of focus, but the formulation (38) is too narrow. Neeleman et al. (2009: 4) classify cases like (39b) as instances of contrastive focus, derived from the combination of two privative features: [focus] and [contrast]. The problem seems to be, however, that if such examples are deprived of their contrastive aspect, nothing appears to be left to classify them as instances of focus under formulation (38). As noted, a gun in (39b) does not correspond to a wh-expression, neither is it highlighted with respect to a background proposition containing a variable. It thus transpires that the apparently broad and encompassing definition of focus adopted by Neeleman et al. (2009) is fairly restrictive, as it excludes cases of contrastive focus like (39b).

4 Empirical counterevidence to clause-final focus

The present section discusses empirical counterevidence to the characterization of focus in Russian as unitary, in situ, and uniformly clause-final. The arguments discussed below will relate to the following facts: (i) focused QPs taking high scope, (ii) split focus scrambling from non-clause-final positions, (iii) focus fronting of heads of phrases, (iv) cases of Multiple Focus and Complex Focus, (v) cases of ex situ new information focus, (vi) cases of in situ, but non-clause-final, information focus, and (vii) cases involving contrastive focus without fronting. By adding data from Polish, we want to shed some light on the possible expansion of Neeleman et al.’s (2009) proposal within the Slavic family of languages.

4.1 Focus and scope of quantifiers revisited

Let us start from the proposal that the observations on scope in examples like (19), repeated below, need not be interpreted as supporting a uniform clause-final position of focus.

(19)
KAŽDUJUDEVOČKUjaxočučtobyodinmal’čikljubil
everygirl.accIwantthatoneboyloved
(anekaždujubabušku).
andnoteverygrandma.acc

‘I want one boy to love every girl (and not every grandma).’

(Neeleman et al. 2009: 38)

First, for a contrastive phrase to take a lower scope position with respect to a quantifier is not logically equivalent to taking the lowest (i. e., sentence-final) position. One way to account for the high LF-position of the quantifier is to adopt a Quantifier Raising (QR) analysis. [24] Alternatively, a fronting contrastive QP could be reconstructed for interpretation in some position c-commanded by the existential QP (i. e., odin mal’čik) in the course of a derivation. [25] A further option to explain an unexpectedly low scope position of the focused QP could be that contrastive foci systematically scope below quantifiers, as proposed by É. Kiss (2003) in her cartographic template for Hungarian. [26]

If we wish to use any of the above alternatives as a principled account of the low scope position of the focused QP in (19), it has to be shown that the focused phrase KAŽDUJU DEVOČKU systematically differs from the other quantifying phrase odin mal’čik and hence has to take a lower scope position. To this end, it may be worthwhile to consider the semantics of KAŽDUJU DEVOČKU more closely. First, it should be noted that, contrary to the typographic convention used by Neeleman et al. (2009), the stressed part of the QP in (19) is only the nominal complement of the quantifier, and not the whole phrase, as indicated in (40). This restriction follows from the application of the Nuclear Stress Rule at a phrase-level (e. g., Cinque 1993; Zubizarreta and Vergnaud 2005):

(40)

[QP každuju [NP DEVOČKU]]

Next, the type of contexts in which (41a) can be used are, for example, the answers in (41b) and (41c), but not the answer in (41d):

(41)
a.
ZnaeštykaždujuDEVOČKUvetom
know.prs.2singyou.nomevery.accgirl.acc.focinthis
klasse?
class.loc

‘Do you know every girl in this class?’

b.
Net,jaznajukaždogoMAL’ČIKA,nekažduju
noIknow.prs.1sgevery.accboy.acc.focnotevery.acc
devočku.
girl.acc

‘No, I know every boy, not every girl.’

c.
Net,jaznajunekotoryxMAL’ČIKOV,nekažduju
no,Iknow.prs.1sgsome.genboys.gen.focnotevery.acc
devočku
girl.acc

‘No, I know some boys, not every girl.’

d.
#Net,jaznajutolkoNEKOTORYXdevoček,ne
noIknow.prs.1sgonlysome.gen.focgirls.gennot
každujudevočku.
every.accgirl.acc

‘No, I know only some girls, not every girl.’

