English Syntax An Introduction

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English Syntax: An Introduction

Jong-Bok Kim and Peter Sells

January 11, 2008

CENTER FOR THE STUDY

OF LANGUAGE AND INFORMATION

Contents

Preface xi

1 Some Basic Properties of English Syntax 1

1.1 Some Remarks on the Essence of Human Language 1

1.2 How We Discover Rules 4

1.3 Why Do We Study Syntax and What Is It Good for? 7

1.4 Exercises 9

2 From Words to Major Phrase Types 11

2.1 Introduction 11

2.2 Lexical Categories 12

2.2.1 Determining the Lexical Categories 12

2.3 Grammar with Lexical Categories 17

2.4 Phrasal Categories 19

2.5 Phrase Structure Rules 22

2.5.1 NP: Noun Phrase 22

2.5.2 VP: Verb Phrase 23

2.5.3 AP: Adjective Phrase 25

2.5.4 AdvP: Adverb Phrase 25

2.5.5 PP: Preposition Phrase 26

2.6 Grammar with Phrases 26

2.7 Exercises 31

3 SyntacticForms, GrammaticalFunctions, and Semantic Roles 35

3.1 Introduction 35

3.2 Grammatical Functions 36

vi / ENGLISH SYNTAX: AN INTRODUCTION

3.2.1 Subjects 36

3.2.2 Direct and Indirect Objects 38

3.2.3 Predicative Complements 39

3.2.4 Oblique Complements 40

3.2.5 Modifiers 40

3.3 Form and Function Together 41

3.4 Semantic Roles 43

3.5 Exercises 46

4 Head, Complements, and Modifiers 49

4.1 Projections from Lexical Heads to Phrases 49

4.1.1 Internal vs. External Syntax 49

4.1.2 Notion of Head, Complements, and Modifiers 50

4.2 Differences between Complements and Modifiers 52

4.3 PS Rules, X′-Rules, and Features 55

4.4 Lexicon and Feature Structures 62

4.4.1 Feature Structures and Basic Operations 62

4.4.2 Feature Structures for Linguistic Entities 65

4.4.3 Argument Realization 66

4.4.4 Verb Types and Argument Structure 67

4.5 Exercises 71

5 More on Subjects and Complements 73

5.1 Grammar Rules and Principles 73

5.2 Feature Specifications on the Complement Values 76

5.2.1 Complements of Verbs 76

5.2.2 Complements of Adjectives 80

5.2.3 Complements of Common Nouns 82

5.3 Feature Specifications for the Subject 83

5.4 Clausal Complementor Subject 84

5.4.1 Verbs Selecting a Clausal Complement 84

5.4.2 Verbs Selecting a Clausal Subject 90

5.4.3 Adjectives Selecting a Clausal Complement 91

5.4.4 Nouns Selecting a Clausal Complement 93

5.4.5 Prepositions Selecting a Clausal Complement 94

5.5 Exercises 95

CONTENTS / vii

6 Noun Phrases and Agreement 97

6.1 Classification of Nouns 97

6.2 Syntactic Structures 98

6.2.1 Common Nouns 98

6.2.2 Pronouns 100

6.2.3 Proper Nouns 100

6.3 AgreementTypes and Morpho-syntacticFeatures 101

6.3.1 Noun-Determiner Agreement 101

6.3.2 Pronoun-Antecedent Agreement 103

6.3.3 Subject-Verb Agreement 103

6.4 Semantic AgreementFeatures 105

6.5 Partitive NPs and Agreement 109

6.5.1 Basic Properties 109

6.5.2 Two Types of Partitive NPs 111

6.5.3 Measure Noun Phrases 116

6.6 Modifying an NP 118

6.6.1 Adjectives as Prenominal Modifiers 118

6.6.2 Postnominal Modifiers 119

6.7 Exercises 121

7 Raising and ControlConstructions 125

7.1 Raising and Control Predicates 125

7.2 Differences between Raising and Control Verbs 126

7.2.1 Subject Raising and Control 126

7.2.2 Object Raising and Control 129

7.3 A Simple TransformationalApproach 130

7.4 A NontransformationalApproach 132

7.4.1 Identical Syntactic Structures 132

7.4.2 Differences in Subcategorization Information 134

7.4.3 Mismatch between Meaning and Structure 138

7.5 Explaining the Differences 141

7.5.1 Expletive Subject and Object 141

7.5.2 Meaning Preservation 142

7.5.3 Subject vs. Object Control Verbs 143

7.6 Exercises 145

viii / ENGLISH SYNTAX: AN INTRODUCTION

8 Auxiliary Constructions 149

8.1 Basic Issues 149

8.2 TransformationalAnalyses 151

8.3 A Lexicalist Analysis 152

8.3.1 Modals 152

8.3.2 Be and Have 155

8.3.3 Periphrastic do 157

8.3.4 Infinitival Clause Marker to 160

8.4 Explaining the NICE Properties 160

8.4.1 Auxiliaries with Negation 160

8.4.2 Auxiliaries with Inversion 164

8.4.3 Contracted Auxiliaries 167

8.4.4 Auxiliaries with Ellipsis 169

8.5 Exercises 172

9 Passive Constructions 175

9.1 Introduction 175

9.2 Relationships between Active and Passive 176

9.3 Approaches to Passive 178

9.3.1 From Structural Description to Structural Change 178

9.3.2 A Transformational Approach 179

9.3.3 A Lexicalist Approach 180

9.4 Prepositional Passives 186

9.5 Exercises 190

10 Wh-Questions 193

10.1 Clausal Types and Interrogatives 193

10.2 Movementvs. Feature Percolation 195

10.3 Feature Percolation with No Abstract Elements 197

10.3.1 Basic Systems 197

10.3.2 Non-subject Wh-questions 199

10.3.3 Subject Wh-Questions 204

10.4 Indirect Questions 208

10.4.1 Basic Structure 208

10.4.2 Non-Wh Indirect Questions 213

10.4.3 Infinitival Indirect Questions 214

10.4.4 Adjunct wh-questions 217

10.5 Exercises 220

CONTENTS / ix

11 Relative Clause Constructions 223

11.1 Introduction 223

11.2 Non-subject Wh-Relative Clauses 224

11.3 Subject Relative Clauses 229

11.4 That-relative clauses 231

11.5 Infinitival and Bare Relative Clauses 233

11.6 Restrictive vs. Nonrestrictive Relative Clauses 236

11.7 Constraints on the GAP 239

11.8 Exercises 243

12 Special Constructions 245

12.1 Introduction 245

12.2 ‘Easy’ Constructions 246

12.2.1 Basic Properties 246

12.2.2 Transformational Analyses 247

12.2.3 A Lexicalist Analysis 248

12.3 Extraposition 252

12.3.1 Basic Properties 252

12.3.2 Transformational Analysis 253

12.3.3 A Lexicalist Analysis 254

12.4 Cleft constructions 258

12.4.1 Basic Properties 258

12.4.2 Distributional Properties of the Three clefts 259

12.4.3 Syntactic Structures of the Three Types of Cleft: Movement Analyses 260

12.4.4 Lexically-Based Analyses 262

12.5 Exercises 270

References 273

Index 285

Preface

One important aspect of teaching English syntax (to native and nonnative undergraduate stu-

dents alike) involves the balance in the overall approach between facts and theory. We under-

stand that one important goal of teaching English syntax to undergraduate students is to help

students enhance their understanding of the structure of English in a systematic and scientific

way. Basic knowledgeof this kind is essential for students to move on the next stages, in which

they will be able to perform linguistic analyses for simple as well as complex English phe-

nomena. This new introductory textbook has been developed with this goal in mind. The book

focuses primarilyon the descriptive facts of English syntax, presented in a way that encourages

students to develop keen insights into the English data. It then proceeds with the basic, theoret-

ical conceptsof generativegrammar from which students can developabilities to think, reason,

and analyze English sentences from linguistic points of view.

We owe a great deal of intellectual debt to the previous textbooks and literature on English

syntax. In particular, much of the content, as well as our exercises, has been inspired by and

adopted from renowned textbooks such as Aarts (1997), Baker (1997), Borsley (1991, 1996),

Radford (1988, 1997, 2004), Sag et al. (2003), to list just a few. We acknowledge our debt to

these works, which have set the course for teaching syntax over the years.

Within this book, Chapters 1 to 5 cover the fundamental notions of English grammar. We

start with the basic properties of English words, and then rules for combining these words to

form well-formed phrases and, ultimately, clauses. These chapters guide students through the

basic concepts of syntactic analysis such as lexical categories, phrasal types, heads, comple-

ments, and modifiers. In Chapter 4, as a way of formalizing the observed generalizations, the

textbook introduces the feature structure system of Head-Driven Phrase Structure Grammar

(HPSG, Pollard and Sag (1994), Sag et al. (2003)) which places strong emphasis on the role of

lexical properties and the interactions among grammatical components.

From Chapter 6 on, the bookdiscusses major constructionsof English within a holistic view

of grammar allowing interactions of various grammatical properties including syntactic forms,

their grammatical functions, their semantic roles, and overall aspects of clausal meaning. In

Chapter 6, we introduce English subject verb agreement, and concentrate on interrelationships

xii / ENGLISH SYNTAX: AN INTRODUCTION

amongdifferentgrammatical componentswhich play crucial interacting roles in English agree-

ment phenomena. In particular, this chapter shows that once we allow morphological informa-

tion to interface with the system of syntax, semantics, or even pragmatics, we can providegood

solutions for some puzzlingEnglish agreementphenomena,within a principled theory.Chapter

7 covers raising and control phenomena, and provides insights into the properties of the two

different constructions, which are famously rather similar in terms of syntactic structures, but

different in termsofsemantics.Chapter8dealswith theEnglishauxiliarysystem, itself remark-

able in that a relatively small number of elements interact with each other in complicated and

intriguingways. This chapter assigns the precise lexical information to auxiliaryverbsandcon-

structional constraints sensitive to the presence of an auxiliary verb. This allows us to express

generalizations among auxiliary-sensitive phenomena such as negation, inversion, contraction,

and ellipsis, which we would otherwise be missed.

From Chapter 9 through Chapter 12, the textbook discusses how to capture systematic re-

lations between related constructions. Chapter 9 deals with the relationships between active

and passive voice clauses. Studying this chapter, students will be able to fully understand why,

how,andwhen to choosebetweencanonical andpassive constructions.Chapters10 and11 deal

with wh-questionsand relative clause constructions, often called non-local or long-distance de-

pendency constructions, in the sense that a gap and its filler are in a potentially long-distance

relationship. These two chapters present the basic properties of these constructions and show

how the mechanism of feature percolation is a crucial part of a systematic account for them.

The final chapterof the bookcovers the so-called ‘tough’constructions, extraposition,and cleft

constructions. These constructions are also based on long-distance dependencies, but different

from the constructions in chapters 10 and 11. The goal of all these chapters is the present a

groundwork of facts, which students will then have in hand, in order to consider theoretical

accounts which apply in precise ways.

We have tried to make each chapter maximally accessible. We provide clear, simple tree

diagrams which will help students understand the structures of English and develop analytic

skills to English syntax. The theoretical notions are kept as simple yet precise as possible so

that studentscan applyanduse themin analyzingEnglish sentences.Each chapteralso contains

exercises ranging from simple to challenging, aiming to promote deeper understanding of the

factual and theoretical contents of each chapter.

Numerous people have helped us in writing this textbook, in various ways. We thank for

their comments in variousplaces, help and interest in our textbook: [...................................]We

also thank teachers and colleagues in Kyung Hee University and Stanford University for their

constant encouragement over the years. Our gratitude also goes to undergraduate and graduate

students at KyungHee University who used the draft of this as the textbookand raised so many

questions that help us reshape its structure as well as contents. We also thank Jinyoung Kim,

Dongjun Lee, and Juwon Lee for their administrative help. We also owe out thanks to Dikran

Karagueuzian, Director of CSLI Publications, for his patience and support, as well as Lauri

Kanerva for his help in matters of production. We also thank Kaunghi Un for helping us with

PREFACE / xiii

LATEX problems.

Lastly, but not the least, we also truly thank our close friends and family memberswho gave

usunconditionalloveandsupport ineverypossible regard.We dedicate thisbooktoourbeloved

ones who with true love and refreshing and comforting words have lead us to think ‘wise and

syntactic’ when we are spiritually and physically down.

Some Basic Properties of English Syntax

1.1 Some Remarks on the Essence of Human Language

One of the crucial functions of any human language, such as English or Korean, is to convey

various kinds of information from the everyday to the highly academic. Language provides a

means for us to describe how to cook, how to remove cherry stains, how to understand English

grammar, or how to provide a convincing argument. We commonly consider certain properties

of language to be key essential features from which the basic study of linguistics starts.

The first well-known property (as emphasized by Saussure 1916) is that there is no moti-

vated relationship between sounds and meanings. This is simply observed in the fact that the same meaning is usually expressed by a different sounding-word in a different language

(think of house, maison, casa). For words such as hotdog, desk, dog, bike, hamburger, cran-

berry, sweetbread, their meanings have nothing to do with their shapes. For example, the word

hotdog has no relationship with a dog which is or feels hot. There is just an arbitrary relation-

ship between the word’s sound and its meaning: this relationship is decided by the convention

of the community the speakers belong to.

The second important feature of language, and one more central to syntax, is that language makes infinite use of finite set of rules or principles, the observation of which led the de-

velopment of generative linguistics in the 20th century (cf. Chomsky 1965). A language is a system for combining its parts in infinitely manyways. One piece ofevidenceof the system can

be observed in word-order restrictions. If a sentence is an arrangement of words and we have

5 words such as man, ball, a, the, and kicked, how many possible combinations can we have

from these five words? More importantly, are all of these combinationsgrammatical sentences?

Mathematically, the number of possible combinations of 5 words is 5! (factorial), equalling

120 instances. But among these 120 possible combinations, only 6 form grammatical English

sentences:1

(1) a. The man kicked a ball.

1Examples like (1e) and (1f) are called ‘topicalization’ sentences in which the topic expression (the ball and the

man), already mentioned and understood in the given context, is placed in the sentence initial position. See Lambrecht

(1994) and references therein.

2 / ENGLISH SYNTAX: AN INTRODUCTION

b. A man kicked the ball.

c. The ball kicked a man.

d. A ball kicked the man.

e. The ball, a man kicked.

f. The man, a ball kicked.

All the other 114 combinations, a few of which are given in (2), are unacceptable to native

speakers of English. We use the notation * to indicate that a hypothesized example is ungram-

matical.

(2) a. *Kicked the man the ball.

b. *Man the ball kicked the.

c. *The man a ball kicked.

It is clear that there are certain rules in English for combining words. These rules constrain

which words can be combined togetheror how they may be ordered, sometimes in groups,with

respect to each other.

Such combinatory rules also play important roles in our understanding of the syntax of an

example like (3a).2 Whatever these rules are, they should give a different status to (3b), an

example which is judged ungrammatical by native speakers even though the intended meaning

of the speaker is relatively clear and understandable.

(3) a. Kim lives in the house Lee sold to her.

b. *Kim lives in the house Lee sold it to her.

The requirementof such combinatoryknowledgealso providesan argument for the assumption

thatwe use just a finite set of resources in producinggrammatical sentences, and thatwe do not

just rely on the meaning of words involved. Consider the examples in (4):

(4) a. *Kim fond of Lee.

b. Kim is fond of Lee.

Even though it is not difficult to understand the meaning of (4a), English has a structural re-

quirement for the verb is as in (4b).

Morenaturalevidenceof the ‘finite setof rulesandprinciples’ ideacanbefoundincognitive,

creativeabilities.Speakersareunconsciousof the ruleswhich theyuse all the time, andhaveno

difficulties inproducingorunderstandingsentenceswhich theyhaveneverheard,seen,or talked

about before. For example, even though we may well not have seen the following sentence

before, we can understand its meaning if we have a linguistic competence in English:

(5) In January 2002, a dull star in an obscure constellation suddenly became 600,000 times

more luminous than our Sun, temporarily making it the brightest star in our galaxy.

A related part of this competence is that a language speaker can produce an infinite number

of grammatical sentences. For example, given the simple sentence (6a), we can make a more

2Starting in Chapter 2, we will see these combinatory rules.

SOME BASIC PROPERTIES OF ENGLISH SYNTAX / 3

complex one like (6b) by adding the adjective tall. To this sentence, we can again add another

adjective handsome as in (6c). We could continue adding adjectives, theoretically enabling us

to generate an infinitive number of sentences:

(6) a. The man kicked the ball.

b. The tall man kicked the ball.

c. The handsome, tall man kicked the ball.

d. The handsome, tall, nice man kicked the ball.

e. . . .

One might argue that since the number of English adjectives could be limited, there would be a

dead-end to this process. However, no one would find themselves lost for another way to keep

the process going (cf. Sag et al. 2003):

(7) a. Some sentences can go on.

b. Some sentences can go on and on.

c. Some sentences can go on and on and on.

d. Some sentences can go on and on and on and on.

e. . . .

To (7a), we add the string and on, producing a longer one (7b). To this resulting sentence (7c),

we once again add and on. We could in principle go on adding without stopping: this is enough

to prove that we could make an infinite number of well-formed English sentences.3

Given these observations, how then can we explain the fact that we can produce or under-

stand an infinite number of grammatical sentences that we have never heard or seen before? It

seems implausible to consider thatwe somehowmemorizeeveryexample,and in factwe donot

(Pullum and Scholz 2002). We know that this could not be true, in particular when we consider

that native speakers can generate an infinite numberof infinitely long sentences, in principle. In

addition, there is limit to the amount of information our brain can keep track of, and it would

be implausible to think that we store an infinite number of sentences and retrieve whenever we

need to do so.

Theseconsiderations imply thata moreappropriatehypothesiswouldbesomething like (8):4

(8) All native speakers have a grammatical competence which can generate an infinite set

of grammatical sentences from a finite set of resources.

Thishypothesishasbeengenerallyacceptedbymost linguists, andhasbeen takenas the subject

matter of syntactic theory. In terms of grammar, this grammatical competence is hypothesized

to characterize a generative grammar, which we then can define as follows (for English, in

this instance): 3Thinkofasimple analogy: what is the longest number?Yet, howmanynumbersdoyouknow?Thesecond question

only makes sense if the answer is 0–9 (ten digits). 4The notion of ‘competence’ is often compared with that of ‘performance’ (Chomsky 1965). Competence refers

to speakers’ internalized knowledge of their language, whereas performance refers to actual usage of this abstract

knowledge of language.

4 / ENGLISH SYNTAX: AN INTRODUCTION

(9) Generative Grammar:

AnEnglishgenerativegrammaris theonethatcangeneratean infinite setofwell-formed

English sentences from a finite set of rules or principles.

The job of syntax is thus to discoverand formulate these rules or principles.5 These rules tell us

how words are put together to form grammatical phrases and sentences. Generative grammar,

or generative syntax, thus aims to define these rules which will characterize all of the sentences

which native speakers will accept as well-formed and grammatical.

1.2 How We Discover Rules

How can we then find out what the generative rules of English syntax are? These rules are

present in the speakers’ minds, but are not consciously accessible; speakers cannot articulate

their content, if asked to do so. Hence we discover the rules indirectly, and of the several meth-

ods for inferring these hidden rules, hypotheses based on the observed data of the given lan-

guage are perhaps the most reliable. These data can come from speakers’ judgments – known

as intuitions – or from collected data sets – often called corpora. Linguistics is in one sense

an empirical science as it places a strong emphasis on investigating the data underlying a phe-

nomenon of study.

The canonical steps for doing empirical research can be summarized as follows:

. Step I: Data collection and observation.

. Step II: Make a hypothesis to cover the first set of data.

. Step III: Check the hypothesiswith more data.

. Step IV: Revise the hypothesis, if necessary. Let us see how these steps work for discovering one of the grammar rules in English, in partic-

ular, the rule for distinguishing count and non-countnouns:6

[Step I: Observing Data] To discover a grammar rule, the first thing we need to do is to

check out grammatical and ungrammatical variants of the expression in question. For example,

let us look at the usage of the word evidence:

(10) Data Set 1: evidence

a. *The professor found some strong evidences of water on Mars.

b. *The professor was hoping for a strong evidence.

5In generative syntax, ‘rules’ refers not to ‘prescriptive rules’ but to ‘descriptive rules’. Prescriptive rules are those

which disfavor or even discredit certain usages; these prescribe forms which are generally in use, as in (i). Meanwhile,

descriptive rules are meant to characterize whatever forms speakers actually use, with any social, moral, or intellectual

judgement.

(i) a. Do not end a sentence with a preposition.

b. Avoid double negatives.

c. Avoid split infinitives.

The spoken performance of most English speakers will often contain examples which violate such prescriptive rules. 6Much of the discussion and data in this section are adopted from Baker, C.L. (1995).

SOME BASIC PROPERTIES OF ENGLISH SYNTAX / 5

c. *The evidence that John found was more helpful than the one that Smith found.

What can you tell from these examples? We can make the following observations:

(11) Observation 1:

a. evidence cannot be used in the plural.

b. evidence cannot be used with the indefinite article a(n).

c. evidence cannot be referred to by the pronoun one.

In any scientific research one example is not enough to draw any conclusion. However, we

can easily find more words that behave like evidence:

(12) Data Set 2: equipment

a. *We had hoped to get three new equipments every month, but we only had enough

money to get an equipment every two weeks.

b. *The equipmentwe bought last year was more expensive than the one we bought this

year.

We thus extend Observation 1 a little bit further:

(13) Observation 2:

a. evidence/equipment cannot be used in the plural.

b. evidence/equipment cannot be used with the indefinite article a(n).

c. evidence/equipment cannot be referred to by the pronoun one.

It is usually necessary to find contrastive examples to understand the range of a given observa-

tion. For instance, words like clue and tool act differently:

(14) Data Set 3: clue

a. The professor gave John some good clues for the question.

b. The student was hoping for a good clue.

c. The clue that John got was more helpful than the one that Smith got.

(15) Data Set 4: tool

a. The teacher gave John some good tools for the purpose.

b. The student was hoping for a tool.

c. The tool that Jones got was more helpful than the one that Smith got.

Unlike equipment and evidence, the nouns clue and tool can be used in the test linguistic con-

texts we set up. We thus can add Observation 3, different from Observation 2:

(16) Observation 3:

a. clue/tool can be used in the plural.

b. clue/tool can be used with the indefinite article a(n).

c. clue/tool can be referred to by the pronoun one.

6 / ENGLISH SYNTAX: AN INTRODUCTION

[Step II: Forming a Hypothesis] From the data and observations we have made so far, can we make any hypothesis about the English grammar rule in question? One hypothesis that we

can make is something like the following:

(17) First Hypothesis:

English has at least two groups of nouns, Group I (count nouns) and Group II (non-

count nouns), diagnosed by tests of plurality, the indefinite article, and the pronoun

one.

[Step III: Checking the Hypothesis] Once we have formed such a hypothesis, we need to check out if it is true of other data, and also see if it can bring other analytical consequences.

A little further thought allows us to find support for the two-way distinction for nouns. For

example, consider the usage of much and many:

(18) a. much evidence, much equipment, information, much furniture, much advice

b. *much clue, *much tool, *much armchair, *much bags

(19) a. *many evidence, *many equipment, *many information, *many furniture, *many ad-

vice

b. many clues, many tools, many suggestions, many armchairs

As observed here, count nouns can occur only with many, whereas non-count nouns can com-

bine with much. Similar support can be found from the usage of little and few:

(20) a. little evidence, little equipment, little advice, little information

b. *little clue, *little tool, *little suggestion, *little armchair

(21) a. *few evidence, *few equipment, *few furniture, *few advice, *few information

b. few clues, few tools, suggestions, few armchairs

The word little can occur with non-count nouns like evidence, yet few cannot. Meanwhile, few

occurs only with count nouns.

Given these data, it appears that the two-way distinction is quite plausible and persuasive.

We can now ask if this distinction into just two groups is really enough for the classification of

nouns. Consider the following examples with cake:

(22) a. The mayor gave John some good cakes.

b. The president was hoping for a good cake.

c. The cake that Jones got was more delicious than the one that Smith got.

Similar behavior can be observed with a noun like beer, too:

(23) a. The bartender gave John some good beers.

b. No one knows how to tell from a good beer to a bad one.

These data show us that cake and beer may be classified as count nouns. However, observe

the following:

SOME BASIC PROPERTIES OF ENGLISH SYNTAX / 7

(24) a. My pastor says I ate too much cake.

b. The students drank too much beer last night.

(25) a. We recommend to eat less cake and pastry.

b. People now drink less beer.

The data mean that cake and beer can also be used as non-count nouns since that can be used

with less or much.

[Step IV: Revising the Hypothesis] The examples in (24) and (25) imply that there is an- othergroupofnouns that canbeusedasbothcountandnon-countnouns.This leadsus to revise

the hypothesis in (17) as following:

(26) Revised Hypothesis:

There are at least three groups of nouns: Group 1 (count nouns), Group 2 (non-count

nouns), and Group 3 (count and non-count).

We can expect that context will determine whether a Group 3 noun is used as count or as non-

count.

As we have observed so far, the process of finding finite grammar rules crucially hinges on

finding data, drawing generalizations, making a hypothesis, and revising this hypothesis with

more data.

1.3 Why Do We Study Syntax and What Is It Good for?

Thereare many reasons for studyingsyntax, fromgeneralhumanisticor behavioralmotivations

to much more specific goals such as those in the following:

. To help us to illustrate the patterns of English more effectively and clearly.

. To enable us to analyze the structure of English sentences in a systematic and explicit way. For example, let us consider how we could use the syntactic notion of head, which refers

to the essential element within a phrase. The following is a short and informal rule for English

subject-verb agreement.7

(27) In English, the main verb agrees with the head element of the subject.

This informal rule can pinpointwhat is wrong with the following two examples:

(28) a. *The recent strike by pilots have cost the country a great deal of money from tourism

and so on.

b. *The average age at which people begin to need eyeglasses vary considerably.

Once we havestructuralknowledgeof suchsentences, it is easy to see that the essential element

of the subject in (28a) is not pilots but strike. This is why the main verb should be has but not

have to observe the basic agreement rule in (27).Meanwhile, in (28b), the head is the nounage,

and thus the main verb vary needs to agree with this singular noun. It would not do to simply

7The notion of ‘subject’ is further discussed in Chapter 3 and that of ‘head’ in Chapter 4.

8 / ENGLISH SYNTAX: AN INTRODUCTION

talk about ‘the noun’ in the subject in the examples in (28), as there is more than one. We need

to be able to talk about the one which gives its character to the phrase, and this is the head. If

the head is singular, so is the whole phrase, and similarly for plural.The head of the subject and

the verb (in the incorrect form) are indicated in (29):

(29) a. *[The recent strike by pilots] have cost the country a great deal of money from

tourism and so on.

b. *[The average age at which people begin to need eyeglasses] vary considerably.

Either example can be made into a grammatical version by pluralizing the head noun of the

subject.

Nowletus lookat someslightlydifferentcases.Canyouexplainwhythefollowingexamples

are unacceptable?

(30) a. *Despite of his limited educational opportunities, Abraham Lincoln became one of

the greatest intellectuals in the world.

b. *A pastor was executed, notwithstanding on many applications in favor of him.

To understand these examples, we first need to recognize that the words despite and notwith-

standing are prepositions, and further that canonical English prepositions combine only with

noun phrases. In (30), these prepositions combine with prepositional phrases again (headed by

of and on respectively), violating this rule.

A more subtle instance can be found in the following:

(31) a. Visiting relatives can be boring.

b. I saw that gas can explode.

These examples each have more than one interpretation. The first one can mean either that the

event of seeing our relatives is a boring activity, or that the relatives visiting us are themselves

boring.The second example can either mean that a specific can containinggas exploded,which

I saw,or it canmean that Iobservedthatgashasapossibilityofexploding.IfoneknowsEnglish

syntax, that is, if one understands the syntactic structure of these English sentences, it is easy to

identify these different meanings.

Here is another example which requires certain syntactic knowledge:

(32) He said that that ‘that’ that that man used was wrong.

This is the kind of sentence one can play with when starting to learn English grammar.Can you

analyze it? What are thedifferencesamong thesefive thats? Structural (or syntactic)knowledge

canbeusedtodiagnosethedifferences.Partofourstudyofsyntaxinvolvesmakingclearexactly

how each word is categorized, and how it contributes to a whole sentence.

When it comes to understanding a rather complex sentence, knowledge of English syntax

can be a great help. Syntactic or structural knowledge helps us to understand simple as well as

complex English sentences in a systematic way. There is no difference in principle between the

kinds of examples we have presented above and (33):

SOME BASIC PROPERTIES OF ENGLISH SYNTAX / 9

(33) The government’s plan, which was elaborated in a document released by the Treasury

yesterday, is the formal outcome of the Government commitment at the Madrid summit

last year to put forward its ideas about integration.

Apart from having more words than the examples we have introduced above, nothing in this

example is particularly complex.

1.4 Exercises

1. For each of the following nouns, decide if it can be used as a count or as a non-count

(mass) noun. In doingso, construct acceptable and unacceptableexamplesusing the tests

(plurality, indefinite article, pronoun one, few/little, many/much tests) we have discussed

in this chapter.

(i) activity, art, cheese, discussion, baggage, luggage, suitcase, religion, sculpture,pa-

per, difficulty, cheese, water, experience,progress, research, life

2. Check or find out whether each of the followingexamples is grammatical or ungrammat-

ical. For each ungrammatical one, provide at least one (informal) reason for its ungram-

maticality, according to your intuitions or ideas.

(i) a. Kim and Sandy is looking for a new bicycle.

b. I have never put the book.

c. The boat floated down the river sank.

d. Chris must liking syntax.

e. There is eager to be fifty students in this class.

f. What is John eager to do?

g. What is John easy to do?

h. Is the boy who holding the plate can see the girl?

i. Which chemical did you mix the hydrogenperoxide and?

j. There seem to be a good feeling developingamong the students.

k. Strings have been pulled many times to get students into that university.

3. Consider the following set of data, focusingon the usage of ‘self’ reflexivepronounsand

personal pronouns:

(i) a. He washed himself.

b. *He washed herself.

c. *He washed myself.

d. *He washed ourselves.

(ii) a. *He washed him. (‘he’ and ‘him’ referring to the same person)

b. He washed me.

c. He washed her.

10 / ENGLISH SYNTAX: AN INTRODUCTION

d. He washed us.

Can you make a generalizationabout the usage of ‘self’ pronounsand personalpronouns

like he here? In answering this question, pay attention to what the pronouns can refer to.

Also consider the following imperative examples:

(iii) a. Wash yourself.

b. Wash yourselves.

c. *Wash myself.

d. *Wash himself.

(iv) a. *Wash you!

b. Wash me!

c. Wash him!

Can you explain why we can use yourself and yourselves but not you as the object of the

imperativeshere?Inanswering this, try toputpronounsin theunrealizedsubjectposition.

4. Read the following passage and identify all the grammatical errors. If you can, discuss

the relevant grammar rules that you can think of.

(i) Grammar is important because it is the language that make it possible for us to

talk about language.Grammarnaming the typesofwordsandwordgroups that

make up sentences not only in English but in any language. As human beings,

we can putting sentences together even as children–we can all do grammar.

Peopleassociate grammar for errorsandcorrectness.Butknowingaboutgram-

maralso helpsusunderstoodwhatmakessentencesand paragraphsclearlyand

interestingandprecise.Grammarcanbepartof literaturediscussions,whenwe

andourstudentsclosely reading thesentences inpoetryandstories.Andknow-

ing about grammar means finding out that all language and all dialect follow

grammatical patterns.8

8Adapted from “Why is Grammar Important?” by The Assembly for the Teaching of English Grammar

From Words to Major Phrase Types

2.1 Introduction

In Chapter 1, we observed that the study of English syntax is the study of rules which generate

an infinite number of grammatical sentences. These rules can be inferred from observations

about the English data. One simple mechanism we recognize is that in forming grammatical

sentences, we start from words, or ‘lexical’ categories. These lexical categories then form a

larger constituent ‘phrase’; and phrases go together to form a ‘clause’. A clause either is, or is

part of, a well-formed sentence:

(1) sentence

��

. . . clause

��

�� . . .

. . . phrase

��

�� . . .

. . . word .. .

Typicallyweuse the term‘clause’ to refer toacompletesentence-likeunit,butwhichmaybe

part of another clause, as a subordinate or adverbial clause. Each of the sentences in (2b)–(2d)

contains more than one clause, in particular, with one clause embedded inside another:

(2) a. The weather is lovely today.

b. I am hoping that [the weather is lovely today].

c. If [the weather is lovely today] then we will go out.

d. The birds are singing because [the weather is lovely today].

This chapter deals with what kind of combinatorial rules English employs in forming these

phrases, clauses, and sentences.

12 / ENGLISH SYNTAX: AN INTRODUCTION

2.2 Lexical Categories

2.2.1 Determining the Lexical Categories

The basic units of syntax are words. The first question is then what kinds of words (also known

as parts of speech, or lexical categories, or grammatical categories) does English have? Are

they simply noun, verb, adjective, adverb, preposition, and maybe a few others? Most of us

would not be able to come up with simple definitions to explain the categorization of words.

For instance,whydowecategorizebook asa noun,but kick asa verb?To make itmoredifficult,

how do we know that virtue is a noun, that without is a preposition, and that well is an adverb

(in one meaning)?

Wordscan be classified into different lexical categoriesaccording to three criteria:meaning, morphological form, and syntactic function. Let us check what each of these criteria means,

and how reliable each one is.

At first glance, it seems that words can be classified dependingon their meaning. For exam- ple, we could have the following rough semantic criteria for N (noun), V (verb), A (adjective),

and Adv (adverb):

(3) a. N: referring to an individualor entity

b. V: referring to an action

c. A: referring to a property

d. Adv: referring to the manner, location, time or frequency of an action

Though such semantic bases can be used for many words, these notional definitions leave a

great number of words unaccounted for. For example, words like sincerity, happiness, and pain

do not simply denote any individualor entity. Absence and loss are even harder cases.

There are also many words whose semantic propertiesdo not match the lexical category that

they belong to. For example, words like assassination and construction may refer to an action

rather than an individual, but they are always nouns. Words like remain, bother, appear, and

exist are verbs, but do not involve any action.

A more reliable approach is to characterize words in terms of their forms and functions. The

‘form-based’criteria look at the morphological form of the word in question:

(4) a. N: + plural morpheme -(e)s

b. N: + possessive ’s

c. V: + past tense -ed or 3rd singular -(e)s

d. V: + 3rd singular -(e)s

e. A: + -er/est (or more/most)

f. A: + -ly (to create an adverb)

According to these frames, where the word in question goes in the place indicated by , nouns

allow the pluralmarkingsuffix -(e)s to be attached,or the possessive ’s, whereasverbscan have

thepast tense -ed or the3rdsingular form -(e)s.Adjectivescan takecomparativeandsuperlative

j-444

Highlight

j-444

Highlight

FROM WORDS TO MAJOR PHRASE TYPES / 13

endings -er or -est, or combinewith the suffix -ly. (5) shows some examplesderived from these

frames:

(5) a. N: trains, actors, rooms, man’s, sister’s, etc.

b. V: devoured, laughed, devours, laughs, etc.

c. A: fuller, fullest, more careful, most careful, etc.

d. Adv: fully, carefully, diligently, clearly, etc.

The morphologicalproperties of each lexical category cannot be overridden;verbs cannot have

pluralmarking,norcan adjectiveshave tense marking. It turnsout, however, that these morpho-

logical criteria are also onlyof limited value. In addition to nouns like informationand furniture

that we presented in Chapter 1, there are many nouns such as love and pain that do not have

a plural form. There are adjectives (such as absent and circular) that do not have comparative

-er or superlative -est forms, due to their meanings. The morphological (form-based) criterion,

though reliable in many cases, is not a necessary and sufficient condition for determining the

type of lexical categories.

The most reliable criterion in judging the lexical categoryof a word is based on its syntactic function or distributional possibilities. Let us try to determine what kind of lexical categories

can occur in the following environments:

(6) a. They have no .

b. They can .

c. They read the book.

d. He treats John very .

e. He walked right the wall.

The categories that can go in the blanks are N, V, A, Adv, and P (preposition). As can be seen

in the data in (7), roughly only one lexical category can appear in each position:

(7) a. They have no TV/car/information/friend.

b. They have no *went/*in/*old/*very/*and.

(8) a. They can sing/run/smile/stay/cry.

b. They can *happy/*down/*door/*very.

(9) a. They read the big/new/interesting/scientific book.

b. They read the *sing/*under/*verybook.

(10) a. He treats John very nicely/badly/kindly.

b. He treats John very *kind/*shame/*under.

(11) a. He walked right into/on the wall.

b. He walked right *very/*happy/*thewall.

As shownhere,onlya restricted set of lexical categoriescanoccur in eachposition;we can then

assign a specific lexical category to these elements:

14 / ENGLISH SYNTAX: AN INTRODUCTION

(12) a. N: TV, car, information, friend, . . .

b. V: sing, run, smile, stay, cry, . . .

c. A: big, new, interesting, scientific, . . .

d. Adv: nicely, badly, kindly, . . .

e. P: in, into, on, under, over, . . .

Inadditionto thesebasic lexicalcategories,doesEnglishhaveother lexicalcategories?There

are a few more. Consider the following syntactic environments:

(13) a. student hits the ball.

b. John sang a song, Mary played the piano.

c. John thinks Bill is honest.

The only words that can occur in the open slot in (13a) are words like the, a, this, that, and so

forth, which are determiner (Det). (13b) provides a frame for conjunctions (Conj) such as and,

but, so, for, or, yet.1 In (13c),we can have the categorywe call ‘complementizer’,here the word

that – we return to these in (17) below.

Can we find any supporting evidence for such lexical categorizations? It is not so difficult to

construct environments in which only these lexical elements appear. Consider the following:

(14) We found out that very lucrative jobs were in jeopardy.

Here we see that only words like the, my, his, some, these, those, and so forth can occur here.

These articles, possessives, quantifiers, and demonstratives all ‘determine’ the referential prop-

erties of jobs here, and for this reason, they are called determiners. One clear piece of evidence

for grouping these elements as the same category comes from the fact that they cannot occupy

the same position at the same time:

(15) a. *[My these jobs] are in jeopardy.

b. *[Some my jobs] are in jeopardy.

c. *[The his jobs] are in jeopardy.

Words like my and these or some and my cannot occur together, indicating that they compete

with each other for just one structural position.

Now consider the following examples:

(16) a. I think learning English is not easy at all.

b. I doubt you can help me in understanding this.

c. I am anxious you to study English grammar hard.

Once again, the possible words that can occur in the specific slot in (17) are strictly limited.

(17) a. I think that [learning English is not all that easy].

1Theseconjunctions are ‘coordinating conjunctions’ different from‘subordinating conjunctions’ like when, if, since,

though, and so forth. The former conjoins two identical phrasal elements whereas the latter introduces a subordinating

clause as in [Though students wanted to study English syntax], the department decided not to open that course this year.

FROM WORDS TO MAJOR PHRASE TYPES / 15

b. I doubt if [you can help me in understanding this].

c. I am anxious for [you to study English grammar hard].

The italicized words here are different from the other lexical categories that we have seen so

far. They introduce a complement clause, marked above by the square brackets, and may be

sensitive to the tense of that clause. A tensed clause is known as a ‘finite’ clause, as opposed to

an infinitive. For example, that and if introduce or combine with a tensed sentence (present or

past tense), whereas for requires an infinitival clause marked with to. We cannot disturb these

relationships:

(18) a. *I think that [learning English to be not all that easy].

b. *I doubt if [you to help me in understanding this].

c. *I am anxious for [you should study English grammar hard].

The term ‘complement’ refers to an obligatory dependent clause or phrase relative to a head.2

The italicized elements in (18) introduce a clausal complement and are consequently known as

‘complementizers’ (abbreviatedas ‘C’).Thereare onlya few complementizers in English (that,

for, if , and whether), but nevertheless they have their own lexical category.

Now consider the following environments:

(19) a. John not leave.

b. John drink beer last night.

c. John leave for Seoul tomorrow?

d. John will study syntax, and Mary , too.

The words that can appear in the blanks are neither main verbs nor adjectives, but rather words

like will, can, shall and must. In English, there is clear evidence that these verbs are different

from main verbs, and we call them auxiliary verbs (Aux). The auxiliary verb appears in front

of the main verb,which is typically in its citation form,which we call the ‘base’ form.Note the

change in the main verb form in (20b) when the negation is added:

(20) a. He left.

b. He did not leave.

There is also one type of to which is auxiliary-like. Consider the examples in (21) and (22):

(21) a. Students wanted to write a letter.

b. Students intended to surprise the teacher.

(22) a. Students objected to the teacher.

b. Students sent letters to the teacher.

It is easy to see that in (22), to is a preposition. But how about the infinitival marker to in (21),

followed by a base verb form? What lexical category does it belong to? Though the detailed

propertiesof auxiliaryverbswill notbediscusseduntilChapter8,we treat the infinitivalmarker

2See Chapter 4 for a fuller discussion of ‘head’ and ‘complement’.

16 / ENGLISH SYNTAX: AN INTRODUCTION

to as an auxiliary verb. For example, we can observe that to behaves like an auxiliary verb

should:

(23) a. It is crucial for John to show an interest.

b. It is crucial that John should show an interest.

(24) a. I know I should [go to the dentist’s], but I just don’twant to.

b. I don’t really want to [go to the dentist’s], but I know I should.

In (23), to and should introduce the clause and determines the tenseness of the clause. In (24),

they both can license the ellipsis of its VP complement.3

Another property to shares with other auxiliary verbs like will is that it requires a base verb

to follow. Most auxiliary verbs are actually finite (tensed) forms which therefore pattern with

that in a finite clause, while the infinitival clause introduced by for is only compatible with to:

(25) a. She thought it was likely [that everyone *to/might/wouldfit into the car].

b. She thought it was easy [for everyone to/*might/*wouldfit into the car].

Finally, there is one remainingcategorywe need to consider, the ‘particles’ (Part), illustrated

in (26):

(26) a. The umpire called off the game.

b. The two boys looked up the word.

Words like off and up here behavedifferently from prepositions, in that they can occur after the

object.

(27) a. The umpire called the game off .

b. The two boys looked the word up.

Such distributional possibilities cannot be observed with true prepositions:

(28) a. The umpire fell off the deck.

b. The two boys looked up the high stairs (from the floor).

(29) a. *The umpire fell the deck off .

b. *The students looked the high stairs up (from the floor).

We can also find differences between particles and prepositions in combination with an object

pronoun:

(30) a. The umpire called it off . (particle)

b. *The umpire called off it.

(31) a. *The umpire fell it off .

b. The umpire fell off it. (preposition)

3See Chapter 8 for detailed discussion on the ellipsis.

FROM WORDS TO MAJOR PHRASE TYPES / 17

The pronoun it can naturally follow the preposition as in (31b), but not the particle in (30b).

Such contrasts between prepositions and particles give us ample reason to introduce another

lexical category Part (particle) which is differentiated from P (preposition). In the next section,

we will see more tests to differentiate these two types of word.

2.3 Grammar with Lexical Categories

As noted in Chapter 1, the main goal of syntax is building a grammar that can generate an

infinite set of well-formed, grammatical English sentences. Let us see what kind of grammar

we can develop now that we have lexical categories. To start off, we will use the examples in

(32):

(32) a. A man kicked the ball.

b. A tall boy threw the ball.

c. The cat chased the long string.

d. The happy student played the piano.

Given only the lexical categories that we have identified so far, we can set up a grammar rule

for sentence (S) like the following:

(33) S → Det (A) N V Det (A) N The rule tells us what S can consist of: it must contain the items mentioned, except that those

which are in parentheses are optional. So this rule characterizes any sentence which consists of

a Det, N, V, Det, and N, in that order, possibly with an A in front of either N. We can represent

the core items in a tree structure as in (34):

(34) S

��

�

��

�

Det N V Det N

.. . . . . . . . . . . . . .

We assume a lexicon, a list of categorized words, to be part of the grammar along with the rule

in (33):

(35) a. Det: a, that, the, this, . . .

b. N: ball, man, piano, string, student, . . .

c. V: kicked, hit, played, sang, threw, . . .

d. A: handsome, happy, kind, long, tall, . . .

By inserting lexical items into the appropriate pre-terminal nodes in the structure, where the

labels above .. . are, we can generategrammatical examples like those (32) as well as those like

the following, not all of which describe a possible real-world situation:

(36) a. That ball hit a student.

18 / ENGLISH SYNTAX: AN INTRODUCTION

b. The piano played a song.

c. The piano kicked a student.

d. That ball sang a student.

Such examples are all syntactically well-formed, even if semantically in some cases, implying

that syntax is rather ‘autonomous’ from semantics. Note that any anomalous example can be

preceded by the statement “Now, here’s something hard to imagine: . . .”.4

Notice that even this simple grammar rule can easily extend to generate an infinite number

of English sentences by allowing iteration of the A:5

(37) S → Det A∗ N V Det A∗ N Theoperatorallowsus to repeat anynumberofAs, therebygeneratingsentences like (38).Note

that the parentheses around ‘A’ in (34) are no longer necessary in this instance, for the Kleene

Star operator means any number including zero.

(38) a. The tall man kicked the ball.

b. The tall, handsome man kicked the ball.

c. The tall, kind, handsome man kicked the ball.

One could even generate a sentence like (39):

(39) The happy, happy, happy, happy, happy, happy man sang a song.

A grammar using only lexical categories can be specified to generate an infinite number of

well-formed English sentences, but it nevertheless misses a great deal of basic properties that

we can observe. For example, this simple grammar cannot capture the agreement facts seen in

examples like the following:

(40) a. The mother of the boy and the girl is arriving soon.

b. The mother of the boy and the girl are arriving soon.

Why do the verbs in these two sentences have different agreement patterns? Our intuitions tell

us that the answer lies in two differentpossibilities for grouping the words:

(41) a. [The mother of [the boy and the girl]] is arriving soon.

b. [The mother of the boy] and [the girl] are arriving soon.

The different groupings shown by the brackets indicate who is arriving: in (41a), the mother,

while in (41b) it is both the mother and the girl. The groupingof words into larger phrasal units

which we call constituents provides the first step in understanding the agreement facts in (41).

Now, consider the following examples:

(42) a. John saw the man with a telescope.

b. I like chocolate cakes and pies.

4See Exercise 9 of this chapter and the discussion of ‘selectional restrictions’ in Chapter 4. 5This iteration operator ∗ is called the ‘Kleene Star Operator’, and is a notation meaning ‘zero to infinitely many’

occurrences. It should not be confused with the * prefixed to a linguistic example, indicating ungrammaticality.

FROM WORDS TO MAJOR PHRASE TYPES / 19

c. We need more intelligent leaders.

These sentences have different meanings depending on how we group the words. For example,

(42a) will have the following two different constituent structures:

(43) a. John saw [the man with a telescope].

(the man had the telescope)

b. John [[saw the man] with a telescope].

(John used the telescope)

Even these very cursory observations indicate that a grammar with only lexical categories is

not adequate for describing syntax. In addition, we need a notion of ‘constituent’, and need to

consider how phrases may be formed, groupingcertain words together.

2.4 Phrasal Categories

In addition to the agreementand ambiguity facts, our intuitionsmay also lead us to hypothesize

constituency.Ifyouwereasked togroupthewords in (44) intophrases,whatconstituentswould

you come up with?

(44) The student enjoyed his English syntax class last semester.

Perhaps most of us would intuitively assign the structure given in (45a), but not those in (45b)

or (45c):

(45) a. [The student] [enjoyed [his English syntax class last semester]].

b. [The] [student enjoyed] [his English syntax class] [last semester].

c. [The student] [[enjoyed his English] [syntax class last semester]].

