EXCEPTIONAL CASE MARKING IN JAPANESEAND OPTIONAL FEATURE TRANSMISSION*
Hajime Takeuchi
Nanzan University

1.

Introduction

In this paper, I present an analysis of exceptional Case marking (ECM) in Japanese. A
typical example is shown in (1).
(1)

a. Taroo-wa
T-TOP[Yuki-ga baka dato]omot-teiru.
[Y-NOM stupid COP COMP think-PROG‘Taro thinks that Yuki is stupid.’[[b. Taroo-wa
T-TOP[Yuki-o[Y-ACCbaka
stupid

da

to]

COP

COMP

omot-teiru
think-PROG‘Taro thinks that Yuki is stupid.’
A certain class of verbs in Japanese takes a clausal complement with an overt complementizer,
to, and the subject in the embedded clause can be marked with either nominative or accusative
Case without any semantic difference. There are two major analyses for the Japanese ECM in
the literature. One is the obligatory raising analysis initially proposed in Kuno (1976) andexamined in detail in Authier (1991), Tanaka (1992), and Ura (1994). The other is theoptional raising analysis discussed in Bruening (2001), Hiraiwa (2001, 2005) and Tanaka(2002). In this latter analysis, the accusative Case on the embedded subject is licensed via
Agree. The proposal herein pursues the latter and aims for making it more precise.
Crucial for the analysis presented in this paper is the proposal by Chomsky (2008) that aphase head transmits its features to its complement. Thus, C transmits its phi-features andedge feature (EF) to T, and only then does T become capable of licensing nominative Case. I
argue that feature transmission (FT) is optional in certain limited cases, and that this makes*

An earlier version of the material of this paper was presented in the 8th Workshop of theInternational Research Project on the Comparative Syntax and Language Acquisition, held at Nanzan
University in March, 2010 and in Generative Lyceum, held at Kwansei Gakuin University in May,
2010. I would like to express my thanks for comments and suggestions by Jun Abe, Yasuaki Abe,
Hiroshi Aoyagi, Shinya Asano, Masatake Arimoto, Tomohiro Fujii, Sayaka Goto, Tomoko Haraguchi,
Kazuya Kudo, Takashi Munakata, Keiko Murasugi, Masashi Nomura, Nilfer Şener, Serkan Şener,
Junri Shimada, Koji Sugisaki, Daiko Takahashi, Yuji Takano, Kensuke Takita, Yusuke Yoda, and theaudiences at the meetings. I am especially grateful to Mamoru Saito and Hiroyuki Ura, who gave me
insightful comments and help at various stages of finishing this paper.
Nanzan Linguistics 6, 101-128©2010 Hajime Takeuchi

Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

the Case alternation in (1) possible. More concretely, the C, to, transmits its phi-features tothe embedded T in (1a), and the nominative Case on the embedded subject is valued by the T.
This feature transmission does not occur in (1b), and as a result, the accusative embedded
subject is valued by the matrix V, which inherits features from the matrix v.
I further argue that this analysis enables us to capture some interesting differences
between the Japanese ECM and the Turkish ECM. ECM in Turkish looks very similar to its
Japanese counterpart on the surface. That is to say, the embedded CP is headed by an overt
complementizer and the embedded subject can appear in either nominative or accusative Case,as shown in (2), cited from Şener (2008).
(2) a. Pelin [sen-ø
P-NOM [you-NOM

Timbuktu-ya
T-DAT

git-ti-ndiye] bil-iyor-muş.
go- PAST-2SG COMP know-PROG-EVID‘Pelin thought that you went to Timbuktu.’
b. Pelin [sen-i
P-NOM [you-ACC

Timbuktu-ya
T-DAT

git-ti(-n)
diye] bil-iyor-muş.
go- PAST(-2SG) COMP know-PROG-EVID‘Pelin thought that you went to Timbuktu.’
However, the discussion in Şener (2008) makes it clear that there are important differences
between Japanese and Turkish. For example, the embedded accusative subject in Turkish
must be construed as a topic while there is no such requirement in Japanese. Adapting Şener’s(2008) analysis for Turkish, I propose a micro-parameter that distinguishes the two languages.
Simply put, feature transmission from C can be optional, but in Japanese, it is thecomplementizer to, but not any other complementizer, that can optionally transmit features,
whereas in Turkish, only the Topic head, which constitutes a part of the C complex in theright periphery of the embedded clause, exhibits this optionality.
In the following section, I briefly present the basic properties of ECM in Japanese, anddiscuss the analyses proposed in Kuno (1976), Hiraiwa (2001, 2005), and Tanaka (2002).
Then, in Section 3, I go over Chomsky’s (2008) proposal on feature transmission, and show
how it solves the problems of the earlier analyses. Section 4 presents a comparative study of
the Turkish ECM and the Japanese ECM. Section 5 concludes the paper.
2.

A Description of ECM in Japanese and a Literature Review

This section presents a brief description of the Japanese ECM, and discusses theanalyses proposed in the literature. The facts presented herein are widely shared. The latterpart of the section reviews alternative approaches to ECM in Japanese. It is shown that
evidence converges on the proposal by Tanaka (2002) that the accusative subject moves to theembedded Spec, CP.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

2.1.

Basic Properties of ECM in JapaneseThis section introduces two major properties of the Japanese ECM. One is a free Case
alternation and the other concerns the locality of accusative checking.
It is widely accepted that a free Case alternation takes place in the clausal complementsof a certain class of verbs in Japanese. The examples in (1) are repeated as (3).
(3)

a. Taroo-wa [Yuki-ga baka
T-TOP
[Y-NOM stupid

da

to]

COP

COMP

omot-teiru.
think-PROG‘Taro thinks that Yuki is stupid.’b. Taroo-wa [Yuki-o
T-TOP[Y-ACCbaka
stupiddato]

COP COMP

omot-teiru.
think-PROG‘Taro thinks that Yuki is stupid.’
The examples in (3) differ from each other minimally with respect to the Case particle on thesubject of the embedded clause. In (3a), the embedded subject is marked with nominative
Case, which is the usual Case marker for subjects in Japanese. On the other hand, in (3b), theembedded subject carries the accusative Case particle. Note that the alternation in (3) istotally optional. It is however not the case that this alternation is observed with just any
matrix verb. Consider the examples in (4), where the matrix verb differs from that in (3).
(4)

a. Taroo-wa [Yuki-ga baka
T-TOP
[Y-NOM stupid(da) ka] siritagat-teiru.
(COP) Q wonder-PROG‘Taro wonders whether or not Yuki is stupid.’b. * Taroo-wa [Yuki-o baka (da) ka] siritagat-teiru.
T-TOP[Y-ACC stupid (COP) Q wonder-PROG‘Taro wonders whether or not Yuki is stupid.’
It has been analyzed that in (3), the matrix verb omow- ‘think’ is an ECM verb and iscapable of assigning accusative Case to the embedded subject from outside the embedded
clause, whereas in (4), the matrix verb siritaga- ‘wonder’ is not an ECM verb and hence lacks
such an ability. This predicts a certain locality relation between the matrix verb and theaccusative subject, which is borne out by the examples in (5), cited from Mihara and Hiraiwa(2006).11(5d) is slightly degraded but contrasts clearly with the ungrammatical (5c). The degradation may be
due to the double-o constraint, which prohibits multiple occurrences of the accusative marker o in asingle clause. See Harada (1977) and Kuroda (1978) for detailed discussion of this constraint.

