Smuggling @cite{collins-2005}

@cite{collins-2005} defines smuggling as follows:

Suppose a constituent YP contains XP. Furthermore, suppose XP is inaccessible to Z because of the presence of W (a barrier, phase boundary, or intervener for the MLC / Relativized Minimality (@cite{rizzi-1990})). If YP moves to a position c-commanding W, we say that YP smuggles XP past W.

The canonical application is passive: PartP (containing the object) moves to Spec-VoiceP, smuggling the object past the external argument in Spec-vP. The object can then raise to Spec-TP without violating Relativized Minimality (@cite{rizzi-1990}), because the intervening external argument no longer c-commands it.

@cite{storment-2026} extends this to quotative inversion (QI): VP moves to Spec-VoiceP, making the theme subject accessible to T⁰ for Case licensing. The quote is clause-external (adjoined high). This yields surface order "Quote" V Subject.

Key Insight: Phase Permeability

Smuggling requires the complement of Voice to remain accessible for extraction. Agentive Voice (v*) is a phase head; its complement is frozen by PIC once the phase is complete. Non-thematic Voice (anticausative) is NOT a phase head, so its complement remains accessible.

This connects to the existing VoiceHead.phaseHead field:

• voiceAgent.phaseHead = true → vP is a phase → complement frozen → no smuggling
• voiceAnticausative.phaseHead = false → vP is not a phase → complement extractab@cite{collins-2005} makes the same point: "neither the moved PartP nor an unaccusative vP are strong phases."

def Minimalism.VoiceHead.permitsSmuggling (v : VoiceHead) : Bool

Whether a Voice head permits complement extraction (smuggling).

Smuggling requires the complement of Voice to remain accessible. Phase heads freeze their complement (PIC), so smuggling is available only with non-phase Voice. This is the structural precondition for quotative inversion, passivization-via-smuggling, and related complement-fronting operations.

Derived from phaseHead: this is not a new primitive but a direct consequence of phase theory applied to Voice.

Equations

• v.permitsSmuggling = !v.phaseHead

theorem Minimalism.agentive_blocks_smuggling : voiceAgent.permitsSmuggling = false

Agentive Voice blocks smuggling (v* is a phase head).

theorem Minimalism.nonthematic_permits_smuggling : voiceAnticausative.permitsSmuggling = true

Non-thematic Voice permits smuggling (not a phase head). This is why anticausative / unaccusative verbs allow complement fronting (@cite{storment-2026}: quotative inversion; @cite{collins-2005}: passive).

theorem Minimalism.causer_blocks_smuggling : voiceCauser.permitsSmuggling = false

Causer Voice blocks smuggling (phase head, like agentive).

theorem Minimalism.middle_permits_smuggling : voiceMiddle.permitsSmuggling = true

Expletive (middle) Voice permits smuggling (not a phase head).

theorem Minimalism.impersonal_permits_smuggling : voiceImpersonal.permitsSmuggling = true

Impersonal Voice permits smuggling (not a phase head). Finnish impersonal "passive" is structurally similar to anticausative.

theorem Minimalism.smuggling_iff_not_phase (v : VoiceHead) : v.permitsSmuggling = !v.phaseHead

Smuggling availability is the exact complement of phasehood.

theorem Minimalism.theta_blocks_smuggling (v : VoiceHead) (_h : v.assignsTheta = true) (hp : v.phaseHead = true) : v.permitsSmuggling = false

θ-assigning Voice blocks smuggling. Agentive and causer Voice are both θ-assigners and phase heads, so they block complement extraction.

theorem Minimalism.no_theta_permits_smuggling (v : VoiceHead) (_h : v.assignsTheta = false) (hp : v.phaseHead = false) : v.permitsSmuggling = true

Non-θ Voice with phaseHead = false permits smuggling. This covers the canonical unaccusative case.

def Minimalism.licensesQI (voice : VoiceHead) (hasComplement : Bool) : Bool

A verb licenses quotative inversion iff: (1) its Voice head permits smuggling (non-phase vP), and (2) it has a complement to smuggle (the quote).