Whatkindofknowledge, in addition to semanticcoherence, forms thebasis forour intuitionsof

constituency?Are there clear syntactic ordistributional tests whichdemonstrate the appropriate

grouping of words or specific constituencies? There are certain salient syntactic phenomena

which refer directly to constituents or phrases.

Cleft:The cleft construction,which places an emphasized or focused element in the X posi- tion in the pattern ‘It is/was X that . . . ’, can provide us with simple evidence for the existence

of phrasal units. For instance, think abouthow manydifferent cleft sentenceswe can form from

(46).

(46) The policeman met several young students in the park last night.

With no difficulty, we can cleft almost all the constituents we can get from the above sentence:

(47) a. It was [the policeman] that met several young students in the park last night.

b. It was [several young students] that the policeman met in the park last night.

c. It was [in the park] that the policeman met several young students last night.

d. It was [last night] that the policeman met several young students in the park.

20 / ENGLISH SYNTAX: AN INTRODUCTION

However, we cannot cleft sequences that not form constituents:6

(48) a. *It was [the policeman met] that several young students in the park last night.

b. *It was [several young students in] that the policeman met the park last night.

c. *It was [in the park last night] that the policeman met several young students.

ConstituentQuestions and Stand-Alone Test: Further support for the existence of phrasal categoriescanbe foundin theanswers to ‘constituentquestions’,which involvea wh-wordsuch

as who, where, when, how. For any given wh-question, the answer can either be a full sentence

or a fragment. This stand-alone fragment is a constituent:

(49) A: Where did the policeman meet several young students?

B: In the park.

(50) A: Who(m) did the policeman meet in the park?

B: Several young students.

This kindof test can be of use in determiningconstituents;we will illustrate with example (51):

(51) John put old books in the box.

Are either old books in the box or put old books in the box a constituent? Are there smaller

constituents? The wh-question tests can provide some answers:

(52) A: What did you put in your box?

B: Old books.

B: *Old books in the box.

(53) A: Where did you put the book?

B: In the box.

B: *Old books in the box.

(54) A: What did you do?

B: *Put old books.

B: *Put in the box.

B: Put old books in the box.

Overall, the tests here will show that old books and in the box are constituents, and that put old

books in the box is also a (larger) constituent.

The test is also sensitive to the difference between particles and prepositions. Consider the

similar-looking examples in (55), including looked and up:

(55) a. John looked up the inside of the chimney.

b. John looked up the meaning of ‘chanson’.

The examples differ, however, as to whether up forms a constituent with the following material

or not. We can again apply the wh-question test:

6The verb phrase constituent met . . . night here cannot be clefted for independent reasons (see Chapter 12).

FROM WORDS TO MAJOR PHRASE TYPES / 21

(56) A: What did he look up?

B: The inside of the chimney.

B: The meaning of ‘chanson’.

(57) A: Where did he look?

B: Up the inside of the chimney.

B: *Up the meaning of ‘chanson’.

(58) A: Up what did he look?

B: The inside of the chimney.

B: *The meaning of ‘chanson’.

What the contrasts here show is that up forms a constituent with the inside of the chimney in

(55a) whereas it does not with the meaning of ‘chanson’ in (55b).

SubstitutionbyaPronoun:English, like most languages,hasa system for referringback to

individualsor entities mentionedby the use of pronouns.For instance, the man who is standing

by the door in (59a) can be ‘substituted’ by the pronoun he in (59b).

(59) a. What do you think the man who is standing by the door is doing now?

b. What do you think he is doing now?

There are other pronouns such as there, so, as, and which, which also refer back to other con-

stituents.

(60) a. Have you been [to Seoul]? I have never been there.

b. John might [go home], so might Bill.

c. John might [pass the exam], and as might Bill.

d. If John can [speak French fluently] – which we all know he can – we will have no

problems.

A pronouncannot be used to refer back to something that is not a constituent:

(61) a. John asked me to put the clothes in the cupboard, and to annoy him I really stuffed

them there [there=in the cupboard].

b. John asked me to put the clothes in the cupboard, and to annoy him I stuffed them

there [them=the clothes].

c. *John asked me to put the clothes in the cupboard, but I did so [=put the clothes] in

the suitcase.

Both the pronoun there and them refer to a constituent. However, so in (61c), referring to a VP,

refers only part of a constituent put the clothes, making it unacceptable.

Coordination: Another commonly-used test is coordination. Words and phrases can be co-

ordinated by conjunctions, and each conjunct is typically the same kind of constituent as the

other conjuncts:

22 / ENGLISH SYNTAX: AN INTRODUCTION

(62) a. The girls [played in the water] and [swam under the bridge].

b. The children were neither [in their rooms] nor [on the porch].

c. She was [poor] but [quite happy].

d. Many people drink [beer] or [wine].

If we try to coordinate unlike constituents, the results are typically ungrammatical.

(63) a. *Mary waited [for the bus] and [to go home].

b. *Lee went [to the store] and [crazy].

Even though such syntactic constituent tests are limited in certain cases, they are often

adopted in determining the constituent of given expressions.

2.5 Phrase Structure Rules

We haveseen evidencefor theexistenceof phrasal categories.We say thatphrases areprojected

from lexical categories, and hence we have phrases such as NP, VP, PP, and so on. As before,

we use distributional evidence to classify each type, and then specify rules to account for the

distributions we have observed.

2.5.1 NP: Noun Phrase

Consider (64):

(64) [liked ice cream].

The expressions that can occur in the blank position here are once again limited. The kinds of

expression that do appear here include:

(65) Mary, I, you, students, the students, the tall students, the students from Seoul, the stu-

dents who came from Seoul, etc.

If we look into the sub-constituents of these expressions, we can see that each includes at least

an N and forms an NP (noun phrase). This leads us to posit the following rule:7

(66) NP → (Det) A* N (PP/S) This rulecharacterizesa phrase, and isone instanceofa phrasestructure rule (PS rule).The rule

indicates that an NP can consist of an optional Det, any number of optionalA, an obligatoryN,

and then an optional PP or a modifying S.8 The slash indicates different options for the same

place in the linear order. These options in the NP rule can be represented in a tree structure:

7The relative clause who came from Seoul is kind of modifying sentence (S). See Chapter 11. 8To license an example like the very tall man, we need to make A* as AP*. For simplicity, we just use the former in

the rule.

FROM WORDS TO MAJOR PHRASE TYPES / 23

(67) NP

��

�

��

(Det) A* N (PP/S)

. . . . . . . . . . . .

Once we insert appropriate expressions into the pre-terminal nodes, we will have well-formed

NPs; and the rule will not generate the following NPs:

(68) *the whistle tune, *the easily student, *the my dog, . . .

One important point is that as only N is obligatory in NP, a single noun such as Mary, you, or

students can constitute an NP by itself. Hence the subject of the sentence She sings will be an

NP, even though that NP consists only of a pronoun.

2.5.2 VP: Verb Phrase

Just as N projects an NP, V projects a VP. A simple test environment for VP is given in (69).

(69) The student .

(70) lists just a few of the possible phrases that can occur in the underlined position.

(70) snored, ran, sang, loved music, walked the dog through the park, lifted 50 pounds,

thoughtTom is honest, warned us that storms were coming, etc.

These phrases all have a V as their head – as projectionsof V, they form VP. VP can be charac-

terized by the rule in (71), to a first level of analysis:

(71) VP → V (NP) (PP/S) This simple VP rule says that a VP can consist of an obligatory V followed by an optional NP

and then any number of PPs or an S. The rule thus does not generate ill-formed VPs such as

these:

(72) *leave the meeting sing, *the leave meeting, *leave on time the meeting, . . .

We can also observe that the presence of a VP is essential in forming a grammatical S, and the

VP must be finite (present or past tense). Consider the following examples:

(73) a. The monkey wants to leave the meeting.

b. *The monkey eager to leave the meeting.

(74) a. The monkeys approvedof their leader.

b. *The monkeys proud of their leader.

(75) a. The men practice medicine.

b. *The men doctors of medicine.

These examples show us that an English well-formed sentence consists of an NP and a (finite)

VP, which can be represented as a PS rule:

24 / ENGLISH SYNTAX: AN INTRODUCTION

(76) S → NP VP We thus have the rule that English sentences are composed of an NP and a VP, the precise

structural counterpart of the traditional ideas of a sentence being ‘a subject and predicate’ or ‘a

noun and a verb’.

One more aspect to the structure of VP involves the presence of auxiliary verbs. Think of

continuations for the fragments in (77):

(77) a. The students .

b. The students want .

Forexample, thephrases in (78a)and(78b)canoccur in (77a)whereas those in (78c)canappear

in (77b).

(78) a. run, feel happy, study English syntax, . . .

b. can run, will feel happy, must study English syntax, . . .

c. to run, to feel happy, to study English syntax, . . .

We have seen that the expressions in (78a) all form VPs, but how about those in (78b) and

(78c)? These are also VPs, which happen to contain more than one V. In fact, the parts after

the auxiliary verbs in (78b) and (78c) are themselves regular VPs. In the full grammar we

will consider to and can and so on as auxiliary verbs, with a feature specification [AUX +] to

distinguish them from regularverbs. Thenall auxiliaryverbsare simply introducedby a second

VP rule:9

(79) VP → V[AUX +] VP One more important VP structure involves the VP modified by an adverb or a PP:

(80) a. John [[read the book] loudly].

b. The teacher [[met his students] in the class].

In such examples, the adverb loudly and the PP in the class are modifying the precedingVP. To

form such VPs, we need the PS rule in (81):

(81) VP → VP Adv/PP This rule, together with (76) will allow the following structure for (80b):10

(82) S

��

�� VP

��

The teacher VP

��

met his students in the class

9The detailed discussion of English auxiliary verbs is found in Chapter 8. 10We use a triangle when we need not represent the internal structure of a phrase.

FROM WORDS TO MAJOR PHRASE TYPES / 25

2.5.3 AP: Adjective Phrase

The most common environment where an adjective phrase (AP) occurs is in ‘linking verb’

constructions as in (83):

(83) John feels .

Expressions like those in (84) can occur in the blank space here:

(84) happy, uncomfortable, terrified, sad, proud of her, proud to be his student, proud that he

passed the exam, etc.

Since these all include an adjective (A), we can safely conclude that they all form an AP. Look-

ing into the constituents of these, we can formulate the following simple PS rule for the AP:

(85) AP → A (PP/VP/S) This simple AP rule can easily explain the following:

(86) a. John sounded happy/uncomfortable/terrified/proudof her.

b. John felt proud that his son won the game.

c. John sounded *happily/*very/*thestudent/*in the park.

The verb sounded requires an AP to be followed, but in (86c) we have no AP. In addition,

observe the contrasts in the following examples:

(87) a. *The monkeys seem [want to leave the meeting].

b. The monkeys seem [eager to leave the meeting].

(88) a. *John seems [know about the bananas].

b. John seems [certain about the bananas].

These examples tell us that the verb seem combines with an AP, but not with a VP.

2.5.4 AdvP: Adverb Phrase

Another phrasal syntactic category is adverb phrase (AdvP), as exemplified in (89).

(89) soundly, well, clearly, extremely, carefully, very soundly, almost certainly, very slowly,

etc.

These phrases are often used to modify verbs, adjectives, and adverbs themselves, and they can

all occur in principle in the following environments:

(90) a. He behaved very .

b. They worded the sentence very .

c. He treated her very .

Phrases other than an AdvP cannot appear here. For example, an NP the student or AP happy

cannotoccur in these syntactic positions. Based on what we have seen so far, the AdvPrule can

be given as follows:

(91) AdvP → (AdvP) Adv

26 / ENGLISH SYNTAX: AN INTRODUCTION

2.5.5 PP: PrepositionPhrase

Another major phrasal category is preposition phrase (PP). PPs like those in (92), generally

consist of a preposition plus an NP.

(92) fromSeoul, in the box, in thehotel, into the soup,with Johnandhisdog,under the table,

etc.

These PPs can appear in a wide range of environments:

(93) a. John came from Seoul.

b. They put the book in the box.

c. They stayed in the hotel.

d. The fly fell into the soup.

One clear case in which only a PP can appear is the following:

(94) The squirrel ran straight/right .

The intensifiers straight and right can occur neither with an AP nor with an AdvP:

(95) a. The squirrel ran straight/right up the tree.

b. *The squirrel is straight/right angry.

c. *The squirrel ran straight/right quickly.

From the examples in (92), we can deduce the following general rule for forming a PP:11

(96) PP → P NP The rule states that a PP consists of a P followed by an NP. We cannot construct unacceptable

PPs like the following:

(97) *in angry, *into sing a song, *with happily, . . .

2.6 Grammar with Phrases

We have seen earlier that the grammar with just lexical categories is not adequate for captur-

ing the basic properties of the language. How much further do we get with a grammar which

includes phrases? A set of PS rules, some of which we have already seen, is given in (98).12

(98) a. S → NP VP b. NP → (Det) A* N (PP/S) c. VP → V (NP) (PP/S/VP) d. AP → A (PP/S) e. AdvP → (AdvP) Adv

11Depending on how we treat the qualifier straight and right, we may need to extend this PP rule as “PP → (Qual) P NP” so that the P may be preceded by an optional qualifier like right or straight. However, this means that we need to

introduce another lexical category ‘Qual’. Another direction is to take the qualifier categorically as an adverb carrying

the feature QUAL while allowing only such adverbs to modify a PP. 12The grammar consisting of such form of rules is often called a ‘Context Free Grammar’, as each rule may apply

any time its environment is satisfied, regardless of any other contextual restrictions.

FROM WORDS TO MAJOR PHRASE TYPES / 27

f. PP → P NP The rules say that a sentence is the combination of NP and VP, and an NP can be made up of

a Det, any number of As, an obligatory N, and any number of PPs, and so on.. Of the possible

tree structures that these rules can generate, the following is one example:

(99) S

��

�� VP

��

Det A N V NP

��

�� PP

��

. . . . . . . . . . . . Det N P NP

��

. . . . . . . . . Det N

.. . . . .

With the structural possibilities shown here, let us assume that we have the following lexical

entries:

(100) a. Det: a, an, this, that, any, some, which, his, her, no, etc.

b. A: handsome, tall, fat, large, dirty, big, yellow, etc.

c. N: book, ball, hat, friend, dog, cat, man, woman, John, etc.

d. V: kicked, chased, sang, met, believed, thinks, imagines, assumes etc.

Inserting these elements in the appropriatepre-terminalnodes (the places with dots) in (99),we

are able to generate various sentences like those in (101):13

(101) a. This handsome man chased a dog.

b. A man kicked that ball.

c. That tall woman chased a cat.

d. His friend kicked a ball.

Thereareseveralways togeneratean infinitenumberof sentenceswith thiskindofgrammar.

As we have seen before,one simple way is to repeat a category (e.g., adjective) infinitely.There

are also other ways of generating an infinite number of grammatical sentences. Look at the

following two PS rules from (98) again:

(102) a. S → NP VP 13The grammar still generates semantically anomalous examples like#The desk believed a man or#A man sang her

hat. For such semantically distorted examples, we need to refer to the notion of ‘selectional restrictions’ (see Chapter

7).

28 / ENGLISH SYNTAX: AN INTRODUCTION

b. VP → V S Asweshowin the followingtree structure,we can‘recursively’apply the tworules, in the sense

that one can feed the other, and then vice versa:

(103) S

��

NP VP

��

N V S

��

John believes NP VP

��

N V S

��

Mary thinks Tom is honest

It is not difficult to expand this sentence by applying the two rules again and again:

(104) a. Bill claims John believes Mary thinks Tom is honest.

b. Jane imagines Bill claims John believes Mary thinks Tom is honest.

There is no limit to this kind of recursive application of PS rules: it proves that this kind of

grammar can generate an infinite number of grammatical sentences.

One structure which can be also recursive involves sentences involving auxiliary verbs. As

noted before in (79), an auxiliary verb forms a larger VP after combining with a VP:

(105) S

��

NP VP

��

N V[AUX +] VP

��

They will V NP

study English syntax

This means that we will also have a recursive structure like the following:14

14Due to the limited number of auxiliary verbs, and restrictions on their cooccurrence, the maximum number of

auxiliaries in a single English clause is 3. See Chapter 8.

FROM WORDS TO MAJOR PHRASE TYPES / 29

(106) S

��

NP VP

��

N V [AUX +] VP

��

They will V[AUX +] VP

��

have V[AUX +] VP

��

been studying English syntax

Another important property that PS rules bring us is the ability to make reference to hierar- chical structures within given sentences, where parts are assembled into sub-structures of the

whole.Onemerit of suchhierarchical structuralproperties is that theyenableus to represent the

structural ambiguities of sentences we have seen earlier in (42). Let us look at more examples:

(107) a. The little boy hit the child with a toy.

b. Chocolate cakes and pies are my favorite desserts.

Depending on which PS rules we apply, for the sentences here, we will have different hierar-

chical tree structures. Consider the possible partial structures of (107a) which the grammar can

generate:15

(108) a. VP

��

� ��

��

� ��

�� PP

��

V NP

��

� with the toy

hit the child

b. VP

��

V NP

��

hit Det N PP

��

the child with the toy

15One can draw a slight different structure for (108b) with the introduction of the rule ‘NP → NP PP’.

30 / ENGLISH SYNTAX: AN INTRODUCTION

The structures clearly indicate what with the toy modifies: in (108a), it modifies the whole VP

phrase whereas (108b) modifies just the noun child. The structural differences induced by the

PS rules directly represent these meaning differences.

In addition, we can easily show why examples like the following are not grammatical:

(109) a. *The children were in their rooms or happily.

b. *Lee went to the store and crazy.

We have noted that English allows two alike categories to be coordinated. This can be written

as a PS rule, for phrasal conjunction, where XP is any phrase in the grammar.16

(110) XP → XP+ Conj XP The ‘coordination’ rule says two identical XP categories can be coordinatedand form the same

category XP. Applying this PS rule, we will then allow (111a) but not (111b):

(111) a. PP

��

� ��

�� Conj PP

��

in their rooms or on the porch

b. *PP

��

�� Conj AP

��

to the store and crazy

Unlike categories such as PP and AP may not be coordinated.

The PS rules further allow us to represent the difference between phrasal verb (e.g, call off)

constructions and prepositional verb constructions (e.g. rely on), some of whose properties we

have seen earlier. Consider a representative pair of contrasting examples:

(112) a. John suddenly got off the bus.

b. John suddenly put off the customers.

By altering the position of off , we can determine that off in (112a) is a preposition whereas off

in (112b) is a particle:

(113) a. *John suddenly got the bus off.

b. John suddenly put the customers off.

This in turn means that off in (112a) is a preposition, forming a PP with the following NP,

whereasoff in (112b)isaparticle that formsnoconstituentwith the followingNP thecustomers.

This in turn means that in addition to the PP formation rule, the grammarneeds to introduce the

following VP rules: 16Different from the Kleene star operator ∗, the plus operator + here means the XP here occurs at least once.

FROM WORDS TO MAJOR PHRASE TYPES / 31

(114) a. VP → V Part NP b. VP → V NP Part c. VP → V PP

Equipped with these rules, we then can easily represent the differences of these grammatical

sentences (112a), (112b) and (113b) in tree structures:

(115) a. VP

��

V PP

��

get P NP

��

�

off the bus

b. VP

��

V Part NP

!!! !!!

! """

""" "

put off the customers

c. VP

��

V NP

!!! !!!

! """

""" " Part

put the customers off

As represented here, the particle does not form a constituent with the following or preceding

NP whereas the preposition does form a constituent with it.

In summary, we have seen that a grammar with lexical categories can not only generate

an infinite number of grammatical English sentences, but also account for some fundamental

properties, such as agreement and constituency.17 This motivates the introduction of phrases

into the grammar.

2.7 Exercises

1. Determine the lexical category of the italicized words in the following. In doing so, use

the three criteria (morphological, semantic, and syntactic) to provide the evidence for

your answer and state which one is the most reliable one.

17In this chapter, we have not discussed the treatment of agreement with PS rules. Chapter 6 discusses the subject-

verb agreement in detail.

32 / ENGLISH SYNTAX: AN INTRODUCTION

(i) a. His second book came out earlier this year and became an instant best-seller.

b. When you book something such as a hotel room, you arrange to have it.

c. Price quotes on selected categories will be sent out upon request.

d. No doubt that he was forced to leave his family against his will.

e. He intended to will the large amountof money to Frank.

f. Jane stood aside to let her pass.

g. He has a rail pass that’s right for you.

h. It is important for us to spend time with children.

i. He was arrested for being drunk.

j. I think that person we met last week is insane.

k. We believe that he is quite reasonable.

l. I forgot to return the book that I borrowed from the teacher.

2. Consider the followingdata carefullyand describe the similarities anddifferencesamong

that, for, if and whether. In so doing, first compare that and for and then see how these

two are different from if and whether.

(i) a. I am anxious that you should arrive on time.

b. *I am anxious that you to arrive on time.

(ii) a. I am anxious for you to arrive on time.

b. *I am anxious for you should arrive on time.

(iii) a. I don’t know whether/if I should agree.

b. I wonder whether/if you’d be kind enough to give us information.

(vi) a. If students study hard, teachers will be happy.

b. Whether they say it or not, most teachers expect their students to study hard.

3. Check if the italic parts form a constituentor not, using at least two constituenthood tests

(e.g., cleft, pronoun substitution, stand-alone, etc.). Also provide tree structures for each

of the following examples.

(i) a. John bought a book on the table.

b. John put a book on the table.

(ii) a. She turned down the side street

b. She turned down his offer.

(iii) a. He looked at a book about swimming.

b. He talked to a girl about swimming.

c. He talked with a girl about swimming.

(iv) a. I don’t know the people present.

b. John called the president a fool.

4. Explain why the examples in (i) are ungrammatical. As part of the exercise, first draw

structure for each example and try to determine the applicability of the the PS rules such

as the coordination rule in (110), presented earlier in this chapter.

FROM WORDS TO MAJOR PHRASE TYPES / 33

(i) a. *Could you turn off the fire and on the light?

b. *A nuclear explosion would wipe out plant life and out animal life.

c. *He ran down the road and down the President.

d. *I know the truth and that you are innocent.

e. *Lee went to the store and crazy.

5. Provide a tree structure for each of the following sentences and suggest what kind of VP

rules are necessary. In doing so, pay attention to the position of modifiers like proudly, by

the park, and so forth.

(i) a. John refused the offer proudly.

b. I consider Telma the best candidate.

c. I saw him leaving the main building.

d. He took Masako to the school by the park.

e. John sang a song and danced to the music.

f. John wants to study linguistics in near future.

g. They told Angelica to arrive early for the award.

h. That Louise had abandoned the project surprised everyone.

6. Each of the following sentences is structurally ambiguous– it has at least two structures.

Represent the structural ambiguities by providingdifferent tree structures for each string

of words.18

(i) a. I know you like the back of my hand.

b. I forgothow good beer tastes.

c. I saw that gas can explode.

d. Time flies like an arrow.

e. I need to have that report on our webpage by tomorrow.

7. Provide tree structures for each of the following sentences and see if there are any new

PS rules that we need to add, to supplement those we covered in this chapter. If there are

any places you cannot assign structures, please use triangles.

(i) Different languages may have different lexical categories, or they might as-

sociate different properties to the same one. For example, Spanish uses ad-

jectives almost interchangeably as nouns while English cannot. Japanese has

twoclassesofadjectiveswhereasEnglishhasone;Korean, Japanese,andChi-

nese have measure words while European languageshave nothing resembling

them; many languages don’t have a distinction between adjectives and ad-

verbs, or adjectives and nouns, etc. Many linguists argue that the formal dis-

tinctions between parts of speech must be made within the framework of a

specific language or language family, and should not be carried over to other

18For i-e, to help tease out the ambiguity, consider related potential interpretations like Please put that book on my

desk. and That report on our webpage alleges that it does not function well..

34 / ENGLISH SYNTAX: AN INTRODUCTION

languages or language families.19

19Adapted from http://en.wikipedia.org/wiki/Part_of_speech

Syntactic Forms, GrammaticalFunctions, and

Semantic Roles

3.1 Introduction

In the previous chapter, we analyzed English sentences with PS rules. For example, the PS

rule ‘S → NP VP’ represents the basic rule for forming well-formed English sentences. As we have seen, such PS rules allow us to represent the constituent structure of a given sentence in

terms of lexical and phrasal syntactic categories. There are other dimensions of the analysis

of sentences; one such way is using the notion of grammatical functions such as subject and

object:

(1) a. Syntactic categories: N, A, V, P, NP, VP, AP, . . .

b. Grammatical functions: SUBJ (Subject), OBJ (Object), MOD (Modifier), PRED

(Predicate), . . .

The notions such as SUBJ, OBJ and PRED represent the grammatical functioneach constituent

plays in the given sentence. For example, consider one simple sentence:

(2) The monkey scratched a boy on Monday.

This sentence can be structurally represented in terms of either syntactic categories or gram-

matical functions as in the following:

(3) a. [S [NP The monkey] [VP scratched [NP a boy] [PP on Monday]]].

b. [S [SUBJ The monkey] [PRED scratched [OBJ a boy] [MOD on Monday]]].

As shown here, the monkey is an NP in terms of its syntactic form, but is the SUBJ (subject) in

terms of its grammatical function. The NP a boy is the OBJ (object) while the verb scratched

functionsas a predicator.More importantly,we consider the entireVP tobe a PRED (predicate)

which describes a property of the subject. On Monday is a PP in terms of its syntactic category,

but serves as a MOD (modifier) here.

We also can represent sentence structure in terms of semantic roles. Constituents can be

considered in terms of conceptual notions of semantic roles such as agent, patient, location,

36 / ENGLISH SYNTAX: AN INTRODUCTION

instrument, and the like. A semantic role denotes the underlying relationship that a participant

has with the relation of the clause, expressed by the main verb. Consider the semantic roles of

the NPs in the following two sentences:1

(4) a. John tagged the monkey in the forest.

b. The monkey was tagged in the forest by John.

Both of these sentences describe a situation in which someone named John tagged a particular

monkey. In this situation, John is the agent and the monkey is the patient of the tagging event.

This in turn means that in both cases, John has the semantic role of agent (agt), whereas the

monkey has the semantic role of patient (pat), even though their grammatical functions are

different. We thus can assign the following semantic roles to each constituent of the examples:

(5) a. [[agt John] [pred tagged [pat the monkey] [loc in the forest]]].

b. [[pat The monkey] [pred was tagged [loc in the wood] [agt by John]]].

As noted here, in addition to agent and patient, we have predicate (pred) and locative (loc)

which also express the semantic role that each phrase performs in the described situation.

Throughout this book we will see that English grammar refers to these three different levels

of information (syntactic category, grammatical function, and semantic role), and they interact

with each other. For now, it may appear that they are equivalent classifications: for example, an

agent is a subject and an NP, and a patient is an object and an NP. However, as we get further

into the details of the grammar, we will see many ways in which the three levels are not simply

co-extensive.

3.2 Grammatical Functions

How can we identify the grammatical function of a given constituent? Several tests can be used

to determine grammatical function, as we show here.

3.2.1 Subjects

Consider the following pair of examples:

(6) a. [The cat] [devoured [the rat]].

b. [The rat] [devoured [the cat]].

These two sentences have exactly the same words and have the same predicator devoured. Yet they are significantly different in meaning, and the main difference comes from what serves as

subject or object with respect to the predicator. In (6a), the subject is the cat, whereas in (6b)

it is the rat, and the object is the rat in (6a) but the cat in (6b).

Themostcommonstructurefora sentenceseems tobeone inwhich theNPsubject is theone

who performsthe action denotedby the verb (thushaving the semantic role of agent).However,

this is not always so:

1Semantic roles are also often called ‘thematic roles’ or ‘θ-roles (“theta roles”) in generative grammar (Chomsky

1982, 1986).

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 37

(7) a. My brother wears a green overcoat.

b. This car stinks.

c. It rains.

d. The committee disliked her proposal.

Wearing a green overcoat, stinking, raining, or disliking one’s proposal are not agentive activi-

ties; they indicate stative descriptions or situations. Such facts show that we cannot rely on the

semantic roles of agent for determining subjecthood.

More reliable tests for subjecthood come from syntactic tests such as agreement, tag ques-

tions, and subject-auxiliary inversion.

Agreement: The main verb of a sentence agrees with the subject in English:

(8) a. She never writes/*write home.

b. These books *saddens/sadden me.

c. Our neighbor takes/*take his children to school in his car.

As we noted in Chapter 1, simply being closer to the main verb does not entail subjecthood:

(9) a. The book, including all the chapters in the first section, is/*are very interesting.

b. The effectiveness of teaching and learning *depend/dependson several factors.

c. The tornadoes that tear through this county every spring *is/are more than just a

nuisance.

The subject in each example is book, effectiveness, and tornadoes respectively, even though

there are nounscloser to the main verb. This indicates that it is not simply the linear position of

the NP that determines agreement; rather, agreement shows us what the subject of the sentence

is.

Tag questions: A tag question, a short question tagged onto the end of an utterance, is also a

reliable subjecthood test:

(10) a. The lady singing with a boy is a genius, isn’t she/*isn’t he?

b. With their teacher, the kids have arrived safely, haven’t they/ *hasn’t he?

The pronoun in the tag question agrees with the subject in person, number, and gender – it

refers back to the subject, but not necessarily to the closest NP, nor to the most topical one. The

pronoun she in (10a) shows us that lady is the head of the subject NP in that example, and they

in (10b) leads us to assign the same property to kids. The generalization is that a tag question

must contain a pronounwhich identifies the subject of the clause to which the tag is attached.

Subject-auxiliary inversion: In forming questions and other sentence-types, English has

subject-auxiliary inversion, which applies only to the subject.

(11) a. This teacher is a genius.

b. The kids have arrived safely.

38 / ENGLISH SYNTAX: AN INTRODUCTION

c. It could be more detrimental.

(12) a. Is this teacher a genius?

b. Have the kids arrived safely?

c. Could it be more detrimental?

As seen here, the formation of ‘Yes/No questions’ such as these involves the first tensed auxil-

iaryverbmovingacross the subject:more formally, theauxiliaryverb is invertedwith respect to

the subject, hence the term‘subject-auxiliary inversion’.This isnotpossiblewitha non-subject:

(13) a. The kids in our class have arrived safely.

b. *Have in our class the kids arrived safely?

Subject-auxiliary inversion providesanother reliable subjecthood test.

3.2.2 Direct and Indirect Objects

A direct object (DO) is canonically an NP, undergoing the process denoted by the verb:

(14) a. His girlfriend bought this computer.

b. That silly fool broke the teapot.

However, this is not a solid generalization. The objects (OBJ) in (15a) and (15b) are not really

affected by the action. In (15a) the dog is experiencing something, and in (15b) the thunder is

somehow causing some feeling in the dog:

(15) a. Thunder frightens [the dog].

b. The dog fears [thunder].

Once again, the data show us that we cannot identify the object based on semantic roles. A

much more firm criterion is the syntactic construction of passivization, in which a notional direct object appears as subject. The sentences in (16) can be turned into passive sentences in

(17):

(16) a. His girlfriend bought this computer for him.

b. The child broke the teapot by accident.

(17) a. This computer was bought for him by his girlfriend.

b. The teapot was broken by the child by accident.

What we can notice here is that the objects in (16) are ‘promoted’ to subject in the passive

sentences. The test comes from the fact that non-objectNPs cannot be promoted to the subject:

(18) a. This item belongs to the student.

b. *The student is belonged to by this item.

(19) a. He remained a good friend to me.

b. *A good friend is remained to me (by him).

The objects that undergopassivization are direct objects, distinct from indirect objects.

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 39

An indirect object (IO) is one which precedes a direct object (DO), as in (20); IOs are NPs

and have the semantic roles of goal, recipient, or benefactive:

(20) a. I threw [the puppy] [the ball]. (IO = goal)

b. John gave [the boys] [the CDs]. (IO = recipient)

c. My mother baked [me] [a birthday cake]. (IO = benefactive)

In examples like (20), passive has the property of making the IO into the subject.

(21) a. The boys were given the CDs (by John).

b. She was sent a review copy of the book (by the publisher).

Note that sentences with the IO-DO order are different from those where the semantic role

of the IO is expressed as an oblique PP, following the DO (such a process is sometimes called

dative alteration):

(22) a. John gave the CDs to the boys.

b. The publisher sent a review copy of the book to her.

c. My mother baked a cake for me.

In this kind of example, it is once again the DO which can be passivized, giving examples like

the following:

(23) a. The CDs were given to the boys by John.

b. A review copy of the book was sent to her by the publisher.

c. This nice cake was baked for me by my mother.

3.2.3 PredicativeComplements

There also are NPs which follow a verb but which do not behave as DOs or IOs. Consider the

following sentences:

(24) a. This is my ultimate goal.

b. Michelle became an architect.

(25) a. They elected Graham chairman.

b. I consider Andrew the best writer

The italicized elements here are traditionally called ‘predicative complements’ in the sense that

they function as the predicate of the subject or the object. However, even though they are NPs,

they do not passivize:

(26) a. *Chairman was elected Graham.

b. *The best writer was considered Andrew.

The difference between objects and predicative complements can also be seen in the following

contrast:

(27) a. John made Kim a great doll.

b. John made Kim a great doctor.

40 / ENGLISH SYNTAX: AN INTRODUCTION

Even though the italicized expressions here are both NPs, they function differently. The NP a

great doll in (27a) is the direct object, as in John made a great doll for Kim, whereas the NP

a great doctor in (27b) cannot be an object: it serves as the predicate of the object Kim. If we

think of part of the meaning informally,only in the second example would we say that the final

NP describes the NP Kim.

(28) a. (27)a: Kim �= a great doll b. (27)b: Kim = a great doctor

In addition, phrases other than NPs can serve as predicative complements:

(29) a. The situation became terrible.

b. This map is what he wants.

c. The message was that you should come on time.

(30) a. I made Kim angry.

b. I consider him immoral.

c. I regard Andrew as the best writer.

d. They spoil their kids rotten.

The italicized complements function to predicate a property of the subject in (29) and of the

object in (30).

3.2.4 Oblique Complements

Consider now the italicized expressions in (31):

(31) a. John put books in the box.

b. John talked to Bill about the exam.

c. She reminded him of the last time they met.

d. They would inform Mary of any success they have made.

These italicized expressions are neither objects nor predicative complements. Since their pres-

ence isobligatory,forsyntacticwell-formedness, theyarecalledobliquecomplements.Roughly

speaking, ‘oblique’ contrasts with the ‘direct’ functions of subject and object, and oblique

phrases are typically expressed as PPs in English.

As we have seen before, most ditransitive verbs can also take oblique complements:

(32) a. John gave a book to the student.

b. John bought a book for the student.

The PPs here, which cannot be objects since they are not NPs, also do not serve as predicate of

the subject or object – they relate directly to the verb, as oblique complements.

3.2.5 Modifiers

The functions of DO, IO, predicative complement, and oblique complement all have one com-

mon property: they are all selected by the verb, and we view them as being present to ‘comple-

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 41

ment’ the verb to form a legitimate VP. Hence, these are called complements (COMPS), and typically they cannot be omitted.

Unlike these COMPS, there are expressions which do not complement the predicate in the

same way, and which are truly optional:

(33) a. The bus stopped suddenly.

b. Shakespeare wrote his plays a long time ago.

c. They went to the theater in London.

d. He failed chemistry because he can’t understand it.

The italicized expressions here are all optional and function as modifiers (also called ‘adjuncts’

or ‘adverbial’ expressions). These modifiers specify the manner, location, time, or reason,

among many other properties, of the situations expressed by the given sentences – informally,

they are the (how, when, where, and why) phrases.

One additional characteristic of modifiers is that they can be stacked up, whereas comple-

ments cannot.

(34) a. *John gave Tom [a book] [a record].

b. I saw this film [several times] [last year] [during the summer].

As shown here, temporal adjuncts like several times and last year can be repeated, whereas the

two complements a book and a record in (34a) cannot. Of course, temporal adjuncts do not

become the subject of a passive sentence, suggesting that they cannot serve as objects.

(35) a. My uncle visited today.

b. *Today was visited by my uncle.

3.3 Form and Function Together

We now can analyse each sentence in terms of grammatical functions as well as the structural

constituents. Let us see how we can analyze a simple sentence along these two dimensions:

(36) S

��

#### ####

#### ##

NP: SUBJ

��

VP: PRED

��

Det A N V NP: OBJ

��

The little cat devoured Det N

a mouse

As represented here, the expressions the little cat and a mouse are both NPs, but they have

different grammatical functions, SUBJ and OBJ. The VP as a whole functions as the predicate

42 / ENGLISH SYNTAX: AN INTRODUCTION

of the sentence, describing the property of the subject.2

Assigning grammatical functions within complex sentences is no different:

(37) S

��

NP: SUBJ VP: PRED

��

N V CP: OBJ

��

John believes C S

��

that NP: SUBJ

$$ $$ $

%% %%

% VP: PRED

��

the cat V NP: OBJ

devoured a mouse

Each clause has its own SUBJ and PRED: John is the subject of the higher clause, whereas the

cat is the subject of the lower clause. We also can notice that there are two OBJs: the CP is the

object of the higher clause whereas the NP is that of the lower clause.3

Every category in a given sentence has a grammatical function, but there is no one-to-one

mapping between category such as NP or CP and its possible grammatical function(s). The

following data set shows us how different phrase types can function as SUBJ or OBJ:4

(38) a. [NP The termites] destroyed the sand castle.

b. [VP Being honest] is not an easy task.

c. [CP That John passed] surprised her.

d. [VP To finish this work on time] is almost unexpected.

e. [PP Under the bed] is a safe place to hide.

(39) a. I sent [NP a surprise present] to John.

b. They wondered [S what she did yesterday].

c. They believed [ CP that everybodywould pass the test].

d. Are you going on holiday before or after Easter? I prefer [ PP after Easter].

2A word of caution is in order here. We should not confuse the functional term ‘adverbial’ with the category term

‘adverb’. The term ‘adverbial’ is used interchangeably with ‘adjunct’ or ‘modifier’, whereas ‘adverb’ only designates a

part of speech. In English almost any kind of phrasal category can function as an adverbial element, but only a limited

set of words are adverbs. 3The phrase CP is headed by the complementizer that. 4In due course, we will discuss in detail the properties of each phrase type here.

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 43

As the examples in (38) and (39) show, not only NPs but also infinitival VPs and CPs can also

function as SUBJ and OBJ. The following tag-question, subject-verb agreement, and subject-

hood tests show us that an infinitival VP and CP can function as the subject.

(40) a. [That John passed] surprised her, didn’t it?

b. [[That the march should go ahead] and [that it should be cancelled]] have/*has been

argued by different people at different times.

(41) a. [To finish it on time] made quite a statement, didn’t it?

b. [[To delay the march] and [to go ahead with it]] have/*has been argued by different

people at different times.

The same goes for MOD, as noted before. Not only AdvP, but also phrases such as NP, S,

VP, or PP can function as a modifier:

(42) a. The little cat devoured a mouse [ NP last night].

b. John left [AdvP very early].

c. John has been at Stanford [PP for four years].

d. John studied hard [VP to pass the exam].

e. She disappeared [S when the main party arrived].

The sentence (42a) will have the following structure:

(43) S

&&&& &&&&

&&&& &&

#### ####

#### ##

NP: SUBJ

��

VP: PRED

��

#### ####

#### ##

Det A N VP: PRED

��

NP: MOD

'' '' ''

(( ((

((

The little cat V NP: OBJ

)) )) )

** **

* last night

devoured a mouse

Here the expression last night is an adverbial NP in the sense that it is categorically an NP but

functions as a modifier (adjunct) to the VP.

As we go through this book, we will see that the distinction between grammatical functions

and categorical types is crucial in the understandingof English syntax.

3.4 Semantic Roles

As noted before, semantic roles were introduced as a way of classifying the argumentsof pred-

icators (mostly verbs and adjectives) into a closed set of participant types. Even though we

cannot make any absolute generalizations about the relationship between grammatical func-

tions and semantic roles, the properties of semantic roles do interact in regular ways with cer-

44 / ENGLISH SYNTAX: AN INTRODUCTION

tain grammatical constructions. A list of the most relevant thematic roles and their associated

properties is given below.5

• Agent: A participant which the meaning of the verb specifies as doing or causing some- thing, possibly intentionally. Examples: subject of eat, kick, hit, hammer, etc.

(44) a. John ate his noodle quietly.

b. A boy hit the ball.

c. A smith hammered the metal.

• Patient: A participantwhich the verb characterizes as having something happen to it, and as being affected by what happens to it. Examples: object of kick, hit, hammer, etc.6

(45) a. A boy hit the ball.

b. A smith hammered the metal.

• Experiencer:Aparticipantwhoischaracterizedasawareofsomething.Examples:subject of perception verbs like feel, smell, hear, see, etc.

(46) a. The students felt comfortable in the class.

b. The student heard a strange sound.

• Theme: A participant which is characterized as changing its position or condition, or as being in a state or position. Examples: direct object of give, hand, subject of come,

happen, die, etc.

(47) a. John gave a book to the students.

b. John died last night.

• Benefactive: The entity that benefits from the action or event denoted by the predicator. Examples: oblique complementof make, buy, etc.

(48) a. John made a doll for his son.

b. John bought a lot of books for his sons.

• Source: The one from which motion proceeds. Examples: subject of promise, object of deprive, free, cure, etc.

(49) a. John promised Bill to leave tomorrow morning.

b. John deprived his sons of game cards.

• Goal: The one to which motion proceeds. Examples: subject of receive, buy, indirect object of tell, give, etc.

(50) a. Mary received an award from the department.

b. John told the rumor to his friend.

• Location: The thematic role associated with the NP expressing the location in a sentence with a verb of location. Examples: subject of keep, own, retain, locative PPs, etc.

(51) a. John put his books in the attic.

5The definition of semantic roles given here is adopted from Dowty (1989). 6Patient and theme are often unified into ‘undergoer’ in the sense that both the patient and theme individual undergo

the action in question.

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 45

b. The government kept all the money.

• Instrument:The mediumbywhich theactionoreventdenotedby thepredicator is carried out. Examples: oblique complementof hit, wipe, hammer, etc.

(52) a. John hit the ball with a bat.

b. John wiped the window with a towel.

An important advantage of having such semantic roles available to us is that it allows us to

capture the relationship between two related sentences, as we have already seen. As another

example, consider the following pair:

(53) a. [agt The cat] chased [pat the mouse].

b. [pat The mouse] was chased by [agt the cat].

Even though the above two sentences have different syntactic structures, they have essentially

identical interpretations.The reason is that the same semantic roles assigned to the NPs: in both

examples, the cat is the agent, and the mouse is the patient. Differentgrammaticaluses of verbs

may express the same semantic roles in different arrays.

The semantic roles also allow us to classify verbs into more fine-grained groups. For exam-

ple, consider the following examples:

(54) a. There still remains an issue to be solved.

b. There lived a man with his grandson.

c. There arrived a tall, red-haired and incredibly well dressed man.

(55) a. *There sang a man with a pipe.

b. *There dances a man with an umbrella.

All the verbs are intransitive, but not all are acceptable in the there-construction. The dif-

ference can come from the semantic role of the postverbal NP, as assigned by the main verb.

Verbs like arrive, remain, live are taken to assign the semantic role of ‘theme’ (see the list of

roles above), whereas verbs like sing, dance assign an ‘agent’ role. We thus can conjecture that

there-constructionsdo not accept the verb whose subject carries an agent semantic role.

While semantic roles providevery useful ways of describing propertiesacross different con-

structions, we should point out that the theoretical status of semantic roles is still unresolved.7

For example, there is no agreement about exactly which and how many semantic roles are

needed. The problem is illustrated by the following simple examples:

(56) a. John resembles his mother.

b. A is similar to B.

What kind of semantic roles do the arguments here have? Both participants seem to be playing

the same role in these examples– theyboth cannotbe either agentor patient or theme. They are

also cases where we might not be able to pin down the exact semantic role:

(57) a. John runs into the house.

7See Levin and Rappaport Hovav (2005) for further discussion of this issue.

46 / ENGLISH SYNTAX: AN INTRODUCTION

b. Mary looked at the sky.

The subject John in (57a) is both agent and theme: it is agent since it initiates and sustains the

movementbut also theme since it is the object that moves.8 Also, the subject Mary in (57b) can

either be an experiencer or an agent depending on her intention – one can just look at the sky

with no purpose at all.9

Even though there are theoretical issues involved in adoptingsemantic roles in the grammar,

there are also many advantagesof using them.We can make generalizationsabout the grammar

of the language: typically the ‘agent’ takes the subject position, while an NP following the

word from is serving as the ‘source’. As we will see in the next chapter, semantic roles are

also recognized as the standard concepts used for organizing predicate-argument structures for

predicates within the lexicon. In the subsequent chapters, we will refer to semantic roles in

various places.

3.5 Exercises

1. Construct sentences containing the following grammatical functions:

(i) a. subject, predicator, direct object

b. subject, predicator, indirect object, direct object

c. subject, predicator, adjunct

d. adjunct, subject, predicator

e. adjunct, subject, predicator, direct object

f. subject, predicator, direct object, oblique complement

g. subject, predicator, predicative complement

h. subject, predicator, direct object, predicative complement

i. subject, predicator, predicative complement, adjunct

j. subject, predicator, direct object, predicative complement, adjunct

2. Give the grammatical function of the italicized phrases in the following examples:

(i) a. All of his conversation was reported to me.

b. Sandy removed her ballet shoes.

c. The school awarded a few of the girls in Miss Kim’s class scholarships.

d. She was the nicest teacher in the Senior School.

e. They elected him America’s 31st President.

f. The next morning we set out for Seoul.

8Jackendoff (1987) develops an account of thematic roles in which agency and motion are two separate dimensions,

so, in fact, a single NP can be agent and theme. 9Toovercome theproblemofassigning thecorrect semantic role toanargument, onecanassumethat each predicator

has its own (individual) semantic roles. For example, the verb kick, instead of having an agent and a patient, has two

individualized semantic roles ‘kicker’ and ‘kicked’. See Pollard and Sag (1987).

SYNTACTIC FORMS, GRAMMATICAL FUNCTIONS, AND SEMANTIC ROLES / 47

g. Doing syntax is not easy.

h. This is the place to go to.

i. He saw the man with the stick.

j. This week will be a difficult one for us.

k. We need to finish the project this week.

3. Drawtree structures for the followingsentencesand then assign an appropriategrammat-

ical function to each phrase.

(i) a. They parted the best of friends.

b. In the summer we always go to France.

c. Benny worked in a shoe factory when he was a student.

d. Last year I saw this film several times.

e. He baked Tom the bread last night.

f. That they have completed the course is amazing.

g. Everyone hoped that she would sing.

h. The gang robbed her of her necklace.

i. They helped us edit the script.

j. The teacher made students happy.

k. We reminded him of the agreement.

4. Consider the following examples:

(i) a. There is/*are only one chemical substance involved in nerve transmission.

b. There *is/are more chemical substances involved in nerve transmission.

With respect to the grammatical function of there, what can we infer from these data?

Try out more subjecthood tests such as the tag-question test to determine the grammat-

ical function of there in these examples. In addition, try to decide what is the subject in

the following so-called ‘locative inversion’ examples and provide at least three different

locative inversion examples that you can find from naturally-occurringmaterial.

(ii) a. In the garden stands/*stand a statue.

b. Among the guests was/*were sitting my friend Louise.

5. Determine the grammatical function of the italiczed phrase, providing at least one syn-

tactic test we have discussed in the chapter.10

(i) a. This proved a decisive factor.

b. This proved my hypothesis.

c. The students all enjoyed that summer.

d. The students all worked that summer.

e. The scientist made her a robot.

f. The students called me a teacher.