By asking the question in (41a), in which contrastive stress is placed on the noun girl, the speaker wants to learn if the hearer knows every girl or rather every boy in the class. A suitable answer is (41b) in which the interlocutor explains he knows every boy, not every girl, marking the contrast by placing focal stress on the noun boy. Another possible reply is (41c) in which the hearer explains (again by using contrastive stress) that it is boys, not girls he knows, incidentally adding that it is only some boys, not all. Finally, answer (41d) is infelicitous because the hearer does not respond relevantly to question (41a) (which is about the sex of pupils) and explains instead he knows only some girls, not all of them, placing contrastive stress on some.

The contextual facts in (41) show that the semantics of the phrase in (40) is such that the alternatives are evoked and dismissed in the position of the nominal complement of the quantifier within the QP, but not in the position of the quantifier head itself (assuming the structure of the QP to be: [QP Q [NP N]]). However, the QP of (41c) differs from the QP of (41a) not only in the content of the complement, but also in the choice of the type of quantifier: the universal quantifier každogo is replaced with the existential one nekotoryx. Despite this replacement, the answer (41c) is fully felicitous – it looks like what matters in the discourse is the opposition devočki vs. mal’čiki, which is marked by focus. Notice, that this sort of substitution would be impossible within an exchange like (42) below, in which the underlined quantifier phrases are not in focus:

(42)
a.
Znaeštykažduju devočkuvPERVOM
know.prs.2sgyou.nomevery.acc girl.accinfirst.foc
klasse?
grade.loc

‘Do you know every girl in the first grade?

b.
#Net,jaznajunekotoryx devočekvo
NoI.nomknow.prs.1sgsome.gen girls genin
VTOROMklasse!
second.focgrade.loc

‘No, I know some girls in the second grade.’

A way to account for this difference between (41) and (42) is that the presence of focal stress within the phrase nekotoryx MAL’ČIKOV in (41c) renders the semantics of the quantifier inert, so that even a change in the (type of) quantifier in the reply, which should result in a crucial change of the truth conditions, becomes undetectable. The same does not occur in (42b), where contrastive focus falls outside of the underlined QP and the change of the type of quantifier results in the infelicity of (42b) as a response to (42a). It looks as though the whole focused phrase was no longer interpreted as a quantifier phrase; the semantics of focus appears to have suppressed the semantics of the quantifier.

If the interpretation of the facts in (41) and (42) above is correct, then it sheds new light on example (19). On this interpretation, (19) can no longer be regarded as showing the relative scope of two quantifiers; rather, it involves one quantifier and one phrase whose semantics is effectively determined by contrastive focus. There is no interaction between two quantifiers in (19), hence the question of their relative scope does not arise. The only expression interpreted as a quantifier in (19) would be odin mal’čik and it would take a scope position at LF. [27] The fact that a contrastively focused phrase is reconstructed for interpretation below the QP would follow from a systematically lower position of focus with respect to quantifiers at LF. Therefore, examples like (19) do not provide any argument from scope facts for the reconstruction of the focused phrase in clause-final position.

It should be noted that, assuming the Copy Theory of movement (Chomsky 1993), the silent copy of KAŽDUJU DEVOCKU in (19) does occupy the clause-final (most deeply embedded) position. This, however, is not to be linked with a clause-final site of focus, but rather with the fact that the accusative object is the element which merges with the verb as first. An interesting case is (43), another of Neeleman et al.’s (2009) cases, allegedly showing the ∃ > ∀, *∀ > ∃ scope relation, in which the fronted focused phrase is a nominative subject. Here, the in situ position of the silent copy of the subject in the inner Spec.vP can still be argued to be below the surface position of the quantifier which has overtly moved to the outer Spec.vP, as schematized in (44) below. [28]

(43)
KAŽDYJMAL’ČIKjaxočučtobyvkaždomklasse
everyboy.nomI.nomwantthatineveryclassroom
odnudevočkuljubil(anekaždyjDEDUŠKA).
onegirl.acclovedandnoteverygrandpa.nom

‘In every class, I want one girl to be loved by every boy (and not by every grandpa).’

(Neeleman et al. 2009: 38)

(44)

[[KAŽDYJ MAL’ČIK]i[TP ja xoču čtoby [v každom klasse [TPti [vP [odnu

devočku]j [vPti lubił tj]]]]]]

Furthermore, it is worth confronting Neeleman et al.’s (2009) hypothesis that focused quantified phrases are obligatorily reconstructed in clause-final position with a Polish example (45) below, in which the quantifier itself, and not its complement, carries focal stress:

(45)
KAŻDYchłopiecchciałbym,abykochał
every.nom.focboy.nomwant.prs.1sg.m.sbjvthatlove.pst.3sg.m
jedną/pewnądziewczynę(anietylkoniektórzy).
one/some.accgirl.acc(andnotonlysome.nom)

‘I want every boy to love one/some girl (and not only some boys).’