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

(5)

a. Taroo-wa [Yuki-ga me-ga kirei
da to]
omot-ta.
T-TOP[Y-NOM eye-NOM beautiful COP COMP think-PAST‘Taro thought that Yuki’s eyes are beautiful.’b. Taroo-wa [Yuki-o me-ga kirei
da to]
omot-ta.
T-TOP[Y-ACC eye-NOM beautiful COP COMP think-PAST‘Taro thought that Yuki’s eyes are beautiful.’c. * Taroo-wa [Yuki-ga me-okirei
da to]
omot-ta.
T-TOP[Y-NOM eye-ACC beautiful COP COMP think-PAST‘Taro thought that Yuki’s eyes are beautiful.’d. Taroo-wa [Yuki-o me-okirei
da to]
omot-ta.
T-TOM[Y-ACC eye-ACC beautiful COP COMP think-PAST‘Taro thought that Yuki’s eyes are beautiful.’

It is well known that a multiple nominative construction is allowed in Japanese, as in (5a). As
the matrix predicate is a typical ECM verb, (5b) and (5d) are also grammatical. However, anominative DP cannot precede an accusative DP, as shown in (5c). This indicates that thelicenser of the accusative Case is located higher than that of the nominative Case, which, I
assume, is the embedded T. The paradigm then confirms the hypothesis that an accusative
subject is licensed by the matrix ECM verb.
2.2.

Earlier Studies

This section discusses two alternative approaches to ECM in Japanese. One is theobligatory raising analysis and the other is the optional raising analysis. I first point out thateach of these analyses is based on evidence that is problematic for the other. Then, it is shownthat a modified version of the optional raising analysis proposed by Tanaka (2002)
successfully accommodates the relevant data. According to this analysis, the accusative
subject moves to the embedded Spec, CP, and is licensed by the matrix verb via Agree. It isshown also, however, that this analysis raises new questions. I address those new questions in
Section 3.
2.2.1.

The Obligatory Raising Analysis

The obligatory raising analysis was initially proposed in Kuno (1976) and is examined in
Authier (1991), Tanaka (1992), and Ura (1994). According to this analysis, the accusative
subject moves to the matrix clause in order for its accusative Case to be licensed.
Analysis A: [TP…[VP SUBJ V0 [CP …tSUBJ…]]].

(Linear order irrelevant)Kuno (1976) presents two arguments in support of this analysis. One is based on the-104-

Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

observation about the linear order of constituents that an accusative subject can precede amatrix adverbial. The other concerns Condition B of the Binding Theory. This latter argument
presents particularly strong evidence for obligatory raising of the accusative subject.
Let us start with the first argument. The examples in (6) are cited from Kuno (1976).
(6)

Adverb Modificationa. * Taroo-ga [Hanako-ga orokanimo tensai da to]omot-teiru.
T-NOM[H-NOM
stupidly
genius COP COMP think-PROG‘Taro stupidly thinks that Hanako is a genius.’
b. Taroo-ga orokanimo [ Hanako-ga tensai dato]omot-teiru.
T-NOM
stupidly[H-NOMgenius COP COMP think-PROG‘Taro stupidly thinks that Hanako is a genius.’c. Taroo-ga Hanako-o
T-NOM
H-ACC

orokanimo [tensai
stupidly[geniusdato]

COP COMP

omot-teiru.
think-PROG‘Taro stupidly thinks that Hanako is a genius.’
d. Taroo-ga orokanimo Hanako-o [tensai
T-NOM
stupidly
H-ACC[geniusdato]

COP COMP

omot-teiru.
think-PROG‘Taro stupidly thinks that Hanako is a genius.’
As shown in (7), the adverb orokanimo ‘stupidly’ does not produce a rational interpretation
when associated with the predicate tensai da ‘is a genius’.
(7)# Hanako-wa orokanimo tensai da.
H-TOP
stupidly
genius COP‘Hanako is stupidly a genius.’

Thus, in order for the example in (6) to make sense, the adverb orokanimo ought to beconstrued with the matrix predicate and hence be a matrix constituent. (6a) is ungrammaticalunder the interpretation where orokanimo is intended to be associated with the matrix verb.
Kuno (1976) attributes this ungrammaticality of (6a) to a “mix-up” of matrix and embedded
constituents. That is, the nominative subject Hanako is located within the embedded clause,and thus, the adverb orokanimo, being to the right of Hanako, cannot be in the matrix clause.
(6b) is grammatical because there is no such mix-up. By contrast, an accusative embedded
subject can either precede or follow the matrix adverb, as shown in (6c-d). Kuno (1976)
argues that the example (6c) is grammatical because the accusative subject moves out of theembedded clause and becomes a matrix constituent. Note that this argument demonstrates thatan accusative subject can be a matrix constituent, but does not show that it must be.
Kuno (1976) presents another, stronger argument based on Condition B of the Binding-105-

Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

Theory. The following example confirms that the distribution of Japanese pronouns isconstrained by Condition B:(8)Johni-ga kare*i/j-o hihan-sita.
J-NOM
him-ACC criticize-did‘Johni criticized himselfi.’

In (8), the pronoun in the object position cannot be construed as coreferential with the subject.
Given this, Kuno (1976) presents the contrast in (9) as evidence for obligatory raising of theaccusative subject. 2(9)a. ? Johni-ga [karei-ga baka da to]omot-teiru.
J-NOM [he-NOM stupid COP COMP think-PROG‘Johni thinks that hei is stupid.’b. * Johni-ga karei-o [baka da to]omot-teiru.
J-NOM him-ACC [stupid COP COMP think-PROG‘Johni thinks that hei is stupid.’

The well-formedness of (9a) indicates that the binding domain for the embedded subject is theembedded TP. The ill-formedness of (9b), then, shows that the accusative subject is moved
out of the embedded clause and that this causes a Condition B violation. Note that one cannot
maintain that the movement is optional in this case. If the accusative subject could stay in theembedded TP, the coreference in (9b) should be possible.
2.2.2.

The Optional Raising Analysis

Since Chomsky’s (1998) implementation of Agree, an alternative approach to theJapanese ECM has been pursued by Bruening (2001), Hiraiwa (2001, 2005), and Tanaka(2002). These researchers propose that the accusative Case on the embedded subject islicensed by the matrix v0 through Agree. According to this analysis, the accusative subject
need not move to the matrix clause for its Case to be licensed, and if it does, it is due to an
operation that is independent of Case licensing, such as scrambling.

2(9a) may sound awkward for some speakers. However, when the antecedent and the pronoun are
distant enough from each other as in (i), the sentence gets much improved even for those speakers.
(i) John-wai [sensei-ni
sikar-are-ta
node]
kare-gai baka dat-ta
toJ-TOP[teacher-by scold-PASS- PAST because he-NOM stupid COP-PAST COMP
omot-ta.
think-PAST‘John thought that he was stupid because he was scolded by his teacher.’-106-

Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

Analysis B: [TP…[vP v0 [VP V0 [CP…SUBJ…]]]].

(Linear order irrelevant)A piece of supporting evidence for this analysis is put forward by Hiraiwa (2001, 2005).
As it has to do with the distribution of negative polarity items (NPIs), let us consider theirproperties first. In Japanese, a wh-phrase followed by the particle mo functions as an NPI.
(10) wh-phrase + mo = NPI
As an NPI, “wh-phrase + mo” must be c-commanded by a negation, as shown in (11).
(11) a. Yuki-wa [dare-mo
Y- TOP[who-PRT

tob-eru
fly-canto]COMPomot-tei-nai.
think-PROG-NEG‘Yuki does not think that anybody can fly.’b. Yuki-wa [dare-mo
Y- TOP[who-PRT

tob-e-naito]omot-teiru.
fly-can-NEG COMP think-PROG‘Yuki thinks that nobody can fly.’c. * Yuki-wa [dare-mo
Y- TOP[who-PRT

tob-eru
fly-canto]COMPomot-teiru.
think-PROG

Interestingly, the particle mo can be detached from the wh-phrase, and only in this case canthe wh-phrase be accompanied by a Case particle. Relevant examples are shown in (12).
(12) a. Yuki-wa [CP dare-ga tob-eru
Y- TOP
who-NOM fly-can

to]
COMP

-mo
-PRT

omot-tei-nai.
think-PROG-NEG‘Yuki does not think that anyone can fly.’b. * Yuki-wa [CP dare-ga
Y- TOP
who-NOM

tob-e-naito]-mofly-can-NEG COMP -PRT

omot-teiru.
think-PROG

In (12a), mo is attached to the embedded CP instead of to the wh-phrase, and the wh-phrase
appears in nominative Case. (12b) shows that the discontinuous “wh-phrase + mo” stillrequires a negation that c-commands both of its parts.
As discussed by Kishimoto (2001), there is an interesting restriction on the relation
between the wh-phrase and mo. Consider the following examples:(13) a. Yuki-wa
Y- TOP[CP dare-ga tob-eru
who-NOM fly-can

to]