6. Assign a semantic role to each argument in the following sentences.

10This exercise is adopted from Huddleston and Pullum (2002).

48 / ENGLISH SYNTAX: AN INTRODUCTION

(i) a. A big green insect flew into the soup.

b. John’s mother sent a letter to Mary.

c. John smelled the freshly baked bread.

d. We placed the cheese in the refrigerator.

e. Frank threw himself into the sofa.

f. The crocodile devoured the doughnut.

g. John came from Seoul.

h. John is afraid of Bill.

i. The ice melted.

j. The vacuum cleaner terrifies the child.

7. Determine thegrammatical functions for the underlinedexpressions in the following text.

(i) Scientists found that the birds sang well in the evenings, but performed badly

in the mornings. After being awake several hours, however, the young males

regainedtheirmasteryof thematerialand then improvedon thepreviousday’s

accomplishments. To see whether this dip in learningwas caused by the same

kind of pre-coffee fog that many people feel in the morning, the researchers

prevented the birds from practicing first thing in the morning. They also tried

keeping the birds fromsingingduring theday,and theyusedachemical called

melatonin to make the birds nap at odd times. The researchers concluded that

their study supports the idea that sleep helps birds learn. Studies of other ani-

mals have also suggested that sleep improves learning.11

11From Science News Online, Feb 2, 2007

Head, Complements, and Modifiers

4.1 Projections from Lexical Heads to Phrases

4.1.1 Internal vs. External Syntax

As we have seen in the previous chapters, both syntactic categories (NP, AP, VP, PP, etc.) and

grammatical functions (subject, complement, and modifier) play important roles in the analysis

of English sentences. We have also observed that the grammatical function and form of each

constituent depend on where it occurs or what it combines with.

The combinatory properties of words and phrases involve two aspects of syntax: internal and external syntax.1 Internal syntax deals with how a given phrase itself is constructed in a

well-formed manner whereas external syntax is concerned with how a phrase can be used in a larger construction. Observe the following examples:

(1) a. *John [put his gold].

b. *John [put under the bathtub].

c. *John [put his gold safe].

d. *John [put his gold to be under the bathtub].

e. John [put his gold under the bathtub].

Why is only (1e) acceptable? Simply, because only it satisfies the condition that the verb put

selects an NP and a PP as its complements, and it combines with them in the VP. In the other

examples, this condition is not fulfilled. This combinatory requirement starts from the internal

(or lexical) properties of the verb put, and is not related to any external properties of the VP.

In contrast, the external syntax is concernedwith the external environment in which a phrase

occurs. Some of the unacceptableexamples in (1) can be legitimate expressions if they occur in

the proper (syntactic) context.

(2) a. This is the box in which John [put his gold]. (cf. (1a))

b. This is the gold that John [put under the bathtub]. (cf. (1b))

1The terms ‘internal’ and ‘external’ syntax are from Baker (1995).

50 / ENGLISH SYNTAX: AN INTRODUCTION

Meanwhile, the well-formed VP in (1e) can be unacceptable, depending on external contexts.

For example, consider frame induced by the governingverb kept in (3):

(3) a. *The king kept [put his gold under the bathtub].

b. The king kept [putting his gold under the bathtub].

The VP put his gold under the bathtub is a well-formed phrase, but cannot occur in (3a) since

this is not the environment where such a finite VP occurs. That is, the verb kept requires the

presence of a gerundive VP like putting his gold under the bathtub, and therefore imposes an

external constraint on VPs.

4.1.2 Notion of Head,Complements, and Modifiers

One important property we observe in English phrase-internal syntax is that in building up any

phrase, there is one obligatory element in each phrase. That is, each phrase has one essential

element as represented in the diagrams in (4):

(4) a. NP

��

. . . N��

b. VP

��

V�� . . .

c. AP

��

A�� . . .

The circled element here is the essential, obligatory element within the given phrase. We call

this essential element the head of the phrase.2 The head of each phrase thus determines its ‘projection’ into a larger phrasal constituent. The head of an NP is thus N, the head of a VP is

V, and the head of an AP is A.

The notion of headedness plays an important role in the grammar. For example, the verb

put, functioning as the head of a VP, dictates what it must combine with – two complements,

NP and PP. Consider other examples:

(5) a. The defendantdenied the accusation.

b. *The defendantdenied.

(6) a. The teacher handed the student a book.

b. *The teacher handed the student.

The verb denied here requires an NP object whereas handed requires two NP complements, in

this use. The propertiesof the head verb itself determine what kind of elements it will combine

with. As noted in the previous chapter, the elements which a head verb should combine with

are called complements. The complements include direct object, indirect object, predicative complement, and oblique complement since these are all potentially required by some verb or

other.

The properties of the head become properties of the whole phrase. Why are the examples in

(7b) and (8b) ungrammatical?

(7) a. They [want to leave the meeting].

2See section 1.3 in Chapter 1 also.

HEAD, COMPLEMENTS, AND MODIFIERS / 51

b. *They [eager to leave the meeting].

(8) a. The senators [know that the president is telling a lie].

b. *The senators [certain that the president is telling a lie].

The examples in (7b) and (8b) are unacceptable because of the absence of the required head.

The unacceptable examples lack a finite (tensed) VP as the bracketed part, but we know that

English sentences require a finite VP as their immediate constituent, as informally represented

as in (9):

(9) English Declarative Sentence Rule:

Each declarative sentence must contain a finite VP as its head.

Each finite VP is headed by a finite verb. If we amend the ungrammatical examples above to

include a verb but not a finite one, they are still ungrammatical:

(10) a. *They [(to) be eager to leave the meeting].

b. *The senators [(to) be certain that the president is telling a lie].

TheVP is considered to be the (immediate)headof the sentence,with the verb itself as thehead

of the VP. In this way, we can talk about a finite or non-finite sentence, one which is ultimately

headed by a finite or nonfinite verb, respectively.3

Inaddition to thecomplementsofa head,aphrasemayalsocontainmodifiers (oralso called

adjuncts):

(11) a. Tom [VP [VP offered advice to his students] in his office].

b. Tom [VP [VP offered advice to his students] with love].

The PPs in his office or with love here provide further information about the action described

by the verb, but are not required as such by the verb. These phrases are optional and func-

tion as modifiers, and they function to augment the minimal phrase projected from the head

verb offered. The VP which includes this kind of modifier forms a maximal phrase. We might

say that the inner VP here forms a ‘minimal’ VP which includes all the ‘minimally’ required

complements, and the outer VP is the ‘maximal’ VP which includes optional modifiers.

What we have seen can be summarized as follows:

(12) a. Head: A lexical or phrasal element that is essential in forming a phrase.

b. Complement: A phrasal element that a head must combine with or a head select.

These include direct object, indirect object, predicative complement, and oblique

complement.

c. Modifier: A phrasal element not selected by the verb functions as a modifier to the head phrase.

d. Minimal Phrase: A minimal phrase is the phrase including this head and all of its

complements.

3See Chapter 5.2 for the detailed discussion of English verb form (VFORM) values including finite and nonfinite.

52 / ENGLISH SYNTAX: AN INTRODUCTION

e. MaximalPhrase:Amaximalphrase is thephrase that includescomplementsaswell as modifiers.

4.2 Differences between Complements and Modifiers

Given thesenotionsofcomplementsandmodifiers, thequestion that follows is thenhowwe can

distinguish between complementsand modifiers. There are several tests to determine whether a

phrase is a complementor a modifier.4

Obligatoriness: As hinted at already, complements are strictly-required phrases whereas mod- ifiers are not. The examples in (13)–(15) show that the verb placed requires an NP and a PP as

its complements, kept an NP and a PP or an AP, and stayed a PP.

(13) a. John placed Kim behind the garage.

b. John kept him behind the garage.

c. *John stayed Kim behind the garage.

(14) a. *John placed him busy.

b. John kept him busy.

c. *John stayed him busy.

(15) a. *John placed behind the counter.

b. *John kept behind the counter.

c. John stayed behind the counter.

In contrast, modifiers are optional. Their presence is not required by the grammar:

(16) a. John deposited some money in the bank.

b. John deposited some money in the bank on Friday.

In (16b), the PP on Friday is optional here, serving as a modifier.

Iterability: The possibility of iterating identical types of phrase can also distinguish between

complements and modifiers. In general two or more instances of the same modifier type can

occur with the same head, but this is impossible for complements.

(17) a. *The UN blamed global warming [on humans] [on natural causes].

b. Kim and Sandy met [in Seoul] [in the lobby of the Lotte Hotel] in March.

In (17a) on humans is a complement and thus the same type of PP on natural causes cannot

co-occur. Yet in Seoul is a modifier and we can repeatedly have the same type of PP.

4Most of the criteria we discuss here are adopted from Pollard and Sag (1987).

HEAD, COMPLEMENTS, AND MODIFIERS / 53

Do-soTest:Anotherreliable testoftenused todistinguishcomplementsfrommodifiers is thedo so or do the same thing test. As shown in (18), we can use do the same thing to avoid repetition

of an identical VP expression:

(18) a. John deposited some money in the checking account and Mary did the same thing

(too).

b. John deposited some money in the checking account on Friday and Mary did the

same thing (too).

What we can observe in (18b) is that the VP did the same thing can replace either the minimal

phrase deposited some money in the checking account or the maximal phrase including the

modifier on Friday. Notice that this VP can replace only the minimal phrase, leaving out the

modifier.

(19) John deposited some money in the checking account on Friday and Mary did the

same thing on Monday.

From these observations, we can draw the conclusion that if something can be replaced by do

the same thing, then it is either a minimal or a maximal phrase. This in turn means that this

‘replacement’ VP cannot be understood to leave out any complement(s). This can be verified

with more data:

(20) a. *John [deposited some money in the checking account] and Mary did the same thing

in the savings account.

b. *John [gave a present to the student] and Mary did the same thing to the teacher.

Here the PPs in the checking account and to the student are both complements, and thus they

should be included in the do the same thing phrase. This gives us the following informalgener-

alization:

(21) Do-so Replacement Condition:

The phrase do so or do the same thing can replace a verb phrase which includes at

least any complementsof the verb.

This condition explains why we cannot have another locative complement phrase in the

savings account or to the teacher in (20). The unacceptability of the examples in (22) also

supports this generalization about English grammar:

(22) a. *John locked Fido in the garage and Mary did so in the room.

b. *John ate a carrot and Mary did so a radish.

Constancy of semantic contribution: An adjunct can cooccur with a relatively broad range of headswhereasa complement is typically limited in its distribution.Note the followingcontrast:

(23) a. Kim camps/jogs/mediateson the hill.

54 / ENGLISH SYNTAX: AN INTRODUCTION

b. Kim jogs on the hill/under the hill/over the hill.

(24) a. Kim depends/relieson Sandy.

b. Kim dependson Sandy/*at Sandy/*for Sandy.

The semantic contributionof the adjunct on the hill in (23a) is independentof the head whereas

that of the complement on Sandy is idiosyncratically dependentupon the head.

Structural Difference: We could distinguish complements and modifiers by tree structures,

too: complementscombinewith a lexical head (not a phrase) to forma minimalphrase whereas

modifiers combine with a phrase to form a maximal phrase. This means that we have structures

of the following forms:

(25) XP

��

�� Modifier

X Complement(s)

As represented in the tree structures, complements are sisters of the lexical head X, whereas

modifiers are sisters of a phrasal head. This structural difference between complements and

modifiers provides a clean explanation for the contrast in do-so test. Given that the verb ate

takes only an NP complementwhereas put takes an NP and a PP complement,we will have the

difference in the two structures shown in (26):

(26) a. VP

��

� ��

��

� ��

�� PP

++ ++ ++

,, ,,

V NP

-- ---

- ...

.. . in the room

ate some food

b. VP

��

V NP

-- --- -

... ..

. PP

++ ++ ++

,, ,,

put the money in the room

In this way, we represent the difference between complements and modifiers.

HEAD, COMPLEMENTS, AND MODIFIERS / 55

Ordering Difference: Another difference that follows from the structural distinction between complements and modifiers is an ordering difference. As a complement needs to combine with

a lexical head first, modifiers follow complements:

(27) a. John met [a student] [in the park].

b. *John met [in the park] [a student].

A similar contrast can be observed in the following contrast:

(28) a. the student [of linguistics] [with long hair]

b. *the student [with long hair] [of linguistics]

ThePP with long hair is a modifierwhereas the of linguistics is thecomplementof student.This

is whywith long hair cannotoccurbetween the head student and its complementof linguistics.5

As such, observed ordering restrictions can provide more evidence for the distinction be-

tween complements and modifiers.

4.3 PS Rules, X′-Rules, and Features

We have seen in Chapter 2 that PS rules can describe how English sentences are formed. How-

ever, two main issues arise with the content of PS rules.6 The first is related to the headedness

of each phrase, often called the ‘endocentricity’property of each phrase.

Let us consider the PS rules that we saw in the previous chapters. We have seen that PS

rules such as those in (29) can characterize well-formed phrases in English, together with an

appropriate lexicon:

(29) a. S → NP VP b. NP → Det AdjP∗ N c. VP → V (NP) (VP) d. VP → V NP AP e. VP → V NP NP f. VP → V S g. AP → A VP h. PP → P NP i. VP → Adv VP

One common property of all these rules is, as we have discussed, that every phrase has its own

head. In this sense, each phrase is the projection of a head, and thereby has the endocentricity.

However, we can ask the theoretical question of whether or not we can have rules like the

following, in which the phrase has no head at all:

(30) a. VP → P NP 5See (49) for the structural differences between with long hair and of linguistics. 6The discussion of this section is based on Sag et al. (2003).

56 / ENGLISH SYNTAX: AN INTRODUCTION

b. NP → PP S Nothing in the grammar makes such PS rules unusual, or different in any way from the set in

(29). Yet, if we allow such ‘non-endocentric’PS rules in which a phrase does not have a lexical

head, the grammar would then be too powerful to generate only the grammatical sentences of

the language.

Another limit that we can find from the simple PS rules concerns an issue of redundancy. Observe the following:

(31) a. *The problem disappeared the accusation.

b. The problem disappeared.

(32) a. *The defendantdenied.

b. The defendantdenied the accusation.

(33) a. *The boy gave the book.

b. The boy gave the baby the book.

What these examples show is that each verb has its own requirement for its complement(s).

For example, deny requires an NP, whereas disappear does not, and gave requires two NPs as

its complements.The differentpatternsof complementationare said to define different subcate-

goriesof the typeverb.The specificpatternof complements isknownas the ‘subcategorization’

requirementofeachverb,whichcanberepresentedas following(IV: intransitive,TV: transitive,

DTV: ditransitive):

(34) a. disappear: IV,

b. deny: TV, NP

c. give: DTV, NP NP

In addition, in order to license the grammatical sentences in (31)–(33), we need to have the

following three VP rules:

(35) a. VP → IV b. VP → TV NP c. VP → DTV NP NP

We cansee here that ineachVPrule,only theappropriateverbcanoccur.That is, aDTV cannot

form a VP with the rules in (35a) or (35b): It forms a VP only according to the last PS rule.

Each VP rule thus also needs to specify the kind of verb that can serve as its head.

Taking these all together,we see that a grammar of the type just suggested must redundantly

encode the subcategorization information both in the lexical type of each verb (e.g., DTV) and

in the PS rule for that type of verb.

A similar issue of redundancyarises in accounting for subject-verb agreement:

(36) a. The bird devours the worm.

b. The birds devour the worm.

HEAD, COMPLEMENTS, AND MODIFIERS / 57

To capture the fact that the subject NP agreeswith the predicate VP, we need to differentiate the

S rule into the following two:

(37) a. S → NPsing VPsing (for (36)a) b. S → NPpl VPpl (for (36)b)

The two PS rules ensures that the singular (sing) subject combines with a singular VP whereas

the plural (pl) subject NP with a plural VP.

Descriptively, there is no problem with a grammar with many specific parts. From a theoret-

ical perspective, though,we have a concernabout the the endocentricityand redundancyissues.

A more particular related question is that of how many PS rules English has. For example, how

many PS rules do we need to characterize English VPs?—Presumably there are as many rules

as there are subcategoriesof verb.

We need to investigate the abstract contentof PS rules, in order to developa theoretical view

of them. For example, it seems to be the case that each PS rule must have a ‘head’. This will

disallow many possible PS rules which we can write using the rule format, from being actual

rules of any language.

In order to understand more about the structures that rules describe, we need two more no-

tions, ‘intermediate category/phrase’ and ‘specifier (SPR)’. We motivate the idea of the inter-

mediate category, and then specifier is a counterpart of it. Consider the examples in (38):

(38) a. Every photo of Max and sketch by his students appeared in the magazine.

b. No photo of Max and sketch by his students appeared in the magazine.

What are the structures of these two sentences? Do the phrases every photo of Max and sketch

by his students formNPs? It is notdifficult to see sketch by his students is not a fullNPby itself,

for if it was, it should be able to appear as subject by itself:

(39) *Sketch by his students appeared in the magazine.

In terms of the semantic units, we can assign the followingstructures to the above sentences, in

which every and no operate over the meaning of the rest of the phrase:

(40) a. [Every [[photo of Max] and [sketch by his students]]] appeared in the magazine.

b. [No [[photo of Max] and [sketch by his students]]] appeared in the magazine.

The expression photo of Max and sketch by his students are phrasal elements but not full NPs

— so what are they? We call these ‘intermediate phrases’, notationally represented as N-bar or

N′. The phrase N′ is thus intuitively bigger than a noun, but smaller than a full NP, in the sense that it still requires a determiner from the class the, every, no, some, and the like.

The complementary notion that we introduce at this point is ‘specifier’ (SPR), which can

include the words just mentioned as well as phrases, as we illustrate in (41):

(41) a. [the enemy’s] [N′ destruction of the city]

b. [The enemy] [VP destroyed the city].

58 / ENGLISH SYNTAX: AN INTRODUCTION

The phrase the enemy’s in (41a) and the subject the enemy in (41b) are semantically similar

in the sense that they complete the specification of the event denoted by the predicate. These

phrases are treated as the specifiers of N′ and of VP, respectively. As for the possible specifiers of N′, observe the following:

(42) a. a little dog, the little dogs (indefinite or definite article)

b. this little dog, those little dogs (demonstrative)

c. my little dogs, their little dog (possessive adjective)

d. every little dog, each little dog, some little dog, either dog, no dog (quantifying)

e. my friend’s little dog, the Queen of England’s little dog (possessive phrase)

The italicized expressions here all function as the specifier of N′. However, notice that though most of these specifiers are determiners, some consist of several words as in (42e) (my friend’s,

the Queen of England’s) . This motivates us to introduce the new phrase type DP (determiner

phrase) that includes the possessive phrase (NP + ’s) as well as determiners. This new phrase

then will give us the generalization that the specifier of N′ is a DP.7

Now let us compare the syntactic structures of (41a) and (41b):

(43) NP

��

�� N

′

��

the enemy’s N PP

// // // /

00 00

00 0

destruction of the city

(44) S

��

11 11 11 1

22 22

22 2 VP

��

The enemy V

33 33 33 3

44 44

44 4 NP

55 55 55

66 66 66

destroyed the city

Even though the NP and S are different phrases, we can notice several similarities. In the NP

structure, the head N destruction combines with its complement and forms an intermediate

7Some analyses take the whole expression in (43) to be a DP (e.g., a little dog, my little dogs) in which expressions

like little dog is not an N′ but an NP.

HEAD, COMPLEMENTS, AND MODIFIERS / 59

phraseN′ which in turncombineswith the specifier DP the enemy’s. In the S structure, the head V combineswith its complement the city and formsa VP. This resultingVP thencombineswith

the subject the enemy, which is also a specifier. In a sense, the VP is an intermediatephrase that

requires a subject in order to be a full and complete S.

Given these similaritiesbetweenNPandSstructures,wecangeneralizeover themas in (45),

where X is a variable over categories such as N, V, P, and other grammatical categories:8

(45) XP

��

Specifier X′

��

X Complement(s)

This structure in turn means the grammar now includes the following two rules:9

(46) a. XP → Specifier, X′ (Head-Specifier Rule) b. XP → X, YP∗ (Head-ComplementRule)

These Head-Specifierand Head-ComplementRules, which formthe central partof ‘X′-theory’, account for the core structure of NP as well as that of S. In fact, these two general rules can also

represent most of the PS rules we have seen so far. In addition to these two, we just need one

more rule:10

(47) XP → Modifier, X′ (Head-ModifierRule) This Head-Modifier Rule allows a modifier to combine with its head as in the PS rule VP → VP Adv/PP, as presented in the following:

(48) XP

��

Specifier X′

��

X′

��

�� Modifier

X Complement(s)

8We can assume that the head of S is VP and that VP is an intermediate phrase in the sense that it still requires a

subject as its specifier. 9Unlike the PS rules we have seen so far, the rules here are further abstracted, indicated by the comma notation

between daughters on the right-hand side. We assume that the relative linear order of a head and complements etc. is

determined by a combination of general and language-specific ordering principles, while the hierarchical X′-structures themselves are universal. 10The comma indicates that the modifier can appear either before the head or after the head as in always read books

or read books always.

60 / ENGLISH SYNTAX: AN INTRODUCTION

One thing to notice in the Head-Complement Rule is that the head must be a lexical el-

ement. This in turn means that we cannot apply the Head-Modifier Rule first and then the

Head-ComplementRule. This explains the following contrast:

(49) a. the king [of Rock and Roll] [with a hat]

b. *the king [with a hat] [of Rock and Roll]

The badness of (49b) is due to the fact that the modifier with a hat is combined with the head

king first.

(50) a. NP

&&&& &&&&

&&&& 77777777

77777777 777777

DP N′

&&&& &&&&

&&&&

the N′

&&&& &&&&

&&&&

��

N PP

��

with a hat

king of Rock and Roll

b. NP

&&&& &&&&

&&&& 77777777

77777777 777777

DP *N′

&&&& &&&&

&&&&

the N′

&&&& &&&&

&&&&

��

N PP

88 88 88

99 99

99 of Rock and Roll

king with a hat

We can observe in (50b) that the combination of king with with a hat forms an N′, but the com- binationof the complementof Rock and Roll with thisN′ will not satisfy theHead-Complement Rule.

The existence and role of the intermediate phrase N′, which is a larger than a lexical cate- gory but still not a fully-fledgedphrase, can be further supported from the pronounsubstitution

examples in (51):

(51) a. The present king of country music is more popular than the last one.

b. *The king of Rock and Roll is more popular than the one of country music.

Why do we have the contrast here? One simple answer is that the pronoun one here replaces an

N′ but not an N or an NP. This will also account for the following contrast, too:

HEAD, COMPLEMENTS, AND MODIFIERS / 61

(52) A: Which student were you talking about?

B: The one with long hair.

B: *The one of linguistics with long hair.

The phrase of linguistics is the complement of student. This means the N-bar pronoun one

should include this. However, the modifier with long hair cannot be within the N′. There are several more welcome consequences that the three X′ rules that bring to us. The

grammar rules can account for the same structures as all the PS rules we have seen so far: with

those rules we can identify phrases whose daughters are a head and its complement(s), or a

head and its specifier, or a head and its modifier. The three X′ rules thereby greatly minimize the number of PS rules that need to characterize well-formed English sentences.

In addition, these X′ rules directly solve the endocentricity issue, for they refer to ‘Head’. Assume that X is N, then we will have N, N′, and NP structures. We can formalize this more precisely by introducing the feature POS (part of speech), which has values such as noun, verb,

adjective.Thestructure(53)showshowthevaluesof the features indifferentpartsof a structure

are related:

(53) XP[POS 1 ]

��

Specifier X′[POS 1 ]

��

X′[POS 1 ]

��

�� Modifier

X[POS 1 ] Complement(s)

The notation 1 shows that whatever value the feature has in one place in the structure, it has

the same value somewhere else. This is a representational tag, in which the number 1 has no

significance: it couldaseasilybe 7 or 437 .Weprovidemoredetailsof the formalfeaturesystem

in the following section.

So (53) indicates that the phrase’s POS value is identical to its head daughter, capturing

the headedness of each phrase: the grammar just does not allow any phrase without a head.

The redundancy issue mentioned above for agreement is now a matter of introducing another

feature, NUMBER. That is, with the new feature NUMBER, with values singular and plural,

we can add a detail to the Head-Specifier Rule as following:

(54) XP → Specifier[NUMBER 1 ], X′[NUMBER 1 ] The rule states that the subject’s NUMBER value is identical with that of the predicate VP’s

NUMBER value. The two rules in (37) are both represented in (54).

62 / ENGLISH SYNTAX: AN INTRODUCTION

4.4 Lexicon and Feature Structures

In the previoussection, we have seen that the propertiesof a lexical head determine the compo-

nents of the minimal phrase, in terms of complements, and that other properties of the head are

directly properties of the phrase. This information is encoded in a lexical entry, for each word

in the lexicon.

Every lexical entry at least includes phonological (but in practice, orthographic), morpho-

logical, syntactic, and semantic information. For example, the word puts will have at least the

following information:

(55) Minimal Lexical Information for puts:

a. phonological information: <puts>

b. syntactic information:verb, finite, 3rd singular

c. argument information: <agenti, themej, locationk>

d. semantic information: put′(i,j,k)

The phonological information is the information about how the word is pronounced; the syn-

tactic information indicates that this particular word is a verb and is in the 3rd singular present

(finite) form. The argument structure represents the number of arguments which the verb se-

lects, to indicate the participants that are minimally involved in the event expressed by the verb.

This argument information is linked to its more precise meaning as indicated by the indexes i,

j and k. These indexes refer to the participants denoted by the arguments. Finally, the semantic

structure represents that the verb’s meaning relates three participants – someone i who is doing

the action of putting, something j being put in a place, and someplace k it is put in. These lexi-

cal entries can be represented in a more systematic and precise way with the system of feature

structures, which we now introduce.

4.4.1 FeatureStructures and Basic Operations

Most modern grammars rely on a representation of lexical information in terms of features

and their values.11 We present here a formal and explicit way of representing it with feature structures. Each feature structure is an attribute-value matrix (AVM):

(56) ⎡ ⎢⎢⎢⎣ Attribute1 value1 Attribute2 value2 Attribute3 value3 . . . . . .

⎤ ⎥⎥⎥⎦

The value of each attribute can be an atomic element, a list, a set, or a feature structure:

11In particular, grammars such as Head-driven Phrase Structure Grammar (HPSG) and Lexical Functional Grammar

(LFG) are couched upon mathematically well-defined feature structure systems. The theory developed in this textbook

heavily relies upon the feature structure system of HPSG. See Sag et al. (2003).

HEAD, COMPLEMENTS, AND MODIFIERS / 63

(57) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

Attribute1 atomic

Attribute2 〈〉 Attribute3

{ } Attribute4

[ . . .

]

⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

One important property of every feature structure is that it is typed.12 That is, each feature

structure is relevant only for a given type. A simple illustration can show why feature structure

needs to be typed. The upper left declaration in italics is the type of the feature structure:

(58) a. ⎡⎢⎣ university NAME kyunghee univ. LOCATION seoul

⎤ ⎥⎦

b. * ⎡ ⎢⎣ university NAME kyunghee univ. MAJOR linguistics

⎤ ⎥⎦

The type university may have many properties, including its name and location, but having a

MAJOR, as a subject of study, is inappropriate. In the linguistic realm, we might declare that

TENSE is appropriate only for verb, for example.

Now consider the following example of a typed feature structure, information about one

author of this book:

(59) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

author NAME kim SONS 〈Edward, Richard〉 HOBBIES

{ swimming, jogging, reading, . . .

}

ADVANCED-DEGREE

⎡ ⎢⎣ FIELD linguistics AREA syntax-semantics YEAR 1996

⎤ ⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

This illustrates the different types of values that attributes (feature names) may have. Here, the

value of the attribute NAME is atomic, whereas the value of SONS is a list which represents

something relative about the two values, in this case that one is older than the other. So, for

example ‘youngest son’ wouldbe the right-most element in the list valueof SONS. Meanwhile,

the value of HOBBIES is a set, showing that there is no significance in the relative ordering.

Finally, the value of the feature ADVANCED-DEGREE is a feature structure which in turn has

three attributes.

One useful notion in the feature structure is structure-sharing, which we have already seen above in terms of the 1 notation (see (53)). This is to represent cases where two features (or

12Even though every feature structure is typed in the present grammar, we will not specify the type of each feature

structure unless it is necessary for the discussion.

64 / ENGLISH SYNTAX: AN INTRODUCTION

attributes) have an identical value:

(60) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎣

individual NAME kim TEL 1

SONS

⟨⎡⎢⎣ individual NAME richard TEL 1

⎤ ⎥⎦, ⎡ ⎢⎣ individual NAME edward TEL 1

⎤ ⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎦

For the type individual, attributes such as NAME and TEL and SONS are appropriate. (60)

representsasituation inwhich theparticular individualkimhas twosons,and theirTELattribute

has a value which is the same as the value of his TEL attribute, whatever the value actually is.

In addition to this, the notion of subsumption is also important in the theoretical use of

feature structures; the symbol � represents subsumption. The subsumption relation concerns the relationshipbetweena featurestructurewithgeneral informationandonewithmorespecific

information. In such a case, the generalone subsumes the specific one. Put differently, a feature

structure A subsumes another feature structure B if A is not more informative than B.

(61) A:

[ individual NAME kim

] � B:

⎡ ⎢⎣ individual NAME kim TEL 961-0892

⎤ ⎥⎦

In (62), A represents more general information than B. This kind of subsumption relation is

used to represent ‘partial’ information, for in fact we cannot represent the total information

describing all possible worlds or states of affairs. In describing a given phenomenon, it will be

more thanenough just to represent the particularorgeneral aspectsof the facts concerned.Each

small component of feature structure will provide partial information, and as the structure is

built up, the different pieces of information are put together.

The most crucial operation in feature structures is unification, represented by ⊔ . Feature

unification means that two compatible feature structures are unified, conveying more coherent

and rich information. Consider the feature structures in (62); the first two may unify to give the

third:

(62) [ individual NAME kim

] ⊔ [individual TEL 961-0892

] →

⎡ ⎢⎣ individual NAME kim TEL 961-0892

⎤ ⎥⎦

The two featurestructuresareunified, resulting in a feature structurewith bothNAMEandTEL

information. However, if two feature structures have incompatible feature values, they cannot

be unified:

HEAD, COMPLEMENTS, AND MODIFIERS / 65

(63) [ individual NAME edward

] ⊔ [individual NAME richard

] �→

⎡ ⎢⎣ individual NAME edward NAME richard

⎤ ⎥⎦

Since the two smaller feature structures have different NAME values, they cannot be unified.

Unification will make sure that information is consistent as it is built up in the analysis of a

phrase or sentence.

4.4.2 FeatureStructures forLinguistic Entities

Any individualor entity including a linguistic expression can be represented by a feature struc-

ture. For example, the word puts, whose general type is verb, can have a feature structure like

the following:13

(64) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

verb

PHON 〈puts〉

SYN

⎡ ⎣POS verb VFORM fin

⎤ ⎦

ARG-ST ⟨ [agt]i, [th]j, [loc]k

⟩

SEM

⎡ ⎢⎢⎢⎢⎢⎣ PRED put-relation

AGENT i

THEME j

LOCATION k

⎤ ⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

This feature structure has roughly the same information as the informal representation in (55).

The verb puts, like any verb, has its own phonological (PHON) value, syntactic (SYN), ar-

gument structure (ARG-ST), and semantic (SEM) information. The SYN attribute indicates

that the POS (part of speech) value is verb, that it has a finite verbal inflectional form value

(VFORM).The ARG-ST attribute indicates that the verb selects for three arguments (with the-

matic roles agent, theme, location), which will be realized as the subject and two complements

in the full analysis. The SEM feature represents the information this verb denotes the predicate

relation put-relation,whose three participants are linked to the elements in the ARG-ST via the

indexing values i, j, and k.

One thing to note here is that since there are some cases wherewe have difficulties in assign-

ing a specific named semantic role to a selected argument discussed in Chapter 3, we typically

just indicate the number of arguments each predicate is selecting in ARG-ST: we underspecify

13Later on, we will not represent the PHON and SEM values unless relevant to the discussion at hand.

66 / ENGLISH SYNTAX: AN INTRODUCTION

the information unless it is necessary to show more details. So, for example, verbs like smile,

devour and give will have the following ARG-ST representations, respectively:

(65) a. [ ARG-ST 〈[ ]〉

] b.

[ ARG-ST 〈[ ], [ ]〉

] c.

[ ARG-ST 〈[ ], [ ], [ ]〉

] One-place predicates like smile select for just one argument, two-place predicates like devour

take two arguments, and three-placepredicates take three arguments.Eventually, the arguments

selected by each predicate are linked to grammatical functions, to the core semantic properties,

and to other parts of the representation of the grammatical properties.

4.4.3 Argument Realization

Each element on the ARG-ST list is realized as SPR (specifier) or COMPS (complements),

throughone of the rules in (46).14 In general, the basic pattern is that the first elementon the list

is realized as subject and the rest as complements:

(66) ArgumentRealization Constraint (ARC, first approximation):

The first element on the ARG-ST list is realized as SPR, the rest as COMPS in

syntax.

This realization is obligatory in English; for example, the three argumentsof put are realized as

subject and complements, with the putter (agent) as subject:15

(67) a. John put the book in the box.

b. *John put in the box.

c. *In the box put John the book.

d. #The book put John in the box.

We see that the argumentsselected by a lexical headshouldbe all realizedas SPR and COMPS,

which are combined in the notionof valence (VAL) features.16 More formally,we can represent

this constraint as applied to put as the following feature structure:

(68) ⎡ ⎢⎢⎢⎣ VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP, 3 PP〉

⎤ ⎦

ARG-ST 〈 1 , 2 , 3 〉

⎤ ⎥⎥⎥⎦

The boxed tags show the different identities in the overall structure. For example, the first el-

ement of ARG-ST and of SPR have the boxed tag 1 , ensuring that the two are identical. The

14Once again, remember that the term SPR includes subject as well as the noun’s specifier. 15The notation # indicates that the structure is technically well-formed from a syntactic perspective, but semantically

anomalous. 16The term ‘valence’ refers to the number of arguments that a lexical item can combine with, to make a syntactically

well-formed sentence, often along with a description of the categories of those constituents. It is inspired by the notion

of valence as used in atomic theory in chemistry.

HEAD, COMPLEMENTS, AND MODIFIERS / 67

general ARC constraint blocks examples like (67c) in which the location argument is realized

as the subject, as shown in (69):

(69) * ⎡ ⎢⎢⎢⎣ VAL

⎡ ⎣SPR 〈 3 PP〉 COMPS 〈 1 NP, 2 NP〉

⎤ ⎦

ARG-ST 〈 1 , 2 , 3 〉

⎤ ⎥⎥⎥⎦

This violates the ARC, which requires the first element of ARG-ST be realized as the SPR (the

subject of a verb or the specifier of a noun).

Notice that the argumentscan be realized into different categories, dependingon the proper-

ties of the given verb:

(70) a. The election results surprised everybody.

b. That he won the election surprised everybody.

The data indicate that verbs like surprise will take two arguments, but the first argumentcan be

realized either as an NP subject as in (70a) or a CP subject as in (70b). This difference in the

argument realization can be represented as the following, respectively:

(71) a. ⎡ ⎢⎢⎢⎣ VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP〉

⎤ ⎦

ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎣ VAL

⎡ ⎣SPR 〈 1 CP〉 COMPS 〈 2 NP〉

⎤ ⎦

ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎦

Though there is no difference in terms of the number of arguments that surprise select, the

arguments can be realized in a different phrase. As the book goes on, we will see how the

argument realization is further constrained by the lexical properties of the verb in question or

by other grammatical components.

4.4.4 Verb Types and Argument Structure

As mentionedearlier, lexical elements in the classes V, A, N, and P, select one or more comple-

ment(s) to form a minimal phrase. With the construct of ARG-ST, we know that every lexical

element has ARG-ST information which will be realized in surface form through the SPR and

COMPS values. Verb types can be differentiated by looking only at the COMPS value since

every verb will have one SPR (subject) element. This is exactly the way that verbs are differen-

tiated using the traditional notion of subcategorization.

Intransitive: This is a type of verb that does not have any COMPS:

(72) a. John disappeared.

b. *John disappeared Bill.

68 / ENGLISH SYNTAX: AN INTRODUCTION

(73) a. John sneezed.

b. *John sneezed the money.

These verbs have no COMPS element—the list is necessarily empty. Such a verb will have just

one argument that is realized as subject:

(74) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈disappear〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈〉

⎤ ⎦

ARG-ST 〈 1 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

Linking verbs: Verbs such as look, seem, remain, and feel require different complements that

are typically of category AP:

(75) a. The president looked [weary].

b. The teacher became [tired of the students].

c. The lasagna tasted [scrumptious].

d. John remained [somewhat calm].

e. The jury seemed [ready to leave].

These verbs also can select other phrases (here, NP):

(76) a. John became a success.

b. John seemed a fool.

c. John remained a student.

Though each verb may select different types of phrases, they all at least select a predicative

complement, where a property is ascribed to the subject. (Compare John remained a student

and John revived a student.) This subcategorization requirement can be represented as follows:

(77) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈become〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 AP/NP[PRD +]〉

⎤ ⎦

ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

This kind of verb selects two arguments: one is canonically an NP to be realized as the subject

and the other is anyphrase (XP) that can functionas a predicate (PRD +) (see also the examples

in (84)).Of course, this presupposesan accuratecharacterizationofwhich phrasescan be [PRD

+], which we simply assume here.

Transitiveverbs:Unlike linkingverbs,puretransitiveverbsselecta referential,non-predicative

NP as their complement, functioningas direct object:

(78) a. John saw Fred.

b. Alice typed the letter.

HEAD, COMPLEMENTS, AND MODIFIERS / 69

c. Clinton supported the health care bill.

d. Raccoons destroyed the garden.

Such verbs will have the following lexical information:

(79) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈destroy〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP〉

⎤ ⎦

ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

Ditransitive: There are also ‘ditransitive’ verbs that require IO and DO:

(80) a. The school board leader asked the students a question.

b. The parents bought the children non-fiction novels.

c. John taught new students English Syntax.

Such verbs have three arguments:one subject and two complementNPs functioningas indi-

rect and direct object, respectively:

(81) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈teach〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP, 3 NP〉

⎤ ⎦

ARG-ST 〈 1 , 2 [goal], 3 [theme]〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

These verbs typically have a related realization with the goal argument realized as a dative

PP complement:

(82) a. The school board leader asked a question of the students.

b. The parents boughtnon-fiction novels for the children.

c. John taught English Syntax to new students.

In this realization, the second argumenthas the theme role while the third one has the goal role.

(83) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈teach〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP, 3 PP〉

⎤ ⎦

ARG-ST 〈 1 , 2 [theme], 3 [goal]〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

Complex Transitive: There is another type of transitive verb which selects two complements,

one functioningasa directobject and the other as a predicativephrase (NP, AP, or VP), describ-

ing the object:

(84) a. John regardsBill as a good friend.

b. The sexual revolution makes some people uncomfortable.

c. Ad agencies call young people Generation X-ers.

70 / ENGLISH SYNTAX: AN INTRODUCTION

d. Historians believe FDR to be our most effective president.

In (84a), the predicative PP as a good friend follows the object Bill; in (84b), the AP uncom-

fortable serves as a predicate phrase of the preceding object some people. In (84c), the NP

Generation X-ers is the predicative phrase. In (84d), the predicative phrase is an infinitive VP.

Just like linking verbs, these verbs require a predicative ([PRD +]) XP as complement:

(85) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈call〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP, 3 XP〉

⎤ ⎦

ARG-ST 〈 1 , 2 , 3 [PRD +]〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

This means that the verbs in (84) all select an object NP and an XP phrase that function as a

predicate.

Even though these five types of verb that we have seen so far represent many English verb

types, there are other verbs that do not fit into these classes; for instance, the use of the verb

carry in (86).

(86) a. *John carried to the door.

b. John carried her on his back.

Theexamples in (86) illustrate thatcarried requiresanNPandaPP,as representedin the feature

structure:

(87) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈carry〉

VAL

⎡ ⎣SPR 〈 1 NP〉 COMPS 〈 2 NP, 3 PP〉

⎤ ⎦

ARG-ST 〈 1 [agt], 2 [th], 3 [loc]〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

The PP here cannot be said to be predicate of the object her; it denotes the location to which

John carries her.

Of course, there are various other verb types that we have not described here, in terms of

complementationpatterns. As the book goes on, we will see yet more different types of verbs.

HEAD, COMPLEMENTS, AND MODIFIERS / 71

4.5 Exercises

1. For each of the verbs below, use it in a grammatical example; write down the example

and provide its lexical entry including the COMPS value.

(i) appear, consider, award, borrow, owe, explain, introduce, discuss, tell, say

2. Provide tree structures for the following pairs of sentences while checking the gram-

matical function of each phrase with valid distributional tests. In doing so, state what

differenceswe need to represent for the underlined expressions.

(i) a. Tom locked Fido in the garage.

b. Tom bathed Fido in the garage.

(ii) a. Tom placed it under the table.

b. Tom played it under the table.

(iii) a. I wonder if you will come back tomorrow.

b. You would have a reply if you come back tomorrow.

3. For each example below, draw its structure and then give the lexical entry (SPR and

COMPS value) of the main verb.

(i) a. Tom hid the manuscript in the cupboard.

b. Fred hired Sharon to change the oil.

c. They pushed the prisoners into the truck.

d. Frank hopes to persuade Harry to make the cook wash the dishes.

e. George mailed the attorneyhis photographof the accident.

f. Tom keeps asking Karen’s sister to buy the car.

g. Jane left the book on the table.

h. We have not confirmed whether the flight had been booked.

i. We saw him beaten by the champion.

j. They confined his remarks to the matter under discussion.

4. Theverbs in the followingexamplesareused incorrectly.Correct the errorsor replace the

verb with another one, and write out each new example. In addition,provide the COMPS

value for each verb (in its use in your grammatical examples).

(i) a. *Oliver ascribed his longevity there.

b. *Oliver mentioned Charles the problem.

c. *Oliver fined ten pounds to the prisoner.

d. *Oliver drove me a lunatic.

e. *Oliver addressed the king the letter.

f. *Oliver absented his brother from the meeting.

5. Draw tree structures for the following two sentences. In particular, provide detailed NP

structures using the intermediate phrase N′:

(i) a. The students of English from Seoul faced many issues in the process of inter-

preting, transcribing, and editing the poems.

72 / ENGLISH SYNTAX: AN INTRODUCTION

b. The love of my life and father of my children would never do such a thing.

c. The museum displayed no painting by Miro or drawing by Klee.

d. By law, every dog and cat in the area has to be spayed or neutered.

6. Read the following texts andprovide the ARG-ST, SPR andCOMPS valuesof the under-

lined expressions.

(i) Learning to use a language freely and fully is a lengthy and effortful process.

Teachers cannot learn the language for their students. They can set their stu-

dents on the road, helping them to develop confidence in their own learning

powers. Then they must wait on the sidelines, ready to encourage and assist.

(ii) Deep ecologists put a reign on human exploitation of natural “resources” ex-

cept to satisfy vital needs. Thus, the use of a field by an African tribe to grow

grain for survival is an example of a vital need whereas the conversion of

a swamp to an exclusive golf course would not. Rest assured that much of

the mining, harvesting, and development of our technological age would not

meet the requirementof thisprinciple.Rather thanbeingconcernedabouthow

to raise automobile production, this ethic would be interested in solving the

problem of human mobility in a way that would not require the disruption of

highways, roads, andparkinglots. It rebelsagainstan industrialistworldview:

“Before it is possessed and used, every plant is a weed and every mineral is

just another rock.”17

17From http://www.unitedearth.com.au/deepecology.html

MORE ON SUBJECTS AND COMPLEMENTS / 95

5.5 Exercises

1. Check if each of the following expressions selects for a clausal complement:

(i) ignore, doubt, deny, prefer, intend, glad, unsure, confident, allegation, igno-

rance

Write out the examples which justify your classifications.

2. Check if each of the following expressions selects a clausal subject or not.

(i) annoy, vanish, remain, admire, select, mandatory, enjoyable, apparent

Write out the examples which justify your classifications.

3. For each sentence, draw a tree structure and then give the COMPS value (including

VFORM and PFORM value) for the italicized word.

(i) a. The offer made Smith admire the administrators.

b. John tried to make Sam let George ask Bill to keep delivering the mail.

c. The soldiers must enforce Bill to make the baby be quiet.

d. John enjoyed drawing trees for his syntax homework.

e. The picture on the wall reminded him of his country.

f. Free enterprise is compatible with American values and traditions.

g. They were taking a hard look at possible FTA.

h. We need to be in frequent contact with the clients.

i. The contract is subject to approvalby my committee.

j. Acknowledge that everyone has limits.

k. We are aware of the existing problems.

4. Identify errors in the following sentences, focusing on the form values of verbs, adjec-

tives, and nouns, and/or their COMPs values.

(i) a. *Why don’t you leaving me concentrate on my work?

b. *The general commended that all troops was in dress uniform.

c. *My morning routine features swim free styles slowly for one hour.

d. *You should avoid to travel in the rush hour.

e. *You should attempt answering every question.

f. *The authorities blamed Greenpeace with the bombing.

g. *The authorities charged the students of the cheating.

h. *Sharon has been eager finishing the book.

i. *We respect Mary’s desire for becoming famous.

j. *John referred from the building.

k. *John died to heart disease.

l. *John paid me against the book.

m. *We were glad what to do.

n. *She was busy to make lunch.

5. Draw trees for the following examples with detailed NP structures.

96 / ENGLISH SYNTAX: AN INTRODUCTION

(i) a. The constant rain forced the abandonmentof the next day’s competitions.

b. The committee will study the feasibility of setting up a national computer

network.

c. Aloe may have an analgesic effect on inflammationand minor skin irritations.

d. The public never had faith in his ability to handle the job.

e. He repeated his claim that the people backed his action.

6. Ingeneral thepresentandbase formsofamainverbare identical,butcanbedistinguished

in the case of be, with its present form are:

(i) a. We made them take the money.

b. *We made them are rude.

c. We made them be rude.

Do the same substitution test for the following sentences and determine whether the ital-

icized verb is the base or present form.

(ii) a. Do not use these words in the beginning of a sentence.

b. We know the witnesses seem eager to testify against the criminal.

c. Jane isn’t sure whether the students keep the books.

d. Why not try to catch the minnows?

7. Read the following text and provide the lexical entries for the underlinedwords. In doing

so, try to specify the VFORM or PFORM value of the complement(s).

(i) The study of grammar helps us to communicate more effectively. Quite sim-

ply, ifweknowhowEnglishworks, thenwecanmakebetteruseof it.Formost

purposes, we need to be able to construct sentences which are far more com-

plicated than David plays the piano. A knowledge of grammar enables us to

evaluate the choiceswhich are available to us duringcomposition. Inpractice,

these choicesare neveras simple as the choice between David plays the piano

and *plays David piano the. If we understand the relationship between the

parts of a sentence, we can eliminate many of the ambiguities and misunder-

standingswhich result frompoorconstruction. In the interpretationofwriting,

too, grammatical knowledge is often crucially important. The understanding

of literary texts, for example, often depends on careful grammatical analy-

sis. Other forms of writing can be equally difficult to interpret. Scientific and

academic writing, for instance, may be complexnot just in the ideas theycon-

vey, but also in their syntax. These types of writing can be difficult to under-

stand easily without some familiarity with how the parts relate to each other.