The preferred scope relation in (45) is ∀ > ∃, *∃ > ∀, which imitates the surface order of quantifiers in this sentence. A contrastively focused QP takes scope over a non-focused QP, which contradicts the prediction that focus always has to be reconstructed in the lowest position. Thus, (45) aligns with the pattern of the Russian example (20) above, in which none of the elements carries contrastive focus.

The reason for the difference between cases like (19) and (45) may be related to the possible suppression of the semantics of quantifiers by the semantics of focus; this suppression apparently does not occur if the quantifier itself is focused. In cases when a QP with a focused quantifier co-occurs with another QP, as in (45) above, the relative scope of quantifiers falls back on the standard preference determined by their surface linear order. The rationale for such an outcome may be derived from the facts of focus projection discussed in Section 1.3. If Büring’s (2006) rule of Default Prominence is extended to apply to narrow focus, then focus can be projected to a QP only horizontally, i. e., from the complement of Q, but not vertically, from the Q head of QP (see footnote 6). Accordingly, a phrase like (46) becomes as a whole a contrastive “focus-phrase”, while a phrase like (47) does not, and its contrastive focus is confined to the quantifier itself:

(46)
[QPkaždyjMAL’ČIK cont.foc]
every.nomboy.nom.foc
(47)

[QP [Q KAŽDYJcont.foc] mal’čik cont.foc*]

every.nom.foc boy.nom

Next, the difference in the extension of focus in (46) vs. (47) will have a bearing on their interpretation. Although both phrases are syntactically QPs, the former has the semantics of a contrastively focused phrase, whilst the latter retains the semantics of a quantifier. That this is actually the case may be corroborated by the following simple question–answer tests in (48) and (49), and a simple cleft-test in (50): [29]

(48)

Q:Who did you talk to?

A1: (I talked to) Every GIRL.

A2: (I talked to) #EVERY girl.

(49)

Q: How many girls did you talk to?

A1: EVERY girl.

A2: #Every GIRL.

(50)

  1. It was every GIRL we talked to, not the boys.

  2. *It was EVERY girl we talked to, not the boys.

  3. It was EVERY girl we talked to, not SOME girls/*boys.

In (48), A1 is a felicitous answer but not A2. This may be interpreted as follows: the question opens a set of alternatives (posits a variable) in the position of the complement of talked to; the answer is expected to provide a value for that variable. This is accomplished in A1, in which the QP is a “focus phrase” (it is marked [+F] in Selkirk’s [1995: 555] terms). In A2, however, focus is not projected from Q to QP, so that the QP is not marked [+F] and cannot provide a value for the variable posited by the question. Hence, answer A2 is infelicitous. The case in (49) is complementary to that in (48). Here, the question opens a set of alternatives for the head of QP, and not the whole QP, and the answer should provide a value for the variable in the position of the head of QP. This is accomplished in A1 but not in A2.

The pattern in (50) illustrates contrastive focus instantiated by cleft-sentences. In (50a), the non-quantifying DP the boys is a felicitous alternative for the QP with a contrastively focused complement of Q. But the same DP is not an appropriate alternative for the “cleft” QP in (50b) in which the quantifier carries focal stress. Example (50c) shows that the appropriate alternative in this case would be a similar QP with the quantifier stressed. Additionally, the complement in the alternative cannot be altered.

The facts in (48), (49), and (50) show that there is a difference in the semantics of the two types of QPs in (46) and (47); the former displays the semantics of a contrastively focused phrase, while the latter the semantics of a quantifier. It appears that for LF purposes a phrase must function either as a contrastive focus element or as a quantifier, but cannot take on both functions at one time. A result like this is expected if both quantifiers and foci are quantificational elements (see, e. g., Rizzi 1997) with conflicting requirements – they link different variables, and have different scope properties (quantifiers c-command foci at LF). In sum, the fact that focused QPs systematically scope below non-focused QPs, regardless of their mutual surface position, need not be linked with a unitary clause-final position of focus.