-mo
COMP -PRT‘Yuki does not think that anyone can fly.’-107-

omot-tei-nai.
think-PROG-NEG

Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010b. * Dare-ga [CP Yuki-ga tob-eru
who-NOM
Y-NOM fly-canto]cf. Dare-mo [CP Yuki-ga tob-eru
who-PRT
Y-NOM fly-can

to]

COMP

COMP

-mo
-PRT

omot-tei-nai.
think-PROG-NEG

omot-tei-nai.
think-PROG-NEG‘Nobody thinks that Yuki can fly.’In (13a) and (13b), the wh-phrase and mo are both within the scope of the negation. The
crucial difference between the two is that (13a), but not (13b), has the wh-phrase inside theembedded CP with mo. This indicates that mo must c-command the wh-phrase. Thus, when
mo and an associated wh-phrase are split, the configuration in (14) must obtain.
(14) Neg > mo > wh-phrase (“x > y” denotes that x c-commands y.)Assuming (14), Hiraiwa (2005) argues that the accusative ECM subject may remain
within the embedded clause. Consider the following paradigm, cited from Hiraiwa (2005).
(15) Yuki-wa
Y- TOPorokanimo [CP dare-ga baka da to]-mofoolishly
who-NOM stupid COP COMP -PRT

omowa-nak-atta.
think-NEG- PAST

‘Yuki foolishly did not think that anybody is stupid.’(16) a. Yuki-wa orokanimo [CP dare-obaka dato]-mo
Y- TOPfoolishly
who-ACC stupid COP COMP -PRT

omowa-nak-atta.
think-NEG- PAST

‘Yuki foolishly did not think that anybody is stupid.’b. * Yuki-wa dare-oorokanimo [CP baka da to]-mo
Y- TOP
who-ACC foolishly
stupid COP COMP -PRT

omowa-nak-atta.
think-NEG- PAST

‘Yuki foolishly did not think that anybody is stupid.’
In (15), the negation on the matrix predicate c-commands mo, and the wh-subject is in thescope of mo, which is attached to the embedded CP. Thus, (15) conforms to (14). The crucial
case is (16a). This example contains an accusative embedded subject and is grammatical.
Given (14), the accusative subject must be within the c-command domain of mo, namely theembedded CP. Hiraiwa (2005) concludes then that the accusative Case is licensed in theembedded CP without raising of the embedded subject into the matrix clause. When theaccusative subject is moved into the matrix clause as in (16b), mo no longer c-commands it,
and hence, the sentence becomes ungrammatical. Recall that an accusative subject can moveinto the matrix clause when no NPI is involved. A relevant example, (6c), is repeated below
as (17).

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)(17) Taroo-ga Hanako-oi orokanimo [ti tensai da to]omot-teiru.
T-NOM
H-ACC
stupidly
genius COP COMP think-PROG‘Taro stupidly thinks that Hanako is a genius.’
The movement in (17), Hiraiwa (2005) argues, is an instance of scrambling and is notnecessary for the licensing of the accusative Case.
Thus far, I have summarized the obligatory raising analysis and the optional raising
analysis of the Japanese ECM. The fact having to do with Condition B strongly supports theobligatory raising analysis, while the fact presented in (16) suggests that the accusative
subject may stay within the embedded clause. In the next subsection, I discuss Tanaka’s(2002) modified version of the optional raising analysis and show how it can resolve thisapparently contradictory situation.
2.2.3.

Tanaka (2002) : A Modified Version of the Optional Raising Analysis

Tanaka (2002) proposes a modified version of the optional raising analysis. He follows
Hiraiwa (2001) in assuming that an accusative ECM subject is licensed via Agree with v0 in
the higher clause, but he in addition argues that the accusative subject obligatorily moves tothe embedded Spec, CP due to the PIC.
Analysis C: [vP v0 [VP V0 [CP DPi C20 [TP…ti…]]].
The definition of the PIC is given in (18), cited from Chomsky (2001).
(18) The Phase Impenetrability Condition (PIC)
The domain of H is not accessible to operations outside HP; only H and its edge areaccessible to such operations.
Since the PIC constrains the domain of Agree relations, Agree cannot search into thecomplement of the embedded C, which is a phase head. On this assumption, Tanaka (2002)
proposes that the embedded subject undergoes A-movement to the embedded Spec, CP so as
to become accessible to v.3
Given Tanaka’s (2002) analysis, I argue that the apparently contradictory data presented
in the previous subsections can be explained.
First, let us consider Kuno’s (1976) Condition B examples. The examples in (9) arerepeated as (19a-b).

3

Kaneko (1987) also argues that the accusative ECM subject moves to the embedded Spec, CP,assuming government for Case licensing. Since I assume that Case is valued via Agree, I do notdiscuss his analysis further. See Kaneko (1987) for the precise mechanism of his analysis.

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010(19) a. ?Johni-ga
J-NOM[CP [TP karei-ga baka da] to]he-NOM fool COP COMP

omot-teiru.
think-PROG‘Johni thinks that hei is stupid.’b. * Johni-ga
J-NOM[CP karei-o [TP tSUBJ baka da] to]omot-teiru.
him-ACC
stupid COP COMP think-PROG‘Johni thinks that hei is stupid.’
Tanaka’s (2002) analysis correctly predicts the contrast in (19) without positing raising of theaccusative subject to the matrix clause. Suppose that the binding domain of a pronoun is thesmallest TP which contains the pronoun itself. In (19a), it is the embedded TP, and thenominative subject, which I assume is in Spec, TP, is not bound in this domain. On the other
hand, in (19b), the pronominal subject moves to Spec, CP in order to be checked for its
accusative Case. Since it moves out of the embedded TP, its binding domain becomes thematrix TP. As it is bound in this domain, (19b) violates Condition B.
The analysis also offers an explanation for Hiraiwa’s (2005) NPI examples. The crucial
example in (16a) is repeated in (20).
(20) Yuki-wa
Y- TOPorokanimo [CP dare-obaka da to]-mofoolishly
who-ACC stupid COP COMP -PRT

omow-ana-katta.
think-NEG- PAST

‘Yuki foolishly did not think that anybody is stupid.’
On the assumption that the particle mo is attached to the embedded CP, it c-commands thewh-phrase in Spec, CP. 4 Thus, the wh-phrase is in the scope of mo, in accordance with (14).
Hence the well-formedness in (20) is also accounted for by Tanaka’s (2002) analysis.
Although Tanaka’s (2002) analysis can account for the facts examined in Kuno (1976)
and Hiraiwa (2005), it raises two new questions. One has to do with the A/A’ distinction, andthe other concerns the trigger of the movement to the embedded Spec, CP. What follows
discusses these problems in turn.
The first question relates to the standard analysis of scrambling in Japanese. Since
Mahajan (1990), it has been assumed that clause-internal scrambling can be A-movement,
based on examples like (21).5

4

Kishimoto (2001) assumes that the particle mo is attached to a syntactic head, and that its scope isdetermined in a different way. For the convenience for the discussion herein, I assume that mo is
attached to a maximal projection and its scope is determined by the c-command relation. See
Kishimoto (2001) for the details of his analysis.
5