The study of grammar enables us to go beyondour instinctive, native-speaker

knowledge, and to use English in an intelligent, informed way.10

10From ‘Introducing the Internet Grammar of English’ at http://www.ucl.ac.uk/internet-grammar/

intro/intro.htm.

Noun Phrases and Agreement

6.1 Classification of Nouns

Nouns not only represent entities like people, places, or things, but also denote abstract and

intangible concepts such as happiness, information, hope, and so forth. Such diversity of ref-

erence renders it difficult to classify nouns solely according to their meanings. The following

chart shows the canonical classification of nouns taking into account semantic differences, but

also considering their formal and grammatical properties:

(1) Types of Nouns in English:

common countable desk, book, difficulty, remark, etc.

noun uncountable butter, gold, music, furniture, laziness, etc.

proper noun Seoul, Kyung Hee, Stanford, Palo Alto,

January, etc.

personal he, she, they, his, him, etc.

relative that, which, what, who, whom, etc. pronoun

interrogative who, where, how, why, when, etc.

indefinite anybody, everybody, somebody, nobody,

anywhere, etc.

As shown here, nouns fall into three major categories: common nouns, proper nouns, and pro-

nouns. One important aspect of common nouns is that they are either count or non-count.

Whether a noun is countable or not does not fully depend on its reference; examples like diffi-

culty which ismass (non-count)but difficultieswhich iscountsuggesthowsubtle thedistinction

can be, and we have nouns like furniture/*furnitures which are only mass and a chair/chairs

which are only count.

Propernounsdenotespecificpeopleorplacesandare typicallyuncountable.Commonnouns

and proper nouns display clear contrasts in terms of the combinatorial possibilities with deter-

miners as shown in the following chart:

98 / ENGLISH SYNTAX: AN INTRODUCTION

(2) Combinatory Possibilities with Determiners:

Common N Proper N

countable uncountable neutral

Only N Einstein *book music cake

the + N *the Einstein the book the music the cake

a + N *an Einstein a book *a music a cake

some + N *some Einstein *some book some music some cake

N + s *Einsteins books *musics cakes

Proper nouns do not combine with any determiner, as can be seen from the chart. Meanwhile,

count nouns have singular and plural forms (e.g., a book and books), whereas uncountable

nouns combine only with some or the. As noted in Chapter 1, some common nouns may be

either countor non-count,dependingon the kind of reference they have. For example, cake can

be countable when it refers to a specific one as in I made a cake, but can be noncountablewhen

it refers to ‘cake in general’ as in I like cake.

Together with verbs, nouns are of pivotal importance in English, forming the semantic and

structural components of sentences. This chapter deals with the structural, semantic, and func-

tional dimensionsof NPs, with focus on the agreement relationships of nouns with determiners

and of subjects with verbs.

6.2 Syntactic Structures

6.2.1 Common Nouns

As noted before, common nouns can have a determiner as a specifier, unlike proper and pro-

nouns. In particular, count nouns cannot be used without a determiner when they are singular:

(3) a. *Book is available in most countries.

b. *Student studies English for 4 hours a day.

(4) a. Rice is available in most countries.

b. Students study English for 4 hours a day.

We can see here that mass nouns, or plural count nouns, are fully grammatical as bare nouns

phrases.1

This has the consequence for our grammatical analysis that singular countable nouns like

student must select a determiner as specifier. As we have seen in Chapters 2 and 4, there are

various kinds of expressions which can serve as determiners including a, an, this, that, any,

some, his, how, which, some, no, much, few, . . . as well as a possessive phrase:

(5) a. His friend learned dancing.

b. My bother’s friend learned dancing.

1The style of English used in headlines does not have this restriction, e.g., Student discovers planet, Army receives

high-tech helicopter.

NOUN PHRASES AND AGREEMENT / 99

c. The president’s bodyguard learned surveillance.

d. The King of Rock and Roll’s records led to dancing.

These possessive NPs my brother’s or the president’s are not determiners, because they are

phrases. We take such phrases as DPs headed by the Det ’s (cf. Abney (1987)). Let’s consider

the lexical entries for the relevant words:

(6)

⎡ ⎢⎢⎢⎢⎢⎣ 〈my〉 HEAD |POS det SPR 〈〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎦ b.

⎡ ⎢⎢⎢⎢⎢⎣ 〈’s〉 HEAD |POS det SPR 〈 NP〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎣ 〈brother〉 HEAD |POS noun SPR 〈 DP 〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎦ d.

⎡ ⎢⎢⎢⎢⎢⎣ 〈friend〉 HEAD |POS noun SPR 〈DP〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎦

As given here, determiners like my and uncountable nouns like rice select neither specifier

nor complement whereas the possessive marker ’s and the countable noun friend requires a

NP and DP specifier, respectively. Meanwhile, countable noun brother requires a DP as its

specifier. This means that not only a simple determiner but also a possessive NP can function

as a specifier. Reflecting this generalization, we can assume that a countable noun selects not a

simpledeterminerbutaDP(determinerphrase)as its specifier:These lexicalentrieswill project

NP structures like the following for (5b):2

(7) NP

RRR RRR

RRR R

77777777 7777777

1 DP

JJ JJ JJ JJ JJ JJ JJ JJ JJ

SSS SSS

SSS S

N′⎡ ⎣SPR 〈 1 DP〉 COMPS 〈〉

⎤ ⎦

2 NP

ZZ ZZ ZZ ZZ

[[ [[

Det⎡ ⎣SPR 〈 2 NP〉 COMPS 〈〉

⎤ ⎦

N⎡ ⎣SPR 〈 1 DP〉 COMPS 〈〉

⎤ ⎦

my brother ’s friend

As represented here, the noun friend does not select a complement, and thus projects into an

intermediate phrase which in turn combines with the specifier DP my brother’s whose head is 2Keen readers may have noticed that we allow a vacuous projection from N to N′ and to NP when no specifier or

complement is combined. We can also allow an N to directly project into an NP.

100 / ENGLISH SYNTAX: AN INTRODUCTION

the possessive determiner.

6.2.2 Pronouns

The core class of pronouns in English includes at least three main subgroups:

(8) a. Personal pronouns: I, you, he, she, it, they, we

b. Reflexive pronouns:myself, yourself, himself, herself, itself

c. Reciprocal pronoun:each other

Personalpronounsrefer to specificpersonsor thingsand take different forms to indicateperson,

number, gender, and case. They participate in agreement relations with their antecedent, the

phrase which they are understood to be referring to (indicated by the underlined parts of the

examples in (9)).

(9) a. President Lincoln delivered his/*her Gettysburg Address in 1863.

b. After reading the pamphlet, Judy threw it/*them into the garbage can.

c. I got worried when the neighbors let their/*his dogs out.

Reflexive pronounsare special formswhich typically are used to indicate a reflexive activity

or action, which can include mental activities.

(10) a. After the party, I asked myself why I had faxed invitations to everyone in my office

building.

b. Edward usually remembered to send a copy of his e-mail to himself.

As noted earlier, these personalor reflexive pronounsneither take a determiner nor combine

with an adjective except in very restricted constructions.3.

6.2.3 ProperNouns

Since proper nouns usually refer to something or someone unique, they do not normally take a

plural form and cannot occur with a determiner:

(11) a. John, Bill, Seoul, January, . . .

b. *a John, *a Bill, *a Seoul, *a January, . . .

However, proper nouns can be converted into countable nouns when they refer to a particular

individualor type of individual:

(12) a. No John Smiths attended the meeting.

b. This John Smith lives in Seoul.

c. There are three Davids in my class.

d. It’s nothing like the America I remember.

e. My brother is an Einstein at maths.

In such cases, proper nouns are converted into common nouns, may select a specifier, and take

other nominal modifiers. 3These restricted constructions involve some indefinite pronouns (e.g., a little something, a certain someone)

NOUN PHRASES AND AGREEMENT / 101

6.3 Agreement Types and Morpho-syntactic Features

6.3.1 Noun-Determiner Agreement

Common nouns in English participate in three types of agreement. First, they are involved in

determiner-noun agreement. All countable nouns are used either as singular or plural. When

they combine with a determiner, there must be an agreement relationship between the two:

(13) a. this book/that book

b. *this books/*that books/these books/those books

c. *few dog/few dogs

The data in turn means that the head noun’s number value should be identical to that of its

specifier, leading us to revise the Head-Specifier Rule as following:

(14) Head-Specifier Rule:

XP → SPR [ AGR 1

] , H [ AGR 1

] This revised rule guarantees that English head-specifier phrases require their head and spec-

ifier to share agreement features, implying that determiners and nouns have NUM (number)

information as their syntactic AGR (agreement) value:

(15)

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈a〉

HEAD

⎡ ⎣POS det AGR |NUM sing

⎤ ⎦

SPR 〈〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈book〉

HEAD

⎡ ⎣POS noun AGR |NUM sing

⎤ ⎦

SPR 〈DP[NUM sing]〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Common nouns thus impose a specific NUM value on the specifier:

102 / ENGLISH SYNTAX: AN INTRODUCTION

(16) NP [ AGR |NUM sing

]

FF FF FF FF FF FF FF F

��

1 DP[NUM sing]

N′⎡ ⎢⎢⎢⎣ AGR |NUM sing SPR 〈 1 DP〉 COMPS 〈〉

⎤ ⎥⎥⎥⎦

��

N⎡ ⎢⎢⎢⎣ AGR |NUM sing SPR 〈 1 DP〉 COMPS 〈〉

⎤ ⎥⎥⎥⎦

��

book

The singular noun book selects a singular determiner like a. Notice that the AGR value on the

head noun book is passed up to the whole NP, marking the whole NP as singular, so that it can

combine with a singular VP, if it is the subject.

In addition, there is nothing preventing a singular noun from combining with a determiner

which is not specified at all for a NUM value:

(17) a. *those book, *these book, . . .

b. no book, the book, my book, . . .

Determiners like the, no and my are not specified for a NUM value. Formally, their NUM value

isunderspecifiedas num(ber).That is, thegrammarofEnglishhas theunderspecifiedvaluenum

for the feature NUM, with two subtypes sing(ular) and pl(ural):

(18) num

��

sing pl

Given this hierarchy, nouns like book requiring a singular Det can combine with determiners

like the whose AGR value is num. This is in accord with the grammar since the value num is a

supertype of sing.

NOUN PHRASES AND AGREEMENT / 103

6.3.2 Pronoun-AntecedentAgreement

As noted earlier, a second type of agreement is pronoun-antecedentagreement, as indicated in

(19).

(19) a. In the book, he talks abouthisupsanddownsatMcLaren.Throughout itall he seeks to answer the questions about himself.

b. If Johnwants to succeed incorporate life,he/*shehas to knowthe rulesof the game.

c. The critique of Plato’s Republic was written from a contemporary point of view. It

was an in-depth analysis of Plato’s opinions about possible governmental forms.

The pronounhe or it here needs to agreewith its antecedentnotonlywith respect to the number

value but also with respect to person (1st, 2nd,3rd) and gender (masculine, feminine,or neuter)

values too. This shows us that nouns have also information about person and gender as well as

number in the AGR values:

(20)

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈book〉

HEAD

⎡ ⎢⎢⎢⎢⎢⎣

POS noun

AGR

⎡ ⎢⎢⎣ NUM sing

GEN neut

PER 3rd

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

VAL

⎡ ⎣SPR 〈DP[NUM sing]〉 COMPS 〈〉

⎤ ⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈he〉

HEAD

⎡ ⎢⎢⎢⎢⎢⎣

POS noun

AGR

⎡ ⎢⎢⎣ NUM sing

PER 3rd

GEN masc

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

VAL

⎡ ⎣SPR 〈〉 COMPS 〈〉

⎤ ⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Aswehavebrieflyshown,nounshaveNUM,PER(SON),andGEN(DER)for theirAGRvalues.

ThePERvaluecanbe1st, 2nd or3rd; theGENvaluecanbemasc(uline), fem(inine)orneut(er).

The NUM values are shown in (18) above.

6.3.3 Subject-VerbAgreement

The third type of agreement is subject-verb agreement, which is one of the most important

phenomena in English syntax. Let us look at some slightly complex examples:

(21) a. The characters in Shakespeare’s Twelfth Night *lives/live in a world that has been

turned upside-down.

b. Students studying Englishread/*readsConrad’s Heart of Darkness while at univer- sity.

As we can see here, the subject and the verb need to have an identical number value; and the

person value is also involved in agreement relations, in particularwhen the subject is a personal

pronoun:

(22) a. You are/*is the only person that I can rely on.

b. He is/*are the only person that I can rely on.

104 / ENGLISH SYNTAX: AN INTRODUCTION

These facts show us that a verb lexically specifies the information about the number as well as

person values of the subject that it selects for.

To show how the agreement system works, we will use some simpler examples:

(23) a. The boy swims/*swim.

b. The boys swim/*swims.

English verbs will have at least the following selectional information:

(24) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈swims〉

HEAD

⎡ ⎣POS verb VFORM pres

⎤ ⎦

VAL |SPR ⟨ NP

⎡ ⎣PER 3rd NUM sing

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The present-tense verb swims thus specifies that its subject (SPR’s value) carries a 3rd singular

AGR information.This lexical information will license a structure like the following:

(25) S

��

2 NP⎡ ⎣AGR

⎡ ⎣PER 3rd NUM sing

⎤ ⎦ ⎤ ⎦

>> >> >> >> >

?? ?? ?? ?? ?

VP⎡ ⎢⎣SPR

⟨ 2 NP

⎡ ⎣AGR

⎡ ⎣PER 3rd NUM sing

⎤ ⎦ ⎤ ⎦ ⟩⎤⎥⎦

The boy V[

SPR 〈 2 NP〉 ]

swims

Only when the verb combines with a subject satisfying its AGR requirement will we have a

well-formed head-subject phrase. In other words, if this verb were to combine with a subject

with an incompatibleagreementvalue,wewouldgenerateanungrammaticalexample like *The

boys swims in (23b). In this system,whatsubject-verbagreement is is structure-sharingbetween

the AGR value of the subject (SPR value of the verb) and that of the NP that the VP combines

with.

NOUN PHRASES AND AGREEMENT / 105

Theacute readermayhavenoticed that therearesimilaritiesbetweennoun-determineragree-

ment and subject-verbagreement, that is, in the way that agreementworks inside NP and inside

S. Both NP and S require agreement between the head and the specifier, as reflected in the

revised Head-Specifier Rule in (14).

6.4 Semantic Agreement Features

What we have seen so far is that the morphosyntacticAGR values of noun or verb can be spec-

ified, and may be inherited by phrases built out of them. However, consider now the following

examples adopted from Nunberg (1995):

(26) a. [The hash browns at table nine] are/*is getting cold.

b. [The hash browns at table nine] is/*are getting angry.

When (26b) is spoken by a waiter to another waiter, the subject refers to a person who ordered

hash browns. A somewhat similar case is found in (27):

(27) King prawns cooked in chili salt and pepper was very much better, a simple dish succu-

lently executed.

Here the verb form was is singular to agree with the dish being referred to, rather than with a

plurality of prawns. If we simply assume that the subject phrase inherits the morphosyntactic

agreement features of the head noun (hash) browns in (26b) and (King) prawns in (27), and

requires that these featuresmatch those of the verb,we would not expect the singular verb form

to be possible at all in these examples. In the interpretation of a nominal expression, it must

be anchored to an individual in the situation described. We call this anchoring value the noun

phrase’s ‘index’value.The indexof hash browns in (26a)mustbeanchoredto thepluralentities

on the plate, whereas that of hash browns in (26b) is anchored to a customer who ordered the

food.

English agreement is not purely morpho-syntactic as described in the sections above, but

context-dependentin variousways, via the notionof ‘index’ thatwe have just introduced.Often

what a given nominal refers to in the real world is important for agreement – index agreement.

Index agreement involves sharing of referential indexes, closely related to the semantics of a

nominal, and somewhat separate from the syntactic agreement feature AGR. This then requires

us to distinguish the morphological AGR value and semantic (SEM(ANTIC)) IND(EX) value.

So, in addition to the morphological AGR value introduced above, each noun will also have a

semantic IND value representing what the noun refers to in the actual world.

(28) a. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈boy〉

SYN |HEAD ⎡ ⎣POS noun AGR |NUM sing

⎤ ⎦

SEM | IND |NUM sing

⎤ ⎥⎥⎥⎥⎥⎥⎦

106 / ENGLISH SYNTAX: AN INTRODUCTION

b. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈boys〉

SYN |HEAD ⎡ ⎣POS noun AGR |NUM pl

⎤ ⎦

SEM | IND |NUM pl

⎤ ⎥⎥⎥⎥⎥⎥⎦

The lexical entry for boy indicates that it is syntactically a singular noun (through the feature

AGR) and semantically also denotes a singular entity (through the feature IND). And the verb

will place a restriction on its subject’s IND value rather than its morphologicalAGR value:4

(29) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈swims〉

SYN

⎡ ⎢⎢⎢⎢⎣ HEAD

⎡ ⎣POS verb AGR |NUM sing

⎤ ⎦

VAL |SPR ⟨ NP[IND |NUM sing]

⟩

⎤ ⎥⎥⎥⎥⎦

SEM | IND s0

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The lexical entry for swims here indicates that it is morphologically marked as singular (the

AGR feature) and selects a subject to be linked to a singular entity in the context (by the feature

IND). Different from nouns, the verb’s own IND value is a situation index (s0) in which the in-

dividual referred to through the SPR value is performingthe actionof swimming. If the referent

of this subject (its IND value) does not match, we would generate an ungrammatical example

like *The boys swims:

(30) *S

��

2 NP⎡ ⎣INDj

⎡ ⎣PER 3rd NUM pl

⎤ ⎦ ⎤ ⎦

<< << << << <

== == == == =

VP⎡ ⎢⎣SPR

⟨ 2 NPi

⎡ ⎣PER 3rd NUM sing

⎤ ⎦ ⟩⎤⎥⎦

The boys V[

SPR 〈 2 NP i 〉 ]

swims

4The IND value of a noun will be an individual index (i, j, k, etc) whereas that of a verb or predicative adjective will

be a situation index such as s0, s1, s2, etc.

NOUN PHRASES AND AGREEMENT / 107

As we can see here, the requiredsubject has the IND value i, but the subject has a different IND

value j.

In the most usual cases, the AGRand IND value are identical, but they can be different, as in

examples like (26b). This means that dependingon the context, hash browns can have different

IND values:5

(31)

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈hash browns〉

SYN |HEAD ⎡ ⎣POS noun AGR |NUM pl

⎤ ⎦

SEM | IND 1 |NUM pl

⎤ ⎥⎥⎥⎥⎥⎥⎦ (when referring to the food itself)

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈hash browns〉

SYN |HEAD ⎡ ⎣POS noun AGR |NUM pl

⎤ ⎦

SEM | IND 1 |NUM sing

⎤ ⎥⎥⎥⎥⎥⎥⎦ (when referring to a customer, or to a dish)

In the lexical entry (31b), the AGR’s NUM value is plural but its IND’s NUM value is singu-

lar. As shown by (26), the reference hash browns can be transferred from cooked potatoes to

the customer who ordered it. This means that given an appropriate context, there could be a

mismatch between the morphological form of a noun and the index value that the noun refers

to.

What this indicates is that subject-verb agreement and noun-specifier agreement are dif-

ferent. In fact, English determiner-noun agreement is only a reflection of morpho-syntactic

agreement features between determiner and noun, whereas both subject-verb agreement and

pronoun-antecedentagreement are index-basedagreement. This is represented in (32).

(32) Morpho-syntactic agreement (AGR)

Det ��

head-noun verb .. .

Index agreement (IND)

Such agreement patterns can be clearly found in examples like the following where the un-

derlined parts have singular agreementwith four pounds, which is internally plural.

(33) [Four pounds] was quite a bit of money in 1950 and it was not easy to come by.

Given the separation of the morphological AGR value and the semantic IND value, nothing

blocks mismatches between the two (AGR and IND) as long as all the other constraints are

satisfied. Observe further examples in the following:

(34) a. [Five pounds] is/*are a lot of money.

5As indicated here, the lexical expression now has two features SYN (SYNTAX) and SEM (SEMANTICS). The

feature SYN includes HEAD and SPR and COMPS. The feature SEM is for semantic information. As our discussion

goes on, we will add more to this part.

108 / ENGLISH SYNTAX: AN INTRODUCTION

b. [Two drops] deodorizes/*deodorizeanything in your house.

c. [Fifteen dollars] in a week is/*are not much.

d. [Fifteen years] represents/*represent a long period of his life.

e. [Two miles] is/*are as far as they can walk.

In all of these examples with measure nouns, the plural subject combines with a singular verb.

An apparent conflict arises from the agreement featuresof the headnoun.For properagreement

inside the noun phrase, the head noun has to be plural, but for subject-verb agreement the

noun has to be singular. Consider the example in (34a). The nouns pounds and drops here are

morphologically plural and thus must select a plural determiner, as argued so far. But when

these nouns are anchored to the group as a whole – that is, conceptualized as referring to a

single measure, the index value has to be singular, as represented in (35).

(35) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈pounds〉

SYN

⎡ ⎢⎢⎢⎢⎢⎣ HEAD

⎡ ⎣POS noun AGR 1 | NUM pl

⎤ ⎦

SPR

⟨ DP [ AGR 1

]⟩

⎤ ⎥⎥⎥⎥⎥⎦

SEM | IND | NUM sing

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

As indicated in the lexical entry (35), the morpho-syntactic number value of pounds is plural

whereas the index value is singular. In the present analysis, this would mean that pounds will

combine with a plural determiner but with a singular verb. This is possible, as noted earlier in

section 2, since the index value is anchored to a singular individual in the context of utterance.

The present analysis thus generates the following structure for the sentence (34a):

(36) S

��

3 NP

⎡ ⎣AGR 1 IND i

⎤ ⎦

OO OO OO OO OO

.. ..

VP[ SPR 〈 3 NP i 〉

]

OO OO OO OO OO

��

Det[ AGR 1 |NUM pl

] N⎡

⎣AGR 1 IND i

⎤ ⎦

V[ SPR 〈 3 NP i 〉

] NP

55 55 55 55 55 5

66 66

66 6

Five pounds is a lot of money

NOUN PHRASES AND AGREEMENT / 109

A similar mismatch is also found in cases with terms for social organizationsor collections,

as in the following authentic examples:6

(37) a. This Government have/has been more transparent in the way they have dealt with

public finances than any previousgovernment.

b. In preparation for the return fixture this team have/has trained more efficiently than

they had in recent months.

The head noun government or team is singular so that it can combine with the singular de-

terminer this. But the conflicting fact is that the singular noun phrase can combine even with

a plural verb have as well as with a singular verb has. This is possible since the index value

of the subject can be anchored either to a singular or to plural kind of entity. More precisely,

we could represent the relevant informationof the expressions participating in these agreement

relationships as in (38).

(38) a. ⎡ ⎢⎢⎢⎣ 〈this〉

HEAD

⎡ ⎣POS det AGR | NUM sing

⎤ ⎦ ⎤ ⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

〈team/government〉

SYN

⎡ ⎣HEAD

⎡ ⎣POS noun AGR | NUM sing

⎤ ⎦ ⎤ ⎦

SEM | IND | NUM pl

⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

Asrepresented in (38a)and(38b), this andgovernment agreeeachother in termsof themorpho-

syntactic agreement number value whereas the index value of government is what matters for

subject-verb agreement. This in turn means that when government refers to the individuals in

this given group, the whole NP this government carries a plural index value.

6.5 Partitive NPs and Agreement

6.5.1 Basic Properties

With regard to the NP-internal elements between which we may find instances of agreement,

there are two main types of NP in English: simple NPs and partitive NPs, shown in (39) and

(40) respectively.

(39) a. some objections

b. most students

c. all students 6To some speakers, the plural verb does not go with the singular subject this team. To these people, the neutral

determiner the is much better.

110 / ENGLISH SYNTAX: AN INTRODUCTION

d. much worry

e. many students

f. neither cars

(40) a. some of the objections

b. most of the students

c. all of the students

d. much of her worry

e. many of the students

f. neither of the cars

As in (40), the partitive phrases have a quantifier followed by an of-phrase, designating a set

with respect to which certain individuals are quantified. In terms of semantics, these partitive

NPs are different from simple NPs in several respects.

First, the lower NP in partitive phrases must be definite; and in the of-phrase, no quantifica-

tional NP is allowed, as shown in (41):

(41) a. Each student vs. each of the students vs. *each of students

b. Some problems vs. some of the problems vs. *some of many problems

Second, not all determiners with quantificational force can appear in partitive constructions.

As shown in (42), determiners such as the, every and no cannot occupy the first position:

(42) a. *the of the students vs. the students

b. *every of his ideas vs. every idea

c. *no of your books vs. no book(s)

Third, simple NPs and partitive NPs have different restrictions relative to the semantic head.

Observe the contrast between (43) and (44):

(43) a. She doesn’t believe much of that story.

b. We listened to as little of his speech as possible.

c. How much of the fresco did the flood damage?

d. I read some of the book.

(44) a. *She doesn’t believe much story.

b. *We listened to as little speech as possible.

c. *How much fresco did the flood damage?

d. *I read some book.

The partitive constructions in (43) allow a mass (non-count) quantifier such as much, little and

some to cooccur with a lower of-NP containing a singular count noun. But as we can see in

(44), the same elements serving as determiners cannot directly precede such nouns.

Another difference concerns lexical idiosyncrasies.

(45) a. One of the people was dying of thirst.

NOUN PHRASES AND AGREEMENT / 111

b. Many of the people were dying of thirst.

(46) a. *One people was dying of thirst.

b. Many people were dying of thirst.

The partitives can be headed by quantifiers like one and many, as shown in (45) and (46) but

unlike many, one cannot serve as a determiner when the head noun is collective as in (46a).

6.5.2 Two Types of Partitive NPs

We classify partitive NPs into two types based on the agreement facts, and call them Type I

and Type II. In Type I, the number value of the partitive phrase depends on the preceding head

noun whereas in Type II, the number value depends on the head noun inside the of-NP phrase.

Observe Type I examples.

(47) Type I:

a. Each of the suggestions is acceptable.

b. Neither of the cars has air conditioning.

c. None of these men wants to be president.

We can observe here that the verb’s number value is determined by the preceding expression

each, neither and none. Now see Type II:

(48) Type II:

a. Most of the fruit is rotten.

b. Most of the children are here.

c. Some of the soup needs more salt.

d. Some of the diners need menus.

e. All of the land belongs to the government.

f. All of these cars belong to me.

Asshownin (48),when theNPfollowingtheprepositionof is singularoruncountable, themain

verb is singular. When the NP is plural, the verb is also plural. From a semantic perspective,we

see that the class of quantificational indefinite pronouns including some, half, most and all may

combine either singular or plural verbs, depending upon the reference of the of-NP phrase. If

the meaningof these phrases is abouthow muchof something is meant, the verb is singular; but

if the meaning is about how many of something is meant, the verb is plural. The expressions in

(49) also exhibit similar behavior in terms of agreement.

(49) halfof,partof, themajorityof, the restof, two-thirdsof, anumberof (butnot the number

of)

An effective way of capturing the relations between Type I and Type II constructions involves

the lexical properties of the quantifiers. First, Type I and Type II involve pronominal forms

serving as the head of the constructions, which select an of-NP inside which the NP is definite:

(50) a. *neither of students, *some of water

112 / ENGLISH SYNTAX: AN INTRODUCTION

b. neither of the two linguists/some of the water

However, we know that the two types are different in terms of agreement: the pronouns in the

Type I construction are lexically specified to be singular whereas the number value for Type II

comes from inside the selected PP.

A slight digression is in order. It is easy to see that there are prepositions whose functions

are just grammatical markers.

(51) a. John is in the room.

b. I am fond of him.

The predicative preposition in here selects two arguments John and the room. Meanwhile, the

preposition of has no predicative meaning, but just functions as a marker to the argument of

fond. As for the PPs headed by these markers, as in the partitive construction, their semantic

features are identical with the prepositional object NP. There is no semantic difference (such as

definiteness effect represented as the feature DEF in the present system) between the PP of him

and the NP him.

Given this analysis in which the PP in the partitive construction has the identical AGR and

semantic features (e.g., DEF) with its inner NP, we can lexically encode the similarities and

differencesbetween Type I and Type II in a simple manner:

(52) a. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈neither〉

HEAD

⎡ ⎣POS noun AGR |NUM sing

⎤ ⎦

COMPS

⟨ PP

⎡ ⎣PFORM of DEF +

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈some〉

HEAD

⎡ ⎣POS noun AGR |NUM 1

⎤ ⎦

COMPS

⟨ PP

⎡ ⎢⎢⎣ PFORM of

DEF +

AGR |NUM 1

⎤ ⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

(52) shows that both Type I neither and Type II some are lexically specified to require a PP

complement whose semantic value includes the definite (DEF) feature (with the value +). This

will account for the contrast in (50). However, the two types are different in terms of their

AGR’s NUM value. The NUM value of Type I neither is singular, whereas that of Type II is

identified with the PP’s NUM value which is actually coming from its prepositional object NP.

Showing these differences in the syntactic structures, we have the alternatives in (53):

NOUN PHRASES AND AGREEMENT / 113

(53) a. NP[NUM sing]

��

N[NUM sing]

��

neither P NP

��

of the students

b. NP[NUM 1 ]

��

N[NUM 1 ]

��

PP[NUM 1 ]

��

some P NP[NUM 1 ]

��

of the students

As shown in (53a), for Type I, it is neither which determines the NUM value of the whole

NP phrase. However, for Type II, it is the NP the students which determines the NUM value of

the whole NP.

We can check a few of the consequences of these different specifications in the two Types.

Consider the contrast in (54):

(54) a. many of the/those/her apples

b. *many of some/all/no apples

(54b) is ungrammatical since many requires an of-PP phrase whose DEF value is positive.

This system also offers a simple way of dealing with the fact that quantifiers like each affect

the NUM value as well as the countability of the of-NP phrase. One difference between Type I

and Type II is that Type I selects a plural of-NP phrase whereas Type II has no such restriction.

This is illustrated in (55) and (56).

(55) Type I:

a. one of the suggestions/*the suggestion/*his advice

b. each of the suggestions/*the suggestion/*his advice

c. neither of the students/*the student/*his advice

(56) Type II:

a. some of his advice/students

b. most of his advice/students

114 / ENGLISH SYNTAX: AN INTRODUCTION

c. all of his advice/students

The only additional specification we need for Type I pronouns relates to the NUM value on the

PP’s complement as given in (57):

(57) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈each〉

HEAD

⎡ ⎣POS noun AGR |NUM sing

⎤ ⎦

COMPS

⟨ PP

⎡ ⎢⎢⎣ PFORM of

DEF +

NUM pl

⎤ ⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

We see that quantifiers like each select a PP complementwhose NUM value is plural.

Type II pronouns do not have such a requirement on the PP complement – note that all the

examples in (58) are acceptable, in contrast to those in (59) (cf. Baker 1995):

(58) a. Most of John’s boat has been repainted.

b. Some of the record contains evidence of wrongdoing.

c. Much of that theory is unfounded.

(59) a. *Each of John’s boat has been repainted.

b. *Many of the record contained evidence of wrongdoing.

c. *One of the story has appeared in your newspaper.

The contrast here indicates that Type II pronouns can combine with a PP whose inner NP is

singular. This is simply predicted since our analysis allows the inner NP to be either plural or

singular (or uncountable).

We are also in a position now to understand some differences between simple NPs and par-

titive NPs. Consider the following examples:

(60) a. many dogs/*much dog/the dogs

b. much furniture/*manyfurniture/the furniture

(61) a. few dogs/*few dog/*little dogs/*little dog

b. little furniture/*little furnitures/*few furniture/*fewfurnitures

The data here indicate that in addition to the agreement features we have seen so far, common

nouns also place a restriction on the countability value of the selected specifier. Specifically, a

countablenounselects a countabledetermineras its specifier. To capture this agreement restric-

tion, we introduce a new feature COUNT (COUNTABLE):

NOUN PHRASES AND AGREEMENT / 115

(62)

⎡ ⎢⎢⎣ 〈dogs〉 HEAD |POS noun SPR 〈DP[COUNT +]〉

⎤ ⎥⎥⎦ b.

⎡ ⎢⎢⎣ 〈furniture〉 HEAD |POS noun SPR 〈DP[COUNT –]〉

⎤ ⎥⎥⎦

The lexical specification on a countable noun like dogs requires its specifier to be [COUNT +],

to prevent formations like *much dogs. This in turn means that determiners must also carry the

feature COUNT:

(63)

⎡ ⎢⎢⎢⎣ 〈many〉

HEAD

⎡ ⎣POS det COUNT +

⎤ ⎦ ⎤ ⎥⎥⎥⎦ b.

⎡ ⎢⎢⎢⎣ 〈the〉

HEAD

⎡ ⎣POS det COUNT +/–

⎤ ⎦ ⎤ ⎥⎥⎥⎦

⎡ ⎢⎢⎢⎣ 〈little〉

HEAD

⎡ ⎣POS det COUNT –

⎤ ⎦ ⎤ ⎥⎥⎥⎦

Notice here that some determiners such as the are not specified for a value for COUNT. Ef-

fectively, the value can be either + or −, licensing combination with either a countable or an uncountable noun (the book or the furniture).

Now consider the following contrast:

(64) a. much advice vs. *many advice

b. *much story vs. many stories

(65) a. much of the advice vs. *many of the advice

b. much of the story vs. many of the stories

Due to the feature COUNT, we understand now the contrast between much advice and *many

advice or the contrast between *much story and many stories. The facts in partitive structures

areslightlydifferent,as (65)shows,but thepatterns in thedatadirectly followfromthese lexical

entries:

(66)

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈many〉 HEAD |POS noun

COMPS

⟨ PP

⎡ ⎢⎢⎣ PFORM of

NUM pl

DEF +

⎤ ⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈much〉 HEAD |POS noun

COMPS

⟨ PP

⎡ ⎢⎢⎣ PFORM of

NUM sing

DEF +

⎤ ⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Thepronounmany requiresa PPcomplementwhose innerNP isplural,whereasmuchdoesnot.

116 / ENGLISH SYNTAX: AN INTRODUCTION

6.5.3 Measure Noun Phrases

There are also so-called ‘measure noun phrase’ constructions, which are similar to partitive

constructions. Consider the following contrast:

(67) a. one pound of those beans

b. three feet of that wire

c. a quart of Bob’s cider

(68) a. one pound of beans

b. three feet of wire

c. a quart of cider

Notice here that (67) is a kind of partitive construction whereas (68) just measures the amount

of theNPafter of .As theexamplesshow,measurenounphrasesdonot requireadefinitearticle,

which is not an option for the true partitive constructions, repeated here:

(69) *manyofbeans,*someofwire,*muchofcider,*noneofyogurt,*oneof strawberries

In addition, there are several more differences between partitive and measure noun phrases.

For example, measure nouns cannotoccur in simple noun phrases. They obligatorily require an

of-NP phrase:

(70) a. *one pound beans vs. one pound of beans

b. *three feet wire vs. three feet of wire

c. *a quart cider vs. a quart of cider

Further,unlikepartitiveconstructions,measurenounphrases requireanumeralas their spec-

ifier:

(71) a. *one many of the books, *several much of the beer

b. one pound of beans, three feet of wire

As noted here, many or much in the partitive constructions cannot combine with numerals like

one or several;measurenounspound and feet need to combinewith a numeral like one or three.

Furthercomplicationsarisedue to theexistenceofdefectivemeasurenounphrases.Consider

the following examples:

(72) a. *a can tomatoes/a can of tomatoes/one can of tomatoes

b. a few suggestions/*a few of suggestions/*one few of suggestions

c. *a lot suggestions/a lot of suggestions/*one lot of suggestions

Expressions like few and lot actually behave quite differently. With respect to few, it appears

that a few acts like a complex word. However, lot acts more like a noun, but unlike can, it does

not allow its specifier to be a numeral.

In terms of agreement, measure noun phrases behave like Type I partitive constructions:

(73) a. A can of tomatoes is/*are added.

b. Two cans of tomatoes are/*is added.

NOUN PHRASES AND AGREEMENT / 117

We can see here that it is the head noun can or cans which determines the NUM value of the

wholeNP. The innerNP in thePP doesnotaffect the NUM valueat all. These observations lead

us to posit the following lexical entry for a measure noun:

(74) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈pound〉

HEAD

⎡ ⎣POS noun NUM sing

⎤ ⎦

SPR 〈DP〉 COMPS

⟨ PP [ PFORM of

]⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

That is, a measure noun like pound requires one obligatory SPR and a PP complement. Unlike

partitive constructions, there is no definiteness restriction on the PP complement.

Finally, there is one set of words whose behavior leaves them somewhere between quantity

words and measure nouns. These are words such as dozen, hundred, and thousand:

(75) a. three hundred of your friends

b. *three hundredsof your friends

c. *three hundredsof friends

d. three hundred friends

e. hundredsof friends/*hundreds friends

Consider the behavior of hundred and hundreds here. The singular hundred, when used as

noun,obligatorily requires a PP[of] complementas well as a numeral specifier, as in (75a).The

pluralhundreds requiresnospecifier althoughit also selects a PPcomplement.Not surprisingly,

similar behavior can be observed with thousand and thousands:

(76) a. several thousand of Bill’s supporters

b. *several thousands of Bill’s supporters

c. *several thousands of supporters

d. several thousand supporters

e. thousands of supporters/*thousandssupporters

One way to capture these properties is to assign the following lexical specifications to hundred

and hundreds:

(77)

⎡ ⎢⎢⎢⎢⎢⎣

〈hundred〉 HEAD |POS noun SPR 〈DP〉 COMPS

⟨ PP[PFORM of]

⟩

⎤ ⎥⎥⎥⎥⎥⎦ b.

⎡ ⎢⎢⎢⎢⎢⎣

〈hundreds〉 HEAD |POS noun SPR 〈〉 COMPS

⟨ PP[PFOR of]

⟩

⎤ ⎥⎥⎥⎥⎥⎦

118 / ENGLISH SYNTAX: AN INTRODUCTION

Even though there may be some semantic reasons for all these different kinds of lexical spec-

ifications, for now, stating it all directly in the lexical entries will account at least for the data

given here.

6.6 Modifying an NP

6.6.1 Adjectives as PrenominalModifiers

Adjectives are expressions commonly used to modify a noun. However, not all adjectives can

modify nouns. Even though most adjectives can be used either as in a modifying (attributive)

function or as a predicate (as in She is tall), certain adjectives are restricted to their usages.

Adjectives such alive, asleep, awake, afraid, ashamed, aware, can be used only predicatively,

whereas others such as wooden, drunken, golden, main and mere are only used attributively:

(78) a. He is alive.

b. He is afraid of foxes.

(79) a. It is a wooden desk.

b. It is a golden hair.

c. It is the main street.

(80) a. *It is an alive fish. (cf. living fish)

b. *They are afraid people. (cf. nervous people)

(81) a. *This objection is main. (cf. the main objection)

b. *This fact is key. (cf. a key fact)

The predicatively-used adjectives are specified with the feature PRD, and with a MOD value

being empty as default, as shown here:7

(82) ⎡ ⎢⎢⎢⎢⎢⎣

〈alive〉

HEAD

⎡ ⎢⎢⎣ POS adj

PRD +

MOD 〈〉

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

This says that alive is used predicatively, and does not have a specification for a MOD value

(thevalue is empty).This lexical informationwill preventpredicativeadjectives fromalso func-

tioning as noun modifiers.8

In contrast to the predicative adjective, a modifyingadjective will have the following lexical

entry:

7All modifiers (adverbial element) will carry the head feature MOD. 8In addition, all predicative expressions select one argument, their subject (SPR). This information is not shown

here.

NOUN PHRASES AND AGREEMENT / 119

(83) ⎡ ⎢⎢⎢⎣ 〈brave〉

HEAD

⎡ ⎣POS adj MOD 〈N′〉

⎤ ⎦ ⎤ ⎥⎥⎥⎦

This specifies an adjective which modifies any value whose POS is noun. This will license a

structure like the following:

(84) NP

��

2 DP N′[

SPR 〈 2 DP〉 ]

��

the AP[

MOD 〈 1 〉 ] 1 N′[

SPR 〈 2 DP〉 ]

ZZ ZZ [[ [[

brave child

6.6.2 Postnominal Modifiers

Postnominalmodifiersare basically the same asprenominalmodifierswith respect to what they

are modifying. The only difference is that they come after what they modify. Various phrases

can function as such postnominal modifiers:

(85) a. [The boy [in the doorway]] waved to his father.

b. [The man [eager to start the meeting]] is John’s sister.

c. [The man [holding the bottle]] disappeared.

d. [The papers [removed from the safe]] have not been found.

e. [The money [that you gave me]] disappeared last night.

All these postnominal elements bear the feature MOD. Leaving aside detailed discussion of the

relative clause(-like)modifiers in b–e untilChapter 12, we can say that example (85a) will have

the following structure:

120 / ENGLISH SYNTAX: AN INTRODUCTION

(86) NP

��

2 DP N′[

SPR 〈 2 DP〉 ]

��

the 1 N′[

SPR 〈 2 DP〉 ] PP[

MOD 〈 1 〉 ]

��

� ��

��

boy in the doorway

These modifiers must modify an N′, but not a complete NP. This claim is consistent with the examples above and with the (ungrammatical) examples in (87):

(87) a. *John in the doorway waved to his father.

b. *He in the doorway waved to his father.

A proper noun or a pronoun projects directly to the NP, with no complement or specifier. If it

were thecase thatpost-nominalPPcouldmodifyanyNP, theseexamplesought tobeacceptable.

NOUN PHRASES AND AGREEMENT / 121

6.7 Exercises

1. Draw tree structures for the following and mark which expression determines the agree-

ment (AGR) and index values of the subject NP and the main verb.

(i) a. Neither of these men is worthy to lead Italy.

b. None of his customary excuses suffices Edgar now.

c. One of the problems was the robins.

d. All of the plant virus web sites have been convenientlycollected in one central

location.

e. Some of the water from melted snow also goes into the ground for plants.

f. Most of the milk your baby ingests during breastfeeding is produced during

nursing.

g. All special rights of voting in the election were abolished.

h. One of major factors affecting the value of diamondswas their weight.

i. Each of these stones has to be cut and polished.

j. Most of her free time was spent attending concerts and plays or visiting muse-

ums and art galleries.

2. Provide a detailed analysis for the following examples, focusing on subject-verb agree-

ment. In doing so, provide the correct AGR and IND value of the subject head noun and

the main verb.

(i) a. The committee were/*was unanimous in their decision.

b. The committee have/*has all now resigned.

c. The crew have/*has both agreed to change sponsor.

d. Her family are/*is all avid skiers.

e. A variety of styles has/*have been in vogue for the last year.

3. Compare the following examples and assign an appropriate structure to each. What kind

of lexical category can you assign to both and few? Can you provide arguments for your

decisions?

(i) a. Both of the workers will wear carnations.

b. Both the workers will wear carnations.

c. Both workers will wear carnations.

d. Both will wear carnations.

(ii) a. Few of the doctors approve of our remedy.

b. Few doctors approveof our remedy.

c. Few approveof our remedy.

4. Provide the correct VFORM value of the underlined verb and identify the noun that se-

mantically determines this VFORM value.

(i) a. An example of these substances be tobacco.

b. The effectiveness of teaching and learning dependon several factors.

122 / ENGLISH SYNTAX: AN INTRODUCTION

c. One of the most serious problems that some students have be lack of motiva-

tion.

d. Ten years be a long time to spend in prison.

e. Everyone of us be given a prize.

f. Some of the fruit be going bad.

g. All of his wealth come from real estate investments.

h. Do some of your relatives live nearby?

i. Fifty pounds seem like a lot of weight to lose in one year.

j. NewsofPersephoneandDemeter reach thegreatgodsandgoddessesofOlym-

pus.

k. Half of the year be dark and wintry.

l. Some of the promotersof ostrich meat compare its taste to beef tenderloin.

5. Consider the following pairs of examples and explain the subject-verb and pronoun-

antecedent agreement relationships, and how they affect grammaticality:

(i) a. The committeei hasn’t yet made up itsi/*theiri mind.

b. The committeei haven’t yet made up theiri/*itsi mind.

(ii) a. That dog is so ferocious, it even tried to bite itself.

b. *That dog is so ferocious, it even tried to bite himself.

6. Consider the distributionof the reflexivepronouns(myself, yourself, himself, herself) and

simple pronouns (me, you, he, him, her), respectively. Provide rules which can explain

their distribution, in terms of what the pronoun form must, may, or must not be corefer-

ential with. Please take the grammaticality judgements as given.

(i) a. *I washed me.

b. You washed me.

c. He washed me.

(ii) a. I washed myself.

b. *You washed myself.

c. *He washed myself.

(iii) a. I washed you.

b. *He washed him. (He and him referring to the same person.)

c. He kicked you.

(iv) a. *I washed yourself.

b. You washed yourself.

c. *He washed yourself.

Once you have your own hypothesis for the above data, now examine the following data,

and then determine whetheryourprevioushypothesiscan account for this extra data; and

if not, revise your hypothesis so that it can extend to these examples:

(v) a. Harry says that Sally dislikes him.

b. *Harry says that Sally dislikes himself.

NOUN PHRASES AND AGREEMENT / 123

(vi) a. Sally wishes that everyone would praise her.

b. *Sally wishes that everyone would praise herself.

(vii) a. Sally believes that she is brilliant.

b. *Sally believes that herself is brilliant.

7. Read the following passages and provide detailed lexical entries for the underlined ex-

pressions. For nouns, specify their AGR and IND values.

(i) The powerofyourmindand the powerofyourbodyhavea tight connection. If

youhavea strongbody,yourmind feelspumpedandhealthy, too. Ifyouhavea

strong mind, you can craft your body to accomplish amazing things. I focuson

constantly developing this double toughness. I train hard, play hard, and when

life snaps at me, I live hard. This philosophy gets me through anything and

everything.

(ii) One very important and highly productive feature of nouns in English is that

they can be put together to form a new phrase without our having to make

any structural changes to the grammar of either noun, as in tea cup, computer

screen, vacuum cleaner, chalk board, internet facility, garden fence, etc. When

twoormorenounscombinelike this, thefirstnounis said tomodify thesecond.

In a sense, the first noun is playing the role of an adjective, which is what

most people have in mind when we think about modification, but nouns can

do the job equally well. It is worth mentioning that not every language has

this facility, but native speakers of English are quite happy to invent their own

combinations of nouns in order to describe things, events or ideas that they

have not come across before; this is particularly true in the workplace where

we need constantly to refer to innovationsand new concepts.9

9Adopted from Waylink English at http://www.waylink.co.uk/.

Raising and Control Constructions

7.1 Raising and Control Predicates

As noted in Chapter 5, certain verbs select an infinitival VP as their complement. Compare the

following pairs of examples:

(1) a. John tries to fix the computer.

b. John seems to fix the computer.

(2) a. Mary persuaded John to fix the computer.

b. Mary expected John to fix the computer.

At first glance, these pairs are structurally isomorphic in terms of complements: both try and

tend select an infinitival VP, and expect and persuade select an NP and an infinitival VP. How-

ever, there are several significantdifferenceswhich motivate two classes, knownas controland raising verbs:

(3) a. Control verbs and adjectives: try, hope, eager, persuade, promise, etc.

b. Raising verbs and adjectives: seem, appear, happen, likely, certain, believe, expect,

etc.

Verbs like try are called ‘control’or ‘equi’verbs,where subject is understood to be ‘equivalent’

to the unexpressed subject of the infinitival VP. In lingustic terminology, the subject of the verb

is said to ‘control’ the subjectof the infinitival complement.Let usconsider the ‘deepstructure’

of (1a) representing unexpressed subject of the VP complementof tries:1

(4) John tries [(for) John to fix the computer].