4.2 Split scrambling revisited

As discussed in Section 2.2.3, Neeleman et al. (2009) argue that focusing split scrambling applies in Russian only from a clause-final position. This claim should be confronted with a larger set of data. First, as shown below, the neutral position of the adjectival modifier of a noun is to its left: [30]

(51)
a.
[bol’šajačernaja krasivaja mašina]
bigAblackA beautifulA carN

‘a/the big black beautiful car’

b.

*[bol’šaja krasivaja mašina černaja]

c.

*[černaja bol’šaja mašina krasivaja]

(Bailyn 2012: 242)

If the surface position of the adjective correlates with its position in the base structure, then the left-bound extractions observed in examples in (52) are from the left of the noun, not from a clause-final position: [31]

(52)
a.
Složnyjon zadal vopros.
difficult.acche asked question.acc

‘He asked a DIFFICULT question.’ (Goncharov 2012: 5)

b.
XorošujuAleksandra kupila [__ knigu].
good.accAlexandra bought [book].acc

‘Alexandra bought a good book.’

(Bailyn 2012: 62)

The above generalizations concerning word order and scrambling naturally extend from Russian to Polish. Thus, as seen in (53)–(55), Polish quite naturally allows split scrambling from a variety of non-clause-final positions:

(53)
CZERWON-YMpod-jech-ał[____Ferrari] (nie czarn-ym).
red-inst.focperf-arrive-pst.3sg.mFerrari.inst not black-inst

‘It was a red Ferrari in which he arrived (not a black one).’

(54)
CHOMSKY’egosłucha-li-śmy[wykład-u____]w piątek (nie Kayne’a).
Chomsky.genlisten-pst-1pl.mlecture-genon Friday not Kayne.gen

‘It was Chomsky’s lecture that we listened to on Friday (not Kayne’s).’

(55)
PIĘCIUspotkaliśmy[____strażników] (nie czterech).
five.acc.focmeet.pst.1pl.mguards.acc not four.acc

‘It was five guards that we met (not four).’

Example (53) shows left branch extraction of a focused adjective, (54) features leftward extraction of the focused genitive phrase occurring before the adverbial adjunct, and (55) shows extraction of a pre-nominal numeral. [32] In sum, a larger set of data from Russian, supported by similar facts from Polish, shows that split scrambling of a focused element does not appear to be restricted to a clause-final launching site.

4.3 Heads of phrases in focus

For focus to be clause-final, it has to be phrase-final first, as schematically presented in (56):

(56)

[CP …[XP…focus (*…)]]

In other words, in head first languages, for any clause-final phrase it holds that it is the complement of this phrase, not its head, which carries sentence focal stress. This is generally predicted by the aforementioned Nuclear Stress Rule (Chomsky and Halle 1968; Selkirk 1984; Halle and Vergnaud 1987; Cinque 1993). The situation becomes complicated, though, for cases of contrastive focus in which focal stress may be shifted to a largely unpredictable position (as widely discussed in the literature; see, e. g., Zubizarreta 1998; Reinhart 2006), as schematized in (57):

(57)

[CP …[XP (…) focus (…)](…)]

The difference between cases (56) and (57) is difficult to handle in a framework like Neeleman et al.’s (2009), in which information focus and identification (exhaustive, contrastive) focus are not distinguished, and in which any instance of focus exposed by nuclear stress should be linked to a clause-final position. Thus, it is left unexplained why the head of the fronted prepositional phrase and not its complement is focused in cases such as (58) below:

(58)
PRZEDbank-iemzłodziejeza-parkowa-li
in.front.of.focbank-instburglars.nompfv-park.pst-3pl.m
samochód(nie za bankiem)
car.acc(not behind bank)

‘It was in front of the bank that the burglars parked the car (not behind it).’

If the only position licensing focus was clause-final, then the only option for a contrastive stress on the fronted phrases should be (59), which is contrary to fact:

(59)
przedBANKIEMzłodziejezaparkowali samochód
in-front-ofbank.inst.focburglarspark.pst.3pl.m car.acc
(nie przedkościołem)
(not in.front.ofchurch)

‘It was in front of the bank that the burglars parked the car (not in front of the church).’

4.4 Complex Focus and Multiple Focus

The postulation of a single focus position in a sentence should also be confronted with cases in which two instances of focus co-occur in a single clause. As noted earlier, each instance of focus has to be appropriately licensed, which amounts to the restriction that each instance of focus in a clause needs to be linked with an operator (Krifka 1992; Rooth 1997; Krifka 2007; Krifka and Musan 2012; Hedberg 2013). The first case to consider is an instance of Complex Focus, exemplified by (60) and its Polish equivalent in (61):

(60)

John only introduced BILL to SUE.