Mahajan’s (1990) proposal is based on Hindi data. See Tada (1993), Nemoto (1993), and Saito(2003) for detailed discussions of the Japanese data considered here.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)(21) a. * [Otagaii-no[each.other-GEN

sensei]-ga
karerai-o hihansi-ta(koto)
teacher-NOM they-ACC criticize- PAST (fact)‘Each other’s teachers criticized them.’b. Karerai-o [otagaii -nosensei]-ga ti hihansi-ta(koto)
they-ACC [each.other-GEN teacher-NOM criticize- PAST (fact)‘Them, each other’s teachers criticized.’(21a) is out because the reciprocal anaphor is not bound by its antecedent, karera ‘they’. As
shown in (21b), if the antecedent is scrambled to the sentence-initial position, the sentence
becomes grammatical. This indicates that a scrambled phrase can serve as an A-binder for thereciprocal anaphor.
However, the effect observed in (21b) is limited to clause-internal scrambling.
Scrambling across a CP boundary always exhibits A’-properties, as shown by (22b).
(22) a. * [Otagaii-nosensei]-ga[CP Yuki-ga karerai-o hihan-sita[each.other-GEN teacher-NOM [CP Y-NOM they-ACC criticize-did
it-ta(koto)
say- PAST (fact)

to]
COMP

‘Each other’s teachers said that Yuki criticized them.’b. * Karerai-o [otagaii-nosensei]-ga [CP t’i [TP Yuki-ga ti hihan-sita
to]]they-ACC [each.other-GEN teacher-NOM[TP Y-NOM
criticize-did COMP
it-ta(koto)
say- PAST (fact)‘Them, each other’s teachers said that Yuki criticized.’(22a) is out because the reciprocal anaphor is unbound. Note that (22b) is also out, eventhough the antecedent is scrambled to a position that c-commands the reciprocal anaphor.
Based on such data, Mahajan (1990) concludes that long-distance scrambling is necessarily
A’-movement, while clause-internal scrambling may be A-movement. As far as successive
cyclic movement is assumed, this peculiar property of long-distance scrambling is deduced
from the ban on improper movement, as discussed in Fukui (1993). Since the intermediate
Spec, CP in (22b) is an A’-position, scrambling from this position must land at anotherA’-position, or it violates the ban on improper movement.
Let us now consider examples of ECM with this background in mind. (23) is cited from
Bruening (2001).

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010(23) [Dare-to dare]-oi otagai-no
sensei-ga[CP t’i [ti baka da to]] [[who-and who -ACC each.other-GEN teacher-NOM
stupid COP COMP
omot-teiru-no?
think-PROG-Q‘Who all do each other’s teachers think of as fools?’
Under Tanaka’s (2002) analysis, the accusative subject in (23) is licensed in the embedded
Spec, CP. Then, it is scrambled to the sentence-initial position, and serves as an A-binder.
Since the landing site of the scrambling in (23) exhibits A-properties, the embedded Spec, CP
must be an A-position so that there may be no violation of the ban on improper movement.
Then, as Tanaka (2002) points out, it must be explained why the embedded Spec, CP cancount as an A-position in this case.
The other question that arises with Tanaka’s (2002) analysis concerns the trigger of the
movement to the embedded Spec, CP. In the usual case, a subject moves to the closest Spec,
TP in order to have its Case valued as nominative, or to satisfy the requirement of the EPP.
However, in the ECM case, a subject moves to Spec, CP, and not to the closer Spec, TP.
Hence, the analysis must provide some motivation for the movement to Spec, CP.
To summarize, the data presented in the previous subsections initially appeared to becontradictory, but actually seem to converge on Tanaka’s (2002) thesis that the accusative
subject moves to Spec, CP. The two remaining questions are why the relevant embedded Spec,
CP counts as an A-position on one hand, and what triggers the movement to the Spec, CP and
why the subject moves to Spec, CP, instead of to Spec, TP on the other.
3.

ProposalOn the basis of the discussion in section 2, I propose in this section that the movement ismotivated by phi-features on C0, although in the usual case, those phi-features are transmitted
to T0 and checked off there. In section 3.1, I present assumptions that are crucial for the
analysis to be proposed. Then, in section 3.2, I illustrate the analysis in detail.
3.1.

Feature Transmission

This subsection briefly introduces the feature transmission (FT) mechanism in Chomsky(2008), which I rely on in my analysis of the Japanese ECM.6 Chomsky proposes that a phasehead plays a significant role in the valuation of Case. More specifically, he argues that only
phase heads, C0 and v0, come equipped with phi-features when entering into the lexical array.
6

Chomsky (2008) uses the term “feature inheritance” for the same mechanism. The term “featuretransmission” is adopted from Epstein, Kitahara and Seely (2009). I do not distinguish these two terms
in this paper. See Epstein, Kitahara and Seely (2009) and Richards (2007) for detailed discussion on
feature transmission.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

On this theory, T0, which is not a phase-head and hence lacks phi-features of its own, canbecome a probe for nominative Case checking only by virtue of inheriting phi-features from
C0.7
Chomsky’s (2008) proposal is based on the observation that the presence of C isnecessary for nominative Case checking. Consider the following ECM examples in English:(24) a. I expect [him to leave].
b. I believe [him to be incompetent].
Here, the subject of the infinitival complement clause must appear in accusative Case, and anominative subject is not allowed in this position. This unavailability of nominative Case hasoften been attributed to the nature of T0. More precisely, in a tensed clausal complement, T0 is
phi-complete and hence is able to value nominative Case, whereas in an infinitival clause, T0
is phi-defective and is unable to value Case. Chomsky (2008), on the other hand, tries toderive the unavailability of nominative Case from the absence of C. He argues that only when
C is present right above T, is T able to value nominative Case. Assuming that nominative
Case assignment requires phi-features on T, this can follow if one assumes that thephi-features on T0 actually originate from C0. In (24), the matrix verb takes a TP complement
without a C layer. As no phi-features are transmitted to T0, T0 remains unable to value theCase of the embedded subject. Consequently, a higher probe, V0 inheriting phi-features fromv, ends up valuing it as accusative.
Under this theory, feature transmission seems mandatory at least in some cases. Consider(25).
(25) a. I know what John bought.
b. [ C[ φ ] [ T [John [ v* [bought what]]]]].
c. [whati [ C [Johnj [ T [ tj [ v* [ bought ti]]]]]]].
In (25a), the subject, John, is located below the wh-operator what. On the assumption that
wh-operators are in Spec, CP, which is a canonical A’-position, the subject must be in a lower
Spec, that is, Spec, TP. In order to account for examples like (25), Chomsky (2008) proposesthat C’s phi-features are transmitted to T. The transmitted phi-features make T act as a probe
and value the embedded subject as nominative. As a result, the embedded subject undergoes
A-movement of to Spec, TP. Since the wh-operator undergoes A’-movement to Spec, CP, thederivation proceeds from (25b) to (25c).
In (25), feature transmission plays a crucial role for the successful feature checking of
the subject. Given that C0 has phi-features of its own, however, it might be expected that C0
7

In addition to the argument presented in this subsection, Chomsky (2005, 2007) also provides aconceptual argument for this proposal.

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010itself can become a probe for Agree if its phi-features do not get transmitted and stay on C
instead. If one further assumes that even without Case valuation, Agree by itself is enough totrigger A-movement of the subject, the subject will be expected to undergo A-movement toSpec, CP in such a case. This should be possible when a lexical array contains no wh-operator,
unlike in the case of (25). In the following subsection, I argue that this is exactly what
happens in the case of the Japanese ECM.
3.2.