As shown here, in this sentence it is John who does the action of fixing the computer. In the

original tranformational grammar approach, this deep structure would be proposed and then

undergo a rule of ‘Equivalent NP Deletion’ in which the second NP John would be deleted, to

produce the output sentence. This is why such verbs have the label of ‘equi-verbs’. 1Deep structure, linked to surface structure, is a theoretical construct and abstract level of representation that seeks

to unify several related observed formand played an important role in the transformational grammarof the 20th century.

For example, the surface structures of both The cat chased the mouse and The mouse was chased by the cat are derived

from the identical deep structure similar to The cat chased the mouse.

125

126 / ENGLISH SYNTAX: AN INTRODUCTION

Meanwhile, verbs like seem are called ‘raising’ verbs. Consider the deep structure of (1b):

(5) � seems [John to fix the computer]. In order to derive the ‘surface structure’ (1b), the subject John needs to be raised to the matrix

subject position marked by �. This is why verbs like seem are called ‘raising’ verbs. This chapter discusses the similarities and differences of these two types of verb, and shows

how we explain their respective properties in a systematic way.

7.2 Differences between Raising and Control Verbs

There are many differences between the two classes of verb, which we present here.

7.2.1 Subject Raising and Control

The semantic role of the subject: One clear difference between raising and control verbs is

the semantic role assigned to the subject. Let us compare the following examples:

(6) a. John tries to be honest.

b. John seems to be honest.

These might have paraphrases as follows:

(7) a. John makes efforts for himself to be honest.

b. It seems that John is honest.

Assuggestedby theparaphrase, theonewhodoes theactionof trying is John in (6a).Howabout

(6b)? Is it John who is involved in the situation of ‘seeming’? As represented in its paraphrase

(7b), the situation that the verb seem describes is not about the individual John, but is rather

about the proposition that John is honest. Due to this difference, we say that a control verb like

try assigns a semantic role to its subject (the ‘agent’ role), whereasa raising verb seem does not

assign any semantic role to its subject (this is what (5) is intended to represent).

Expletive subjects: Since the raising verb does not assign a semantic role to its subject, cer-

tain expressions which do not have a semantic role or any meaning may appear in the subject

position. Such items include the expletives it or there:

(8) a. It tends to be warm in September.

b. It seems to bother Kim that they resigned.

The situation is markedly different with control verbs:

(9) a. *It/*There tries to be warm in September.

b. *It/*There hopes to bother Kim that they resigned.

Since control verbs like try and hope require their subject to have an agent role, an expletive it

or there, which takes no semantic role, cannot function as their subject.

We can observe the same contrast with respect to raising and control adjectives:

(10) a. It/*John is easy to please Maja.

RAISING AND CONTROL CONSTRUCTIONS / 127

b. John/*It is eager to please Maja.

Since the raising adjective easy do not assign any semantic role to its subject, we can have it as

its subject. On the other hand, the control adjective eager assigns a role and thus does not allow

the expletive it as its subject.

Subcategorization: If we look into what determines the subject’s properties, we can see that in raising constructions, it is not the raising verb or adjective, but the infinitival complement’s

predicatewhichdetermines thecharacteristicof the subject. In raisingconstructions, the subject

of the raising predicate is selected as the subject of the complement VP. Observe the following

contrast:

(11) a. Stephen seemed [to be intelligent].

b. It seems [to be easy to fool Ben].

c. There is likely [to be a letter in the mailbox].

d. Tabs are likely [to be kept on participants].

in the sense of: ‘The participants will be spied on.’

(12) a. *There seemed [to be intelligent].

b. *John seems [to be easy to fool Ben].

c. *John is likely [to be a letter in the mailbox].

d. *John is likely [to be kept on participants].

For example, the VP to be intelligent requires an animate subject, and this is why (11a) is fine

but (12a) is not.Meanwhile, the VP to be easy to fool Ben requires the expletive it as its subject.

This is why John cannot be the subject in (12b). The contrast in (c) and (d) is similar. The VP

[to be a letter in the mailbox] allows its subject to be there (cf. There is a letter in the mailbox)

but not John. The VP [to be kept on participants] requires a subject which must be the word

tabs in order to induce an idiomatic meaning.

In raising constructions, whatever category is required as the subject of the infinitival VP, is

also required as the subject by the higher VP – hence the intuition of ‘raising’: the requirement

for the subject passes up to the higher predicate.

However, for control verbs, there is no direct selectional relation between the subject of the

main verb and that of the infinitival VP. It is the control verb or adjective itself which fully

determines the properties of the subject:

(13) a. Sandy tried [to eat oysters].

b. *There tried [to be riots in Seoul].

c. *It tried [to bother me that Chris lied].

d. *Tabs try [to be kept on Bob by the FBI].

e. *That he is clever is eager [to be obvious].

Regardless of what the infinitival VP would require as its subject, a control predicate requires

its subject to be able to bear the semantic role of agent. For example, in (13b) and (13c), the

128 / ENGLISH SYNTAX: AN INTRODUCTION

subject of the infinitival VP can be there and it, but these cannot function as the matrix subject

– because the matrix verb tried requires its own subject, a ‘trier’.

Selectional Restrictions: Closely related to the difference in selection for the type of subject,

we can observe a related similarity with regard to what are known as ‘selectional restrictions’.

The subcategorization frames, which we have represented in terms of VAL (valence) features,

are themselves syntactic, but verbs also impose semantic selectional restrictions on their sub-

jects or objects. For example, the verb thank requires a human subject and an object that is at

least animate:

(14) a. The king thanked the man.

b. #The king thanked the throne.

c.(?)The king thanked the deer.

d. #The castle thanked the deer.

And consider as well the following examples:

(15) a. The color red is his favorite color.

b. #The color red understands the important issues of the day.

Unlike the verb is, understands requires its subject to be sentient. This selectional restriction

then also explains the following contrast:

(16) a. The color red seems [to be his favorite color].

b. #The color red tried [to be his favorite color].

The occurrence of the raising verb seems does not change the selectional restriction on the

subject. However, tried is different: just like understand, the control verb tried requires its

subject to be sentient, at least. What we can observe here is that the subject of a raising verb

carries the selectional restrictions of the infinitival VP’s subject. This in turn means that the

subject of the infinitival VP is the subject of the raising verb.

Meaning preservation: We have seen that the subject of a raising predicate is that of the in-

finitival VP complement, and it has no semantic role at all coming from the raising predicate.

This implies that an idiom whose meaning is specially composed from its parts will still retain

its meaning even if part of it appears as the subject of a raising verb.

(17) a. The cat seems to be out of the bag.

in the sense of: ‘The secret is out’.

b. #The cat tries to be out of the bag.

In the raising example (17a), the meaning of the idiom The cat is out of the bag is retained.

However, since the controlverb tries assignsa semantic role to its subject the cat, ‘the cat’ must

be the one doing the action of trying, and there is no idiomatic meaning.

This preservation of meaning also holds for examples like the following:

RAISING AND CONTROL CONSTRUCTIONS / 129

(18) a. The dentist is likely to examine Pat.

b. Pat is likely to be examined by the dentist.

(19) a. The dentist is eager to examine Pat.

b. Pat is eager to be examined by the dentist.

Since the raising predicate likely does not assign a semantic role to its subject, (18a) and (18b)

have more or less identical meanings – the proposition is about the dentist examining Pat, in

activeorpassivegrammatical forms: theactive subject is raised in (18a),and the passive subject

in (18b).

However, the control predicate eager assigns a semantic role to its subject, and this forces

(19a) and (19b) to differ semantically: in (19a), it is the dentist who is eager to examine Pat,

whereas in (19b), it is Pat who is eager to be examined by the dentist. Intuitively, if one of the

examples in (18) is true, so is the other, but this inference cannot be made in (19).

7.2.2 Object Raising and Control

Similar contrasts are found between what are know as object raising and control predicates:

(20) a. Stephen believed Ben to be careful.

b. Stephen persuaded Ben to be careful.

Once again, these two verbs look alike in terms of syntax: they both combine with an NP and

an infinitival VP complement. However, the two are different with respect to the properties of

the object NP in relation to the rest of the structure. Observe the differences between believe

and persuade in (21):

(21) a. Stephen believed it to be easy to please Maja.

b. *Stephen persuaded it to be easy to please Maja.

(22) a. Stephen believed there to be a fountain in the park.

b. *Stephen persuaded there to be a fountain in the park.

One thing we can see here is that unlike believe, persuade does not license an expletive object

(just like try doesnot licenseanexpletivesubject).And in this respect, theverbbelieve is similar

to seem in that it does not assign a semantic role (to its object). The differences show up again

in the preservation of idiomatic meaning:

(23) a. Stephen believed the cat to be out of the bag.

in the sense: ‘Stephen believed that the secret was out’.

b. *Stephen persuaded the cat to be out of the bag.

While the idiomatic reading is retained with the raising verb believed, it is lost with the control

verb persuaded.

Active-passive pairs show another contrast:

(24) a. The dentist was believed to have examined Pat.

b. Pat was believed to have been examined by the dentist.

130 / ENGLISH SYNTAX: AN INTRODUCTION

(25) a. The dentist was persuaded to examine Pat.

b. Pat was persuaded to be examined by the dentist.

With the raising verb believe, there is no strong semantic difference in the examples in (24).

However, in (25), there is a clear difference in who is persuaded. In (25a), it is the dentist, but

in (25b), it is Pat who is persuaded. This is one more piece of evidence that believe is a raising

verb whereas persuade is a control verb, with respect to the object.

7.3 A Simple Transformational Approach

How then can we account for these differencesbetween raising and control verbsor adjectives?

A simple traditional analysis, hinted at earlier, is to derive a surface structure via a derivational

process, for example, from (26a) to (26b):

(26) a. Deep structure: � seems [Stephen to be irritating] b. Surface structure: Stephen seems [t] to be irritating.

To derive (26b), the subject of the infinitival VP in (26a) moves to the matrix subject position,

as represented in the following tree structure:

(27) S

��

NP VP

��

� V S

��

seems NP VP[inf]

++ ++ ++ +

,, ,,

,, ,

Stephen

to be irritating

The movement of the subject Stephen to the higher subject position will correctly generate

(26b). This kind of movement to the subject position can be triggered by the requirement that

each English declarative have a surface subject (cf. Chomsky 1981). A similar movement pro-

cess can be applied to the object raising cases:

(28) a. Deep structure: Tom believes � [Stephen to be irritating]. b. Surface structure: Tom believes Stephen to be irritating.

Here the embedded subject Stephen moves not to the matrix subject but to the matrix object

position:

RAISING AND CONTROL CONSTRUCTIONS / 131

(29) S

RRR RRR

RRR R

SSS SSS

SSS S

NP VP

RRR RRR

RRR R

��

John V NP S

RRR RRR

RRR R

SSS SSS

SSS S

believes � NP VP[inf]

++ ++ ++ +

,, ,,

,, ,

Mary

��

to be irritating

Control constructions are different: there is no movement operation involved. Instead, it is

the lower subject position which has special properties. Consider the examples in (30):

(30) a. John tried to please Stephen.

b. John persuaded Stephen to be more careful.

Since try and persuade assign a semantic roles to their subject, and objects, an unfilled position

of the kind designated above by � cannot be allowed. Instead, it is posited that there is an unexpressed subject of the infinitival VP to please Stephen and to be more careful. This is

traditionally represented as the element called ‘PRO’ (a silent ‘pro’noun), and the examples

will have the following deep structures:

(31) a. John tried [PRO to please Stephen].

b. John persuaded Stephen [PRO to be more careful].

The final tree representations of these are as follows:

(32) a. S

��

NP VP

��

Johni V S

��

tried NP VP[inf]

-- -- -- -- -

.. ..

PROi to please Stephen

132 / ENGLISH SYNTAX: AN INTRODUCTION

b. S

��

NP VP

��

#### ####

John V NP S

��

persuaded Stepheni NP VP[inf]

��

�

PROi to be more careful

An independent part of the theory of control links PRO in each case to its antecedent, marked

by coindexing. In (32a), PRO is coindexed with John whereas in (32b), it is coindexed with

Stephen.

These analyses which involve derivations on tree structures are driven by the assumption

that the mapping between semantics and syntax is very direct. For example, in (29), the verb

believe semantically selects an experiencer and a proposition, and this is reflected in the initial

structure. In somesyntactic respects, though,believe acts like it hasanNPobject (separate from

the infintival complement), and the raising operation creates this object. In contrast, persuade

semantically selects an agent, a patient, and a proposition, and hence the structure in (32b)

reflects this: the object position is there all along, so to speak.

The classical transformationalapproachprovidesa useful graphical approach to understand-

ing the difference between raising and control. However, it requires assumptions about the na-

ture of grammar rather different from what we have made throughout this book. In the rest of

this chapter, we present a nontransformationalaccount of control and raising.

7.4 A Nontransformational Approach

7.4.1 Identical Syntactic Structures

Instead of the movement approach in which movement operations and various kinds of empty

elements or positions play crucial roles, we simply focus directly on the surface structures of

raising and control constructions. Going back to seem and try, we can observe that both select

an infinitival VP, as in (33), giving the structures in (34):

(33) a. ⎡ ⎢⎢⎢⎢⎣ 〈seems〉 SPR 〈NP〉 COMPS

⟨ VP [ VFORM inf

]⟩ ⎤ ⎥⎥⎥⎥⎦

RAISING AND CONTROL CONSTRUCTIONS / 133

b. ⎡ ⎢⎢⎢⎣ 〈tries〉 SPR 〈NP〉 COMPS 〈VP

[ VFORM inf〉

] ⎤ ⎥⎥⎥⎦

(34) a. S

��

NP VP

��

John V VP[inf]

��

seems V VP[bse]

OO OO OO

PP PP

to be honest b. S

��

NP VP

��

John V VP[inf]

��

tries V VP[bse]

OO OO OO

PP PP

to be honest

As shown here, seems and tries actually have identical structures.

The object raising verb expect and the control verb persuade also have identical valence

(SPR and COMPS) information:

(35) a. ⎡ ⎢⎢⎢⎣ 〈expects〉 SPR 〈NP〉 COMPS 〈NP, VP

[ VFORM inf

] 〉

⎤ ⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎣ 〈persuaded〉 SPR 〈NP〉 COMPS 〈NP, VP

[ VFORM inf

] 〉

⎤ ⎥⎥⎥⎦

These two lexical entries will license the following structures:

134 / ENGLISH SYNTAX: AN INTRODUCTION

(36) a. S

��

\\ \\ \ ]] ]] ] VP

��

Kim V NP VP

!!! !!!

""" """

expects it to rain tomorrow b. S

��

\\ \\ \ ]] ]] ] VP

��

Kim V NP VP

��

persuaded Mary to leave tomorrow

As can be seen here, raising and control verbs are not different in terms of their subcategoriza-

tion or valence requirements, and so they project similar structures. The question is then how

we can capture the different properties of raising and control verbs. The answer is that their

differences follow from the other parts of the lexical information, in particular, the mapping

relations from syntax to semantics.

7.4.2 Differences in SubcategorizationInformation

We have observed that for raising predicates, whatever kind of category is required as subject

by the infinitival VP is also required as the subject of the predicate. Some of the key examples

are repeated here:

(37) a. Stephen/*It/*There seemed to be intelligent.

b. It seemed to rain.

c. There seemed to be a fountain in the park.

(38) a. Stephen/*It/*There tried to be intelligent.

b. *It tried to rain.

c. *There tried to be a fountain in the park.

While the subject of a raisingpredicate is identical to that of the infinitivalVPcomplement., the

subjct of a control predicate has a different requirement. The subject of a control predicate is

coindexedwith that of the infinitival VP complement. This difference can be represented in the

lexical information shown in (39). The raising verb involves shared subjects, while the control

verb only shares the index (of the subjects).

RAISING AND CONTROL CONSTRUCTIONS / 135

(39) a. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈seemed〉 SPR 〈 1 〉

COMPS

⟨ VP

⎡ ⎣VFORM inf SPR 〈 1 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈tried〉 SPR 〈 NPi 〉

COMPS

⟨ VP

⎡ ⎣VFORM inf SPR 〈 NPi 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

These two lexical entries represent the differencebetween seem and try: for seemed, the subject

of theVPcomplementis identicalwith itsownsubject (notatedby 1 )whereasfor tried, only the

indexvalueof itsVPcomplementis identical to thatof its subject.That is, theVPcomplement’s

understood subject refers to the same individual as the subject of tried. This index identity in

control constructions is clear when we consider examples like the following:

(40) Someonei tried NPi to leave the town.

The example here means that whoever someone might refer to, that same person left town.

The lexical entries in (39) generate following structures for the intransitive raising and control

sentences:

136 / ENGLISH SYNTAX: AN INTRODUCTION

(41) a. S⎡ ⎢⎣ HEAD 4 |POS verb SPR 〈〉 COMPS 〈〉

⎤ ⎥⎦

DD DD DD DD DD DD DD

��

1 NP

VP⎡ ⎢⎣ HEAD 4

SPR 〈 1 〉 COMPS 〈〉

⎤ ⎥⎦

��

John

V⎡ ⎢⎢⎢⎣ HEAD 4

SPR 〈 1 〉 COMPS 〈 2 〉

⎤ ⎥⎥⎥⎦

2 VP[ SPR

⟨ 1

⟩]

��

seems V VP[bse]

OO OO OO

PP PP

to be honest b. S⎡

⎢⎣ HEAD 3 |POS verb SPR 〈〉 COMPS 〈〉

⎤ ⎥⎦

DD DD DD DD DD DD DD

��

1 NPi

VP⎡ ⎢⎣ HEAD 3

SPR 〈 1 NP〉 COMPS 〈〉

⎤ ⎥⎦

��

John

V⎡ ⎢⎢⎢⎣ HEAD 3

SPR 〈 1 NP〉 COMPS 〈 2 〉

⎤ ⎥⎥⎥⎦

2 VP[ SPR

⟨ NPi

⟩]

��

tries V VP[bse]

OO OO OO

PP PP

to be honest

RAISING AND CONTROL CONSTRUCTIONS / 137

It is easy to verify that these structures conform to all the grammar rules (the Head-Specifier

Rule and Head-ComplementRule) and principles such as the HFP and the VALP.

Object raising and controlpredicates are no different.Raising verbsselect a VP complement

whose subject is fully identical with the object. Control verbs select a VP complement whose

subject’s indexvalue is identicalwith that of its object.The following lexical entries showthese

properties:

(42) a. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈expect〉 SPR 〈 1 NPi〉

COMPS

⟨ 2 NP , VP

⎡ ⎣VFORM inf SPR 〈 2 NP 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈persuade〉 SPR 〈NP〉

COMPS

⟨ NPi , VP

⎡ ⎣VFORM inf SPR 〈 NPi 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

Let us look at the structures these lexical entries eventually project:

(43) S⎡ ⎢⎣ HEAD 4 |POS verb SPR 〈〉 COMPS 〈〉

⎤ ⎥⎦

��

1 NP

^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^

_ _ _ _ _ _ _ _ _ _ _ _ _ _

VP⎡ ⎢⎣ HEAD 4

SPR 〈 1 NP〉 COMPS 〈〉

⎤ ⎥⎦

��

Kim

V⎡ ⎢⎢⎢⎣ HEAD 4

SPR 〈 1 NP〉 COMPS 〈 2 , 3 〉

⎤ ⎥⎥⎥⎦

2 NP

3 VP[ SPR

⟨ 2

⟩]

KK KK KK KK KK

LL LL

expects it to rain tomorrow

138 / ENGLISH SYNTAX: AN INTRODUCTION

(44) S⎡ ⎢⎣ HEAD 4 |POS verb SPR 〈〉 COMPS 〈〉

⎤ ⎥⎦

��

#### ####

#### ##

1 NP

^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^ ^

_ _ _ _ _ _ _ _ _ _ _ _ _ _

VP⎡ ⎢⎣ HEAD 4

SPR 〈 1 〉 COMPS 〈〉

⎤ ⎥⎦

&&&& &&&&

&&&& &&

��

Kim

V⎡ ⎢⎢⎢⎣ HEAD 4

SPR 〈 1 〉 COMPS 〈 2 NP, 3 VP〉

⎤ ⎥⎥⎥⎦

2 NPi 3 VP[

SPR 〈 NPi 〉 ]

OO OO OO OO OO O

PP PP

PP P

persuaded Mary to be more careful

As represented here, the subject of to rain tomorrow is the NP object of expects, while the

subject of to be more careful is coindexedwith the independentobject of persuade.

7.4.3 Mismatch between Meaning and Structure

We have not yet addressed the issue of differences in the assignment of semantic roles. We

first need to introduce further semantic features, distinguished from syntactic features, for this

issue is closely related to the relationship between syntax and semantics. As we have seen in

Chapter 6, nounsand verbs have IND values. That is, a noun refers to an individual (e.g., i, j, k,

etc) whereas a verb denotes a situation (e.g., s0, s1, s2, etc). In addition, a predicate represents

a semantic property or relation. For example, the meaning of the verb hits in (45a) can be

represented in canonical first-order predicate logic as in (45b):

(45) a. John hits a ball.

b. hit′(j, b)

This shows that the verb hit takes two arguments with the predicate relation hit, with the ′

notation to indicate the semantic value. The relevant semantic properties can be represented in

a feature structure system as follows:

RAISING AND CONTROL CONSTRUCTIONS / 139

(46) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈hit〉

SYN |VAL ⎡ ⎣SPR 〈NPi 〉 COMPS 〈NPj〉

⎤ ⎦

SEM

⎡ ⎢⎢⎢⎢⎢⎢⎣

IND s0

RELS

⟨⎡⎢⎢⎣ PRED hit

AGENT i

PATIENT j

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

In terms of syntax, hit is a verb selecting a subject and a complement, as shown in the value

of the feature SYN(TAX). The semantic information of the verb is represented with the fea-

ture SEM(ANTICS). It first has the attribute IND(EX), representingwhat this expression refers

to; as a verb, hit refers to a situation s0 in which an individual i hits an individual j. The se-

mantic relation of hitting is represented using the feature for semantic relations (RELS). The

feature RELS has as its value a list of one feature structure, here with three further features,

PRED(ICATE), AGENT, and PATIENT. The predicate (PRED) relation is whatever the verb

denotes: in this case, hit takes two arguments.The AGENT argument in the SEM value is coin-

dexed with the SPR in the SYN value, while the the PATIENT is coindexedwith COMPS. This

coindexing links the subcategorization information of hit with the arguments in its semantic

relation. Simply put, the lexical entry in (46) is the formal representation of the fact that in X

hits Y, X is the hitter and Y is the one hit.

Now we can use these extrapartsof the representation for the semanticdifferences in raising

and control verbs. The subject of a raising verb like seem is not assigned any semantic role,

while that of a control verb like try is definitely linked to a semantic role. Assuming that ‘s0’

or ‘s1’ stands for situations denoted by an infinitival VP, seem and try will have the following

simplified meaning representations:

(47) a. seem′(s1) (‘s1 seems (to be the case”) = s0’)

b. try′(i, s1) (‘i tries to (make) s1 (be the case) = s0’)

These meaning differencesare represented in terms of feature structures as follows:

140 / ENGLISH SYNTAX: AN INTRODUCTION

(48) a. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈 seem〉

SYN |VAL

⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

SPR 〈 1 〉

COMPS

⟨ VP

⎡ ⎢⎢⎢⎣ VFORM inf

SPR ⟨

⟩ IND s1

⎤ ⎥⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

SEM

⎡ ⎢⎢⎢⎢⎣ IND s0

RELS

⟨[ PRED seem SIT s1

]⟩ ⎤ ⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈try〉

SYN |VAL

⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

SPR 〈 NPi 〉

COMPS

⟨ VP

⎡ ⎢⎢⎢⎣ VFORM inf

SPR ⟨ NPi

⟩ IND s1

⎤ ⎥⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

SEM

⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

IND s0

RELS

⟨⎡⎢⎢⎣ PRED try

AGENT i

SIT s1

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

We can see here that even though the verb seem selects two syntactic arguments, its meaning

relation has only one argument:note that the subject (SPR) is not coindexedwith any argument

in the semantic relation. This means that the subject does not receive a semantic role (from

seem). Meanwhile, try is different. Its SPR is coindexedwith the AGENT role in the semantics,

and the SPR is also coindexedwith the VP complement’sSPR.

Now we look at object-relatedverbs like expect and persuade. Just like the contrast between

seem and try, the key difference lies in whether the object (y) receives a semantic role or not:

(49) a. expect′(x, s1)

b. persuade′(x, y, s1)

Whatoneexpects, asan ‘experiencer’, is apropositiondenotedby theVPcomplement,whereas

what a person x persuades is not a proposition but rather, x persuades an individual y denoted

by the object to perform the proposition denoted by the VP complement. Once again, these

differencesare more clearly represented in feature structures:

RAISING AND CONTROL CONSTRUCTIONS / 141

(50) a. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈expect〉

SYN |VAL

⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR 〈NPi〉

COMPS

⟨ 2 , VP

⎡ ⎢⎢⎣ VFORM inf

SPR 〈 2 NP 〉 IND s1

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎦

SEM

⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

IND s0

RELS

⟨⎡⎢⎢⎣ PRED expect

EXPERIENCER i

SIT s1

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

b. ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈persuade〉

SYN |VAL

⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR 〈NPi〉

COMPS

⟨ NPj , VP

⎡ ⎢⎢⎣ VFORM inf

SPR 〈 NPj 〉 IND s1

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎦

SEM

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

IND s0

RELS

⟨ ⎡ ⎢⎢⎢⎢⎢⎣ PRED persuade

AGENT i

THEME j

SIT s1

⎤ ⎥⎥⎥⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Asseen in the lexicalentries, expect has two semanticarguments,EXPERIENCERandSIT: the

object is not linked to a semantic argument of expect. In contrast, persuade has three semantic

arguments:AGENT,THEME, and SIT. We can thusconclude that raising predicates assign one

less semantic role in their argument structures than the number of syntactic dependents, while

with control predicates, there is a one-to-onecorrelation.

7.5 Explaining the Differences

7.5.1 Expletive Subject and Object

Recall that for raising verbs like seem and believe, the subject and object respectively is depen-

dent for its semantic properties solely upon the type of VP complement. This fact is borne out

by the examples in (51):

(51) a. There/*It/*Johnseems [to be a fountain in the park].

142 / ENGLISH SYNTAX: AN INTRODUCTION

b. We believed there/*it/*John [to be a fountain in the park].

Control verbs are different, directly assigning a semantic role to the subject or object. Hence

expletives cannot appear (illustrated here for the subject of try):

(52) a. *There/*It/John tries to leave the country.

b. We believed *there/*it/John to try to leave the country.

7.5.2 Meaning Preservation

We noted above that in a raising example such as (53a), the idiomatic readingcan be preserved,

but not in a control example like (53b):

(53) a. The cat seems to be out of the bag.

b. The cat tries to be out of the bag.

This is once again because the subject of seems does not have any semantic role: its subject is

identicalwith the subject of its VPcomplement to be out of the bag,whereas the subject of tries

has its own agent role.

Exactly the same explanationapplies to the following contrast:

(54) a. The dentist is likely to examine Pat.

b. Pat is likely to be examined by the dentist.

Since likely is a raising predicate, as long as the expressions The dentist examines Pat and Pat

is examined by the dentist have roughly the same meaning, the two raising examples will also

have roughly the same meaning.

However, control examples are different:

(55) a. The dentist is eager to examine Pat.

b. Pat is eager to be examined by the dentist.

The control adjective eager assigns a semantic role to its subject independent of the VP com-

plement, as given in the following lexical entry:

(56) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈eager〉

SYN |VAL

⎡ ⎢⎢⎢⎢⎣ SPR 〈NPi〉

COMPS

⟨ VP

⎡ ⎣VFORM inf IND s1

⎤ ⎦ ⟩ ⎤ ⎥⎥⎥⎥⎦

SEM

⎡ ⎢⎢⎢⎢⎢⎢⎣

IND s0

RELS

⟨⎡⎢⎢⎣ PRED eager

EXPERIENCER i

SIT s1

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

RAISING AND CONTROL CONSTRUCTIONS / 143

This then means that (55a) and (55b) must differ in that in the former, it is the dentist who is

eager to perform the action denoted by the VP complement, whereas in the latter, it is Pat who

is eager.

7.5.3 Subject vs. ObjectControlVerbs

Consider finally the following two examples:

(57) a. They persuaded me to leave.

b. They promised me to leave.

Both persuaded and promised are control verbs since their object is assigned a semantic role

(and so is their subject). This in turn means that their object cannot be an expletive:

(58) a. *They persuaded it to rain.

b. *They promised it to rain.

However, the two are differentwith respect to the controller of the infinitival VP. Consider who

is understood as the unexpressed subject of the infinitival verb here. In (57a), it is the object

me which semantically functions as the subject of the infinitival VP. Yet, in (57b), it is the

subject they who will do the action of leaving. Due to this fact, verbs like promise are known as

‘subject control’ verbs, whereas those like persuade are ‘object control’ verbs. This difference

is straightforwardly represented in their lexical entries:

(59) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈persuade〉 SPR 〈NPi〉

COMPS

⟨ NPj , VP

⎡ ⎣VFORM inf SPR 〈 NPj 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈promise〉 SPR 〈 NPi 〉

COMPS

⟨ NPj, VP

⎡ ⎢⎢⎣ VFORM inf

SPR 〈 NPi 〉 IND s1

⎤ ⎥⎥⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Based on world knowledge, we know that when one promises someone to do something, this

means that the person who makes the promise will do the action. Meanwhile, when one per-

suades someone to do something, the person who is persuaded will do the action. The lexical

entries here reflect this knowledge of the relations in the world.

In sum, the properties of rasing and control verbs presented here can be summarized as

follows:

. Unlikecontrolpredicates, raisingpredicatesare unusual in that theydonotassigna semantic role to their subject or object. The absence of a semantic role accounts for the possibility of

144 / ENGLISH SYNTAX: AN INTRODUCTION

expletives it or there or parts of idioms as subject or object with raising predicates, and not

with control predicates. . With control predicates, the VP complement’s unexpressed subject is coindexed with one of the syntactic dependents. With raising predicates, the entire syntactic-semantic value of

the subject of the infinitival VP is structure-shared with that of one of the dependents of

the predicate. This ensures that whatever category is required by the raising predicate’s VP

complement is the raising predicate’s subject (or object). Notice that even non-NPs can be

subject in certain kinds of example (see (60)).

(60) a. Under the bed is a fun place to hide.

b. Under the bed seems to be a fun place to hide.

c. *Under the bed wants to be a fun place to hide. (want is a control verb)

RAISING AND CONTROL CONSTRUCTIONS / 145

7.6 Exercises

1. Draw trees for the following sentences and provide the lexical entries for the italicized

verbs:

(i) a. Kim may have admitted to let Mary mow the lawn.

b. Gregory appears to have wanted to be loyal to the company.

c. Jones would prefer for it to be clear to Barry that the city plans to sue him.

d. John continues to avoid the conflict.

e. The captain ordered the troops to proceed.

f. He coaxed his brother to give him the candy.

g. Frank hopes to persuade Harry to make the cook wash the dishes.

h. John wants it to be clear to Ben that the city plans to honor him.

2. Explain why the following examples are ungrammatical, based on the lexical entries of

the predicates:

(i) a. *John seems to rain.

b. *John is likely to appear that he will win the game.

c. *Beth tried for Bill to ask a question.

d. *He believed there to be likely that he won the game.

e. *It is likely to seem to be arrogant.

f. *Sandy appears that Kim is happy.

g. *Dana would be unlikely for Pat to be called upon.

h. *Robin is nothing in the box.

i. *It said that Kim was happy.

j. *There preferred for Sandy to get the job.

3. In this chapter, we have learned that predicates (verbs and adjectives) can be classified

into two main groups, raising and control, as represented in the following simple table:

Raising predicates Control predicates

Intransitive seem, . . . try, . . .

Transitive believe, . . . persuade, . . .

Decide in which group each of the following lexical items belongs. In doing so, consider

the it, there, and idiom tests that this chapter has introduced:

(i) certain, anxious, lucky, sure, apt, liable, bound, careful, reluctant

(ii) tend, decide, manage, fail, happen, begin, hope, intend, refuse

4. As we have seen in Exercise 4 of Chapter 3, there is agreement between the copula be

and the postcopular NP in so-called ‘there’ constructions, as shown again here:

(i) a. There is/*are only one chemical substance involved in nerve transmission.

b. There *is/are more chemical substances involved in nerve transmission.

This kind of agreement relationship can be encoded as a property of the be used in this

construction:

146 / ENGLISH SYNTAX: AN INTRODUCTION

(ii) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈be〉

HEAD

⎡ ⎣POS verb AUX +

⎤ ⎦

SUBJ

⟨ NP

⎡ ⎣NFORM there AGR 1

⎤ ⎦ ⟩

COMPS ⟨ NP[AGR 1 ], XP[PRED +]

⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

This lexical informationspecifies that be selects there as its subject and two complements

(NP and XP). In this case, the complementNP’s agreement feature AGR is identicalwith

that of the subject there. This then will ensure that the verb agrees with the postcopular

NP.

Given this, how might we account for the following contrasts? Provide a structure for

each exampleand explain the rules or principleswhich are violated in the ungrammatical

versions:

(ii) a. There is/*are believed to be a sheep in the park.

b. There *is/are believed to be sheep in the park.

c. There seems/*seem to be no student absent.

d. There is/*are likely to be no student absent.

5. Discuss the similarities and differences among the following three examples; use the it,

there and idiom tests.

(i) a. Pat expected Leslie to be aggressive.

b. Pat persuaded Leslie to be aggressive.

c. Pat promised Leslie to be aggressive.

Also, state see the controller is of the infinitival VP in each case.

6. Consider the following data and discuss briefly what can be the antecedent of her and

herself .

(i) a. Kevin urged Anne to be loyal to her.

b. Kevin urged Anne to be loyal to herself.

Now consider the following data and discuss the binding conditions of ourselves and us.

In particular, determine the relevance of the ARG-ST list with respect to the possible and

impossible binding relations.

(ii) a. Wei expect the dentist to examine usi.

b. *Wei expect the dentist to examine ourselvesi.

c. We expect them to examine themselves.

d. *We expect themi to examine themi.

(iii) a. Wei persuaded the dentist to examine usi.

b. *Wei persuaded the dentist to examine ourselvesi.

RAISING AND CONTROL CONSTRUCTIONS / 147

c. We persuaded themi to examine themselvesi.

d. *We persuaded themi to examine themi.

7. Read the following passage and provide a tree structure for each sentence, and lexical

entries for the underlined words.

(i) If you’ve ever tried to persuade other people to buy your product or service,

youalsoknowthat thiscanbeoneof themostdiscouraginganddifficult things

to try to do as a business owner. In fact, this way of trying to get business by

trying to persuade other people is one of the factors that causes most business

owners to dislike or even hate the process of marketing and selling. It’s very

tough to try to convinceotherpeople to buy fromyou, especially if it’s against

their will. After all, if you try to persuade someone to buy from you, you try

to cause that person to do something. And usually there’s always some kind

of pressure involved in this process.

Auxiliary Constructions

8.1 Basic Issues

The English auxiliary system involves a relatively small number of elements interacting with

each other in complex and intriguing ways. This has been one of the main reasons that the

system has been one of the most extensively analyzed empirical domains in the literature on

generative syntax.

OntologicalIssues:Oneof themain issues in the studyofEnglishauxiliarysystemconcerns

ontological issues: is it necessary to posit ‘auxiliary’ as an independent part of speech or not?

Auxiliary verbs can be generally classified as follows:

. modal auxiliary verbs such as will, shall, may, etc.: have only finite forms

. have/be: have both finite & nonfinite forms

. do: has a finite form only with vacuous semantic meaning

. to: has a nonfinite form only with apparently vacuous semantic meaning Such auxiliary verbs behave differently from main verbs in various respects. There have been

arguments for treating these auxiliary verbs as simply having the lexical category V, though

being different in terms of syntactic distribution and semantic contribution. For example, in

terms of similarities, both auxiliary and main verbs behave alike in carrying tense information

and participating in some identical syntactic constructions such as gapping, as shown in (1):

(1) a. John drank water and Bill wine.

b. John may drink water, and Bill drink beer.

Such phenomena provide apparent stumbling blocks to assigning a totally different lexical cat-

egory to English auxiliary verbs, compared to main verbs.

Distinctions between auxiliary and main verbs: One important issue that comes up in the

studyof theEnglishauxiliarysystemis thatofwhichwordsfunctionasauxiliaryverbs,andhow

we can differentiate them. Most reliable criteria for auxiliaryhood lie in syntactic phenomena

such as negation, inversion, contraction, and ellipsis (usually known as the ‘NICE’ properties):

149

150 / ENGLISH SYNTAX: AN INTRODUCTION

1. Negation: Only auxiliary verbs can be followed by not marking sentential negation (in-

cluding have and be):

(2) a. Tom will not leave.

b. *Tom kicked not a ball.

2. Inversion:Only auxiliary verbs undergosubject-auxiliary inversion.

(3) a. Will Tom leave the party now?

b. *Left Tom the party already?

3. Contraction: Only auxiliary verbs have contracted forms with the suffix n’t.

(4) a. John couldn’t leave the party.

b. *John leftn’t the party early.

4. Ellipsis: The complement of an auxiliary verb, but not of a main verb, can be elided.

(5) a. If anybody is spoiling the children, John is .

b. *If anybody keeps spoiling the children, John keeps .

In addition to these NICE properties, tag questions are another criterion: an auxiliary verb can

appear in the tag part of a tag question, but not a main verb:

(6) a. You should leave, shouldn’t you?

b. *You didn’t leave, left you?

The position of adverbs or so-called floated quantifiers can also be adopted in differentiating

auxiliary verbs from main verbs. The difference can easily be seen in the following contrasts:

(7) a. She would never believe that story.

b. *She believed never his story.

(8) a. The boys will all be there.

b. *Our team played all well.

Adverbs such as never and floated quantifiers such as all can follow an auxiliary verb, but not a

main verb.

Ordering Restrictions: The third main issue in the syntax of auxiliaries centers on how

to capture the ordering restrictions among them. They are subject to restrictions which limit

the sequences in which they can occur, and the forms in which they can combine with other

auxiliary verbs. Observe the following examples:

(9) a. The children will have been being entertained.

b. He must have been being interrogated by the police at that very moment.

(10) a. *The house is been remodelling.

b. *Margaret has had already left.

c. *He has will seeing his children.

AUXILIARY CONSTRUCTIONS / 151

d. *He has been must being interrogated by the police at that very moment.

As shown here, when there are two or more auxiliary verbs, they must come in a certain order.

Inaddition,note that eachauxiliaryverbrequires the immediatelyfollowingtobe inaparticular

morphological form (e.g., has eaten vs. *has eating).

In the study of the English auxiliary system, we thus need to address at least the following

issues:

. Should we posit an auxiliary category?

. How can we distinguish main verbs from auxiliary verbs?

. How can we account for phenomena (such as the NICE group) which are sensitive to the presence of an auxiliary verb? . Howcanwecapturetheorderingandco-occurrencerestrictionsamongauxiliaryverbs?

This chapter provides answers to these fundamental questions related to the English auxiliary

system.1

8.2 Transformational Analyses

The seminal work on the issues above is that of Chomsky (1957). His analysis, introducing the

rule in (11), directly stipulates the ordering relations among auxiliary verbs:

(11) Aux → Tense (Modal) (have + en) (be + ing) The PS rule in (11) would generate sentences with or without auxiliary verbs as in (12):

(12) a. Mary solved the problem.

b. Mary would solve the problem.

c. Mary was solving the problem.

d. Mary would easily solve the problem.

For example, the following structure schematizes some examples in (12):

(13) S

��

`̀ `̀ `̀

aa aa aa

AUX

$$ $$ $$

%% %%

%% VP

��

Mary Past will Adv VP

��

easily V NP

��

solve the problem

1This chapter is based on Kim (2000).

152 / ENGLISH SYNTAX: AN INTRODUCTION

To get to the surface structure, the famous ‘Affix Hopping’ ruleof Chomsky (1957)ensures that

the affixal tense morpheme(Past) in Tense is hopped to M (Modal) (will), or overonto the main

verb (solve) if the Modal does not appear. If the modal is there, Past hops onto will and we get

Mary would (easily) solve the problem. If the modal is not there, the affix Past will hop onto the

main verb solve, giving Mary solved the problem.

In addition to the Affix Hopping Rule, typical transformational analyses introduce the En-

glish particular rule called ‘ do-support’ for dealing with the NICE properties in clauses that

otherwise have no auxiliary verb:

(14) a. *Mary not avoided Bill.

b. Mary did not avoid Bill.

The presenceof not in a position like Adv in the tree (13)hasbeenclaimed to prevent the Tense

affix from hopping over to the verb (as not intervenes). As a last-resort option, the grammar

introduces the auxiliaryverb do ontowhich the affix Tense is hopped.Thiswould then generate

(14b). In other words, the position of do diagnoses the position of Tense in the structure.

The analysis lays bare the systematicity of the auxiliary system, but nevertheless it misses

several important points. For example, the constituent structure in (13) does not provide con-

stituent propertieswe find in coordinate structures, because the first auxiliaryand the rest of the

sentence (the VP) do not form a constituent.

(15) a. Fred [must have been singing songs] and [probablywas drinking beer].

b. Fred must both [have been singing songs] and [have been drinking beer].

c. Fred must have both [been singing songs] and [been drinking beer].

d. Fred must have been both [singing songs] and [drinking beer].

As we have seen earlier, identical phrasal constituents can be conjoined. The coordination ex-

ampleshere indicate that a VP with oneauxiliaryverbor morebehaves just like theonewithout

any.

More recent analyses in this tradition (e.g., Chomsky 1986) use X′-theory to provide IP and CP as categories for clausal syntax, which can deal with the coordination data just given.

Nevertheless, therearemanyproblemswhich transformationalanalysescannoteasilyovercome

(for a thorough review, see Kim 2000, Kim and Sag 2002).

8.3 A Lexicalist Analysis

In the approach we take in this book, ordering restrictions on auxiliay verbs will follow from

the correct specificationof their lexical properties, interactingwith the regular rulesof syntactic

combination. The analysis requires no movement, either of whole words, or of affixes. In this

section, we discuss several different subtypes of auxiliary.

8.3.1 Modals

One main propertyof modalauxiliaries suchas will, shall and must is that theyplace noseman-

tic restrictions on their subject, indicating their status as raising verbs (see Chapter 7).

AUXILIARY CONSTRUCTIONS / 153

(16) a. There might be a unicorn in the garden.

b. It will rain tomorrow.

c. John will leave the party earlier.

(17) a. *There hopes to finish the project.

b. *The bus hopes to be here at five.

As seen from the contrast, the type of subject in (16) depends on what kind of subject (there or

it or a regular NP) is required by the verb right after the modal. This is typical of raising verbs,

and different from what we see in examples with a control verb like hope in (17), which must

have a referential subject.

Modal verbs can only occur in finite (plain or past) forms. They cannot occur neither as

infinitives nor as participles.2

(18) a. I hope *to would/*to can/to study in France.

b. *John stopped can/canning to sign in tune.

Modalsdo not show 3rdperson inflection in the present tense, nora transparentpast tense form.

(19) a. *John musts/musted leave the party early.

b. *John wills leave the party early.

In terms of their own selectional properties, modal verbs select a base VP as their complement:

(20) a. John can [kick/*kicked/*kicking/*tokick the ball].

b. John will [kick/*kicked/*kicking/*tokick the ball].

Reflecting these basic lexical properties, a modal auxiliary will have at least the following lexi-

cal information:

(21) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈must〉

HEAD

⎡ ⎢⎢⎣ POS verb

VFORM fin

AUX +

⎤ ⎥⎥⎦

VAL

⎡ ⎢⎢⎢⎢⎣ SPR 〈 1 NP〉

COMPS

⟨ VP

⎡ ⎣VFORM bse SPR 〈 1 NP〉

⎤ ⎦ ⟩ ⎤ ⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

In the lexical information given here, we notice at least three things: first, auxiliary verbs have

the head feature AUX, which differentiates them from main verbs. In addition, the rule shows

that a modal verb selects a base VP as its complement. This subcategorization information will

rule out examples like the following, as well as the ungrammatical examples in (20):

2As we have seen in 5.2.1, the VFORM value fin includes pres, pst, and pln whereas nonfin includes ing, en, inf ,

and bse.

154 / ENGLISH SYNTAX: AN INTRODUCTION

(22) a. *Kim must [VP[fin] bakes a cake].

b. *Kim must [VP[fin] baked a cake].

c. *Kim must [VP[fin] will bake a cake].

The possible and impossible structures can be more clearly represented in tree format:

(23) a. VP

RRR RRR

��

�

⎡ ⎣AUX + COMPS 〈 2 VP[bse]〉

⎤ ⎦ 2 VP[bse]

��

�

must V[bse] NP

bb bb bb

cc cc cc

bake a cake b. *VP

RRR RRR

��

�

⎡ ⎣AUX + COMPS 〈VP[bse]〉

⎤ ⎦ VP[fin]

��

�

must V[fin] NP

bb bb bb

cc cc cc

baked a cake

As can be easily seen here, the modal auxiliary must requires a VP[bse] as its complement:

The VP[fin] in (23b) cannot function as the complementof must.

The lexicalentry in (21)also specifies that theVP’s subject is identicalwith thesubjectof the

modal auxiliary (indicated by the box 1 ). This specification, a crucial property of raising verbs

we have discussed in the previous chapter, rules out the ungrammatical versions of examples

like the following:

(24) a. It/*John will [VP[bse] rain tomorrow].

b. There/*It may [VP[bse] exist a man in the park].

The VP rain tomorrow requires the expletive subject it, not any other NP, such as John; and the

VP exist a man in the park requires there and nothing else its subject.

In addition, since modalverbshave the specification [VFORM fin], they cannotoccur in any

environmentwhere finite verbs are prohibited.

AUXILIARY CONSTRUCTIONS / 155

(25) a. *We expect there to [VP[fin] will rain].

b. *It is vital that we [VP[fin] will study everyday].

The simple lexical information of modal verbs given in (21), which is required in almost any

analysis, explains the main distributional possibilities of modal verbs.

8.3.2 Be and Have

The auxiliary verbs have and be are different from modal verbs. For example, unlike modals,

they have nonfinite forms (would have, would be, to have/to be); they have a 3rd person inflec-

tion form (has, is); they select not a base VP as their complement, but an inflected nonfinite

form. In addition, they are different from modals in that they also have uses as main verbs,

though in some cases with different syntax from when they are auxiliaries.

Consider the examples in (26):

(26) a. He is a fool.

b. He has a car.

On the assumption that every sentence has a main verb, be and have here are main verbs. How-

ever, a striking property of be is that it still shows the properties of an auxiliary: it exhibits all

of the NICE properties, as we will see below. The usage of be actually providesa strong reason

why the grammar should allow a verb categorized as ‘V’ to also have the feature specification

[AUX +]; be in (26a) is clearly a verb, yet it also behaves exactly like an auxiliary.

The verb be has three main uses: as a copula selecting an predicate XP, as an aspectual

auxiliarywithaprogressiveVPfollowing,andasanauxiliaryaspartof thepassiveconstruction:

(27) a. John is in the school.

b. John is running to the car.

c. John was found in the office.

There is no categorical or syntactic reason to distinguish these three, for they all have NICE

properties: they show identical behavior with subject-auxiliary inversion, their position relative

adverbs including floated quantifiers, and so forth.

(28) Subject-Aux Inversion:

a. Was the child in the school? (*Did the child be in the school?)

b. Was the child running to the car?

c. Was the child found?

(29) Position of an adverb:

a. The child (?never) was (never) crazy. (The child (never) became (*never) crazy.)

b. The child (?never) was (never) running to the car.

c. The child (?never) was (never) deceived.