(Krifka 2007: 35)

(61)
Janekprzedstawi-łtylko TOMK-AZOS-I.
Janek.nomintroduce-pst.3sg.Monly Tomek-acc.focZosia-dat.foc

‘Janek only introduced Tomek to Zosia.’

The semantics of (60) is: “The only pair <x. y> such that John introduced x to y is <BILL, SUE>” (Krifka 2007: 35). This means that (60) is a case in which one operator binds a combination of foci.

The second case is Multiple Focus, which Krifka (2007: 35) defines as a case “in which in one and the same sentence, one expression introduces alternatives that are exploited in one way, and another expression introduces alternatives that are exploited in a different way”. Unlike in the case of Complex Focus, here each instance of focus is linked with a separate operator. A relevant example is (62), with its Polish counterpart in (63):

(62)

John only introduced BILL only to SUE.

(Krifka 2007: 35)

(63)
Janeknawet (także)OWOCEjetylko GOTOWANE.
Janek.nomeven (also)fruit.acc.foceat.prs.3sgonly cooked.ptcp.foc

‘Janek only eats everything cooked, even fruit.’

Leaving aside the problem of the semantics of examples involving Complex and Multiple Focus (see Rooth 1997), the very existence of Complex and Multiple Focus appears to refute the hypothesis of a single focus position per sentence. Although, the instances of Complex and Multiple Focus are not specifically dealt with by Neeleman et al. (2009), presumably the ban they propose on the co-occurrence of contrastive and new information foci should apply to them as well. If focus is unconditionally linked to a single (clause-final) position, instances of Complex and Multiple foci should not be licensed, which is contrary to fact.

4.5 Ex situ new information focus without contrast

In Neeleman et al. (2009), it is predicted that the only instances of ex situ focus in Russian are cases involving contrast. This follows from the assumption that the only factor responsible for A’-fronting of a focused element is the presence of the feature [+contrast]. Numerous examples, however, can be observed in which a non-contrastive phrase with the interpretation typical of new information focus is fronted, as illustrated below:

(64)
Čto ty delala?(‘What did you do?’)
JAZZ-PIANIST-Ajasluša-l-a.
jazz-pianist-acc.focI.nomlisten-pst-1sg.f

‘I listened to a jazz-pianist.’

(65)
What have thechildren done?
Cvetyioni sobrali ti.
flowers.accthey plucked.pl

‘They have plucked flowers.’

(Fanselow and Lenertová 2011: 203)

(66)

What’s

new?

[Einen HAsen]I

habe ich ti gefangen.

a.acc rabbit

have I caught

(Fanselow and Lenertová 2011: 174)

Cases like (64)–(66), discussed at length by Fanselow and Lenertová (2011), are referred to as instances of Subpart Focus Fronting, in which the fronted phrase is only a subpart of a larger focus projection extending to the whole verb phrase. [33]

Another category of counterexamples are cases of ex situ information focus in which the focused element appears to the left of the verb, but does not reach as high as the front of the clause, as exemplified in (67):

(67)
GalinaKNIGUčitaet.
Galina.nombook.accreads

‘Galina reads a BOOK.’

(Ionin 2001: 11)

4.6 In situ, non-clause-final information focus

A further complication for Neeleman et al.’s (2009) descriptive statement that the position of focus is uniformly clause-final arises from the felicity of exchanges like the one in (68):

(68)
a.

Čto ty delala? (‘What did you do?’)

b.
Ja sluša-l-aJAZZ-PIANIST-Avkoncertnomzale.
I listen-pst-1sg.fjazz-pianist-acc.focinconcerthall

‘I listened to a jazz-pianist in a concert-hall.’

The type of focus in (68b) can only be identified as (new) information focus because it is linked to a variable expressed by čto ‘what’. The sentence in (68b) is perfectly well-formed, and the focus extends to the whole VP, as represented in structure (69): [34]

(69)

Ja [VP slušala JAZZ-PIANISTA v koncertnom zale inf foc].

The situation described in (68b) can be readily explained in structural, not linear terms. The accusative object in (68b) is deepest embedded, but not clause-final, as illustrated in (70):

(70)

Ja [VP [VP slušala [DP JAZZ-PIANISTA]] v koncertnom zale inf foc].