FT-based Analysis of the Japanese ECM

It has been suggested that an accusative subject in the Japanese ECM undergoes
A-movement to the embedded Spec, CP and that phi-features trigger A-movement. Thus,
when C retains the phi-features without feature transmission, A-movement to the relevant
Spec, CP is predicted to be legitimate. While Chomsky (2008) argues that featuretransmission from C to T is obligatory, I argue that this is not the case with the C to. The
proposal is stated in (26).
(26) The complementizer to optionally transmits its phi-features.
Given this, the Case alternation in (27) is straightforwardly accounted for.
(27) a. Taroo-wa
T-TOP[CP [TP Yuki-ga
Y-NOM

baka
stupid

da]

to]

COP

COMP

omot-teiru.
think-PROG‘Taro thinks that Yuki is stupid.’b. Taroo-wa
T-TOP[CP Yuki-o [TP baka da] to]omot-teiru.
Y-ACC
stupid COP COMP think-PRO‘Taro thinks that Yuki is stupid.’
In (27a), the C head to transmits its phi-features, and T becomes capable of entering into an
Agree relation with the subject of the embedded clause by inheriting the phi-features.
Nominative Case is then realized as a result phi-feature checking by T. On the other hand, in(27b), the phi-features remain on to, and thus T does not become a probe for Agree. Therefore,
the subject of the embedded clause is not assigned nominative Case. However, thephi-features on C still need to be checked off, and thus Agree with C causes the subject tomove to the embedded Spec, CP, making it accessible to a probe in the higher phase inaccordance with the PIC. The matrix V then values the subject as accusative.
A piece of evidence for this approach can be found if we reexamine the distribution of
accusative subjects. As mentioned earlier, an accusative subject is not always legitimate.
Consider (4), repeated below in (28).

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)(28) a. Taroo-wa
T-TOP[Hiromi-ga kirei(da) ka] siritagat-teiru.
[H-NOM
beautiful (COP) Q wonder-PROG‘Taro wonders whether or not Hiromi is beautiful.’b. * Taroo-wa
T-TOP[Hiromi-o kirei(da) ka] siritagat-teiru.
[H-ACC
beautiful (COP) Q wonder-PROG‘Taro wonders whether or not Hiromi is beautiful.’
In the literature, the ungrammaticality of (28b) is standardly explained in terms of thesemantic nature of the matrix verb. Specifically, Kuno (1976) argues that only verbs of
thinking and verbs of feeling allow the subject of their complement clause to be marked withaccusative Case. As the matrix verb in (28), siritaga- ‘wonder’, does not satisfy this condition,
the accusative subject is illicit in (28b).
However, this account fails to explain examples such as those in (29)-(30). The verb in(29), iu ‘say’, is a verb of saying, and not of thinking or feeling. Yet, an accusative subject ispossible as shown in (29b).
(29) a. Taroo-wa
T-TOP[CP [TP Miki-ga kireida] to]it-ta.
M-NOM beautiful COP COMP say- PAST

‘Taro said that Miki is beautiful.’b. Taroo-wa
T-TOP[CP Miki-o [TP kireida] to]it-ta.
M-ACC
beautiful COP COMP say- PAST

‘Taro said that Miki is beautiful.’
Here, it cannot be hypothesized that verbs of saying also license accusative subjects in general.
In (30), the matrix verb, tazune- ‘inquire’, is a verb of saying, but it does not allow an
accusative subject as (30b) shows.
(30) a. Taroo-wa
T-TOP[CP [TP Hanako-ga baka] ka] tazune-ta.
H-NOM
stupid Q inquire-PAST‘Taro inquired whether or not Hanako is stupid.’b. *Taroo-wa
T-TOP[CP Hanako-o [TP baka] ka] tazune-ta.
H-ACC
stupid Q inquire-PAST‘Taro inquired whether or not Hanako is stupid.’
Given (30), it seems difficult to account for the distribution of accusative subjects solely on
the basis of the semantic nature of the matrix verb.
The examples examined so far suggest a new generalization. That is, accusative subjects-115-Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

are possible only when the embedded CP is headed by the C to. This is the case in (27) and(29), for example. On the other hand, when the embedded CP is headed by ka, accusative
subjects are disallowed as shown in (28) and (30). I then hypothesize that the complementizer,
to plays a significant role in the licensing of an accusative subject. This fits the proposal madeat the outset of this subsection nicely. Feature transmission is optional with to, as proposed,
and it is obligatory with ka. The difference between the two Cs is illustrated in (31).
(31)

Cmax

a.
Tmax

C0[ φ ] -ka

SUBJ
vmax

T0

Vmax

v0

Cmax

b.
SUBJ

Tmax

obligatory FT

tSUBJ

vmax

T0

Vmax

v0

C0[ φ ] -to

optional FT(31a) and (31b) correspond to (28) and (29), respectively. In (31a), ka obligatorily transmits
its phi-features to T. As a result, T becomes capable of valuing the subject as nominative. The
subject then moves to Spec, TP to check the phi-features off and it is valued as nominative.
A-movement to Spec, CP is unavailable because C has lost its phi-features.
On the other hand, when the CP is headed by to as in (31b), there are two possibilities
as feature transmission from to is optional. When feature transmission takes place, nominative
subject is realized in the same manner as in (31a). Otherwise, to retains its own phi-features
and these are checked off in situ. This checking causes the subject to undergo A-movement to
the embedded Spec, CP. As the subject moves to the phase edge, it becomes accessible to ahigher Case licenser. Consequently, the V in the matrix clause values the embedded subject asaccusative. This is how (27b) is derived.
This analysis can deal with another interesting paradigm with an additional assumption.
Let us first consider (30) again. The example has shown that an accusative subject is notallowed in CPs headed by ka. However, the matrix verb, tazune- ‘inquire’, can take a CP
complement with both ka and to, as shown in (32).
(32) a. Taroo-wa
T-TOP[CP Hanako-ga baka ka to]tazune-ta.
H-NOM
stupid Q COMP inquire-PAST‘Taro inquired whether or not Hanako is stupid.’b. Taroo-wa
T-TOP[CP Hanako-o baka ka to]tazune-ta.
H-ACC
stupid Q COMP inquire-PAST‘Taro inquired whether or not Hanako is stupid.’-116-

Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

In (32), both a nominative subject and an accusative subject are legitimate. Given that thecomplementizer to optionally transmits its phi-features, the grammaticality of (32b), in
contrast with (30b), can be accounted for under the analysis proposed in this section.
An additional assumption that is required is that only the highest C counts as a phasehead if there is a recursive CP structure within a single clause. Then, the highest C, but noneof the lower Cs, is equipped with phi-features. This can be implemented as follows. Let us
assume first that Cs, and in particular ka, can enter into the lexical array with or without
phi-features. Suppose further that a C without phi-features can only be selected by another C.
(33) Ka without phi-features can only be selected by to.
This suffices to account for the contrast between (30) and (32).
(30) is explained as before. Since ka is the highest C, it is equipped with phi-features.
Then, it obligatorily transmits these phi-features to T, as in (34a), and the subject appears innominative Case.
(34)

Cmax

a.
Tmax

C0[ φ ] -ka

SUBJ
vmax

T0

Vmax

v0

Cmax

b.
SUBJ
obligatory FT

tSUBJ

Cmax

C0[ φ ] -to

Tmax

C0-ka

vmax

T0

optional FT(32), on the other hand, has the structure in (34b). Here, to, being the highest C, musthave phi-features but ka need not. By assumption, to only optionally transmits its phi-features
to ka. When it does, ka transmits them further to T, and the subject is assigned nominative
Case. Otherwise, to will be one and the only functional head with phi-features. In this case, itprobes the subject and attracts it to its Spec position. Then, the matrix V values the subject asaccusative.
Thus far, I have proposed that the complementizer to optionally transmits its phi-features
to the lower head and that it plays a crucial role in licensing accusative subjects. When featuretransmission occurs, the embedded subject is realized in nominative Case in the embedded
Spec, TP. When there is no feature transmission, the phi-features remain on to, and thesubject undergoes A-movement to the embedded Spec, CP. This analysis answers thequestions raised for Tanaka’s (2002) analysis. One concerns the A/A’ distinction and theother the trigger of the A-movement. Since the movement to the embedded Spec, CP has to
do with checking of phi-features remaining on C, it is straightforwardly predicted that the
movement exhibits A-properties. Thus, the optionality of feature transmission makes the-117-Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

movement to the relevant Spec, CP possible.
4.