Thus, all three uses have the lexical information given in (30) as their common denominator:3

3XP here is a variable over phrasal categories such as NP, VP, AP, and PP.

156 / ENGLISH SYNTAX: AN INTRODUCTION

(30) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

HEAD

⎡ ⎣POS verb AUX +

⎤ ⎦

VAL

⎡ ⎢⎢⎢⎢⎣ SPR 〈 1 NP〉

COMPS

⟨ XP

⎡ ⎣PRD + SPR 〈 1 〉

⎤ ⎦ ⟩ ⎤ ⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

All three bes bear the feature AUX with the + value, and select a predicative phrase whose

subject is identical with be’s subject. Every use of be thus has the properties of a raising verb.

The main difference between the three uses lies in the XP’s VFORM value:4

(31) a. copula be: [ COMPS 〈XP〉

] b. progressive be:

[ COMPS 〈VP[VFORM ing]〉

] c. passive be:

[ COMPS 〈VP[VFORM pass]〉

] As given here, the copula be needs no further specification: any phrase that can function as a

predicate can be its COMPS value. The progressive be requires its complement to be VP[ing],

and the passive be requires its complement to be VP[pass]. Hence, examples like those in (32)

are straightforwardlygenerated:

(32) a. John is [AP happy about the outcome].

b. John was [VP[ing] seeing his children].

c. The children are [VP[pass] seen in the yard].

Auxiliaryhave is rather similar in its properties to auxiliarybe, and it selects a pastparticiple

VP complement.

(33) a. John has not sung a song.

b. Has John sung a song?

c. John hasn’t been singing a song.

d. John has sung a song and Mary has , too.

Given facts like these, we can posit the following information in the lexical entry for auxiliary

have, part of the perfect aspect construction:

4See Chapter 9 for the further discussion of passive constructions.

AUXILIARY CONSTRUCTIONS / 157

(34) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈have〉

HEAD

⎡ ⎣POS verb AUX +

⎤ ⎦

SPR 〈 1 〉

COMPS

⟨ VP

⎡ ⎣VFORM en SPR 〈 1 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The interaction of subcategorization and morphosyntactic information is enough to predict the

ordering restrictions among modals. For example, the auxiliaries have and be can follow a

modal since both have bse as its VFORM value:

(35) a. John can [VP[bse] have danced].

b. John can [VP[bse] be dancing].

In addition, we can predict the following ordering too:

(36) a. He has [seen his children].

b. He will [have [been [seeing his children]]].

c. He must [have [been [being interrogated by the police at that very moment]]].

(37) a. *Americans have [paying income tax ever since 1913].

b. *George has [went to America].

(37a) is ungrammatical since have requires a perfect participle VP. (37b) is out since the fol-

lowing VP is finite.

In some varieties of English, typically in British English, the main verb have also has the

specification [AUX +], as evidenced by the (b) examples below:

(38) a. You are a student.

b. You have not enough money.

(39) a. Are you a student?

b. Have you enough money?

The main verbs be and have show the NICE properties; even though they are main verbs, they

have the syntax of auxiliaries. This fact supports the idea that every sentence has a (main) verb

in it, at least, while the surface syntax ofa verb is determinedbywhether it has the specification

[AUX +] or [AUX −]. 8.3.3 Periphrastic do

Nextwediscuss the so-called“dummy”do,which isusedasanauxiliary in theabsenceofother

(finite) auxiliaries. This do also exhibits the NICE properties:

(40) a. John does not like this town.

b. In no other circumstances does that distinction matter.

158 / ENGLISH SYNTAX: AN INTRODUCTION

c. They didn’t leave any food.

d. Jane likes these apples even more than Mary does .

Like the modals, do does not appear in nonfinite clauses.

(41) a. *They expected us to do/should leave him.

b. I found myself needing/*doingneed/*should needing sleep.

There are also some properties which distinguish do from other auxiliaries. First, unlike other

auxiliaries, do appears neither before nor after any other auxiliary:

(42) a. *He does be leaving.

b. *He does have been eating.

c. *They will do come.

Second, the verb do has no obvious intrinsic meaning to speak of. Except for carrying the

grammatical information about tense and agreement (in present tense), it has no semantic con-

tribution.

Third, if do is used in a positive statement, it needs to be emphatic (stressed).But in negative

statements and questions, no such requirement exists.

(43) a. *John does leave.

b. John DOES leave.

(44) a. John did not come.

b. John DID not come. (more likely in this case: John did NOT come.)

(45) a. Did John find the solution?

b. How long did it last?

The most economical way of representing these lexical properties is to give do the lexical

entry given in (46).

(46) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈do〉

HEAD

⎡ ⎢⎢⎣ POS verb

AUX +

VFORM fin

⎤ ⎥⎥⎦

VAL

⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR 〈 1 NP〉

COMPS

⟨ VP

⎡ ⎢⎢⎣ AUX − VFORM bse

SPR 〈 1 〉

⎤ ⎥⎥⎦ ⟩ ⎤ ⎥⎥⎥⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Like other auxiliaries includingmodals, do is specified to be [AUX +], which ensures that do is

sensitive to negation, inversion, contraction, and ellipsis (NICE properties), just like the other

auxiliaries. Further, do selects a subject NP and a VP complement whose unrealized subject is

AUXILIARY CONSTRUCTIONS / 159

structure-sharedwith its subject ( 1 ). Treating do as a raising verb like other English auxiliaries

isbasedon typicalpropertiesof raisingverbs,oneofwhich is that raisingverbsallowexpletives

as their subject, as we have seen above:

(47) a. John may leave.

b. It may rain.

c. *John may rain.

(48) a. John did not leave.

b. It did not rain.

c. *John did not rain.

The [AUX +] specificationand raising-verb treatmentof do account for the similarities to other auxiliaries and modals.

Thedifferencesstemfromthe lexical specificationson the featurevaluesforHEAD|POSand its complement VP. Unlike have and be, do is specified to be fin. This property then accounts

for why no auxiliary element can precede do, for only the first verb in a sequence may be finite.

(49) a. He might [have left].

b. *He might [do leave].

The requirement on the complement VP of the auxiliary do is [VFORM bse]. This feature

specification blocks modals from heading the VP following do, for modals are specified to be

[fin], predicting the ungrammaticality of the examples in (50):

(50) a. *He does [can leave here].

b. *He does [may leave here].

The lexical entry further specifies that thecomplementof do is a VP[AUX −].This requirement will correctly predict the ungrammaticality of examples in (51) and (52).

(51) a. *Jim [DOES [have supported the theory]].

b. *The proposal [DID [be endorsed by Clinton]].

(52) a. *I [do [not [have sung]]].

b. *I [do [not [be happy]]].

In (51) and (52), the VPs following the auxiliary do, stressed or not, bear the feature [AUX +]

inherited from the auxiliaries have and be. This explains their ungrammaticality.5

5There are special properties of do in imperatives, and different properties with don’t. Do in imperatives can occur

before another auxiliary like be and have.

(i) a. Do be honest!

b. Don’t be silly!

Do and don’t in imperatives also have one distinct property: only don’t allows the subject you to follow (try inserting

you in (ia) and (ib)). Their properties indicate that they have different lexical information from the verb forms used in

non-imperatives.

160 / ENGLISH SYNTAX: AN INTRODUCTION

8.3.4 Infinitival Clause Marker to

The auxiliary verbs to and do, in addition to differingby just one phonological feature, voicing,

differ in an important syntactic property: do appears only in finite contexts, and to only in non-

finite contexts. The verb to is, of course, the actual marker of the infinitive in English. Even

though it has the form of a preposition, its syntactic behavior puts it in the class of auxiliary

verbs (cf. Gazdar et al. 1985):

(53) a. *John believed Kim to do not leave here.

b. John believes Kim not to leave here.

These verbsshare the property that theyobligatorily take bareverbalcomplements (hence,non-

base forms or modals cannot head the complementVP):

(54) a. *John believed Kim to leaving here.

b. *John did not leaving here.

c. *John expect to must leave.

d. *John did not may leave.

In terms of NICE properties, to also falls under the VP ellipsis criterion:

(55) a. Tom wanted to go home, but Peter didn’twant to .

b. Lee voted for Bill because his father told him to .

These properties indicate that to should have a lexical entry like this:

(56) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

HEAD

⎡ ⎢⎢⎣ POS verb

AUX +

VFORM inf

⎤ ⎥⎥⎦

SPR ⟨

1 NP ⟩

COMPS

⟨ VP

⎡ ⎣VFORM bse SPR 〈 1 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

It is an infinitive auxiliary verb, whose complementmust be headed by a V in the bse form.

8.4 Explaining the NICE Properties

In this section we discuss how we can account for the NICE properties, which are key diagnos-

tics for presence of auxiliary verbs.

8.4.1 Auxiliaries with Negation

The English negative adverb not leads a double life: one as a nonfinite VP modifier, marking

constituentnegation,and theotheras acomplementofafiniteauxiliaryverb,markingsentential

negation. Constituent negation is the name for a construction where negation combines with

some constituent to its right, and negates exactly that constituent:

AUXILIARY CONSTRUCTIONS / 161

Constituent Negation: The properties of not as a nonfinite VP modifier can be supported from its similarities with adverbs such as never in nonfinite clauses as given in (57):

(57) a. Kim regrets [never/not [having seen the movie]].

b. We asked him [never/not [to try to call us again]].

c. Duty made them [never/not [miss the weekly meetings]].

Taking not to modify a nonfinite VP, we can predict its various positional possibilities in nonfi-

nite clauses, via the following lexical entry:

(58) ⎡ ⎢⎢⎢⎢⎢⎢⎣

〈not〉

HEAD

⎡ ⎢⎢⎢⎣ POS adv

NEG +

MOD ⟨ VP[VFORM nonfin]

⟩ ⎤ ⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎦

The adverb not modifies any nonfinite VP:

(59) Constituent Negation:

VP[nonfin]

��

�

,, ,,

,, ,

Adv[ MOD 〈 1 VP[nonfin]〉

] 1 VP[nonfin]

d d d d dd d d

ee e e e ee e

not . . . . . .

In thegrammaticalexamples in (60)and(61),not modifiesanonfiniteVP; in theungrammatical

examples the VP[nonfin] lexical constraint is violated.

(60) a. [Not [speaking English]] is a disadvantage.

b. *[Speaking not English] is a disadvantage.

c. *Lee likes not Kim.

(61) a. Lee is believed [not VP[inf][to like Kim]].

b. Lee is believed to [not VP[bse][like Kim].

c. *Lee is believed [to VP[bse][like not Kim]].

Sentential Negation: In contrast to constituent negation, there is sentential negation, which

is the canonicalexpressionof negation.One way to distinguish the two typesofnegationcomes

from scope possibilities in an example like (62) (cf. Warner 2000).

(62) The president could not approve the bill.

Negation here could have the two different scope readings paraphrased in (63).

162 / ENGLISH SYNTAX: AN INTRODUCTION

(63) a. It would be possible for the president not to approve the bill.

b. It would not be possible for the president to approve the bill.

The first interpretation is constituent negation; the second is sentential negation.

Sentential not may not modify a finite VP:

(64) a. Lee never/*not left. (cf. Lee did not leave.)

b. Lee will never/not leave.

This construction shows one clear difference between never and not: not can only modify a

nonfinite VP, a property further illustrated by the following examples:

(65) a. John could [not [leave the town]].

b. John wants [not [to leave the town]].

(66) a. *John [not [left the town]].

b. *John [not [could leave the town]].

Another difference between never and not is found in the VP ellipsis construction. Observe

the following contrast:

(67) a. Mary sang a song, but Lee never did .

b. *Mary sang a song, but Lee did never .

c. Mary sang a song, but Lee did not .

The data here indicate that not behaves differently from adverbs like never in finite contexts,

even though they all behave alike in nonfinite contexts. never is a true diagnostic for a VP-

modifier, and we use contrasts between it and not to reason what the properties of not must

be.

We have seen the lexical representation for constituent negation not above. Sentential not

appears linearly in the same position – following a finite auxiliary verb – but shows different

syntactic properties. The most economical way to differentiate sentential negation from con-

stituent negation is to assume that sentential negation is actually a syntactic complement of a

finite auxiliary verb (cf. Kim and Sag 1995, 2002). That is, we can assume that when not is

used as a marker of sentential negation, it is selected by the precedingfinite auxiliary verb via a

lexical rule:

(68) Negative Auxiliary Verb Lexical Rule:⎡ ⎢⎢⎢⎣ HEAD

⎡ ⎣AUX + VFORM fin

⎤ ⎦

COMPS 〈 1 XP〉

⎤ ⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣ HEAD

⎡ ⎢⎢⎣ AUX +

VFORM fin

NEG +

⎤ ⎥⎥⎦

COMPS 〈Adv[NEG +], 1 XP〉

⎤ ⎥⎥⎥⎥⎥⎦

This lexical rule allows a finite auxiliary verbwith a complement ( 1 ) to select an extra comple-

ment, marked [NEG +]. This rule gives a lexical entry which licenses the following structure

for sentential negation:

AUXILIARY CONSTRUCTIONS / 163

(69)

VP⎡ ⎢⎢⎢⎣ VFORM fin

AUX +

COMPS 〈〉

⎤ ⎥⎥⎥⎦

&&&& &&&&

��

�

V⎡ ⎢⎢⎢⎣ VFORM fin

AUX +

COMPS 〈 2 [NEG +], 3 〉

⎤ ⎥⎥⎥⎦

2 Adv 3 VP[bse]

bb bb bb bb bb bb b

cc cc cc cc cc cc c

could not leave the town

As shownhere, the negativefinite auxiliaryverb could selects two complements, the adverbnot

and the VP leave the town, and all together these produce a well-formed finite VP.

By treating not as an modifier meaning constituent negation and as a complement marking

sentential negation,we can account for the scope differences in (62) and variousother phenom-

ena includingVPEllipsis (see8.4.4).Forexample, thepresent analysiswill assign twodifferent

structures for the string (62):

(70) a. VP[AUX +]

��

�

��

�

V[AUX +] VP[VFORM bse]

��

�

,, ,,

,, ,

could Adv[

MOD 〈 1 VP〉 ] 1 VP[VFORM bse]

// // // // //

00 00

not approve the bill

164 / ENGLISH SYNTAX: AN INTRODUCTION

VP⎡ ⎢⎢⎢⎣ VFORM fin

NEG +

COMPS 〈〉

⎤ ⎥⎥⎥⎦

&&&& &&&&

��

V⎡ ⎢⎢⎢⎢⎢⎢⎣

VFORM fin

AUX +

NEG +

COMPS 〈 2 [NEG +], 3 VP〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 Adv 3 VP[VFORM bse]

<< << << << << << << <

]] ]] ]] ]] ]] ]] ]] ]

could not approve the bill

In the structure (70a), not modifies just a nonfinite VP, with scope narrower than could. Mean-

while, in (70b), not is at the same level in the syntax as could, and semantically not scopes over

could. In this case, the feature [NEG +] percolatesup to the VP and then to the whole sentence.

The semanticconsequenceof this structuraldifferencecanbe seen in the different tag questions

appropriate for each interpretation:

(71) a. The president [could [not [approve the bill]]], couldn’t/*couldhe?

b. The president [[could] [not] [approve the bill]], could/*couldn’the?

The tag question forms show that (71a) is actually a positive statement, even though some part

of it is negative. On the other hand, (71b) is a negative statement.

8.4.2 Auxiliaries with Inversion

Questions in English are formed by structures which invert the subject and the auxiliary:6

(72) a. Are you studying English syntax?

b. What are you studying nowadays?

The long-standing tranformational approach assumes that the auxiliary verb is moved from a

medial position to the clause-initial position (the node labels would typically differ in current

analyses, but the structure of the movement is what is relevant here):

6For the analysis of wh-questions like (72b), see chapter 10.

AUXILIARY CONSTRUCTIONS / 165

(73) S

��

� ��

��

V S

��

� ��

��

Are NP VP

��

� ��

��

you V VP

��

studying English?

However, there are certain exceptions that present problems for the analysis of inverted auxil-

iaries involving a movement transformation.Observe the following contrast:

(74) a. I shall go downtown.

b. Shall I go downtown?

Here there is a semantic difference between the auxiliary verb shall in (74a) and the one in

(74b): the former conveys a sense of simple futurity – in the near future, I will go downtown

– whereas the latter example has a deontic sense, asking whether it is appropriate for me to go

downtown. If the inverted verb is simply moved from an initial medial position in (74b), it is

not clear how the grammar can represent this meaning difference.

English also has various interpretations for the subject-auxiliary inversion construction:7

(75) a. Wish: May she live forever!

b. Matrix Polar Interrogative:Was I that stupid?

c. Negative Imperative:Don’t you even touch that!

d. Subjunctive:Had they been here now, we wouldn’t have this problem.

e. Exclamative: Boy, am I tired!

Each of these constructions has its own constraints which cannot fully be predicted from other

constructions. For example, in ‘wish’ constructions, only the modal auxiliary may is possible.

In negative imperatives, only don’t allows the subject to follow. These idiosyncratic properties

support a non-movementapproach, in which auxiliaries can be specified to have particular uses

or meanings when inserted into particular positions in the syntax.

This in turn means that our grammaradds the following SAI grammar rule as a well-formed

condition: 7See Fillmore (1999) for detailed discussion.

166 / ENGLISH SYNTAX: AN INTRODUCTION

(76) Subject-Aux Inversion (SAI) Rule:

S [ SPR 〈〉

] → H

⎡ ⎢⎢⎢⎢⎢⎢⎣ HEAD

⎡ ⎣INV + AUX +

⎤ ⎦

SPR A

COMPS B

⎤ ⎥⎥⎥⎥⎥⎥⎦ , A , B

This rule thus licenses an an inverted,finite, auxiliaryverb to combinewith its subject (the SPR

value A ) and complements (the COMPS value B ), forming a well-formed subject-auxiliary

inverted phrase like the following:

(77)

S⎡ ⎢⎢⎢⎢⎢⎢⎣ HEAD

⎡ ⎣AUX + INV +

⎤ ⎦

SPR 〈〉 COMPS 〈〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

&&&& &&&&

��

V⎡ ⎢⎢⎢⎢⎢⎢⎣ HEAD

⎡ ⎣AUX + INV +

⎤ ⎦

SPR 〈 1 NP〉 COMPS 〈 2 VP〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

1 NP 2 VP[VFORM bse]

>> >> >> >> >> >> >> >

?? ?? ?? ?? ?? ?? ?? ?

Will you study syntax?

As shown in the structure, the inverted will combines with the subject NP you and the VP

complement at the same level.

Even though most of the auxiliary verbs will be classified as [INV +/−], some are lexically defined just as [INV −]. For example, consider better. (78) a. You better not drink.

b. You can do it, but you better not .

c. *Better you not drink.

Even though the word better functions at least in spoken English as an auxiliary verb, it always

carries [INV −], as attested by the above contrast: it cannot be inverted.

AUXILIARY CONSTRUCTIONS / 167

8.4.3 ContractedAuxiliaries

Auxiliary verbs actually show two kinds of contraction: either with a preceding subject or with

a negation (but not both):

(79) a. They’ll be leaving.

b. They’d leave soon.

(80) a. They wouldn’t leave soon.

b. They shouldn’t leave soon.

Contracted negation forms show several lexical idiosyncrasies as in *willn’t, *amn’t, and

*mayn’t. It is common to analyze n’t as a kind of inflectional affix (cf. Zwicky and Pullum

(1983)). In the approach we adopt here, we would posit an inflectional rule applying to a

specific set of verbs, as in (81):

(81) N’t Inflection Lexical Rule:

⎡ ⎢⎢⎢⎢⎢⎣

PHON 〈 1 〉

HEAD

⎡ ⎢⎢⎣ POS verb

VFORM fin

AUX +

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣

PHON 〈 1 + n’t〉

HEAD

⎡ ⎢⎢⎣ VFORM fin

AUX +

NEG +

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

This means that a word like can will be mapped to can’t, gaining the NEG feature:

(82) ⎡ ⎢⎢⎢⎢⎢⎣

〈can〉

HEAD

⎡ ⎢⎢⎣ POS verb

VFORM fin

AUX +

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣

〈can’t〉

HEAD

⎡ ⎢⎢⎣ VFORM fin

AUX +

NEG +

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

As we have seen earlier, the head feature NEG will play an important role in forming tag ques-

tions:

(83) a. They can do it, can’t they?

b. They can’t do it, can they?

c. *They can’t do it, can’t they?

d. *They can’t do it, can he?

The tag part of such a question has the opposite value for NEG compared to that in the main

part of the clause, and its subject needs to have the same index value as the matrix subject. For

this, we can introduce the feature XARG (external argument) for each predicate and link the

subject to this value.8 This means that English has independently the following Tag Question

8Traditionally, arguments are classified into external and internal ones in which the former usually refers to the

subject. The introduction of such a semantic feature is necessary if we want to make the subject value visible at the S

level. See Bender and Flickinger (1999) and Sag (2007).

168 / ENGLISH SYNTAX: AN INTRODUCTION

Rule:9

(84) Tag-Question Rule:

S → S ⎡ ⎣NEG 1 XARG i

⎤ ⎦, S

⎡ ⎢⎢⎣ NEG ¬ 1 INV +

XARG i

⎤ ⎥⎥⎦

This rule means that a tag part can be added when it has the opposite NEG value whose subject

index is identical with that of the matrix subject. This will then project the following structure

for (83a):

(85) S

YYYYY YYYYY

YYY 77777777

77777777 777777

S⎡ ⎣NEG + XARG i

⎤ ⎦

// // // // // // // // /

��

�

S⎡ ⎢⎢⎢⎣ NEG − INV +

XARG i

⎤ ⎥⎥⎥⎦

&&&& &&&&

&&&&

��

1 NPi

VP⎡ ⎢⎢⎢⎣ NEG +

XARG i

SPR 〈 1 NPi〉

⎤ ⎥⎥⎥⎦

RRR RRR

��

V⎡ ⎢⎢⎢⎢⎢⎢⎣

NEG − INV +

XARG i

SPR 〈 2 NPi〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 NP

They

V⎡ ⎢⎢⎢⎣ NEG +

XARG i

SPR 〈 1 NPi〉

⎤ ⎥⎥⎥⎦

MM MM MM MM MM

NN NN NN NN NN

can they

can’t do it

As represented here, the NEG feature of the matrix verb is passed up to the first S. The tag

question then needs to have the opposite NEG value in accordance with the rule in (84). The

semantic feature XARG identified with the subject starts from the auxiliary verb and then is

semantically composed into the meaning of S. The XARG value in a sense makes the subject’s

9This rule is a simplified version. To be more precise, we need to ensure that the second S, corresponding to the tag

part, must have only the auxiliary and the subject. See Bender and Flickinger (1999) and Sag (2007).

AUXILIARY CONSTRUCTIONS / 169

index value visible at the top level of the sentence in question so that the tag subject can also

refer to this.

8.4.4 Auxiliaries with Ellipsis

The standard generalization of Verb Phrase Ellipsis (VPE) is that it is possible only after an

auxiliary verb, as shown in the contrast (86) and (87).

(86) a. Kim can dance, and Sandy can , too.

b. Kim has danced, and Sandy has , too.

c. Kim was dancing, and Sandy was , too.

(87) a. *Kim considered joining the navy, but I never considered .

b. *Kim got arrested by the CIA, and Sandy got , also.

c. *Kim wanted to go and Sandy wanted , too.

The VP complement of an auxiliary verb, but not a main verb, can undergo VP ellipsis as long

as the context providesenough information for its interpretation.

The syntactic part of this generalization can be succinctly stated in the form of lexical rule:

(88) VP Ellipsis Rule:⎡ ⎣HEAD |AUX + COMPS 〈XP〉

⎤ ⎦ ⇒

⎡ ⎣HEAD |AUX + COMPS 〈〉

⎤ ⎦

As the rule is stated to apply to any XP after a verb with the [AUX +] specification, it can apply

to more than just VPs, and to more than just the canonical auxiliary verbs, but also be and have

in their main verb uses. With be, non-VP complements can be elided:

(89) a. Kim is happy and Sandy is too.

b. When Kim was in China, I was too.

The main verb have is somewhat restricted, but the contrast in (90) is clear. Even though have

is a main verb in (90a), it can allow an elided complement, unlike the main verb bring in (90b):

(90) a. A: Have you anything to share with the group?

B: No. Have you ?

b. A: Have you brought anything to share with the group?

B: No. *Have you bought ?

Given the lexical rule (88) which specifies no change in the ARG-ST, a canonical auxiliary

verb like can will have a counterpartminus its phrasal complementon the COMPS list:

(91) ⎡ ⎢⎢⎢⎢⎢⎣ 〈can〉 SPR 〈 1 NP〉 COMPS 〈 2 VP[bse]〉 ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣ 〈can〉 SPR 〈 1 〉 COMPS 〈〉 ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎥⎥⎦

170 / ENGLISH SYNTAX: AN INTRODUCTION

Notice here that even though the VP complement is elided in the output, the ARG-ST is intact.

In the first part of the example in (92), there are three auxiliary verbs:

(92) Kim must have been dancing and

⎧⎪⎪⎨ ⎪⎪⎩ a. Sandy must have been , too.

b. Sandy must have , too.

c. Sandy must , too.

⎫⎪⎪⎬ ⎪⎪⎭

There are thereforevariousoptions for an elided VP: the complementof been, or have, or must.

The analysis also immediately predicts that ellipsis is possible with the infinitival marker to,

for this is an auxiliary verb, too:

(93) a. Tom wanted to go home, but Peter didn’twant to .

b. Lee voted for Bill because his father told him to .

(94) a. Because John persuaded Sally to , he didn’t have to talk to the reporters.

b. Mary likes to tour art galleries, but Bill hates to .

Finally, the analysis given here will also account for the contrast shown above in (67); a

similar contrast is found in the following examples:

(95) a. *Mary sang a song, but Lee could never .

b. Mary sang a song, but Lee could not .

The negator not in (95b) is a marker of sentential negation and can be the complement of the

finite auxiliary verb could. This means we can apply the VPE lexical rule to could after the

negation lexical rule (68), as shown (96):

(96) ⎡ ⎢⎢⎢⎢⎢⎣ 〈could〉 SPR 〈 1 NP〉 COMPS 〈 2 Adv[NEG +], 3 VP[bse]〉 ARG-ST 〈 1 , 2 , 3 〉

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣ 〈could〉 SPR 〈 1 〉 COMPS 〈 2 〉 ARG-ST 〈 1 , 2 , 3 〉

⎤ ⎥⎥⎥⎥⎥⎦

As shown here in the right-hand form, the VP complement of the auxiliary verb could is not

realized as a COMP element, though the negative adverb is. This form would then project a

syntactic structure in (97):

AUXILIARY CONSTRUCTIONS / 171

(97) VP

ffffff ffffff

��

V⎡ ⎢⎢⎢⎢⎢⎢⎣

AUX +

SPR 〈 1 〉 COMPS 〈 2 Adv[NEG +]〉 ARG-ST 〈 1 , 2 , 3 VP[bse]〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 Adv[ NEG +

]

could not

As represented here, the auxiliary verb could forms a well-formed head-complement structure

with not.

Why is there a contrast in the examples in (95)? The reason is that not can ‘survive’ VPE

because it can be licensed in the syntax as a complement of an auxiliary, independent of the

followingVP. However, an adverb like never is only licensed as a modifier of VP (it is adjoined

to VP to give another VP), and hence if the VP were elided, we would have a hypothetical

structure like this:

(98) VP

��

V[AUX +] *VP

could Adv[MOD 〈VP〉]

never

Here, the adverb never modifies a VP through the feature MOD, which guarantees that the

adverb selects the head VP that it modifies. In an ellipsis structure, the absence of such a VP

means that there is no VP for the adverb to modify. In other words, there is no well-formed

phrasal structure – predicting the ungrammaticalityof *has never as opposed to has not.10

10As we have seen in 6.6.1, all modifiers carry the head feature MOD whose value is the expression they modify.

172 / ENGLISH SYNTAX: AN INTRODUCTION

8.5 Exercises

1. Each of the following sentences contains an item (in the parentheses) which we might

want to call an auxiliary. In each case, construct relevant examples that will clarify

whether it actually is an auxiliary:

(i) a. John got sent to prison. (got)

b. He ought to leave his luggage here. (ought)

c. They needn’t take this exam. (need)

d. You better not leave it here. (better)

e. He dared not argue against his parents. (dared)

f. He used to go there very often. (used).

Explain your reasoning from the examples you provide.

2. Draw trees for the following sentences:

(i) a. The gardener must trim the rose bushes today.

b. This should be the beginning of a beautiful friendship.

c. I am removing the shovel from the shed.

d. The travelers have returned from their vacation.

e. Springfield would have built a police station with the federal grant.

f. Stringrays could have been cruising near the beach.

g. She seem to have given financial assistance to an importantFrench art dealer.

3. Providean analysisof the grammaticalityor ungrammaticalityof the followingexamples

together,witha treestructureforeach,andlexicalentriesfor thewordsplayingthecrucial

roles in the determination of grammaticality.

(i) a. Ann may spend/*spending/*spends/*spenther vacation in Italy.

b. It has rained/*raining/*rains/*rainevery day for the last week.

c. Tagalog is spoken/*speak/*speaks/*spokein the Philippines.

d. The roof is leaking/*leaked/*leaks/*leak.

(ii) a. *Americans have musted pay income tax ever since 1913.

b. *George is having lived in Toledo for thirty years.

c. *The house is been remodeling.

d. *Margaret has had already left.

e. *A medal was been given to the mayor by the sewer commissioner.

f. *Does John have gone to the library?

g. *John seems fond of ice cream, and Bill seems, too.

(iii) a. Sam may have been being interrogatedby the FBI.

b. *Sam may have been being interrogatingby the FBI.

c. *Sam may be had been interrogatingby the FBI.

4. Analyzethe followingsentencesprovidingtreestructuresand lexicalentries for theverbs:

(i) a. Have social problemsmade police work difficult?

AUXILIARY CONSTRUCTIONS / 173

b. The senator should not have forgotten the concerns of her constituents.

c. Tokyo has not loosened trade restrictions.

d. They love to play golf, but I do not.

e. Did the doctor prescribe aspirin?

f. George has spent a lot of money, hasn’t he?

g. Sandy will read your reports, but Harold will not.

What grammar rules are needed for your structures? Are any lexical rules involved in

getting to the correct forms of the verbs?

5. English allows what is called ‘negative inversion’ as illustrated in (ii):

(i) a. He can hardly believe that it’s already over.

b. I could have little known that more trouble was just around the corner.

c. I have never been spoken to so rudely!

(ii) a. [Hardly] was there any rain falling.

b. [Little] did I know that more trouble was just around the corner.

c. [Never] have I been spoken to so rudely!

(iii) a. He had hardly collected the papers on his desk, had he/*hadn’the?

b. He never achieved anything, did he/*didn’the?

Draw tree structures for the sentences (ii) and provide the lexical entries for hardly, little

and never. The examples in (iii) indicate that these adverbs all involve some kind of

negation in the sentence in which theyappear. In addition, think of how youranalysis can

account for the unacceptable examples in (iv):

(iv) a. As a statesman, he scarcely could do anything worth mentioning.

b. As a statesman, scarcely could he do anything worth mentioning.

c. *As a statesman, scarcely he could do anything worth mentioning.

6. Observe the following contrast and state a rule that can describe the usage of words like

any. Does your rule involve negative words like not or hardly – if so, how? In addition,

construct examples replacing any with some and determine if there are any differences

between these two types of word.

(i) a. *Anyone isn’t sleeping in my bed.

b. *Any zebras can’t fly.

c. *Anything hasn’t happened to his optimism.

d. *Any of the citizens hardly ever say anything.

(ii) a. I didn’tfind any bugs in my bed.

b. Nobody told them anything.

c. We never found any of the unicorns.

(iii) a. Never have I stolen from any members of your family.

b. Why haven’t any books been returned?

c. Hardly any of the citizens ever say anything.

174 / ENGLISH SYNTAX: AN INTRODUCTION

7. After reading the following passage, provide lexical entries for the underlinedwords and

draw trees for the sentences which include them.

(i) This expanded role for auxiliaries in English has resulted in some curious

rules. One is that when a sentence is to be negated, the word not must follow

not themainverb(asused tobe thecase),but theauxiliary.This rulecreatesan

awkward dilemma in the occasional instance when the sentence to be negated

actually doesn’t have an auxiliary verb. Thus, if I wish to deny the sentence,

I walked home, I must add an entirely meaningless auxiliary from the verb

do just to stand as the prop for the word not. The result is the sentence, I

didn’t walk home. Now, do and did are often added to show emphasis, but in

thosecases theyare spokenwithemphasis.Thus, there is adifferencebetween

saying I didn’twalk homeandsaying I DIDN’T walk home.The lattersentence

expresses emphasis, but in the former sentence the verb did expressesnothing

at all; it is merely there to hang the not on. If we tried to say, I walked not

home, this would have an unacceptably odd sound to it. It would, indeed,

sound archaic. English literature is full of such archaisms, since putting not

after the main verb was still good usage in the time of Shakespeare and a

century or more later.11

11Adopted from ‘Creationism & Darwinism, Politics & Economics’ by Kelley L. Ross.

PassiveConstructions

9.1 Introduction

One importantaspect of syntax is howto capture systematic relationsbetween relatedconstruc-

tions. For example, the following two sentences are similar in meaning:

(1) a. One of Korea’s most famous poets wrote these lines.

b. These lines were written by one of Korea’s most famous poets.

Werecognize(1b)as thepassivecounterpartof theactivesentence(1a).These twosentencesare

truth-conditionallysimilar: theybothdescribe the eventof writing the linesby oneKoreanpoet.

Theonlydifferenceinvolvesgrammaticalfunctions: in theactivevoice(1a),oneofKorea’smost

famous poets is the subject, whereas in the passive voice (1b), these lines is the subject.

Observing these differences, the question that arises is: Why do we use different voices

for expressing or describing the same situation or proposition? It is generally accepted that

the passive construction is used for certain discourse-motivated reasons. For example, when

it is more important to draw our attention to the person or thing acted upon, we use passive.

Compare the following:

(2) a. Somebodyapparently struck the unidentifiedvictim during the early morninghours.

b. The unidentified victim was apparently struck during the early morning hours.

We can easily see here that the passive in (2b) assigns more attention to the victim than the

active in (2a) does. In addition,when the actor in the situation is not importantor specific, there

is often a preference to use the passive voice:

(3) a. Targets can be observed at any angle.

b. During the early evening, Saturn can be found in the north, while Jupiter rises in the

east.

Similarly, we use the passive voice in formal, scientific, or technical writing or reports to place

an emphasisor an objectivepresentationon the processor principlebeing described.For exam-

ple, compare the following pair:

(4) a. I poured 20cc of acid into the beaker.

175

176 / ENGLISH SYNTAX: AN INTRODUCTION

b. About 20cc of acid was poured into the beaker.

It is clear that unlike the active sentence (4a), the passive sentence (4b)assigns a moreobjective

perspective to the process described.

In this chapter, leaving aside these discourse- or genre-motivated features of the use of pas-

sive constructions, we will look into the syntactic and semantic relationships between active

and passive as well as the properties of differentpassive constructions.

9.2 Relationships between Active and Passive

Consider the two canonical active and passive counterpart sentences:

(5) a. The executive committee approved the new policy.

b. The new policy was approvedby the executive committee.

How do these construction types differ?

Grammatical Functions and Subcategorization: As briefly noted earlier, one of the main

differences we can observe between (5a) and (5b) is that the passive sentence has a ‘promoted’

object: the new policy is the passive sentence subject, while the notional subject the executive

committee is realized, optionally, in a PP (headed by by). By definition, a transitive verb form

such as taken or chosen must have an object:

(6) a. John has taken Bill to the library.

b. John has chosen Bill for the position.

(7) a. *John has taken to the library.

b. *John has chosen for the position.

Yet, with the passive construction of such verbs, the object NP is not present in post-verbal

position, and must not be:

(8) a. *The guide has been taken John to the library.

b. *The departmenthas been chosen John for the position.

(9) a. John has been taken to the library.

b. John has been chosen for the position.

The absence of the object in the passive is due to the fact that the argument that would have

been the object of the active verb has been promoted to be the subject in the passive.

Apart from the direct object, other subcategorization requirement stays unchanged in a pas-

sive form. For example, the active form handed in (10) requires an NP and a PP[to] as its

complements, and the passive handed in (11) still requires the PP complement:

(10) a. Pat handed a book to Chris.

b. *Pat handed to Chris.

c. *Pat handed a book.

(11) a. A book was handed to Chris (by Pat).

PASSIVE CONSTRUCTIONS / 177

b. *A book was handed (by Pat).

OtherSelectionalProperties:The third importantproperty, following fromthe fact that the

active verb’s object is promoted to the passive construction’s subject, is that other selectional

properties of the verb are preserved. For example, if the usual postverbal constituent should

be an expletive form like it, this requirement is on the subject in the passive. Compare the

following:

(12) a. They believe it/*Stephen to be easy to annoy Ben.

b. They believe there to be a dragon in the wood.

(13) a. It/*Stephen is believed to be easy to annoy Ben.

b. There is believed to be a dragon in the wood.

If the active complement is itself a clause, so must the subject of the passive verb be a clause:

(14) a. No one believes/suspects [that he is a fool].

b. [That he is a fool] is believed/suspected by no one.

Finally, if the postverbal constituent can be understood as part of an idiom, so can the subject

in the passive:

(15) a. They believe the cat to be out of the bag.

b. The cat is believed to be out of the bag.

We thus can conclude that the subject of the passive form is the argumentwhich corresponds to

the object of the active.

Morpho-syntacticchanges: Inaddition to changes inargumentrealization, thepassivecon- struction requires the auxiliary verb be in conjunction with the the passive form of the verb (a

subtype of the en form, see 5.2.1). In addition to ‘passive be’ italicized in the examples below,

there can be other auxiliary verbs, with the passive auxiliary last in the sequence:

(16) a. John drove the car. → The car was driven. b. John was driving the car. → The car was being driven. c. John will drive the car. → The car will be driven. d. John has driven the car. → The car has been driven. e. John has been driving the car. → The car has been being driven. f. John will have been driving the car. → The car will have been being driven.

Semantics: In terms of meaning, as noted above, there is no change in the semantic role

assigned to the argumentwhich is the subject in the passive. The agent argumentof active verb

is expressed as an optional oblique argument of the PP headed by the preposition by in the

passive, or not at all:

(17) a. Pat handed Chris a note.

178 / ENGLISH SYNTAX: AN INTRODUCTION

b. Chris was handed a note (by Pat).

(18) a. TV puts ideas into children’s heads.

b. Ideas are put into children’s heads (by TV).

The observationsabove mean that any grammar needs to capture the following basic properties

of passive:

. Passive turns the active object into the passive subject;

. Passive leaves other aspects of the COMPS value of the active verb unchanged;

. Passiveoptionallyallows theactive subject to be the object ina PP headedby thepreposition by; . Passive makes the appropriate morphological change in the form of the main verb, and re- quires the auxiliary be; . Passive leaves the semantics unchanged. 9.3 Approaches to Passive

There could be several ways to capture the systematic syntactic and semantic relationships

between active and passive forms. Given our discussion so far, one might think of relying on

grammatical categories in phrase structure (NP, VP, S, etc.), or on surface valence properties

(SPR and COMPS), often informally characterized as grammatical functions, or semantic roles

(agent, patient etc.). In what follows, we will see that we need to refer to all of these aspects of

the representation in a proper treatment of English passive constructions.

9.3.1 From StructuralDescription to Structural Change

Beforewe lookinto syntacticanalyses for the formationofpassivesentences, it isworth review-

ing Chomsky’s (1957) Passive Formation Rule formulated in terms of structural descriptions

(SD) and structural change (SC):

(19) Passive Formation Rule:

SD: X NP Y V NP Z

��

�� SC: 1 5 3 be 4+en 6 (by 2)

This rule means that if there is anything thatfits the SD in (19), it will be changed into the given

SC: that is, if we have any string in the order of “X – NP – Y – V – NP – Z” (in which X, Y,

and Z are variables), the order can be changed into “X – NP – Y – be – V+en – Z – by NP”. For

example, consider one example:

PASSIVE CONSTRUCTIONS / 179

(20) SD: Yesterday, the child really kicked a monkey in the street.

X NP Y V NP Z

��

�� SC: 1 5 3 be 4 + en 6 (by 2)

Yesterday, a monkey really was kicked in the street (by the child)

As noted here, the main change that occurs in the SC is that the first NP became an optional

PP whereas the second NP became the first NP. The rule also accompanies the addition of be

and the change of the main verb’s VFORM into the passive form. Even though this old SD-SC

style rule does not reflect constituenthood of the expressions in the given sentence and is not

satisfactory enough to account for all different types of passivization that we will see in the

following, this seminal work has influenced the development of subsequent transformational

analyses for English passive constructions.

9.3.2 A TransformationalApproach

A typical transformational approach assuming movement for passive involves the operation

shown in (21) (Chomsky 1982):

(21) IP

��

� ��

��

NP Ī

��

� ��

��

e I VP

��

� ��

��

Past V VP

��

� ��

��

V NP

deceived Bill

The operation moves the object Bill to the subject position and the verb be to I (Infl) position,

generating the output sentence Bill was deceived. This kind of movement analysis is based on

the following three basic assumptions:

. Move α: Move a category.

. Case Theory: NP needs Case. The subject receives NOM (nominative) case from tense, and the object receives ACC (accusative) from an active transitive verb.1

1In English, case is morphologically visible only on pronouns: he is nominative, whereas him is accusative, for

example.

180 / ENGLISH SYNTAX: AN INTRODUCTION

. A passive participle does not license ACC case. In the lower position inside VP, the NP Bill in (21) cannot receive ACC case, since by as-

sumption the passive participle form deceived cannot assign any case. Hence, was deceived

Bill would violate Case Theory, for every NP must be assigned case. If the NP is moved to the

subject position, where case is assigned by the tensed verb was, then Case Theory is satisfied.

Eventhoughthiskindofmovementorderivationalanalysiscanbeappealing incapturing the

relationships between canonical active and passive examples, it leaves many facts unexplained.

In what follows, we will see more complicated types of passive construction in English, and

the need to refer to not only grammatical categories but also grammatical functions, as well as

semantic/pragmatic constraints on passive.

9.3.3 A Lexicalist Approach

If we look into more passive examples, we can see that we need to refer to lexical and semantic

properties of the transitive verbs. First, there are many exceptions to passive. For example,

transitive verbs like resemble or fit do not have any passive in some senses (see section 9.5

also):

(22) a. The model resembles Kim in nearly every detail.

b. *Kim is resembled by the model in nearly every detail.

(23) a. The coat does not fit you.

b. *You are not fitted by the coat.

Such a transitive verb presumably fits the tree structure in (21), but cannot be passivized.

Incontrast, therearealso verbs like rumor, say and repute whichareusedonly in thepassive,

as seen in the following contrast:

(24) a. I was born in 1970.

b. It is rumored that he is on his way out.

c. John is said to be rich.

d. He is reputed to be a good scholar.

(25) a. *My mother bore me in 1970.

b. *Everyone rumored that he was on his way out.

c. *They said him to be rich.

d. *They reputed him to be a good scholar.

Unlike verbs like resemble, these verbs are not used as active forms.

Suchnon-passiveexamplesarehardtoexplainifwerelyonlyontheassumptionthatpassives

are derived from actives from configurational transformation rules. It seems that such lexical

idiosyncracies can be better treated in terms of a lexical process which allows us to refer to

the lexical and semantic properties of the verb in question. One way to capture these observed

lexical properties of passive is to posit a simplified lexical rule like the following:

PASSIVE CONSTRUCTIONS / 181

(26) Passive Lexical Rule (to be revised):

⎡ ⎢⎢⎣ trans-v

SPR 〈 1 NP〉 COMPS 〈 2 NP, .. .〉

⎤ ⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎢⎣

pass-trans-v

HEAD |VFORM pass SPR 〈 2 NP〉 COMPS 〈 . . . ,

( PP [ by + 1 NP

]) 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

This simple rule says that if there is a transitive verb (tran(sitive)-v) lexeme selecting one

SPR ( 1 ) and at least one COMPS element ( 2 and others), then there is a related passive verb

(pass-trans-v). This output verb selects the first element on the original COMPS list as its SPR

( 2 NP) and the SPR in the input as an optional PP(consisting of by and 1 NP) with the remain-

ing COMPS value unchanged ( . . .). The lexical process also accompanies the change in the

VFORM value into pass.2

As it stands, this lexical rule is not precise enough. For example, consider the following:

(27) a. He kicked the ball. vs. b. The ball was kicked by him.

c. John kicked him. vs. d. He was kicked by John.

We can observe that the case on the first argument of the predicate has changed from he in the

active to him in the passive.However, thisdifference is entirelypredictable:all subjectsoffinite

clauses in English are nominative,and all objects of prepositionsare accusative. So, rather than

stating the case changes directly, we can change the rule to refer only to the index value of the

subject and object:3

2As we noted in Chapter 5, in terms of the morphological form, the VFORM pass is a subtype of en. 3Notice that the lexical rule given here can be represented in terms of the ARG-ST (Sag et al. 2002):

(i) [ trans-v

ARG-ST 〈XPi, XPj . . . 〉

] ⇒

⎡ ⎣pass-trans-v ARG-ST 〈XPj, . . .

( PPi[PFORM by]

) 〉

⎤ ⎦

This rule rearranges the elements of the input ARG-ST, also accompanying the change in the VFORM value into pass.

That is, the second element in the input ARG-ST becomes the first element in the ARG-ST of the output passive verb.

Whatever follows the second argument in the input is intact, but the first element in the ARG-ST becomes the object

of the optional PP. The Argument Realization Constraint in (4.4.3) will ensure that the first element in the ARG-ST is

realized as the SPRand the remaining elements as the COMPSvalue as given in (28). Given that there is no discrepancy

between the ARG-ST values and the VAL (SPR and COMPS) values, we can formulate the passive rule as in (28) too.

182 / ENGLISH SYNTAX: AN INTRODUCTION

(28) Passive Lexical Rule (Final):

⎡ ⎢⎢⎣ trans-v

SPR 〈XPi〉 COMPS 〈XPj, . . . 〉

⎤ ⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎣ pass-v

HEAD |VFORM pass SPR 〈XPj〉 COMPS 〈 . . . (PPi[PFORM by])〉

⎤ ⎥⎥⎥⎥⎥⎦

With this revised lexical rule, the case of the various NPs will be predicted by general prin-

ciples of case marking in English clauses, and need not be mentioned in the rule, which now

refers to the index values of the SPR and COMPS expressions. Let us see how all this works,

concentrating on a simple example:

(29) a. John sent her to Seoul.

b. She was sent to Seoul.

The active verb send is turned into the passive verb sent by the Passive Lexical Rule in (28):

(30) ⎡ ⎢⎢⎢⎢⎢⎣ 〈send〉 HEAD|POS verb SPR 〈NPi〉 COMPS 〈NPj, 2 PP[to]〉

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈sent〉

HEAD

⎡ ⎣POS verb VFORM pass

⎤ ⎦

SPR 〈 1 NPj〉 COMPS 〈 2 , (PPi[by])〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

As seen here in the output form, the passive sent takes a SPR whose index value is identical

to that of the first element of the COMPS list in the input. The passive sent also inherits the

PP[to] complement, tagged 2 , and selects an optional PP whose index value is identical to the

SPR (subject) of the input.4 This output lexical entry will then license the following structure

for (29b):

4As noted in Chapter 6.5.2, a preposition functioning as a marker rather than as a predicator with semantic content

does not contribute to the meaning of the head PP. This means that its index value is identical to that of its object NP.