The fact that nuclear stress falls on the object and not on the final PP in (68b) follows straightforwardly if one adopts a derivational approach such as Reinhart’s (2006), in which the addition of stress grids (to a metrical tree) is mapped on the formation of syntactic trees. Roughly, nuclear stress is automatically placed on a word which carries most stress grids at the completion of a derivation. In (69), the DP jazz-pianista stays longest in the derivation and therefore collects most stress grids.

4.7 Non-fronted contrastive focus

Finally, the cases of contrastive fronting are regarded as dislocations to the left-most position, presumably Spec. ContrastP (see Neeleman et al. 2009: 42). [35] This, however, gives rise to the question why cases of in situ, as well as ex situ but non-left-most, contrastive focus should ever be allowed. [36] That this possibility exists is illustrated by the following examples:

(71)
On SLOŽNYJzadal vopros.
he difficult.acc.focasked question.acc

‘He asked a DIFFICULT question.’

(72)

Ja sluša-l-a JAZZ-PIANIST-A v koncertnom zale,

I.nom listen-pst.1sg.f jazz-pianist-acc.foc in concert hall

(a ne jazz-gitarista).

(and not jazz-guitarist)

‘I listened to a JAZZ-PIANIST in the concert hall (and not to a jazz-guitarist).’

Example (71) is a case of short split scrambling of a focused phrase to a position below the subject (topic), and (72) is an instance of in situ contrastive focus. In fact, it is common for contrastively focused phrases to occupy positions lower than the fronted one. The only syntactic type which systematically requires fronting in Russian and Polish are clefts, as illustrated by (73) and (74) below: [37]

(73)
ToPORTFELzgubi-ł-emwmetrze,nie komórkę.
to.prtwallet.acc.foclose-pst.1sg.minmetronot mobile phone.acc

‘It was a wallet I lost in the tube, not a mobile phone.’

(74)
ÈtoVODKUBorisvypi-l.
èto.prtvodka.acc.focBoris.nomdrank-pst.3sg.m

‘It is the vodka that Boris drank.’

(Bailyn 2012: 283 after King 1994)

Leaving aside the issue of the syntax of clefts, it may be finally observed that examples (73) and (74) are truth-conditionally equivalent with their non-cleft equivalents given in (75) and (76):

(75)
W metrzezgubi-ł-emPORTFEL,niekomórkę.
in metrolose-pst-1sg.mwallet.acc.focnotmobile phone.acc

‘It was a wallet I lost in the tube, not a mobile phone.’

(76)
Borisvypi-lVODKU,ne pivo.
Boris.nomdrink-pst.3sg.mvodka.acc.focnot beer.acc

‘It is the vodka that Boris drank, not beer.’

5 Towards an alternative for focus

The case presented in Neeleman et al. (2009) is anti-cartographic in that it denies the existence of the dedicated focus projection in the left periphery of a clause. Their proposal aims to show that leftward movement of a focused constituent should be re-analyzed as fronting for contrast. A somewhat related proposal is advanced in Horvath (2007, 2010), who argues that ex-situ focus effects result from (A’-) fronting for exhaustive identification. In this account, the feature [+contrast] is replaced with [+EI] and the dislocation is triggered by the presence of the specialized exhaustive identification operator (EI-Op), involving EPP and Agree. The core aim of proposals such as Neeleman et al.’s (2009) and Horvath’s (2007, 2010) is to accommodate the leftward dislocation of a focused phrase in a model of grammar in which focus is denied its strictly grammatical role of active instigator of syntactic derivation.

The existence of some correlation between contrastive (exhaustive) focus and left-bound movement is undeniable. Likewise, there is a correlation between a right-most, or clause-final position, and the “new information” or “rhematic” interpretation of focus. On the other hand, as amply illustrated in the preceding sections, these correlations fail to be absolute: contrastive and new information foci appear in a variety of sentence positions – front, intermediate, and rear (see Wagner 2009). Given such facts, an alternative to both strict cartographic templates and to the unitary, positional view of focus advanced in Neeleman et al. (2009) could be sought. [38]

Considering a possible alternative, one may think of an approach in which the above mentioned correlations are tendencies rather than syntactic necessities. Languages may tend to use a clause-final position for marking information focus, as a useful strategy for fulfilling a specific communicative need. Likewise, fronting may be particularly handy for focusing attention in expressing contrast or exhaustiveness. From such a perspective, focus would be just an interpretive notion of the C-I interface, and the determination of a type of focus would be subject to contextual restrictions and extensions. But, the very fronting of a constituent has to remain a matter of narrow syntax. Thus, there is a need for a functional head in the left periphery, situated there for independent reasons, which would host a phrase carrying focal stress. The two factors combined together, i. e., placement of a phrase in a prominent, front position and the phrase carrying focal stress, would jointly determine its specific interpretation as a focus element.