A Comparative Perspective: ECM in Turkish

In this section, I argue that the analysis proposed in Section 3 can also deal with theTurkish ECM.8 Typical examples of the Turkish ECM are shown in (35).9,10(35) a. Pelin [sen-ø
Timbuktu-ya git-ti-n
P-NOM [you-NOM T-DAT
go- PAST-2sgdiye] bil-iyor-muş.
COMP know-PROG-EVID‘Pelin knew that you went to Timbuktu.’
b. Pelin [sen-i
Timbuktu-ya git-ti(-n)
diye] bil-iyor-muş.
P-NOM [you-ACC T-DAT
go- PAST(-2sg) COMP know-PROG-EVID‘Pelin thought that you went to Timbuktu.’
Turkish is a head-final language and an accusative subject is legitimate even though anovert complementizer, diye, is present. In addition, since the subject in the embedded clausecan be nominative as well, its Case appears to be freely alternated. In these respects, ECM in
Turkish is similar to the Japanese counterpart on the surface. Şener (2008), however, makes it
clear that the Turkish ECM significantly differs from that in Japanese in its interpretation.
More specifically, he shows that the accusative ECM subject in Turkish is construed as a
topic.
The following subsection presents the similarities and differences between the Turkish
ECM and the Japanese ECM, based on the observations in Şener (2008). Then, subsection 4.2
discusses how they are explained under the analysis in Section 3.
4.1.

The Accusative Subjects as Topics

In this subsection, I go over Şener’s (2008) arguments that the accusative subject in the
Turkish ECM is located higher than Spec, TP and is construed as a topic. For the relatively
higher position of the accusative subject, Şener provides a piece of evidence based on
Condition A of the Binding Theory. The following examples are cited from Şener (2008).
8

All the Turkish data are taken from Şener (2008). See also Kornfilt (1977) and Zidani-Eroğlu (1997)
for the discussion on the Turkish ECM.
9The complementizer diye does not always occur in the Turkish ECM. More precisely, some ECM
predicates select clausal complements with this complementizer, while the others select null-compclausal complements. However, the CP complements in ECM behave alike regardless of whether diyeis present.
10

An agreement morphology is obligatory on the embedded predicate with a nominative subject,while it is optional with an accusative subject. This phenomenon will be discussed in Şener and
Takeuchi (in preparation).

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)(36) a. * Seni
[kendin-ii
basarı-ya
you-NOM [yourself-NOM success-DAT

ulaş-mış-sın] san-ıyor-sun.
reach-2sg
believe-PROG-2sg‘You believe yourself to have succeeded.’b. *Bizi[birbirimizi
viski-yiiç-ti-k] san-ıyor-uz.
we-NOM [ourselves-NOM whisky-ACC reach believe-PROG-2sg‘We believe each other to have drunk the whisky.’(37) a. Seni
[kendin-ii
basarı-ya
you-NOM [yourself-ACC success-DAT

ulaş-mış] san-ıyor-sun.
reach-2sg believe-PROG-2sg‘You believe yourself to have succeeded.’b. Bizi[birbirimiz-ii
viski-yiiç-ti-k] san-ıyor-uz.
we-NOM [ourselves-ACC whisky-ACC reach believe-PROG-2sg‘We believe each other to have drunk the whisky.’(36) is out because the reflexive subject violates Condition A of the Binding Theory. On theother hand, such a violation is not incurred in (37) with the accusative subjects. That is, thebinding domain of the reflexive subject is the matrix TP in (37), while it is the embedded TP
in (36). Based on this, Şener (2008) concludes that the accusative subject is not located inSpec, TP, and hence is raised out of this position.
Recall that the Japanese ECM exhibits a similar paradigm with Condition B. The
relevant examples (19) are repeated as (38).
(38) a. ? Johni-ga [CP [TP karei-ga baka da] to]omot-teiru.
J-NOM
he-NOM fool COP COMP think-PROG‘Johni thinks that hei is stupid.’b. *Johni-ga [CP karei-o [TP tSUBJ baka da] to]omot-teiru.
J-NOM
him-ACCfool COP COMP think-PROG‘Johni thinks that hei is stupid.’
These examples show that the accusative subject in Japanese is also located in a position
higher than the nominative subject, which I argued is Spec, CP. Thus, (36)-(38) suggest that
the Turkish ECM and the Japanese ECM are similar in this respect.
However, there is a clear difference between Turkish and Japanese. Şener (2008)
convincingly argues that the accusative subject is construed as a topic in Turkish. In what
follows, I introduce two pieces of evidence from Şener (2008). One has to do with the
distribution of accusative subjects in various discourse contexts and the other concerns thefact that NPIs cannot be accusative subjects.

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First let us consider the interpretation of the Turkish ECM. Şener (2008) presents thefollowing examples:(39) A: Do you know who showed up at Mert’s party?
B: I haven’t asked Mert himself about it. But…
a. Pelin [Sinan-øF git-tidiye] duy-muş.
P-NOM [S-NOM go- PAST COMP hear- PAST
‘Pelin heard that Sinan went (to the party).’b. #Pelin [Sinan-ıF git-tidiye] duy-muş.
P-NOM [S-ACC go- PAST COMP hear- PAST
‘Pelin heard that Sinan went (to the party).’(40) A: Do you know if everyone went to Mert’s party?
B: I haven’t talked to Mert but…
a. Pelin [yalnızca Sinan-øCF git-tidiye] duy-muş.
P-NOM [onlyS-NOM
go- PAST COMP hear- PAST
‘Pelin heard that only Sinan went (to the party).
b. # Pelin [yalnızca Sinan-ıCF git-tidiye] duy-muş.
P-NOM [onlyS-ACC
go- PAST COMP hear- PAST
‘Pelin heard that only Sinan went (to the party).
Şener (2008) observes that only (39a) and (40a) are appropriate as answers for the questions
in A. On the other hand, with an accusative subject, (39b) and (40b) are grammatical but
unsuitable as answers in this context. Assuming that the element in the answer corresponding
to the wh-phrase in the question is a focus (contrastive focus in the case of (40)), Şener (2008)
argues that (39b) and (40b) are inappropriate because accusative subjects cannot be construed
as foci.
Then, what interpretation does an accusative subject receive? Şener (2008) goes on toshow that it is appropriate in contexts where it is construed as a topic. Consider the following
data:(41) A: What about John? Did Pelin tell you what he ate at the party?
B: I didn’t know about John, but…
a. Pelin [Mete-øCT istakoz-danCF ye-didiye] duy-muş.
P-NOM [M-NOM lobster-ABL eat- PAST COMP hear- PAST
‘Pelin heard that Mete ate the lobster (at the party).’-120-

Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)b. Pelin [Mete-yiCT istakoz-danCF ye-didiye] duy-muş.
P-NOM [M-ACC
lobster-ABL eat- PAST COMP hear- PAST
‘Pelin heard that Mete ate the lobster (at the party).’
In (41), A asks B what John ate at the party. B does not know what John ate at the party but B
knows that Mete ate the lobster. In this case, Mete is a contrastive topic, rather than a focus,
and it can appear in nominative or accusative Case. Based on observations of this kind, Şener
(2008) hypothesizes that an accusative ECM subject is construed as a topic.
It is noteworthy that the accusative ECM subject in Japanese does not have thisrestriction on the interpretation. Relevant Japanese data are shown in (42) and (43).11(42) A: Do you know who is the most stupid in Aoi’s class?
B: I haven’t asked Aoi herself about it. But…
a. Taroo-wa
T-TOP[Yuki-ga itiban baka da to]omot-tei-ta
yo.
[Y-NOM most stupid COP COMP think-PROG- PAST PRT‘Taro thought that Yuki is the most stupid.’b. Taroo-wa
T-TOP[Yuki-o itiban baka da to]omot-tei-ta
yo.
[Y-ACC most stupid COP COMP think-PROG- PAST PRT‘Taro thought that Yuki is the most stupid.’(43) A: Do you know if everyone in Aoi’s class is stupid?
B: I haven’t talked to Aoi but…
a. Taroo-wa [Yuki-dake-ga baka da to]sinzite-i-ta
yo.
T-TOP
[Y-only-NOM stupid COP COMP believe-PROG- PAST PRT‘Taro believed that only Yuki is stupid.’b. Taroo-wa [Yuki-dake-o baka da to]sinzite-i-ta
yo.
T-TOP
[Y-only-ACC stupid COP COMP believe-PROG- PAST PRT‘Taro believed that only Yuki is stupid.’
In (42) and (43), the embedded subjects are interpreted as a focus and as a contrastive focus,
respectively. If accusative subjects in Japanese should be construed as topics, (42b) and (43b)would be predicted to be inappropriate as answers just like their Turkish counterparts in (39b)and (40b), which is not the case. Thus, accusative ECM subjects in Japanese need not be
construed as topics.
11

The Japanese ECM is most natural when the embedded predicate is “stative”, according to Kuno
(1976) and Kawai (2006). Because of this restriction, it is impossible to examine exact counterparts ofŞener’s (2008) Turkish examples in Japanese.

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

The other evidence that Şener (2008) presents for the topichood of accusative ECM
subjects in Turkish concerns the distribution of NPIs. He points out that an NPI can be anominative subject but not an accusative subject, as shown in (44)-(45).
(44) a. pro[kimse-ø[anybody-NOM

gel-me-di
go-NEG- PASTdiye] duy-du-m.
COMP hear-PRES-1sg‘I have heard that nobody came.’b. pro[kimse-ø[anybody-NOM

gel-didiye] duy-ma-dı-m.
go- PAST COMP hear-NEG-PRES-1sg‘I haven’t heard that anybody came.’(45) a. * Pelin [kimse-yi
bu kitab-ı
oku-ma-dı diye] bil-iyor.
P-NOM [anybody-ACC this book-ACC read-NEG COMP know-PRES-2pl‘Pelin thinks that nobody read this book.’b. *Pelin [kimse-yi
Timbuktu-ya git-tidiye] duy-ma-dı.
P-NOM [anybody-ACC T-DAT
go- PAST COMP hear-NEG-PRES‘Pelin hasn’t heard that anybody went to Timbuktu.’(44) shows that the NPI with nominative Case, kimse, can occur in the embedded subject
position, regardless of whether a negation is attached to the embedded predicate or the matrix
predicates. On the other hand, (45) shows that the NPI cannot be an ECM subject withaccusative Case, no matter which predicate a negation is attached to.
Şener (2008) argues that (45) is out due to the unavailability of NPI topicalization.
Consider the following examples:(46) a. * Kimsei-yi,
Pelin ti öp-me-di.
anybody-ACC P-NOM kiss-NEG- PAST
‘Pelin did not kiss anybody.’b. Pelin kimse-yi
P-NOM anybody

öp-me-di.
kiss-NEG- PAST

‘Pelin did not kiss anybody.’(46a), which would be derived from (46b) through topicalization, is ungrammatical. Thisshows that an NPI cannot be a topic in Turkish. Thus, given that the accusative ECM subject
is a topic in Turkish, the ungrammaticality of (46a) is straightforwardly accounted for.12
12

It is difficult to construct Japanese examples that would correspond to (44) and (45), because NPIs
in Japanese cannot carry a Case particle.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

In this subsection, I discussed Şener’s (2008) observations on the Turkish ECM. They
make it clear that an accusative ECM subject is located in a position higher than that ofnominative subjects and it must be construed as a topic. In the following subsection, I discussŞener’s (2008) analysis and suggest an extension that enables us to pursue a micro-parameterthat distinguishes Turkish and Japanese.
4.2.

Şener’s (2008) Analysis and its Extension

As shown above, accusative ECM subjects in Turkish are construed as topics. Yet, not
all topic phrases can be marked with accusative Case in ECM contexts. Şener (2008) observes
that the distribution of the accusative subjects exhibits locality, as illustrated in (47).
(47) Co-occurrence with Non-Accusative Topic
A: Does Pelin know what Filiz gave Mert?
B: Well, he didn’t know about what Filiz gave Mert, but…
a. Pelin [Serkan-iCT Nilufer-eCT bir mix kaset ver-di]
san-ıyor-muş.
P-NOM [S-ACC
N-DAT
a-mixed-tape give- PAST believe‘Pelin believes that Serkan gave Nilufer a mixed-tape.’b. *Pelin [Nilufer-eCT Serkan-iCT bir mix kaset ver-di]
san-ıyor-muş.
P-NOM [N-DAT
S-ACC
a-mixed-tape give- PAST believe‘Pelin believes that Serkan gave Nilufer a mixed-tape.’
In (47), two topics are contained in the embedded clause. In the grammatical (47a), theaccusative subject precedes the indirect object with dative Case. On the other hand, theexample becomes ungrammatical when the dative indirect object precedes the accusative
subject as in (47b). On the basis of these data, Şener (2008) concludes that accusative Case isvalued by the matrix predicate and that the valuation of accusative Case is blocked by theintervening dative phrase in (47b).
Based on this and the observations discussed in the preceding subsection, Şener (2008)
hypothesizes that topicalization is crucially involved in the accusative Case checking in the
Turkish ECM. He proposes that the accusative ECM subject moves out of TP, and occupies
the embedded Spec, TopP. The structure is shown in (48).
(48) [vP v0 [VP…[TopP SUBJ Top0…[TP T [vP tSUBJ [VP V0]]]]]].

(i) Taroo-wa [Hanako-sika
T- TOP[H-only(*-ga / *-o)*(-NOM / *-ACC(Şener 2008)

baka da to]omot-tei-nai.
stupid COP COMP think-PROG-NEG‘Taro thinks that only Hanako is stupid.’
Therefore, it is impossible to distinguish between ECM and non-ECM cases.

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Assuming that TopP is a part of the recursive CP complex, Şener (2008) argues that thismovement enables the subject to be marked with accusative Case. Suppose that the PIC
constrains the domain of the Agree relation. When TopP is the complement of the matrix verb,
its Spec position is accessible to a higher probe, v0, and thus the subject can be valued as
accusative in this position.
Şener presents the contrast in (49) as supporting evidence for this analysis.
(49) a. Pelin [Mert-ø kim-e
vur-du diye] sor-du et-ti.
P-NOM [M-NOM who-DAT hit-PAST COMP ask- PAST do- PAST
‘Pelin asked who Mert hit.’b. *Pelin [Mert-i kim-e
vur-du diye] sor-du
et-ti.
P-NOM [M-ACC who-DAT hit-PAST COMP ask- PAST do- PAST
‘Pelin asked who Mert hit.’
In (49), a wh-phrase is contained in the embedded clause. The wh-phrase can take embedded
scope in (49a), as the English translation indicates. However, this interpretation is impossible
with the accusative subject as in (49b). Şener (2008) argues that this contrast follows from theanalysis of ECM shown in (48). But before presenting his account, let me briefly introduce
two assumptions that he adapts. One concerns the recursive structure of CP and the other has
to do with the wh-strategy in Turkish.
First, following Rizzi (1997), Şener assumes that CP in Turkish can be divided into
segmental projections as follows:13(50) [ForceP [TopicP [FocusP [FinP [TP…] Fin] Foc] Top] Force].