PASSIVE CONSTRUCTIONS / 183

(31) S[

VFORM fin ]

DD DD DD DD DD DD DD

��

2 NP

VP⎡ ⎢⎣ VFORM fin

SPR 〈 2 〉 COMPS 〈〉

⎤ ⎥⎦

��

V⎡ ⎢⎣ VFORM fin

SPR 〈 2 〉 COMPS 〈 5 〉

⎤ ⎥⎦

5 VP⎡ ⎢⎣ VFORM pass

SPR 〈 2 〉 COMPS 〈〉

⎤ ⎥⎦

��

EE EE

She was

V⎡ ⎢⎣ VFORM pass

SPR 〈 2 〉 COMPS 〈 3 〉

⎤ ⎥⎦ 3 PP

>> >> >> >> >

aa aa aa aa a

sent to Seoul

As given in the structure, the passive sent combines with its PP[to] complement, forming a VP

that still requires a SPR. This VP functions as the complement of the auxiliary be (was). As

we saw in Chapter 8, be is a raising verb, with the repeated lexical entry in (32), whose subject

(SPR value) is identical to its VP complement’s subject She:

(32) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈be〉 HEAD |POS verb SPR 〈 2 〉

COMPS

⟨ VP

⎡ ⎣VFORM pass SPR 〈 2 〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The SPR requirement on be is passed up to the highest VP in accordance with the VALP that

regulates the value of SPR and COMPS (see Chapter 5.1). When this VP combines with the

subject she in accordance with the Head-Specifier Rule, the well-formed passive sentence is

complete.

The Passive Lexical Rule in (28) can be also applied to verbs which select for a CP comple-

ment. Consider the following examples:

(33) a. They widely believed that John was ill.

b. That John was ill was widely believed.

184 / ENGLISH SYNTAX: AN INTRODUCTION

Theapplicationof thePassive LexicalRule to theactive believe will generate the passiveoutput

shown in the following:

(34) ⎡ ⎢⎢⎢⎢⎢⎣ 〈believe〉 HEAD|POS verb SPR 〈NPi〉 COMPS 〈CPj〉

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈believed〉

HEAD

⎡ ⎣POS verb VFORM pass

⎤ ⎦

SPR 〈CPj〉 COMPS 〈(PPi)〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The output passive verb believed then can license a structure like the following:

(35) S

RRR RRR

2 CP

33 33 33 33 3

44 44

4 VP[

SPR 〈 2 〉 ]

��

That John

was ill

V[ SPR 〈 2 〉 COMPS〈 5 〉

] 5 VP[ VFORM pass

SPR 〈 2 〉

]

!!! !!!

was Adv

VP[ VFORM pass

SPR 〈 2 〉

]

��

widely

V⎡ ⎢⎣ VFORM pass

SPR 〈 2 〉 COMPS〈( 3 )〉

⎤ ⎥⎦ 3 PP

\\ \\ \\ \\ \

]] ]] ]] ]] ]

believed (by them)

The passive verb believed first combines with its optional complement by them, and then with

themodifierwidely.TheresultingVPthencombineswith the raisingverbbe in accordancewith

theHead-ComplementRule.This system, licensingeach local structureby thedefinedgrammar

rules and principles, thus links the CP subject of be to that of believed.

The same account also holds when the complement is an indirect question:

(36) a. They haven’t decided [which attorney will give the closing argument].

b. [Which attorney will give the closing argument]hasn’t been decided (by them).

PASSIVE CONSTRUCTIONS / 185

The active decided selects an interrogative sentence as its complement, and the Passive Lexical

Rule (28) can apply to this verb:5

(37) ⎡ ⎢⎢⎢⎢⎢⎣ 〈decide〉 HEAD|POS verb SPR 〈NPi〉 COMPS 〈Sj[QUE +]〉

⎤ ⎥⎥⎥⎥⎥⎦ ⇒

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈decided〉

HEAD

⎡ ⎣POS verb VFORM pass

⎤ ⎦

SPR 〈Sj[QUE +]〉 COMPS 〈(PPi[by])〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The output passive decided then will generate the following structure:

(38) S

RRR RRR

1 S[QUE +]

-- -- -- -- -

.. ..

. VP[

SPR 〈 1 〉 ]

RRR RRR

""" """

Which attorney

will give the

closing

argument

V[ SPR 〈 1 〉 COMPS〈 4 〉

] 4 VP[

SPR 〈 1 〉 ]

!!! !!!

.. ..

.. .

has

V[ SPR 〈 1 〉 COMPS〈 3 〉

] 3 VP[ SPR 〈 1 〉

]

been

V⎡ ⎢⎣ VFORM pass

SPR 〈 1 S[QUE +]〉 COMPS〈〉

⎤ ⎥⎦

decided

The passive verb decided selects an optional PP complement as its complement and an indirect

question as its subject. The raising verb first combines with the first VP, the result of which

again combines with the auxiliary raising verb has. Notice that since be and have are raising

verbs, their VP complement has the same subject as their own. By these identifications, the

subject of has is identical to that of the passive verb decided.

5We assume that indirect or direct questions are marked by the feature QUE(STION); see Chapter 10.

186 / ENGLISH SYNTAX: AN INTRODUCTION

9.4 Prepositional Passives

In addition to the passivization of an active transitive verb, English also allows the so-called

‘prepositional verb’ to undergopassivization as illustrated in the following:

(39) a. You can rely on Ben.

b. Ben can be relied on.

(40) a. They talked about the scandal for days.

b. The scandal was talked about for days.

As we noted here, the object of the preposition in the active can function as the subject of the

passive sentence. Notice that such prepositional passives are possible with the verbs selecting a

PP with a specified preposition:

(41) a. The plan was approved of by my mother. (My mother approvedof the plan.)

b. The issue was dealt with promptly. (They dealt with the issue promptly.)

c. That’s not what’s asked for. (That’s not what they asked for.)

d. This should be attended to immediately. (We should attend to this immediately.)

(42) a. *Boston was flown to. (They flew to/near/by Boston.)

b. *The capital was gathered near by a crowd of people. (A crowd of people gathered

near/at the capital.)

c. *The hot sun was played under by the children. (The children played under/near the

hot sun.)

The propositions in (41) are all selected by the main verbs (no other prepositions can replace

them). Meanwhile, each preposition in (42) is not selected by the main verb, since it can be

replaced by another one as noted in their active sentences.

One thing to observe is that there is a contrastbetweenactiveandpassive prepositionalverbs

with respect to the appearance of an adverb (see Chomsky 1972, Bresnan 1982). Observe the

following:

(43) a. That’s something I would have paid twice for.

b. These are the books that we have gone most thoroughly over.

c. They look generally on John as selfish.

(44) a. *Everything was paid twice for.

b. *Your books were gone most thoroughly over.

c. *He is looked generally on as selfish.

The contrast here shows us that unlike the active, the passive does not allow any adverb to

intervene between the verb and the preposition.

Therecan be two possible structures that can capture these properties: ternaryand reanalysis

structures. The ternary structure generates a flat structure like the following:

PASSIVE CONSTRUCTIONS / 187

(45) VP[pass]

��

V[pass] P NP

��

talked about the scandal

Unlike such a flat or ternary structure, there has been another possible structure assumed in the

literature as given in (46):

(46) VP[pass]

��

V[pass]

��

V[pass] P the scandal

talked about

This structure is different from (45) in the sense that the passive verb and the preposition is

‘reanalyzed’ as a verb again (in this sense this is often called ‘reanalysis’). Both (45) and (46)

cancapturethecoherencebetweentheprepositionalverband theprepositionitself.Eventhough

both have their own merits, we choose the structure (46), in which the passive verb and the

preposition form a unit. We can observe that there are environmentswhere the passive verb (but

not active verb) forms a coherent lexical unit with the following preposition:

(47) a. Pavarotti relied on Loren and Bond on Hepburn.

b. *Pavarotti relied on Loren and Bond Hepburn.

c. Loren was relied on by Pavarotti and Hepburn by Bond.

d. *Loren was relied on by Pavarotti and Hepburn on by Bond.

What we can observe here is that unlike in the active verb, in the passive relied on acts like a

lexical unit in the gapping process: the passive relied alone cannot be gapped.

This contrast supports the reanalysis structure for the passive. In order for the grammar to

allow the passive V to be combinedwith the followingP (which is defined to be ‘LIGHT’ in the

sense that it is not a prosodically heavy element), we introduce the following grammar rule:6

(48) Head-Light Rule:

V → V, X[LIGHT +]

The rule allows a head V to combine with a LIGHT element such as a preposition in the prepo-

sitional passive verb construction.7

6See Abeillé and Godard (2000) for the motivation of introducing the feature LIGHT, with regard to French data. 7In languages like Korean, German, and even French, such a syntactic combination is prevalent for the formation of

complex predicates (see Kim (2004b)). In English, particles can also be taken to carry a positive value for LIGHT.

188 / ENGLISH SYNTAX: AN INTRODUCTION

Given this structural assumption, how then can we generate prepositional passives? We first

need to ensure that the object of the prepositionalverb is promoted to the subject in the passive,

as represented in the following:

(49) Prepositional Passive Lexical Rule:

⎡ ⎢⎢⎣ prep-v

SPR 〈NPi〉 COMPS 〈PPj[PFORM 4 ]〉

⎤ ⎥⎥⎦⇒

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

pass-prep-v

VFORM pass

SPR 〈NPj〉

COMPS

⟨ P

⎡ ⎣LIGHT + PFORM 4

⎤ ⎦, (PPi[PFORM by])

⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

This rule ensures that a prepositional verb (prepositional-v) can have a counterpart passive

verb. This passive verb selects a SPR whose index value is identical to that of the input verb’s

PP complement (in other words, the object of the preposition). The output passive verb also

has two complements: a preposition with the same PFORM as the input and an optional PP

complement expressing the agent argument (see below for the function of the feature LIGHT).

Let’s see how the Prepositional Passive Rule and the Head-Light Rule combined together

can account for a prepositional passive:

(50) a. The lawyer looked into the document.

b. The documentwas looked into by the lawyer.

The active prepositional verb look can undergo the Prepositional Passive Lexical Rule as repre-

sented in the following:

(51) ⎡ ⎢⎢⎣ 〈look〉 SPR 〈NPi〉 COMPS 〈PPj[into]〉

⎤ ⎥⎥⎦⇒

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈looked〉 VFORM pass

SPR 〈NPj〉

COMPS

⟨ P

⎡ ⎣LIGHT + PFORM into

⎤ ⎦, (PPi[by])

⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The output passive verb selects one subject whose index value is identical to that of the input’s

PP complement. It also selects two complements:a prepositionwhose PFORM is identicalwith

that of the input PP and an optional PP[by] linked to the input subject. This output will then

license a structure like the following:

PASSIVE CONSTRUCTIONS / 189

(52) VP

��

QQQQQQ QQQQQQ

QQQQ

V VP[pass]

��

.. ..

was

V⎡ ⎣VFORM pass COMPS 〈 3 PP〉

⎤ ⎦

��

3 PP

>> >> >> >> >> >> >> >

?? ? ?? ?? ?? ?? ?? ??

V⎡ ⎣VFORM pass COMPS 〈 2 P, 3 PP〉

⎤ ⎦ 2 P

⎡ ⎣LIGHT + PFORM into

⎤ ⎦by the lawyer

looked into

The Head-Light Rule in (48) allows the passive verb to combine with the preposition into first,

forming still a lexical element. This resulting lexical element then combines with its PP com-

plement by the lawyer in accordance with the Head-ComplementRule.8

8This means that in the Head-Complement Rule the complement that the head combines with is phrasal.

190 / ENGLISH SYNTAX: AN INTRODUCTION

9.5 Exercises

1. Drawtree structures foreachof the followingsentencesand thenprovide the lexicalentry

for the italicized passive verb.

(i) a. Peter has been asked to resign.

b. I assume the matter to have been filed in the appropriate records.

c. Smith wants the picture to be removed from the office.

d. The events have been described well.

e. Over 120 different contaminants have been dumped into the river.

f. Heart disease is considered the leading cause of death in the United States.

g. The balloon is positioned in an area of blockage and is inflated.

h. There was believed to have been a riot in the kitchen.

i. Cancer is now thought to be unlikely to be caused by hot dogs.

2. Providetheactivecounterpartof the followingexamplesandexplainhowwecangenerate

each of them, together with tree structures, lexical entries, and grammar rules.

(i) a. That we should call the police was suggested by her son.

b. Whether this is feasible hasn’t yet been determined.

c. Paying taxes can’t be avoided.

Also see if there are any relationships between the above examples and the following

passives:

(ii) a. It was suggested by her son that we should call the police.

b. It hasn’t yet been determined whether this is feasible.

3. verbs like get and have can be used in so-called ‘pseudo-passives’:

(i) a. Frances has had the drapes cleaned.

b. Shirley seems to have Fred promoted.

(ii) a. Nina got Bill elected to the committee.

b. We got our car radio stolen twice on holiday.

In addition to these, have and get also allow constructions like the following:

(iii) a. Frances has had her clean the drapes.

b. Nina got them to elect Bill.

After drawing tree structures for the above examples, discuss the lexical properties of

have and get – for example, what are their ARG-STs like?

4. Consider the following prepositional passive examples and then analyze them as far as

you can with tree structures.

(i) a. Ricky can be relied on.

b. The news was dealt with carefully.

c. The plaza was come into by many people.

d. The tree was looked after by Kim.

In addition, consider the passive examples in (ii):

PASSIVE CONSTRUCTIONS / 191

(i) a. We cannot put up with the noise anymore.

b. He will keep up with their expectations.

(ii) a. This noise cannot be put up with.

b. Their expectationswill be kept up with.

Can our analysis given in this chapter account for such examples? Also observe the fol-

lowing examples (in (iv)), which illustrate two different kinds of passive:

(iii) a. They paid a lot of attention to the matter.

b. The son took care of his parents.

(iv) a. The matter was paid a lot of attention to.

b. A lot of attention was paid to the matter.

Can you think of any way to account for such examples?

5. We have seen that when the verb does not select a specified preposition, it usually does

not undergo passivization. However, observe the following contrast:

(i) a. *New York was slept in.

b. The bed was slept in.

(ii) a. *The lake was camped beside by my sister.

b. The lake is not to be camped beside by anybody.

Why do we have such a contrast with the same type of prepositional verb? In answering

this, thinkabout the followingcontrast too,with respect to semanticor pragmatic facotrs:

(iii) a. *Six inches were grown by the boy.

b. *A pound was weighed by the book.

c. *A mile to work was run by him.

(iv) a. The beans were grown by the gardener.

b. The plums were weighed by the greengrocer.

In addition, can your semantic or pragmatic constraints explain the following contrast

too? If not, what kind of generalization can you think of to account the contrast here?

(v) a. *San Francisco has been lived in by my brother.

b. The house has been lived in by several famous personages.

(vi) a. *Seoul was slept in by the businessman last night.

b. This bed was surely slept in by a huge guy last night.

6. In certain environments, passives allow the auxiliary verb part to be get instead of be:

(i) a. Rosie got struck by lightning.

b. I got phoned by a woman friend.

c. He got hit in the face with the tip of a surfboard.

d. John’s bike got fixed or got stolen.

Get passives usually convey the speaker’s personal involvement or reflect the speaker’s

opinion as to whether the event described is perceived as having favorable or unfavor-

able consequences. This is why it is rather unacceptable to use the get passive when the

192 / ENGLISH SYNTAX: AN INTRODUCTION

predicate is stative or the subject-referenthas no control over the process in question:

(ii) a. *The king got feared by everyone.

b. *The lesson got read by a choirboy.

c. *The letter got written by a poet.

d. *Tom got understood to have asked for a refund.

e. *Mary got heard to insult her parents.

Based on these observations, provide the lexical entries for get in passive and tree struc-

tures for (ia) and (ib).

7. Read the followingpassagesand identifyall thegrammaticalerrors in theverbs’VFORM

values. In addition, provide the lexical information for the correct form.

(ii) Syntax is the discipline that examining the rules of a language that dictate

how the various parts of sentences gone together. While morphology looks at

howindividualsoundsformed intocompletewords, syntax looksathowthose

words are put together for complete sentences. One part of syntax, calling

inflection, dealswith how the end of a word might changed to tell a listener or

readersomethingabout the role thatword isplaying.Regularverbs inEnglish,

for example, change their ending based for the tense the verb is representing

in a sentence, so that when we see Robert danced, we know the sentence is

in the past tense, and when we see Robert is dancing, we know it is not. As

another example, regularnouns in Englishbecomeplural simply byaddingan

s to theend.Cues like theseplaya largerole forhelpinghearersunderstanding

sentences.9

9From http://www.wisegeek.com/what-is-syntax.htm

Wh-Questions

10.1 Clausal Types and Interrogatives

Like other languages, English also distinguishes a set of clause types that are characteristically

used to perform different kinds of speech acts:

(1) a. Declarative: John is clever.

b. Interrogative: Is John clever? Who is clever?

c. Exclamative: How clever you are!

d. Imperative:Be very clever.

Each clause type in general has its own functions to represent a speech act. For example, a

declarative makes a statement, an interrogative asks a question, an exclamative represents an

exclamatory statement, and an imperative issues a directive. However, these correspondences

are not always one to one. For example, the declarative in (2a) represents not a statement but a

question, while the interrogative in (2b) actually indicates a directive:

(2) a. I ask you if this is what you want.

b. Would you mind taking out the garbage?

In this chapter, we will focus on the syntactic structure of interrogatives, putting aside the map-

ping relationships between form and function.

There are basically two types of interrogative: yes-no questions and wh-questions:

(3) a. Yes-No questions: Can the child read the book?

b. Wh-questions: What can the child read?

Yes-no questions are different from their declarative counterparts by having subject and auxil-

iaryverbinan invertedorder.Aswehaveseen inChapter8, suchyes-noquestionsaregenerated

through the combination of an inverted finite auxiliary verb with its subject as well as with its

complement in accordance with the SAI Rule:

193

194 / ENGLISH SYNTAX: AN INTRODUCTION

(4) S

&&&& &&&&

&&&& &&

��

V⎡ ⎢⎢⎢⎢⎢⎢⎣

INV +

AUX +

SPR 〈 1 〉 COMPS 〈 2 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

1 NP

TT TT TT TT TT TT T

gg gg gg gg gg gg g 2 VP

bb bb bb bb bb bb b

cc cc cc cc cc cc c

Can the child read the book?

In addition to the subject-auxiliary inversion, wh-questions are introduced by one of the

interrogativewords such as who, what, which or where. The wh-phrases formed from these wh-

words have a variety of functions in the clause. For example, they can be the subject, object,

oblique complement, or even an adjunct:

(5) a. [Who] called the police?

b. [Which version] did they recommend?

c. [With what] did the baby eat the food?

d. [How] did he eat the food?

The wh-phrase need not be an NP – it can be a PP, AP, or AdvP:

(6) a. [NP Which man] [did you talk to ]?

b. [PP To which man] [did you talk ]?

c. [AP How ill] [has Hobbs been ]?

d. [AdvP How frequently] [did Hobbs see Rhodes ]?

As seen in these examples, in terms of structure, each wh-question consists of two parts: a

wh-phraseand an inverted sentence with a missing phrase (indicatedby the underline).The wh-

phrase (filler) and the missing phrase (gap) must have an identical syntactic category as a way

of ensuring their linkage:

(7) a. *[NP Which man] [did you talk [PP ]]?

b. *[PP To which man] [did you talk to [NP ]]?

Another important property is that the distance between the filler and the gap is not bound

within one sentence, and it can be ‘long-distance’or ‘unbounded’:

(8) a. [[Who] do you think [Tom saw ]]?

b. [[Who] do you think [Mary said [Tom saw ]]]?

c. [[Who] do you think [[Hobbs imagined [Mary said [Tom saw ]]]]]?

WH-QUESTIONS / 195

As can be seen here, as long as the link between the filler and the gap is appropriate, the

distancebetween the twocanbeunbounded.This long-distancerelationshipgiveswh-questions

and other similar constructions the family name of ‘long-distance dependency’.

10.2 Movement vs. Feature Percolation

Traditionally, there have been two different ways to link the filler wh-phrase with its missing

gap.One traditionalway of linking the two is to assume that thefiller wh-phrase is moved to the

sentence-initial position by movementoperationsas represented in (9) (cf. Chomsky 1981a):

(9) CP

RRR RRR

RRR R

SSS SSS

SSS S

NP C′

RRR RRR

RRR R

SSS SSS

SSS S

who C S

RRR RRR

RRR R

SSS SSS

SSS S

will NP

<< << == ==

RRR RRR

RRR R

SSS SSS

SSS S

they V VP

RRR RRR

RRR R

SSS SSS

SSS S

V NP

recommend t

��

The wh-phrase who is originally in the object position of recommend and then moved to the

specifier position of the intermediate phrase C′. The auxiliary verb will is also moved from the V position to the C.

This kind of movement operation can be appealing at first glance in capturing the linkage

between the filler and gap. However, the notion of moving an overt element to form a wh-

question immediately runs into a problem with examples like the following:

(10) a. Who did Kim work for and Sandy rely on ?

b. *Who did Kim work for and Sandy rely ?

c. *Who did Kim work for and Sandy rely on Mary?

If we adopta movementprocess for (10a), theremust be an operation in which the two NP gaps

(markedby theunderlines)arecollapsed intooneNPandbecome who.We cannot simplymove

one NP, because it will generate an ill-formed example like (10b).

There is also a classof so-called ‘movementparadox’examples,providedbyBresnan (1991,

2001). First, consider the following:

(11) a. You can rely on [Edward’s help].

196 / ENGLISH SYNTAX: AN INTRODUCTION

b. [Edward’s help], you can rely on

(12) a. We talked about [the fact that he was sick for days].

b. [The fact that he was sick for days], we talked about .

In a movementapproach,bothof the (b) examplesarederivedfromthe (a) examplesby moving

the NPs to the sentence initial position. However, not every putatively ‘derived’ example has a

well-formed source:

(13) a. *You can rely on that he will help you.

b. [That he will help you], you can rely on .

(14) a. *We talked about [that he was sick for days].

b. [That he was sick], we talked about for days.

(15) a. *This theory captures that arrows don’t stop in midair.

b. [That arrows don’t stop in midair] is captured by this theory.

Ifwe take thesamerationaleas for (12), it isdifficult toexplainhowtheputativesourceexample

is ungrammatical while a derived form is grammatical. This inconsistency between the fronted

phrase and the putative missing phrase casts doubt on the existence of movement operations in

such examples.

Instead of postulating movement as an operation, we can assume that there is no movement

process at all, but instead a mechanism of communication through the tree, known as feature

percolation, to generate such wh-questions. For example, the information that an NP is missing

or gapped can be passed up in the tree until the gap meets its correspondingfiller:

(16) S

RRR RRR

RRR R

SSS SSS

SSS S

NP S/NP

RRR RRR

RRR R

��

who V NP VP/NP

RRR RRR

RRR R

SSS SSS

SSS S

��

did they V NP/NP

��

recommend t

The notations such as NP/NP (read as ‘NP slash NP’) or S/NP (‘S slash NP’) here mean that

the category to the left of the slash is incompleteand missing one NP. This missing information

is percolated up to the point where it meets its filler who. There is thus no notion of movement

here, but just a feature percolation up to the point where the missing gap meets its filler.

Thiskindof featurepercolationsystem canaccount for the contrastgiven in (10a)and (10b).

Let us look at partial structures of these two examples:

WH-QUESTIONS / 197

(17) a. S/NP

RRR RRR

RRR R

��

S/NP

RRR RRR

RRR R

SSS SSS

SSS S and S/NP

RRR RRR

RRR R

SSS SSS

SSS S

NP VP/NP

KK KK KK K

LL LL

LL L NP VP/NP

11 11 11

22 22

Kim work for Sandy rely on

b. *S/NP & S/PP

RRR RRR

RRR R

��

S/NP

RRR RRR

RRR R

SSS SSS

SSS S and S/PP

RRR RRR

RRR R

SSS SSS

SSS S

NP VP/NP

KK KK KK K

LL LL

LL L NP VP/PP

55 55 5

66 66

Kim work for Sandy rely

In (17a), the missing gaps are both NPs whereas in (17b), an NP and a PP are missing. Since

the mechanism of feature unification allows two nonconflicting phrases to be unified into one,

two S/NP phrases in (17a) are merged into one S/NP. Simply, the whole coordinate structure

is ‘missing an NP’ and this description is true of each internal conjunct. However, in (17b) we

cannotunify the two differentphrases S/NP and S/PP into one since they have conflicting slash

values (See section 3.2 for the analysis of paradox examples).

10.3 Feature Percolation with No Abstract Elements

10.3.1 Basic Systems

As a more formal way of stating the feature percolation system, we can introduce the feature

attributeGAPforanemptyphraseandpass thisup to thepointwhere thegapvalue isdischarged

by its filler. However, even within such an approach, an issue remains of positing an empty

element.Anemptyelement isanabstractentity introducedfora theoretical reason(forexample,

the GAP feature may ‘start off’ at the bottom of the tree in virtue of an invisible element t of

category NP/NP, as in Gazdar et al. 1985). Though the introduction of an empty element with

no phonologicalvalue mightbe reasonable, examples like the following raise issues that are not

easily solved (Sag and Fodor 1994, Sag 2000):

(18) a. *Who did you see [ NP [ NP

] and [ NP a picture of [

NP ]]]?

b. *Who did you compare [NP [NP ] and [NP ]]?

On the assumption that empty elements are identical to canonical phrases except for the fact

that they have no phonological values at all, nothing would block us from coordinating two

198 / ENGLISH SYNTAX: AN INTRODUCTION

empty phrases, leading to incorrect predictions. If we can avoid positing empty elements that

we cannot see or hear, it would be better in theoretical as well as empirical terms (cf. Pullum

1991).

Oneway todowithoutanabstract element is to encodethemissing information in the lexical

head (Sag et al. 2003). For example, the verb recommend can be realized with different overt

complements:

(19) a. These qualities recommendedhim to Oliver.

b. The UN recommendedan enlarged peacekeeping force.

(20) a. This is the book which the teacher recommended .

b. Who will they recommend ?

In (19), the verb recommend is realized in canonical uses whereas the one in (20) is not. That

is, in (19), the object of the verb is present as its sister, whereas in (20) the object is in a

nonlocal position. This difference can be represented as a difference in possibilities allowed by

the following revised ARC:

(21) ArgumentRealization Constraint (ARC, second approximation):

The first elementon the ARG-ST list is realized as SPR, the rest as COMPS or GAP

in syntax.

This revised ARC will then allow the following realizations for recommend:

(22) a.

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈recommend〉

VAL

⎡ ⎢⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 2 〉 GAP 〈〉

⎤ ⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎣ verb-lxm

〈recommend〉 ARG-ST 〈 1 , 2 〉

⎤ ⎥⎥⎥⎦

��[ [[

[[ [[

��WWWWWWWWWWWWWWWWWW

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈recommend〉

VAL

⎡ ⎢⎢⎢⎣ SPR 〈 1 〉 COMPS 〈〉 GAP 〈 2 〉

⎤ ⎥⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎥⎦

In (22a), the two argumentsof the verb are realized as the SPR and COMPS value respectively,

whereas in (22b) the second argument is realized not as a COMPS value but as a GAP value.

Each of these two different realizations will project the following structures for examples like

(19b) and (20b), respectively:

WH-QUESTIONS / 199

(23) a. S

��

)) )) )

** **

* VP[fin]

��

The UN V[fin] NP

&&&& &&&&

&&&& &&

#### ####

#### ##

recommended an enlarged peacekeeping force

b. S[GAP 〈〉]

��

1 NP S[GAP 〈 1 NP〉]

��

Who V NP VP[GAP 〈 1 NP〉]

��

will they V[GAP 〈 1 NP〉]

��

recommend

The main difference between the two is that in (23a), the object of recommend is its sister

whereas in (23b) it is not. That is, in the former the object is local to the verb whereas in the

latter it is nonlocal. In (23b), the verb contains a GAP value which is identified with the object.

This GAP value is passed up to the VP and then to the lower S. At this level, this GAP value is

discharged by the filler who, more specifically, by the following Head-Filler Rule:

(24) Head-Filler Rule:

S [ GAP 〈〉

] → 1 , S

[ GAP 〈 1 〉

] This grammar rule says that when a head expressionS containinga nonemptyGAP value com-

bines with its filler value, the resulting phrase will form a grammatical head-filler phrase with

the GAP value discharged. This completes the ‘top’ of the long-distance or unbounded depen-

dency.

10.3.2 Non-subjectWh-questions

Let us see how the present system generates a non-subject wh-question, using the verb put for

illustration. This verb will select three arguments as given here:

(25) ⎡ ⎣〈 put 〉 ARG-ST 〈NP, NP, PP〉

⎤ ⎦

The ARC will ensure that of these three arguments the first one must be realized as a SPR

element, and the rest either as COMPS or as GAP elements. We thus will have at least the

200 / ENGLISH SYNTAX: AN INTRODUCTION

following three realizations for the verb put:1

(26)

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈put〉

VAL

⎡ ⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 2 , 3 〉 GAP 〈〉

⎤ ⎥⎥⎦

ARG-ST ⟨

1 , 2 , 3 ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈put〉

VAL

⎡ ⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 3 〉 GAP 〈 2 〉

⎤ ⎥⎥⎦

ARG-ST ⟨

1 , 2 , 3 ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈put〉

VAL

⎡ ⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 2 〉 GAP 〈 3 〉

⎤ ⎥⎥⎦

ARG-ST ⟨

1 , 2 , 3 ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

Each of these three lexical entries will then generate sentences like the following:

(27) a. John put the books in a box.

b. Which books did John put in the box?

c. Where did John put the books?

As we see here, the complements of the verb put are realized in three different ways. The

verb put in (26a) has the canonical realization of the verb’s arguments, generating an example

like (27a). Meanwhile, in (26b), the object NP argument is realized as a GAP as reflected in

(27b) whereas in (26c), the PP is realized as a GAP as shown in (27c). The following structure

represents how the lexical realization (26b) provides for examples like (27b) in more detail:

(28) S[QUE +]

RRR RRR

RRR RR

2 NP[QUE +]

@@ @@ @@ @@ @@ @

AA AA AA AA AA A

S [ GAP 〈 2 〉

]

��

QQQQQQ QQQQQQ

QQQQQQ QQ

Which book V 1 NP

VP⎡ ⎣SPR 〈 1 〉 GAP 〈 2 〉

⎤ ⎦

��

hh hh

did John

V⎡ ⎢⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 3 〉 GAP 〈 2 〉

⎤ ⎥⎥⎥⎦

3 PP

>> >> >> >> >> >

?? ?? ?? ?? ?? ?

put in the box

Let us look at the structure working from bottom to top. At the bottom, the verb put has one

PP complement with its NP complement as a GAP value. This GAP information is passed all 1The SPR value can be gapped too. See the next section.

WH-QUESTIONS / 201

the way up to the lower S where it is discharged by the filler NP which book. Each phrase is

licensed by the grammar rules: the verb put with this GAP information first combines with just

the necessary PP complement in the box, in accordance with the Head-Complement Rule. The

inverted auxiliary verb did combines with the subject NP John and the just-described VP in

accordancewith the SAI rule. The resulting S is still incomplete because of the nonemptyGAP

value (every sentence needs to have an empty GAP value). This GAP value is dischargedwhen

the Head-Filler Rule in (24) combines the filler NP which book with the incomplete S.2

This kind of feature percolation system, involving no empty elements, works well even for

long-distance dependencyexamples. Consider the following structure:

(29) S

��

1 NP S[GAP 〈 1 NP〉]

��

QQQQQ QQQQQ

QQQQQ QQQQ

Who V NP VP[GAP 〈 1 NP〉] ��

��

�

��

do you V S[GAP 〈 1 NP〉]

��

think NP VP[GAP 〈 1 NP〉]

��

Hobbs V[GAP 〈 1 NP〉]

��

met

The GAP value starts from the lexical head met whose second argument is realized as a GAP

value. Since the complement of the verb met is realized as a GAP value, the verb met will not

look for its complement in the local domain (as its sister node). The GAP information will be

passed up to the embedded S, which is a nonhead daughter. It is the following NIP that ensures

the GAP value in the head daughter or nonhead daughter to be passed up through the structure

until it is discharged by the filler who by the Head-Filler Rule:3

(30) Nonlocal Feature Inheritance Principle (NIP):

A phrase’s nonlocal feature such as GAP, QUE, and REL is the union of its daugh-

ters’ nonlocal feature values minus any bound nonlocal features.

The role of this principle is clear from the embedded S in (29): The principle allows the GAP

in this nonhead S to pass up to the VP.

With this principle together, we can observe that the treatment of long distance dependency

within the feature percolation system involves three parts: top, middle, and bottom. The bottom

2Every wh-element in questions carries the feature [QUE +]. 3For the feature REL, see Chapter 11.

202 / ENGLISH SYNTAX: AN INTRODUCTION

part introduces the GAP value according to the ARC. The middle part ensures the GAP value

is inherited ‘up’ to the mother in accordance with the NIP. Finally, the top level terminates the

GAP value by the filler in accordance with the Head-Filler Rule.

It is also easy to verify how this system accounts for examples like (31) in which the gap is

a non-NP:

(31) a. [In which box] did John put the book ?

b. [How happy] has John been ?

The Head-Filler Rule in (24) ensures that the categorial status of the filler is identical with that

of the gap. The structure of (31a) can be represented as following:

(32) S

��

3 PP

-- -- -- -

.. ..

.. .

S[GAP 〈 3 PP〉]

��

QQQQQQ QQQQQQ

QQQQQQ QQ

In which box V NP VP[GAP 〈 3 PP〉]

��

�

did John

V⎡ ⎣COMPS〈 2 NP〉 GAP 〈 3 PP〉

⎤ ⎦ 2 NP

`` `` `` `` `

aa aa aa aa a

put the book

In this structure, the missing phrase is a PP encoded in the GAP value. This value is percolated

up to the lower S and discharged by the filler in which box.

In addition, notice that in this approach we have a more clear account for the examples we

have seen in (10), which we repeat here:

(33) a. Who did Kim work for and Sandy rely on ?

b. *Who did Kim work for and Sandy rely on Mary?

Aswe haveseenearlier in Chapter2,Englishallows two identicalphrases to be conjoined.This

then means that the GAP value in each conjunct also need to be identified:

(34) Coordination Rule:

XP → XP[GAP A ] conj XP[GAP A ]

This grammar rule then explains the contrast in (33), as represented in the simplified structures:

WH-QUESTIONS / 203

(35) a. S[

GAP 〈 1 NP〉 ]

��

iiiiii iiiiii

iiiiii iiii

S[ GAP 〈 1 NP〉

]

��

and S[

GAP 〈 1 NP〉 ]

��

NP VP[

GAP 〈 1 NP〉 ]

��

NP VP[

GAP 〈 1 NP〉 ]

OO OO OO

PP PP

Kim work for Sandy rely on

b. *S[

GAP 〈 1 NP〉 ]

��

iiiiii iiiiii

iiiiii iiii

S[ GAP 〈 1 NP〉

]

��

and S[

GAP 〈〉 ]

��

NP VP[

GAP 〈 1 NP〉 ]

��

NP VP[

GAP 〈〉 ]

-- -- -- -

.. ..

.. .

Kim work for Sandy rely on Mary

In (35a), the GAP value in the first conjunct is identical with that in the second conjunct, satis-

fying the Coordination Rule. The feature unification will allow these two identical GAP values

to be unified into one. However in (35b), the GAP values in the two conjuncts are different,

violating the Coordination Rule and thus cannot be unified.

Notice that this feature-based analysis can also offer a way of dealing with the movement

paradox examples we observed in (13), repeated here:

(36) a. *You can rely on that he will help you.

b. [That he will help you], you can rely on .

The introductionof a GAP value is a lexical realization process in the present system, implying

that we can assume that the complementof the preposition on in (37a) can be realized either as

an NP in (37b) or as a nominal GAP element as in (37c):

204 / ENGLISH SYNTAX: AN INTRODUCTION

(37)

⎡ ⎢⎢⎣ prep-v-p

〈on〉 ARG-ST 〈 1 XP〉

⎤ ⎥⎥⎦ b.

⎡ ⎢⎢⎣ 〈on〉 COMPS 〈NP〉 GAP 〈〉

⎤ ⎥⎥⎦ c.

⎡ ⎢⎢⎣ 〈on〉 COMPS 〈〉 GAP 〈XP[nominal]〉

⎤ ⎥⎥⎦

This realization means that when the preposition on is serving as the part of a prepositional

verb (prep-v-p) like rely on, its prepositionalcomplementcan beeither realizedas an NP oras a

nominal GAP element. This means when the argument of on is realized as a COMPS element,

it mustbe anNP. However,when its argument is realizedas a GAP, the GAPvaluecan be either

a CP or an NP since as we have seen in Chapter 5 type nominal subsumes both comp and noun.

This lexical realization will then project a structure like the following:

(38) S

!!! !!!

1 CP

11 11 11 11 11 11 1

hh hh

S[ GAP 〈 1 [nominal]〉

]

��

That he will help you NP VP[

GAP 〈 1 [nominal]〉 ]

!!! !!!

you V VP[

GAP 〈 1 [nominal]〉 ]

!!! !!!

��

can V PP[

GAP 〈 1 [nominal]〉 ]

rely P[

GAP 〈 1 [nominal]〉 ]

The present system, allowing certain flexibility in the argument realization, thus can capture

movementparadox examples without resorting to any movementoperations.

10.3.3 Subject Wh-Questions

Now consider examples in which the subject is the focus of the wh-question:

(39) a. Who put the book in the box?

WH-QUESTIONS / 205

b. Who DID put the book in the box?

c. Who can put the book in the box?

We can notice that when the subject who is questioned, the presence of an auxiliary verb is

optional. That is, the question in (39a) is well-formed, even though no auxiliary is present.

The related example (39b) is also well-formed, but is used only when there is emphasis on the

auxiliary.

As a first step to account for such examples, we can, adopting a similar structure like non-

subject wh-questions, posit a structure like (40) in which the subject is gapped:

(40) a. Who put the book in the box?

b. Who can put the book in the box?

In the current context, our grammar requires no additional mechanism other than slightly

revising the ARC:

(41) ArgumentRealization Constraint (ARC, final):

The first element on the ARG-ST list is realized as SPR or GAP, the rest as COMPS

or GAP in syntax.

This revised ARC eventually guarantees that the values of the ARG-ST is the sum of that of

SPR, COMPS, and GAP. The system then allows the following lexical realization for put, in

addition to those in (26):

(42) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈put〉

VAL

⎡ ⎢⎢⎣ SPR 〈〉 COMPS 〈 2 , 3 〉 GAP 〈 1 〉

⎤ ⎥⎥⎦

ARG-ST ⟨

1 , 2 , 3 ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

This realization in which the subject is gapped then projects the following structure for (40a):

206 / ENGLISH SYNTAX: AN INTRODUCTION

(43) S⎡

⎣SPR〈〉 COMPS 〈〉

⎤ ⎦

++ ++ ++ ++ ++ ++ ++ ++ ++ +

��

1 NP[QUE +]

‘S’⎡ ⎢⎢⎢⎣ SPR 〈〉 COMPS 〈〉 GAP〈 1 〉

⎤ ⎥⎥⎥⎦

YYYYY YYYYY

YYYYY Y

VV VV

Who

V⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR〈〉 COMPS 〈 2 , 3 〉 GAP 〈 1 〉 ARG-ST 〈 1 , 2 , 3 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 NP

TT TT TT TT TT TT T

gg gg gg gg gg gg g

3 PP

dd dd dd dd dd dd d

ee ee ee ee ee ee e

put the book in the box

As shown in the structure, the subject of put is realized as the GAP value, passing up to the

mother node. This node looks like a VP, but in fact it is a projection of V with an empty SPR

list, andhence is effectivelyakindofS (bydefinition,S is a projectionofV whichhasanempty

SPR and COMPS list). This incomplete ‘S’ with the subject missing then can combine with the

filler who according to the Head-Filler Rule.

Even though the ‘S’ with the subject gapped cannot function as an independent sentence as

in *Visited him, it can function as the complement of a verb like think as in sentences like the

following:

(44) a. Who do you think [visited Seoul last year]?

b. That’s the UN delegate that the government thinks [visits Seoul last year].

The verb think can select either a finite S or a CP as in I think (that) she knows chorus. This

means that the verb can also combine with an ‘S’ with the subject being gapped:

WH-QUESTIONS / 207

(45) S

��

NP S[GAP 〈 1 NP〉]

��

QQQQQQ QQQQQQ

QQQQQQ QQ

1 Who V NP VP[GAP 〈 1 NP〉]

��

do you V ‘S’[GAP 〈 1 NP〉]

��

think V[GAP 〈 1 NP〉] NP

visited Seoul

This kind of analysis can providea way of explaining the so-called ‘that-trace effect’ in (46)

as well as the ‘adverbial amelioration effect’ in (47):

(46) a. Who do you believe that Sara invited ?

b. Who do you believe invited Sara?

c. *Who do you believe that invited Sara?

(47) a. *Who do you think that would be nominated for the position?

b. This is the kind of person who I doubt that [under normal circumstances] would

have anything to do with such a scheme.

What we can notice in (46) is that when the complementizer that is present, we cannothave the

seeminglysubjectgap.However, thesubjectgapcanbesalvagedby thepresenceofanadverbial

phrase as given in (47). We can attribute the observed idiosyncratic behavior to the lexical

peculiarities of the complementizer that. Consider the possible and impossible structures:4

(48) a. CP[GAP 〈 2 NP〉]

RRR RRR

SSS SSS

C S[GAP 〈 2 NP〉]

RRR RRR

SSS SSS

that NP VP[GAP 〈 2 NP〉]

@@ @@ @@

AA AA AA

Sara invited

4The italicized hd-comps-ph and hd-mod-ph here indicates the type name of the phrase ‘S’.

208 / ENGLISH SYNTAX: AN INTRODUCTION

b. *CP

RRR RRR

SSS SSS

C ‘S’[hd-comps-ph]

��

that invited Sara

c. CP[GAP 〈 1 NP〉]

++ ++ ++ ++ ++ ++ ++

SSS SSS

C ‘S’

⎡ ⎣hd-mod-ph GAP 〈 1 NP〉

⎤ ⎦

RRR RRR

SSS SSS

that PP

RRR RRR

SSS SSS

S ‘S’[GAP 〈 1 NP〉]

��

under normal circumstances would have anything .. .

(48a) is a well-formed structure in which the embedded clause has an object gap. (48b) is out

in which the complementizer combines with the subject missing ‘S’. (48c) is fine even though

it also has the subject missing ‘S’. As we have noted throughout the chapters, English grammar

rules license well-formed phrases identified by the phrasal types such as hd-spr-ph, hd-comps-

ph, hd-mod-ph and so forth. As represented in the structures here, the complementizer that can

select either an S or ‘S’, but cannot combine with a head-comps-ph ‘S’ (a finite VP with its

subject gapped).This kind of negativeconstraint assigns a special status to the complementizer

usage of that.

10.4 Indirect Questions

10.4.1 Basic Structure

Among the verbs selecting a sentential or clausal complement (S or CP), there are also verbs

selecting an indirect question:

(49) a. John asks [whose book his son likes ].

b. John has forgotten [which player his son shouted at ].

c. He told me [how many employees Karen introduced to the visitors].

It is not the case that all verbs allow an indirect question as their complement:

(50) a. Tom denied [(that) he had been reading the article].

b. *Tom denied [which book he had been reading].

(51) a. Tom claimed [(that) he had spent five thousand dollars].

WH-QUESTIONS / 209

b. *Tom claimed [how much money she had spent].

Factive verbs like deny or claim cannot combine with an indirect question: only a finite declar-

ative clause can function as their complement. Verbs selecting an indirect question as their

complement can be in general classified by their meaning:

(52) a. interrogative verbs: ask, wonder, inquire, . . .

b. verbs of knowledge: know, learn, forget, . . .

c. verbs of increased knowledge: teach, tell, inform, . . .

d. decision verbs/verbsof concern: decide, care, . . .

We can easily see that the clausal complement of these verbs cannot be a canonical CP, and

must be an indirect question:

(53) a. *John inquired [that he should read it].

b. *Peter will decide [that we should review the book].

(54) a. John inquired [which book he should read].

b. Peter will decide [which book we should review].

A caution here is that there are some verbs, such as forget, tell and know, that select either a

[QUE +] or a [QUE −] complement. (55) a. John told us that we should review the book.

b. John told us which book we should review.

There are thus at least three different types of verb which take clausal complements, in terms of

their semantic functions(e.g.,whether thecomplementis interpretedasdeclarativeorquestion),

reflected in the following lexical entries:

(56)

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈wonder〉 HEAD |POS verb SPR 〈 1 〉 COMPS

⟨[ QUE +

]⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈deny〉 HEAD |POS verb SPR 〈 1 〉 COMPS

⟨[ QUE −

]⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

⎡ ⎢⎢⎢⎢⎢⎢⎣

〈tell〉 HEAD |POS verb SPR 〈 1 〉 COMPS

⟨[ QUE ±

]⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

The feature QUE originates from a wh-word like who or which and is used to distinguish be-

tween indirect questions and declarative clauses. The difference in the QUE value of the verb’s

complement will ensure that each verb combines with an appropriate clausal complement. For

example, the verb wonder, requiringa [QUE +] clausal complement,will be licensed in a struc-

ture like the following:

210 / ENGLISH SYNTAX: AN INTRODUCTION

(57) VP

RRR RRR

.. ..

V[ COMPS 〈 2 [QUE +]〉

] 2 S[QUE +]

-- -- -- -- -- -- --

.. ..

wonder 1 NP[QUE +]

��

S[GAP 〈 1 NP〉]

RRR RRR

SSS SSS

whose book NP

jj jj jj

kk kk kk

VP[GAP 〈 1 NP〉]

his son V[GAP 〈 1 NP〉]

likes

The GAP value of likes is passed up to the lower S and discharged by the filler whose book.

The wh-word whose carries the feature [QUE +] which, similar to the feature GAP, will pass up

to the point where it is required by a verb or to the highest position to indicate that the given

sentence is a question. For example, in (58), the feature QUE marks that the whole sentence is

a question, whereas in (59) it allows the embedded clause to be an indirect question:

(58) a. [S[QUE +] In which box did he put the book ]?

b. [S[QUE +] Which book by his father did he read ]?

(59) a. John asks [ S[QUE +]

in which box he put the book].

b. John asks [ S[QUE +]

which book by his father he read].

The percolation of the feature QUE upward from a wh-word can be ensured by the NIP that

guarantees nonlocal features like QUE to be passed up until they are bound off or selected by a

sister (like a filler phrase, or a selecting V). This principled constraint allows the QUE value to

pass up to the mother from a deeply embedded nonhead as illustrated in the following:

(60) a. Kim has wondered [[in which room] Gary stayed ].

b. Lee asked me [[how fond of chocolates] the monkeys are ]].

Let us consider the structure of (60a):

WH-QUESTIONS / 211

(61) VP

��

#### ####

V S[QUE +]

��

#### ####

###

wondered 1 PP[ QUE +

]

KK KK KK KK KK KK

S[GAP 〈 1 PP〉]

33 33 33 33 33 33 33

44 44

P NP[

QUE + ]

��

LL LL

NP VP[GAP 〈 1 PP〉]

in Det[ QUE +

] N Gary V[GAP 〈 1 PP〉]

which room stayed

Even though which is embedded in the PP and functions as the Det of the inner NP, its QUE

value will pass up to the S, granting it the status of an indirect question. The verb wonder then

combines with this S, satisfying its subcategorization requirement. If the verb combines with a

[QUE −] clausal complement, we would then have an ungrammatical structure: (62) a. *Kim has wondered [[QUE −] that Gary stayed in the room].

b. *Kim asked me [[QUE −] that the monkeys are very fond of chocolates].