This captures @cite{storment-2026}'s two conditions:

• Unaccusativity (non-thematic Voice → non-phase → smuggling available)
• Quote complement (something to front)

hasComplement corresponds to ComplementType ≠.none at the VerbEntry level; the bridge in ArgumentStructure/Studies/Storment2026.lean verifies this against the English fragment.

Equations

• Minimalism.licensesQI voice hasComplement = (voice.permitsSmuggling && hasComplement)

theorem Minimalism.qi_requires_both (v : VoiceHead) (c : Bool) : licensesQI v c = true → v.permitsSmuggling = true ∧ c = true

QI requires both conditions: smuggling + complement.

theorem Minimalism.agentive_blocks_qi (c : Bool) : licensesQI voiceAgent c = false

Agentive Voice blocks QI regardless of complement availability. This is why *"spoke Mary" is ungrammatical even though speak is a manner-of-speaking verb — agentive Voice makes vP a phase.

theorem Minimalism.nonthematic_with_complement_licenses_qi : licensesQI voiceAnticausative true = true

Non-thematic Voice with a complement licenses QI. This is why "'I'm tired,' whispered Mary" is grammatical — whisper projects non-thematic Voice (theme subject), and the quote is the complement.

theorem Minimalism.nonthematic_without_complement_no_qi : licensesQI voiceAnticausative false = false

Non-thematic Voice without complement does NOT license QI. Bare unaccusative use ("Mary arrived") has no quote to smuggle.

def Minimalism.licensesPassiveSmuggling (voice : VoiceHead) (hasPartP : Bool) : Bool

A Voice head licenses passive smuggling iff: (1) its vP is not a phase (complement remains accessible), and (2) there is a PartP (participial phrase) to smuggle.

@cite{collins-2005}: PartP (= [Part V DP_object]) is complement of v. In passive, PartP moves to Spec-VoiceP, smuggling the object DP past the external argument in Spec-vP. The object can then raise to Spec-TP without violating Relativized Minimality (@cite{rizzi-1990}).

The structural parallel with QI is exact:

• QI: VP smuggles theme past agent
• Passive: PartP smuggles object past external argument

@cite{collins-2005}: passive v is not v* — it assigns θ but does not check Case (dissociated onto Voice/by). Without Case-checking, v is not a strong phase head, so PartP is extractable.

Equations

• Minimalism.licensesPassiveSmuggling voice hasPartP = (voice.permitsSmuggling && hasPartP)

theorem Minimalism.passive_smuggling_requires_both (v : VoiceHead) (p : Bool) : licensesPassiveSmuggling v p = true → v.permitsSmuggling = true ∧ p = true

Passive smuggling requires both conditions.

theorem Minimalism.passive_voice_licenses_smuggling : licensesPassiveSmuggling voicePassive true = true

Passive Voice licenses smuggling when PartP is present. This is the canonical passive derivation from @cite{collins-2005}.

theorem Minimalism.active_blocks_smuggling (p : Bool) : licensesPassiveSmuggling voiceAgent p = false

Agentive Voice blocks passive smuggling — v* is a phase head, so PartP is frozen by PIC. Active transitives do not undergo smuggling: the object gets Case from v directly.

theorem Minimalism.smuggling_shared_precondition : voicePassive.permitsSmuggling = true ∧ voiceAnticausative.permitsSmuggling = true

Passive smuggling and QI smuggling share the same structural precondition: non-phase Voice. The difference is the smuggled constituent (PartP vs VP) and the Voice flavor (passive vs anticausative).

theorem Minimalism.passive_dissociation_enables_smuggling : voicePassive.checksCase = true ∧ voicePassive.phaseHead = false ∧ voicePassive.permitsSmuggling = true

Passive Voice checks Case but does not assign θ (feature dissociation). This is what makes passive v defective (non-phase): Case-checking is the property that distinguishes v* from v (@cite{chomsky-2001}, @cite{collins-2005} p. 96).