The key question is then about the identity and specificity of the postulated host projection. In Neeleman et al.’s (2009) and Horvath’s (2007, 2010) proposals, this specificity is high: it is related to features [+contrast] or [+EI], respectively. Hence, these accounts do not leave room for any variance of interpretation of the fronted constituent. A different view is presented by É. Kiss (2006) who, exploring a range of facts of focus in Hungarian, advances the idea that focusing is a form of predication. [39] In this account, the specificity of the host projection, which is Pred0, is low, since the formation of a structure for predication is a necessary part of any syntactic derivation (Rothstein 1983; Bowers 1993, 2001; Rothstein 2006). A conjecture arising from É. Kiss’s (2006) proposal is that a syntactic derivation aims to build an appropriate structure (Predicative Phrase) for the realization of the discourse-based opposition between topic and focus, as required by the C-I interface system.

An alternative to both a cartographical and a focus-final hypothesis could follow this general direction. Alleged “focus fronting” could be regarded as movement for predication (topic–focus partition). This could explain why the correlations observed between the presence of contrast and movement on the one hand, and clause-finality and new information focus on the other, remain but mere tendencies, and may be overridden on particular occasions. A consequence of such a stand is to reject a strictly grammatical coding of focus, which is a cornerstone of cartographic accounts. Instead, it is postulated that the effect of focus, and its specific interpretive variants, are only derived by inference, subject to contextual clues and constraints, on the basis of an underspecified syntactic configuration (as extensively argued for in Wedgwood 2003, 2006)

Any broader discussion of the approach to focus as a form of predication is beyond the scope of this paper. If it proves valid, it will have to be seen how this general idea can be instantiated for the cases discussed in this paper and extended to other instances of alleged focus-movement, cross-linguistically. This is left for further study.

6 Conclusion

The aim of the foregoing discussion has been to show that verification is needed of the proposal advanced by Neeleman et al. (2009) in support of a uniform, clause-final, unitary approach to focus in Russian (and cross-linguistically). First, it has been argued that Neeleman et al.’s approach suffers from two conceptual shortcomings: (i) it does not offer any structural basis for sentence-final focus, and (ii) it promotes too restrictive a view of focus by removing its contrastive dimension. The major problem arising from (i) is the indeterminate status of clause-finality in terms of the relationship between surface word order and the underlying syntactic structure. The authors argue that a focused phrase may be clause-final by being base-derived there or occupying the position later in a derivation. But, this means that more than one element may be designated for focus in a given derivation, and the actual determination of focus must in any case be based on prosodic marking – an idea that the authors do not pursue. Contrary to their postulate of unitary focus, it has been argued above that contrastive focus is not the sheer composition of two detachable features [+contrast] and [+focus] – if contrast is eliminated, what is left does not meet Neeleman et al.’s (2009) definition of focus. It has been suggested instead that focus should be defined less restrictively and less unitarily.

On empirical grounds, of the three types of arguments in support of the hypothesis of clause-final focus, counterevidence from both Russian and Polish has been offered for two, and a proposal has been advanced to re-interpret the third. Finally, a set of five additional empirical arguments questioning Neeleman et al.’s (2009) predictions has been provided. In conclusion, it is stated that neither the cartography nor the proposed clause-finality of focus correctly characterize a variety of options available for focus in Russian and Polish, hence a plausible alternative to both should still be sought.

Acknowledgment

I thank two anonymous reviewers for their insightful critique of the earlier version of this article.

Abbreviations

1/2/3

first/second/third person

acc

accusative

cl

clitic

dat

dative

det

determiner

f

feminine

foc

focus

gen

genitive

ins

instrumental

loc

locative

m

masculine

nom

nominative

pfv

perfective

pl

plural

prs

present

prt

particle

pst

past

ptcp

participle

refl

reflexive

sbjv

subjunctive

sg

singular

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Received: 2014-12-17
Revised: 2016-2-10
Accepted: 2015-5-14
Accepted: 2016-4-22
Published Online: 2017-4-4
Published in Print: 2017-4-1

© 2017 Walter de Gruyter GmbH, Berlin/Boston

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