(Rizzi 1997)Şener assumes that the wh-operator occupies Spec, ForceP and the element which is construed
as a topic is located in Spec, TopP. The other assumption has to do with the wh-strategy inTurkish. Şener (2008) assumes that wh-phrases in Turkish are construed in situ by unselective
binding by an phonologically empty operator in the relevant Spec, CP.
Given those two assumptions, the contrast in (49) is accounted for in the following way.
Since the scope of the wh-phrase in (49) is the embedded clause, the empty operator occupies
the embedded Spec, ForceP, which is the highest projection in the CP system, and it
unselectively binds the wh-phrase in situ. The structure is shown in (51).
(51) [vP v0 [ForceP Opi…[TopP…Mert…wh-phrasei…]]].
In (49a), the embedded T values nominative Case on the embedded subject, Mert. (49b), on
13(50) differs slightly from what Rizzi (1997) proposes for Italian. See Rizzi (1997) for detailed
discussion of the structure of CPs.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

the other hand, is ungrammatical with the interpretation in which the scope of the wh-operator
is the embedded clause. Notice that in the structure in (51), the empty operator intervenes
between the Case licenser, v0, and the accusative subject occupying the embedded Spec, TopP.
Şener (2008) argues that Spec, TopP is not accessible from v0 in this configuration because
the position is contained in the complement of a phase head, Force0. Thus, accusative Casechecking fails and (49b) is ungrammatical.14
Although Şener’s (2008) proposal elegantly accounts for his data, it shares the sameproblems with Tanaka’s (2002) analysis of the Japanese ECM, as it also relies on movement
to Spec, CP. In the Turkish case, the motivation for the movement of an ECM subject is clear:as it is a topic, it moves to Spec, TopicP. However, the subject could be valued as nominativein Spec, TP, and it is not clear why it can postpone Case checking until it reaches the final
landing site. An additional potential problem concerns the locality of the movement to Spec,
TopicP. Topicalization in Turkish is not limited to subjects. Thus, (52a) is perfectly
grammatical.
(52) a. Metei-yi, Pelin ti
M-ACC
P-NOM

öp-me-di.
kiss-NEG- PAST

‘Pelin did not kiss Mete.’b. Pelin Mete-yi öp-me-di.
P-NOM M-ACC kiss-NEG- PAST
‘Pelin did not kiss Mete.’(52a) is derived from (52b) via topicalization of the object. Then, it is predicted that any
phrase may move to Spec, TopicP and be checked for accusative Case. But the Turkish ECM,
like ECMs in other languages, is limited to the embedded subject. Although Şener (2008)
addresses these questions, he does not offer satisfactory answers. In the remainder of thissection, I argue that they can receive a straightforward account if his analysis is incorporated
14

In fact, the Japanese ECM also exhibits a similar restriction for an independent reason. Consider thefollowing examples.
(i) a. Taroo-wa
T- TOP[CP [CP [TP dare-ga baka] ka] to]tazune-ta.
who-NOM stupid Q
COMP inquire-PAST‘Taro inquired who is stupid.’b. * Taroo-wa
T- TOP[CP dare-o[CP [TP baka] ka] to]tazune-ta.
who-ACC
stupid Q COMP inquire-PAST‘Taro inquired who is stupid.’
In (ia) the wh-phrase can take the embedded scope, whereas it cannot in (ib). On the assumption thatwh-phrases must be in the domain of the question marker, ka, it follows that (ib) is out with therelevant interpretation because the accusative ECM subject is licensed in a projection higher than thatof ka.

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Nanzan Linguistics 6: Research Results and Activities 2009 ~ 2010

with the optional feature transmission mechanism proposed for the Japanese ECM.
Recall that in the Japanese ECM, the complementizer, to, only optionally transmits
phi-features and when it does not, the accusative subject undergoes A-movement to Spec, CPin order to check the phi-features off. In the Turkish case, then, if the Topic head can retain
phi-features, it can trigger A-movement to its Spec. Hence, I propose then that the Topic head
optionally transmits phi-features in Turkish.
(53) FT from Top0 is optional in Turkish, whereas FT from the C0 to is optional in Japanese.
Given (53), the Case alternation in (35), repeated in (54), is accounted for. The relevant
derivations are shown in (55). (55a) and (55b) correspond to (54a) to (54b), respectively.
(54) a. Pelin [sen-ø
P-NOM [you-NOM

Timbuktu-ya git-ti-n
T-DAT
go- PAST-2sgdiye] bil-iyor-muş.
COMP know-PROG-EVID‘Pelin knew that you went to Timbuktu.’
b. Pelin [sen-I
Timbuktu-ya git-ti(-n)
diye] bil-iyor-muş.
P-NOM [you-ACC T-DAT
go- PAST(-2sg) COMP know-PROG-EVID‘Pelin thought that you went to Timbuktu.’
Topmax(55) a.

Finmax
Tmax

Topmax

b.

Top0

SUBJ

Fin0

Finmax
Tmax

SUBJ
vmax

T0[ φ ]

vmax

Top0[ φ ]Fin0
T0

In (55a), feature transmission applies from Top0 to T0, and T0 becomes capable of licensing
nominative Case.15 Thus, (54a) is derived with nominative Case on the embedded subject. On
the other hand, (54b) is derived when feature transmission does not occur from Top0 to Fin0
as in (55b). In this case, phi-features remain on Top0 and thus, the subject undergoes
A-movement to the embedded Spec, TopP to check the phi-features off. Then, the matrix V,
which inherits phi-features from the matrix v0, values the accusative Case of the embedded
subject in the phase edge.
This section has shown that the analysis demonstrated in Section 3 can be extended to15

I assume that the heads in C complex obligatorily transmit phi-features except for Top0 in Turkish.
More specifically, when Top0 transmits phi-features to Fin0, Fin0 obligatorily transmits them to T0 .
Given the assumption in Section 3 that only the highest C is equipped with phi-features, Fin0 itself
does not enter the structure with its own phi-features.

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Exceptional Case Marking in Japanese and Optional Feature Transmission (H. Takeuchi)

the Turkish ECM with the proposal that the Topic head optionally transmits phi-features inTurkish. Recall that ECMs in Turkish and Japanese are quite similar, the only notabledifference being that the ECM subjects in Turkish are construed as topics. This is captured by
the analysis suggested here. In both languages, the ECM subject can move to Spec, CP
because there is a C that transmits phi-features only optionally. The relevant C is Topic in
Turkish, and hence, ECM subjects are construed as topics. There is no such restriction in thecase of Japanese because the relevant C is to, which is not a Topic head.
5.

Conclusion

In this paper, I have proposed an analysis of the Japanese ECM. I argued that featuretransmission from the complementizer to is optional, and this makes A-movement to theembedded Spec, CP possible. Further, building on Şener’s (2008) analysis of the Turkish
ECM, I have proposed the micro-parameter in (53), repeated here as (56).
(56) FT from Top0 is optional in Turkish, whereas FT from the C0 to is optional in Japanese.
The proposal in this paper has a few consequences. First, it predicts that there will be
languages in which an ECM subject is obligatorily construed as a focus if the
micro-parameter can set Foc0 to be a C0 that optionally transmits its phi-features. Second, it
might help determine the precise mechanism of Transfer. It is customarily assumed, as in
Chomsky (2008), that the complement of the head of a phase is transferred to theinterpretative components upon the completion of the phase. According to this view, when theentire embedded CP in the Turkish and Japanese ECM constructions is completed, thecomplement of its head should immediately get transferred. However, since it contains copiesof the subject that has moved to Spec, CP and these copies are yet to be checked for Case, thederivation would presumably crash. I leave the examination of these consequences for future
research.

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