As we have seen above, the category of the missing phrase within the S must correspond to

that of the wh-phrase in the initial position. For example, the following structure is not licensed

simply because there is no Head-FillerRule that allows the combinationof thefiller NP with an

S missing a PP:

212 / ENGLISH SYNTAX: AN INTRODUCTION

(63) VP

RRR RRR

SSS SSS

V *S[QUE +]

��

SSS SSS

wondered NP[QUE +]

11 11 11 11

22 22

S[GAP 〈 1 PP〉]

RRR RRR

SSS SSS

which room NP

>> >> >>

?? ?? ??

VP[GAP 〈 1 PP〉]

Gary V[GAP 〈 1 PP〉]

stayed

In a similar fashion, the present system also predicts the following contrast:

(64) a. John knows [whose book [Mary bought ] and [Tom borrowed from her]].

b. *John knows [whose book [Mary bought ] and [Tom talked ]].

The partial structure of these can be represented as following:

(65) a. S[QUE +]

��

1 NP[QUE +]

BB BB BB BB

CC CC

S[GAP 〈 1 NP〉]

��

whose book S[GAP 〈 1 NP 〉]

FF FF FF FF

GG GG

and S[GAP 〈 1 NP 〉]

++ ++ ++ ++ ++ ++

,, ,,

Mary bought Tom borrowed from her

WH-QUESTIONS / 213

b. * S

⎡ ⎣QUE + GAP 〈〉

⎤ ⎦

��

1 NP[QUE +]

OO OO OO O

PP PP

PP P

*S[GAP 〈 1 NP〉]

��

whose book S[GAP 〈 1 NP 〉]

88 88 88 8

99 99

99 9

and S[GAP 〈 2 PP 〉]

'' '' '' '

(( ((

(( (

John bought Tom talked

As longas the twoGAPvaluesare identical,wecanunify the two intooneas in (65a).However,

if the GAP values are different as in (65b), there is no way to unify them in the coordination

structure.

10.4.2 Non-Wh Indirect Questions

English also has indirect questions headed by the complementizer whether or if :

(66) a. I don’t know [whether/if I should agree].

b. She gets upset [whether/if I exclude her from anything].

c. I wonder [whether/if you’d be kind enough to give us information].

These indirectquestionsareall internallycomplete in the sense that there isnomissingelement.

This means that the complementizers whether and if will have at least the following lexical

information:

(67) ⎡ ⎢⎢⎢⎢⎢⎣

〈whether〉

SYN

⎡ ⎢⎢⎣ HEAD |POS comp VAL |COMPS 〈S〉 QUE +

⎤ ⎥⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

According to this lexical information, whether selects a finite S and providesa [QUE +] value, licensing a structure like the following:

(68) CP[QUE +]

RRR RRR

RRR RR

SSS SSS

SSS SS

C[QUE +]

11 11 11

22 22

22 S[fin]

JJ JJ JJ JJ

VV VV

whether/if I should agree

One thing to note here is that if and whether are slightly different even though they both

carry a positive QUE feature.5 Just like indirect questions, the clauses headed by whether can

5See Exercise 4 of Chapter 2.

214 / ENGLISH SYNTAX: AN INTRODUCTION

serve as a prepositional object.

(69) a. I am not certain about [when he will come].

b. I am not certain about [whether he will go or not].

However, an if-clause cannot function as prepositional object:

(70) a. *I am not certain about [if he will come].

b. *I am not certain about [if he will go or not].

There is also a difference between if and whether in infinitival constructions:

(71) a. I don’t know [where to go].

b. I don’t know [what to do].

c. I don’t know [how to do it].

d. I don’t know [whether to agree with him or not].

(72) a. *I don’t know [if to agree with him].

b. *I don’t know [that to agree with him or not].

This means that whether and if can both bear the featureQUE (projectingan indirectquestion),

but different with respect to the fact that only whether behaves like a true wh-element.6

10.4.3 Infinitival Indirect Questions

In addition to the finite indirect questions, English also has infinitival indirect questions:

(73) a. Fred knows [which politician to support].

b. Karen asked [where to put the chairs].

Just like the finite indirect questions, these constructions have the familiar bipartite struc-

tures: a wh-phrase and an infinitival clause missing one element.

Notice at this point that in English there exist at least four different ways for the subject to

be realized: as a canonical NP, gap, and PRO, or pro:

(74) a. The student protected him. (a canonical NP)

b. Who protected him? (a gap NP)

c. To protect him is not an easy task. (PRO)

d. Protect him! (pro)

In (74a), the subject is a ‘canonical’ NP whereas those in the others are ‘non-canonical’. In the

wh-question (74b), the subject is a GAP value; in (74c), the infinitival VP has an understood,

unexpressed subject, PRO whereas the imperative in (74d) the subject is an unexpressed one,

though understood as the second person subject you. Traditionally, the unexpressed pronoun

subject of a finite clause is called ‘small pro’ whereas that of an nonfinite clause is called ‘big

PRO’ (Chomsky 1982), as they have slightly different referential properties. In the terms we

6One way to distinguish the wh-elements including whether from if is to have an extra feature WH to distinguish

them.

WH-QUESTIONS / 215

are using in this book, this means, we have ‘canonical’ pronouns like he and him as well as

‘non-canonical’ realizations of the pronouns. To allow a VP with the non-canonical subject to

be projected into a complete S, we can assume the following Head-Only Rule:

(75) Head-Only Rule:

S[SPR 〈〉] → VP[SPR 〈NP[noncan-pro]〉]

The rule says a VP whose subject is either a pro or a PRO can be directly projected into a

complete sentence with the subject being discharged. A finite VP will, however, not be pro-

jected into an S, since it selects a canonical subject. The rule as given will license the following

structures:

(76) a. S[SPR 〈〉] b. S[SPR 〈〉]

VP[SPR 〈NP[pro]〉]

��

VP[SPR 〈NP[PRO]〉]

��

V NP

ZZ ZZ ZZ

[[ [[

[[ V VP

JJ JJ JJ JJ

VV VV

Protect yourself to protect yourself

The subject of the VP here is pro or PRO: either can be licensed, and this rule in (75) allows a

VP to form a complete sentence with no pronounced subject. With this new rule, we then can

have the following structure:

216 / ENGLISH SYNTAX: AN INTRODUCTION

(77) S⎡

⎣VFORM inf QUE +

⎤ ⎦

��

�

1 NP[QUE +]

>> >> >> >> >> >> >> >> >

?? ?? ?? ?? ?? ?? ?? ?? ?

S⎡ ⎣VFORM inf GAP 〈 1 〉

⎤ ⎦

which politician

VP⎡ ⎢⎢⎢⎣ VFORM inf

SPR 〈PRO〉 GAP 〈 1 〉

⎤ ⎥⎥⎥⎦

// // // /

00 00

00 0

to support

Consider the structure from the bottom up. The verb support selects two arguments whose

second argument can be realized as a GAP:

(78) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎣

〈support〉

VAL

⎡ ⎢⎢⎣ SPR 〈 1 NP[PRO]〉 COMPS 〈〉 GAP 〈 2 NP〉

⎤ ⎥⎥⎦

ARG-ST 〈 1 NP, 2 NP〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎦

The verb will then form a VP with the infinitival marker to. Since this VP’s subject is PRO, the

VP can be projected into an S with the accusative NP GAP value in accordance with the Head-

Only Rule in (75). The ‘S’ then forms a well-formed head-filler phrase with the filler which

politician. The QUE value on the phrase ensures the whole infinitival clause to function as an

indirect question which can be combined with the verb knows.

One constraint we observe in the infinitival wh-questions is that the infinitival part cannot

have its subject to be realized:

(79) a. *Fred knows [which politician for Karen/her to vote for].

b. *Karen asked [where for Jerry/him to put the chairs].

WH-QUESTIONS / 217

The data indicate that in infinitival indirect questions, the subject of the infinitival VP cannot

appear. If we look at the structure, we can easily see why this is not a legitimate structure:7

(80) VP

��

�

SSS SSS

V *S [ QUE +

]

��

�

SSS SSS

knows 1 NP[QUE + ]

KK KK KK KK K

LL LL

L CP [ GAP 〈 1 NP〉

]

��

�

SSS SSS

which politician C S [ GAP 〈 1 NP〉

]

-- -- -- -- -

.. ..

for Karen to vote for

The structure indicates that the Head-Filler Rule licenses the combinationof an S with its filler,

not a CP with its filler.

10.4.4 Adjunct wh-questions

The main-clause wh-questions and indirect questions we have seen so far have a GAP value

originating from an argument position of a verb or preposition. How can the present system

account for examples like the following, in which wh-phrases are intuitively not arguments but

adjuncts?

(81) a. How carefully have you considered your future career?

b. When can we register for graduation?

c. Where do we go to register for graduation?

d. Why have you borrowed my pencil?

One way to deal with such examples is to take the adverbial wh-phrase to modify an inverted

question:

7The grammar needs to block examples like (i) in which the infinitival VP combines with its subject:

(i) a. *Fed knows [S which politician [S her [to vote for]]].

b. *Karen asked [S where [S him [to vote for]]].

As in (77), the Head-Filler Rule allows an S (directly projected from an infinitival VP) to combine with its filler. As a

way of blocking such examples, we may assume an independent constraint that the infinitival subject can appear only

together with the complementizer for because the subject needs to get the accusative case from it. Cf. Chomsky (1982).

218 / ENGLISH SYNTAX: AN INTRODUCTION

(82) S[

QUE + ]

��

�

AdvP[ MOD 〈 1 S 〉

]

FF FF FF FF F

GG GG

1 S⎡ ⎣AUX + INV +

⎤ ⎦

��

�

How carefully have you considered your future career?

The structure indicates that the AdvP modifies the inverted S.

Matters become complicated when we consider questions with the interpretation of wh-

words (cf. Huang (1982)).

(83) a. When did he say that he was fired?

b. Where did he tell you that he met Mary?

c. How did you guess that he fixed the computer?

These sentences are ambiguous with respect to the local interpretation of the wh-words. (83a)

can question either the time he made the statement or the time he was fired; (83b) can question

the place he told you the fact or the place he met Mary. The same is true in (83c): the wh-word

can question the proposition of the main clause or that of the embedded clause.

These data indicate that in addition to a structure like (82) in which the adverbial wh-word

modifies the whole sentence, we need a structure where the adverbial wh-phrase linked to the

embedded clause. As a way of doing it, following Sag (2005) and others, we can assume that

English allows the extension of the ARG-ST to include a limited set of adverbial elements as

an argument. For example, we can extend the regular verb fix to include a locative adverbial as

its argument.

(84) Extended ARG-ST:⎡ ⎣〈fix〉 ARG-ST 〈 1 NP, 2 NP〉

⎤ ⎦→

⎡ ⎣〈fix〉 ARG-ST 〈 1 NP, 2 NP, AdvP〉

⎤ ⎦

This extended ARG-ST then can allow us its adverbial argument to be realized as a GAP value

according to the ARC (Argument realization Constraint):

(85) ⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

〈fix〉 SPR 〈 1 NP〉 COMPS 〈 2 NP〉 GAP 〈 3 AdvP〉 ARG-ST 〈 1 NP, 2 NP, 3 AdvP〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

WH-QUESTIONS / 219

This lexical realizationwill thenbe able to project a structure like the followingfor the sentence

((83)c):

(86) S

��

3 AdvP S[

GAP 〈 3 〉 ]

��

How V NP VP[

GAP 〈 3 〉 ]

��

did he V S[

GAP 〈 3 〉 ]

��

guess NP VP[

GAP 〈 3 〉 ]

��

�

he V[

GAP 〈 3 〉 ] NP

ZZ ZZ ZZ ZZ ZZ

[[ [[

[[

fixed the computer

This structure indicates that the wh-word how originates from the subordinate clause VP. We

have seen that the GAP value originates from the verb fixed whose arguments can include the

adverbial element. Note this does not mean that we can extend the ARG-ST randomly. For

example, the argument extension cannot be applied to examples like the following:

(87) a. Why do you wonder whether she will invite me?

b. How often did he ask when she will meet at the party?

In these examples we have only one interpretation where the wh-phrase modifies the matrix

verb wonder or ask. This means that the argument extension is limited, depending on context.

220 / ENGLISH SYNTAX: AN INTRODUCTION

10.5 Exercises

1. Drawtreestructuresfor the followingsentencesand indicatewhichgrammarrules license

the combination of each phrase.

(i) a. What causes students to select particular majors?

b. Who will John ask for information about summer courses?

c. Which textbook did the teacher use in the class last summer?

d. Whose car is blocking the entrance to the store?

(ii) a. When can we register for graduation?

b. Why do you think he left?

c. Where do we go to register for graduation?

(iii) a. Who do you guess will be here?

b. Who do you think borrowed my book?

c. Which city does Fred think that you believe that John lives in?

2. Draw tree structures for the following sentences involving indirect questions and provide

the lexical entries for the underlined words.

(i) a. I wonder on which shelf John will put the book?

b. What proof that he has implicated have you found?

c. Joseph has forgotten how many matches he has won.

d. Fred will warn Martha that she should claim that her brother is patriotic.

e. That Bill tried to discover which drawer Alice put the money in made us

realize that we should have left him in Seoul.

f. Jasper wonders which bookhe should attempt to persuadehis students to buy.

g. The committee knows whose efforts to achieve peace the world should honor.

3. Explain why the following examples are ungrammatical.

(i) a. *I wonder if on which shelve John will put the book.

b. *Which house does your friend live?

c. *I wonder what city that Romans destroyed.

d. *John was wondering to whom he was referring to.

e. *Who do you think that has given the tickets to Bill?

f. *What city will Fred say that Mary thinks that John lives?

g. *On whom does Dana believe Chris knows Sandy trusts?

h. *The politician denied how the opponentwas poisoned.

i. *Fred knows which book for the children to read during the summer vacation.

4. Look at the following data set and state the constraints on the usage of the ing verbs

(mending, investigating, restoring). In addition, draw trees for the a-examples together

with the lexical entries for the main and participle verbs.

(i) a. This needs mending.

b. *This needs mending the shoe.

c. *He mended.

WH-QUESTIONS / 221

d. He mended the shoe.

(ii) a. This needs investigating.

b. *This needs investigating the problem.

c. *They investigated.

d. They investigated the problem.

5. Provide the lexical entries for each of the underlined words and then draw structures for

those sentence that include the underlined word.

(i) Within grammar lies the power of expression. Understand grammar, and you

will understand just how amazing a language is. You uncover the magician’s

tricks, you find the inner workings of not only your own language, but you can

also see how it is different from the language you’re studying. You will find that

different languagesare better for expressingdifferent ideas, and you will be able

to make conscious decisions about how you communicate. Once you know how

to use each part of speech, you will be able to expand outside of the box and

express yourself in ways that no one has ever expressed themselves before. A

solid understanding of the grammar of a language gives you the skeleton, and

your words bring it to life. That is why we study grammar.8

8From ‘GRAMMAR (no, don’t run, I want to be your friend!)’ by Colin Suess

RelativeClause Constructions

11.1 Introduction

English relative clauses, modifying a preceding NP, are also another type of long distance de-

pendency constructions in the sense that the distance between the filler and the gap can be

unbounded:

(1) a. The video [which [you recommended ]] was really terrific.

b. The video [which [I thought [you recommended ]]] was really terrific.

c. The video [which [I thought [John told us [you recommended ]]]] was really

terrific.

SuchEnglish relativeclausescan beclassified according to several criteria. We can first classify

them by the type of missing element in the relative clause:

(2) a. the student who won the prize

b. the student who everyone likes

c. the baker from whom I bought these bagels

d. the person whom John gave the book to

e. the day when I met her

f. the place where we can relax

As seen here, the missing phrase can be subject, object, or oblique argument, prepositional

object, or even a temporal or locative adjunct.

Relative clauses can also be classified by the type of relative pronoun: in English we find

wh-relatives, that-relatives, and bare relatives.1

(3) a. The president [who [Fred voted for]] has resigned.

b. The president [that [Fred voted for]] dislikes his opponents.

c. The president [ [Fred voted for]] has resigned.

1We consider that in relative clauses to be a form of a relative pronoun.

223

224 / ENGLISH SYNTAX: AN INTRODUCTION

wh-relatives like (3a) have a wh-type relative pronoun, (3b) has the relative pronoun that, while

(3c) has no relative pronoun at all.

Relative clauses can also be classified according to the finiteness of the clause. Unlike the

finite relative clauses in (1)–(3), the following examples illustrate infinitival relatives:

(4) a. He is the kind of person [with whom to consult ].

b. These are the things [for which to be thankful ].

c. We will invite volunteers [on whom to work ].

In addition, English allows so-called ‘reduced’ relative clauses. The examples in (5) are

‘reduced’ in the sense that the string ‘wh-phrase+ be’ appears to be omitted, as indicated by the

parentheses:

(5) a. the person (who is) standing on my foot

b. the prophet (who was) descended from heaven

c. the bills (which were) passed by the House yesterday

d. the people (who are) in Rome

e. the people (who are) happy with the proposal

This chapter first reviews the basic properties these various typesof English relative clauses,

and then provides analyses of their syntactic structures.

11.2 Non-subject Wh-Relative Clauses

Let us consider some canonical relative clauses, first:

(6) a. the senators [who [Fred met ]]

b. the apple [that [John ate ]]

c. the problem [ [you told us about ]]

Just likewh-questions,wecannotice that relativeclauseshavebipartitestructures:awh-element

and a sentence with a missing element (S/XP):

(7) a. wh-element S/XP

b. that S/XP

c. [ ] S/XP

Assuming that relative wh-words carry the REL feature whose index value is identical with the

noun that the relative clause modifies, we can represent the structure of (6a) as following:

RELATIVE CLAUSE CONSTRUCTIONS / 225

(8) N′

��

�

SSS SSS

N′i S [ REL i

]

RRR RRR

SSS SSS

senators 1 NP[REL i] S[GAP 〈 1 NP〉]

RRR RRR

SSS SSS

who NP VP[GAP 〈 1 NP〉]

Fred V[GAP 〈 1 NP〉]

met

As shown in the structure, the object of the verb met is realized as a GAP value, and the filler

who functions as its filler. The combination of the filler who and the gapped sentence Fred met

thus formsa well-formedhead-fillerphrase.Thisfiller who has the nonlocalREL feature whose

value is an index. The REL value, identical with the antecedent noun, then percolates up to the

mother in accordance with the NIP (Nonlocal Inheritance Principle). This REL feature has to

be treated differently from the QUE feature due to contrasts like the following:

(9) a. This is the student [pictures of whom] appeared in the newspaper.

b. *[Pictures of whom] appeared in the newspaper?

The REL feature can percolate up within the phrase [pictures of whom], but the QUE feature

here can not.

One question that arises here is what mechanism ensures that the relative clause functions

as a modifier of a noun or noun phrase, carrying the MOD feature? In Chapter 6, we saw that

phrases such AP, nonfinite VP, and PP can modify an NP:

(10) a. the people [happy with the proposal]

b. the person [standing on my foot]

c. the bills [passed by the House yesterday]

d. the paper [to finish by tomorrow]

e. the student [in the classroom]

All these postnominal elements bear the feature MOD, originating from the head happy, stand-

ing, passed and to:

226 / ENGLISH SYNTAX: AN INTRODUCTION

(11) NP

��

DetP N′

��

the 1 N′ VP[

MOD 〈 1 N′〉 ]

��

boy V[

MOD 〈 1 N′〉 ] PP

BB BB BB BB

CC CC

standing on the foot

Notice that not all phrases can function as postmodifiers. In particular, a base VP or finite

VP cannot be found in this environment:

(12) a. *the person [stand on my foot]

b. *the person [stood on my foot]

c. *the person [stands on my foot]

Also, a complete sentence cannot function as a postnominalmodifier, either:

(13) a. *The student met the senator [John met Bill].

b. *The student met the senator [that John met Bill].

c. *The student met the senator [for John to meet Bill].

Only relative clauses with one missing element may serve as postnominalmodifiers, indicating

that they also have the MOD feature. Since all the relative clauses (except bare relatives) are

introducedbya relativepronoun,it is reasonable toassumethataclausewith the [REL i] feature

also bears the MOD feature as a constructional constraint, according to the following rule:2

(14) Head-Rel Modifier Rule:

N′ → 1 N′i, S

⎡ ⎢⎢⎣ REL i

MOD 〈 1 〉 GAP 〈〉

⎤ ⎥⎥⎦

The rule, as a subtype of the Head-Modifier Rule, basically ensures that a clause marked with

the REL feature modifies a preceding noun with the identical index value. This grammar rule

now then ensures the presence of the MOD feature in the relative clause (8):

2Following Sag (1997), one can develop an analysis in which the MOD value is introduced from a verb whose

argument contains a GAP value.

RELATIVE CLAUSE CONSTRUCTIONS / 227

(15) N′

JJ JJ JJ JJ JJ JJ

��

3 N′i S

⎡ ⎣MOD 〈 3 N′〉 REL i

⎤ ⎦

��

senators 2 NP[REL i]

`̀ `̀ `̀ `

aa aa aa a S

[ GAP 〈 2 〉

]

��

whom NP

ll ll ll l

gg gg gg g VP

[ GAP 〈 2 〉

]

Fred V [ GAP 〈 2 〉

]

met

As shown here, the verb met realizes its object as a GAP value, which percolates up to the

S, where it is discharged by the relative pronoun whom. In addition, in accordance with the

Head-Rel Modifier Rule in (14), the relative clause, forming a head-filler phrase, now carries

the MOD feature as well.

Since the relativeclause is a typeof head-fillerphrase, theremustbea total syntactic identity

between the gap and the filler with a REL value:

(16) a. Jack is the person [[NP whom] [Jenny fell in love with [NP ]]].

b. Jack is the person [[PP with whom] [Jenny fell in love [PP ]]].

(17) a. *Jack is the person [[NP whom] [Jenny fell in love [PP ]]] .

b. *Jack is the person [[PP with whom] [Jenny fell in love with [NP ]]].

In (16a) and (16b), the gap and the filler are the same category, whereas those in (17) are not.

The putativegap in (17a) is a PP and the one in (17b)an NP, but the fillers are the non-matching

categories NP and PP, respectively.

In addition, the gap can be embedded in a deeper position as long as it finds the appropriate

filler:

228 / ENGLISH SYNTAX: AN INTRODUCTION

(18) N′

-- -- -- -- -- -- -- -

2 Ni ′

S⎡ ⎣REL i MOD 〈 2 N′〉

⎤ ⎦

��

video 1 NP[ REL i

]

S[ GAP 〈 1 NP〉

]

!!! !!!

which NP VP[

GAP 〈 1 NP〉 ]

!!! !!!

��

I V S[

GAP 〈 1 NP〉 ]

mm mm mm mm m

��

thought NP VP[

GAP 〈 1 NP〉 ]

++ ++ ++ +

,, ,,

,, ,

��

you recommended

The GAP value starts from the verb of the embedded clause and passes up to the top S in

accordance with the NIP. The value is discharged by the filler wh-phrase which carrying the

REL feature. This nonlocal REL feature, in accordance with the NIP, is also passed up to the

top S to ensure that the clause functions as a modifier.

Just like the QUE feature, the nonlocal REL feature can also come from a deeper position

within the nonhead daughter of the relative clause:

(19) a. I met the critic [whose remarks [I wanted to object to ]].

b. This is the friend [for whose mother [Kim gave a party ]].

c. The teacher set us a problem [the answer to which [we can find in the textbook]].

The simplified structure of (19b) can easily illustrate this point:

RELATIVE CLAUSE CONSTRUCTIONS / 229

(20) N′

��

#### ####

N i ′ S[REL i]

��

#### ####

###

friend 1 PP[ REL i

]

KK KK KK KK KK KK

S[GAP 〈 1 PP〉]

33 33 33 33 33 33 33

44 44

P NP[ REL i

]

��

LL LL

MM MM MM MM MM M

NN NN N NN NN NN

VP[GAP 〈 1 PP〉]

<< << << << << <<

== == == == == ==

for Det[ REL i

] N Kim gave a party

whose mother

The REL feature is embedded in the specifier of the inner NP, but the NIP guarantees that this

value is passed up to the top S so that it can function as a modifier to the antecedent friend.

11.3 Subject Relative Clauses

Subject relative clauses are not very much different from non-subject relatives clauses in terms

of modifying a nominal expression. One main difference is that the presence of a wh-relative

pronoun including that is obligatory, and bare relative clauses are ungrammatical:

(21) a. We called the senators [who] met Fred.

b. The kid picked up the apple [that] fell down on the ground.

(22) a. *[The student [ met John]] came.

b. *[The problem [ intrigued us]] bothered me.]

Subject relativeclauses involvea missingsubject –a [REL i] subject is gapped, represented like

this:

230 / ENGLISH SYNTAX: AN INTRODUCTION

(23) N′

��

3 Ni ′

S⎡ ⎢⎢⎢⎣ REL i

MOD 〈 3 Ni′〉 GAP 〈〉

⎤ ⎥⎥⎥⎦

��

senators 1 NP[REL i]

‘S’⎡ ⎢⎢⎢⎣ SPR 〈〉 COMPS 〈〉 GAP 〈 1 NP〉

⎤ ⎥⎥⎥⎦

��

LL LL

who

V⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR 〈〉 COMPS 〈 2 NP〉 GAP 〈 1 NP〉 ARG-ST 〈 1 NP, 2 NP〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 NP

met Fred

As shown in the structure, the subject of met is realized as the GAP value which passes up to

the mother node. As noted in the previous chapter, this mother node is an ‘S’ with the empty

COMPS and SPR value though it looks like a VP. It is an S with a gap in it, and this combines

with the filler who by the Head-Filler Rule. The resulting S is a complete one carrying the REL

and MOD specifications that allows the resulting clause to modify senators in accordance with

the Head-Rel Modifier Rule.

Notice that this analysis then does not license bare subject relatives given like (22). The VP

with the missing subject met John cannot carry the MOD feature at all even if it can function as

an ‘S’ that can combine either with a wh-question phrase or a wh-relative phrase. However, the

analysis also predicts that the subject of an embedded clause can be gapped in sentences like

the following:

(24) a. He made a statement [which [S everyone thought [S was really interesting and

important]]].

RELATIVE CLAUSE CONSTRUCTIONS / 231

b. They all agreed to include those matters [[S which [everyonebelieved [S had been

excluded from the Treaty]]]].

As we saw in Chapter 10, verbs like think and believe combine with a CP, an S, or even a ‘S’

with the subject being gapped:

(25) Ni ′

-- -- -- -- -- -- -- -

3 Ni ′

S⎡ ⎣REL i MOD 〈 3 Ni′〉

⎤ ⎦

��

statement 1 NP[ REL i

] S[ GAP 〈 1 NP〉

]

!!! !!!

which NP VP[

GAP 〈 1 NP〉 ]

!!! !!!

��

everyone V ‘S’[

GAP 〈 1 NP〉 ]

��

(( ((

(

thought V[

GAP 〈 1 NP〉 ] AP ��

��

�

was interesting .. .

The VP was interesting here forms an ‘S’ with the subject being gapped. This ‘S’ combines

with the verb thought, forming an incomplete VP with the GAP information. This GAP value

percolatesup to the lower Sand then is dischargedby the relativepronounwhich which induces

the MOD value to the relative clause so that it can modify the antecedent statement.

11.4 That-relative clauses

As noted earlier, that can be used either as a complementizer or as a relative pronoun:

(26) Complementizer that:

a. Mary knows that John was elected.

b. That John was elected surprised Frank.

232 / ENGLISH SYNTAX: AN INTRODUCTION

c. Mary told Bill that John was elected.

(27) Relative Pronoun that:

a. This is the book [that we had read].

b. The president abandoned the people [that voted for him].

c. It is an argument [that people think will never end in Egypt].

Coordination data indicate that that can also be used a relative pronoun:

(28) a. *Every essay [she’s written] and [that/which I’ve read] is on that pile.

b. Every essay [which she’s written] and [that I’ve read] is on that pile.

c. Every essay [that she’s written] and [which I’ve read] is on that pile.

The contrast here can easily be accounted for if we assign the REL feature to that. As we have

seen earlier, the Coordination Rule requires two identical phrases to be conjoined. In (28b) and

(28c), two [REL i] Ss are conjoined, whereas in the unacceptable example (28a), two different

phrases,SwithagapelementandSwithnogap,areconjoined.Thismeans that that will appear

in the following two different environments:

(29) a. CP

��

Comp S

ll ll ll

gg gg gg

that . . .

b. S[REL i]

��

1 NP[REL i] S[GAP 〈 1 NP〉]

ll ll ll

gg gg gg

that . . .

The relative pronoun that is different from wh-relative pronoun in several respects. For ex-

ample, the relative pronoun that disallows genitive and piped piping (Sag (1997)):

(30) a. the student whose turn it was

b. *the student that’s turn it was

(31) a. the pencil with which he is writing

b. *the pencil with that he is writing

In addition, that is used only in finite relative clauses:

(32) a. a pencil with which to write

b. *a pencil with that to write

One way to account for these differences from the other wh-relative pronouns is to assume

that the relative pronoun that has no accusative case, hence cannot be the complement of a

preposition that assigns accusative to it. The relative who, unlike relative pronouns like whose,

whom and which, has the same property in this respect:

(33) a. *The people [in who we placed our trust] . . . .

b. *The person [with who we were talking] . . . .

RELATIVE CLAUSE CONSTRUCTIONS / 233

(34) a. The company [in which they have invested] . . .

b. The people [in whose house we stayed] . . .

c. The person [with whom he felt most comfortable] . . .

11.5 Infinitival and Bare Relative Clauses

An infinitival clause can also function as a modifier to the preceding noun. Infinitival relative

clauses in principle may contain a relative pronounbut need not:

(35) a. He bought a bench [on which to sit ].

b. He bought a refrigerator [in which to put the beer ].

(36) a. There is a book [(for you) to give to Alice].

b. There is a bench [(for you) to sit on].

Let us consider infinitival wh-relatives first. As we have seen in the previous chapter, an infini-

tival VP can be projected into an S when its subject is realized as the unrealized subject PRO.

This will then allow the following structure for (35a):

(37) N′

JJ JJ JJ JJ JJ JJ

��

2 N′i S

⎡ ⎣REL i MOD 〈 2 N′i〉

⎤ ⎦

��

bench 1 PP[REL i]

55 55 55 5

66 66

66 6 S

[ GAP 〈 1 PP〉

]

on which VP [ GAP 〈 1 PP〉

]

>> >> >>

?? ?? ??

to sit

As shown here, the VP to sit has a GAP value which functions as the complement of sit. The

infinitival VP, missing its PP complement, realizes its SPR as a PRO and thus can be projected

into an S in accordancewith the Head-Only Rule. This S forms a head-filler phrase with the PP

on which. The resulting S also inherits the REL value from the relative pronoun which and thus

bears the MOD feature. Once again, we observe that every projection observes the grammar

rules as well as other general principles such as the HFP, the VALP, and the NIP.

Infinitival wh-relatives have an additional constraint on the realization of the subject.

(38) a. a bench on which (*for Jerry) to sit

b. a refrigerator in which (*for you) to put the beer

234 / ENGLISH SYNTAX: AN INTRODUCTION

The examples indicate that wh-infinitival relatives cannot have an overt subject (such as (for)

Jerry) realized. We saw before that the same is true for infinitival wh-questions; the data are

repeated here:

(39) a. Fred knows [which politician (*for Karen) to vote for].

b. Karen asked [where (*for Washington) to put the chairs].

This tells us thatboth infinitivalwh-relativesand infinitivalwh-questionsare subject to the same

constraint. The reason for the ungammaticality of an example like (38a) can be understood if

we look at its structure:

(40) N′

��

�

SSS SSS

N′ *S [ REL i

]

��

�

SSS SSS

bench 1 PP[REL i]

55 55 55 5

66 66

66 6 CP

[ GAP 〈 1 PP〉

]

��

�

SSS SSS

on which C S [ GAP 〈 1 PP〉

]

FF FF FF F

GG GG

GG G

for Jerry to sit

The Head-filler Rule in (24)doesnot allow the combinationof a CP with a PP. The S here is ill-

formed: there is no rule that allows the combination of a CP/PP with a PP to form a head-filler

phrase.

How then can we deal with infinitival bare relative clauses like (41)?

(41) a. the paper [(for us) to read by tomorrow]

b. the paper [(for us) to finish by tomorrow]

Notice here that unlike infinitival wh-relative clauses, there is no relative pronoun. Given that

the infinitival VP can be projected into an S, we can assign the following structure to (41b)

when the subject is not overt:

RELATIVE CLAUSE CONSTRUCTIONS / 235

(42) NP

RRR RRR

SSS SSS

Det N′[GAP 〈〉]

-- -- -- -- -- -- --

SSS SSS

the 1 N′i S[

GAP 〈NPi[acc]〉 ]

paper

VP⎡ ⎣SPR 〈NP[PRO]〉 GAP 〈NPi[acc]〉〉

⎤ ⎦

ZZ ZZ ZZ

[[ [[

[[

to finish

The VP to finish has a GAP value for its object, and its subject is PRO. According to the Head-

only Rule in (75), this VP then will be projected into an incomplete ‘S’. There are two analytic

issues now:how to introduce the MOD feature and how to discharge the GAP value when there

is no filler. As we noted above,English also allowsfinite bare relativeswith the gappedelement

being accusative:

(43) a. the person [I met ]

b. the box [we put the books in ]

Note that unlike the traditional view, we can have bare relatives with the nominative subject

being gapped:

(44) a. He made a statement [everyone thought [ was interesting and important]].

b. They all agreed to include those matters [everyone believed [ had been excluded

from the Treaty]].

The subject gapped bare relative is only possible when it is combined by a matrix verb like

thought and believed, but not when it directly modifies its antecedent as in (22). This in turn

means that we have the following constructional differences for bare relatives:

236 / ENGLISH SYNTAX: AN INTRODUCTION

(45) a. *N′

��

N′ ‘S’[

GAP 〈NP〉 ]

-- -- -- -- -

.. ..

statement was interesting b. N′

��

N′ S[

GAP 〈NP〉 ]

��

statement everyone thought was interesting

As represented here, the simple ‘S’ (VP with the subject being gapped) cannot function as a

bare relative modifier, but the S whose embedded subject is gapped can well serve as a bare

relative clause. To reflect this observationand allow us to discharge the GAP value in such bare

relative clauses, we can assume the following rule for English:

(46) Bare Head-Rel Modifier Rule:

N′ [ GAP 〈〉

] → 1 N′i, S |CP

⎡ ⎣MOD 〈 1 〉 GAP 〈NPi〉

⎤ ⎦

This rule allows a finite or infinitival clause (S or CP, but not an ‘S’ or VP) bearing an NP

GAP value to function as a modifier of the preceding noun (the MOD value is added as a

constructional constraint). One specification in the rule is that the GAP value be discharged

even if there is no filler: the index of the head noun is identified with that of the dischargedgap.

This rule will then allow examples like (44) as well as authentic examples like the following:

(47) I just knowthat the Big 12 South teams [everyoneknew [ would win actually] won the

game].

11.6 Restrictive vs. Nonrestrictive Relative Clauses

In addition to the types of relative clause we seen before, there is an interpretive distinction

between ‘restrictive’ and ‘nonrestrictive’.Consider these examples:

(48) a. The person who John asked for help thinks he is foolish.

b. Mary, who John asked for help, thinks he is foolish.

RELATIVE CLAUSE CONSTRUCTIONS / 237

The relative clause in (48a) semantically restricts the denotation of person whereas the one in

(48b) just adds extra informationabout Mary. Let us consider one more pair of examples:

(49) a. John has two sisters who became lawyers. (‘restrictive’)

b. John has two sisters, who became lawyers. (‘non-restrictive’)

The second example suggests that John has only two sisters, while the first means that two of

his sisters are lawyers, but leaves open the possibility that he has other sisters. The denotation

of the restrictive relative phrase two sisters who became lawyers is thus the intersection the set

of two sisters and the set of lawyers. There can be more than two sisters, but there are only two

who became lawyers. Meanwhile, the nonrestrictive phrase two sisters, who became lawyers

means that there are two sisters and they all became lawyers: there is no intersection meaning

here.

This meaningdifferencehas given rise to the idea that the restrictive relative clause modifies

the meaning of N′ – a noun phrase without a determiner – whereas the nonrestrictive relative clause modifies a fully determined NP:

(50) Restrictive Relative Clause:

��

DP N′

��

the N′

dd dd dd

ee ee ee

-- -- -- -- -

.. ..

man whom we respect

(51) Non-restrictive Relative Clause:

��

NP S

��

John, NP

bb bb bb

cc cc cc

FF FF FF F

GG GG

GG G

whom we respect

Together with the differences in meaning, this structural difference can explain why the restric-

tive relative clause cannot modify a pronounor proper noun:3

3In certain expressions of English, who relative clause can modify the pronoun he:

238 / ENGLISH SYNTAX: AN INTRODUCTION

(52) a. I met the man who grows peaches.

b. I met the lady from France who grows peaches.

(53) a. *I met John who grows peaches.

b. *I met her who grows peaches.

Given that the meanings of ‘John’ and ‘her’ refer to only single individuals, we expect that no

furthermodificationor restriction is possible. Nonrestrictive relative clauses as (54) can modify

proper nouns or pronouns, simply because they just add information about the referent into the

discourse:

(54) a. In the classroom, the teacher praised John, whom I also respect.

b. Reagan, whom the Republicans nominated in 1980, lived most of his life in Califor-

nia.

The relative clause whom I also respect modifies the proper noun John without restricting it,

and has the same interpretation as a conjoined clause like The teacher praised John, and I also

respect him.

Such a meaning difference also causes another difference:only a restrictive clause can mod-

ify a quantified NP like every N or no N:

(55) a. Every student who attended the party had a good time.

b. *Every student, who attended the party, had a good time.

(56) a. No student who scored 80 or more in the exam was ever failed.

b. *No student, who scored 80 or more in the exam, was ever failed.

Strictly speaking, phrases with no or every as determinersdo not refer to an individualor given

set of individuals, and therefore cannot have their reference further elaborated by a nonrestric-

tive modifier (see Huddleston and Pullum (2002)).

Whether the syntax involves N′ or NP has also been used to explain why a restrictive clause must precede a nonrestrictive clause:

(57) a. Thecontestantwhowonthefirst prize,who is the judge’sbrother-in-law,sangdread-

fully.

b. *Thecontestant,who is the judge’sbrother-in-law,whowonthefirstprizesangdread-

fully.

((57b) is interpretable as involving a sequence of two nonrestrictive clauses.) Partial structures

of these two can be represented as follows:

(i) a. He who laughs last laughs best.

b. He who is without sin among you, let him cast the first stone.

RELATIVE CLAUSE CONSTRUCTIONS / 239

(58) a. NP

RRR RRR

��

RRR RRR

SSS SSS

S S

��

Det N′

RRR RRR

SSS SSS

S who is the judge’s . . .

the N′

// // // /

00 00

00 0 S

RRR RRR

SSS SSS

contestant who won the first prize, b. *NP

��

�

��

�

��

�

��

� S

OO OO OO OO

PP PP

��

who won .. .

the contestant, who is the judge’s brother-in-law,

Only in (58a) can the first relative clause be interpreted restrictively, as it is attached at the N′

level. Strictly speaking, as noted above, (58b) is not ill-formed,but can only have an interpreta-

tion in which both relative clauses are nonrestrictive.4

11.7 Constraints on the GAP

We have observed that in wh-interrogatives and relative clauses, the filler and the gap can be

in a long-distance relationship. Yet, there are constructions where this dependency seems to be

restricted in certain ways. Consider the following examples:

(59) a. [Who] did he believe [that he would one day meet ]?

b. [Which celebrity] did he mention [that he had run into ]?

(60) a. *[Who] did he believe [the claim that he had never met ]?

b. *[Which celebrity] did he mention [the fact that he had run into ]?

4One additional difference between restrictive and nonrestrictive clauses is that that is used mainly in restrictive

clauses.

(i) a. The knife [which/that] he threw into the sea had a gold handle.

b. The knife, [which/??that] he threw into the sea had a gold handle.

240 / ENGLISH SYNTAX: AN INTRODUCTION

Why do we have the contrast here? Let us compare the partial structures of (59a) with (60a):

(61) a. VP[GAP 〈NP〉]

++ ++ ++ ++ ++

V CP[GAP 〈NP〉]

��

believe C S[GAP 〈NP〉]

��

that he would meet

b. VP[GAP 〈NP〉]

++ ++ ++ ++ ++

V *NP[GAP 〈NP〉]

��

believe Det N′[GAP 〈NP〉]

++ ++ ++ ++ ++

the N CP[GAP 〈NP〉]

��

claim that he has never met

As we can see in (61a), the syntax allows a CP with GAP value. However, the combination

in (61b) of an NP containing a CP cannot have a GAP value. This is traditionally known as

a ‘Complex NP’ (Ross 1967) and is considered an ‘island’ in the sense that it is effectively

isolated from the rest of the structure. That is, an element within this island cannotbe extracted

from it, or linked to an expression outside. It is also usually assumed that English has island

constraints as follows:

• Coordinate Structure Constraint (CSC): In a coordinate structure, no element in one conjunct alone can be wh-questioned or relativized.

(62) a. Bill cooked supper and washed the dishes.

b. *What did Bill cook and wash the dishes?

c. *What did Bill cook supper and wash ?

• ComplexNoun Phrase Constraint (CNPC): No elementwithin a CP or S dominatedby an NP can be wh-questioned or relativized.

RELATIVE CLAUSE CONSTRUCTIONS / 241

(63) a. He refuted the proof that you cannot square it.

b. *What did he refute the proof that you cannot square ?

(64) a. They met someone [who knows the professor].

b. *[Which professor] did they meet someone who knows ?

• Sentential Subject Constraint (SSC): An element within a clausal subject cannot be wh- questioned or relativized.

(65) a. [That he has met the professor] is extremely unlikely.

b. *Who is [that he has met ] extremely unlikely?

• Left-Branching Constraint (LBC): No NP that is the leftmost constituent of a larger NP can be wh-questioned or relativized:

(66) a. She bought [John’s] book.

b. *[Whose] did she buy book?

• AdjunctClause Constraint: An elementwithin an adjunct cannotbe questionedor relativized. (67) a. Which topic did you choose without getting his approval?

b. *Which topic did you get bored [because Mary talked about ]?

• Indirect Wh-question Constraint: An NP that is within an indirect question cannot be ques- tioned or relativized.

(68) a. Did John wonder who would win the game?

b. *What did John wonder who would win ?

Various attempts have been made to account for such island constraints. Among these, we

sketchananalysiswithin thepresent systemthat relieson licensingconstraintsonsubtree struc-

tures. As we have seen in the previous chapters, the present analysis provides a straightforward

account for the CSC:

(69) *VP

��

VP[ GAP 〈NP〉 ] Conj VP[ GAP 〈〉 ]

��

�

V[GAP 〈NP〉] and V NP

cook wash the dishes

Even though two VPs are coordinated, they are not identical in terms of the GAP values. This

violates the CoordinationRule which requires that only identical categoriescan be coordinated.

242 / ENGLISH SYNTAX: AN INTRODUCTION

Except for this clear constraint, the existence of the other island constraints has been ques-

tioned through acceptable examples which actually violate the island constraints. For example,

the following examples are all acceptable even though they violate a claimed island constraint

(Sag et al. to appear):

(70) a. What did he get the impression that the problem really was ? (CNPC)

b. This is the paper that we really need to find the linguist who

understands . (CNPC)

In addition, observe the following examples (cf. Ross 1987, Kluender 2004):

(71) a. *Which rebel leader did you hear [Cheney’s rumor [that the CIA

assassinated ]]?

b.??Which rebel leader did you hear [the rumor [that the CIA assassinated ]]?

c. ?Which rebel leader did you hear [a rumor [that the CIA assassinated ]]?

d. Which rebel leader did you hear [rumors [that the CIA assassinated ]]?

All these examples have identical syntactic structures but are different in the degree of accept-

ability.Thedata indicate that it is not the syntactic structure,but thepropertiesof theheadof the

complexNP influence the acceptability grade of the sentences, implying that processing factors

closely interact with the grammar of filler-gap constructions (Sag et al. 2006).

RELATIVE CLAUSE CONSTRUCTIONS / 243

11.8 Exercises

1. Find a grammatical error in each of the following sentences and then explain the nature

of the error.

(i) a. Students enter high-level educational institutions might face many problems

relating to study habits.

b. A fellow student saw this felt sorry for Miss Kim and offered her his own

book.

c. Experts all agree that dreams cause great anxiety and stress are called night-

mares.

d. Thevictimsof theearthquaketheirpropertywasdestroyedin thedisasterwere

given temporary housing by the government.

2. Draw tree structures for the followingexamplesand discuss which grammar rules license

each phrase.

(i) a. This is the book which I need to read.

b. This is the very book that we need to talk about.

c. The person whom they intended to speak with agreed to reimburse us.

d. The motor that Martha thinks that Joe replaced costs thirty dollars.

(ii) a. The official to whom Smith loaned the money has been indicted.

b. The man on whose lap the puppet is sitting is ventriloquist.

c. The teacher set us a problemthe answer to which we can find in the textbook.

d. We just finished the final exam the result of which we can find out next week.

3. Draw structures for the following ungrammatical examples and identify which island

constraints are violated.

(i) a. *What did Herb start to play only after he drank ?

b. *Who did Herb believe the claim that cheated?

c. *What did Herb like fruit punch and?

d. *What was that the Vikings ate a real surprise to you?

e. *What did you meet someone who understands?

4. Compare the following pairs of examples by considering the structure of each. In partic-

ular, consider whether the structure involves a relative clause or a CP complement.

(i) a. The fact that scientists have now established all the genes in the human body

is still not widely known.

b. The fact that the scientists used the latest technology to verify was reported at

the recent conference.

(ii) a. They ignored the suggestion that Lee made.

b. They ignored the suggestion that Lee lied.

(iii) a. They denied the claim that we had advanced by ourselves.

b. They denied the claim that they should report only to us.

244 / ENGLISH SYNTAX: AN INTRODUCTION

5. English also allows adverbial relative clauses like those in (i). Can the analysis in this

chapter explain such examples? If it can, how? If it cannot, can you think of any possible

explanation?

(i) a. The hotel where Gloria stays is being remodelled.

b. The day when Jim got fired was a sad day for everyone.

c. That is the reason why he resigned.

6. Read the followingpassages and provide the correctverb form for the underlinedexpres-

sions and their lexical entries.

(i) Pied-piping (first identified by John R. Ross) describes the situation where a

phrase larger than a single wh-word occurs in the fronted position. In the case

where the wh-word is a determiner such as which or whose, pied-piping refer to

the fact that the wh-determiner appears sentence-initially along with its comple-

ment. For instance, in the example Which car does he like?, the entire phrase

which car is moved. In the transformational analysis, the wh-word which moves

to the beginning of the sentence, taking car, its complement, with it, much as

the Pied Piper of Hamelin attract rats and children to follow him, hence the term

pied-piping.5

(ii) Certain grammatical structures associate with correspondingfunctions, as in the

interrogative structure Do you drink tea the function is questioning. Such a case

can describe as a direct speech act. However, when the interrogative structure

is used to fulfill a different purpose as in Can you close the window? where it

clearly is not a question about ability, but a polite request, such a situation is

described as an indirect speech act.6

5Adapted from Wikipedia, http://en.wikipedia.org/wiki/Wh-movement 6Adapted from http://www.tlumaczenia-angielski.info/linguistics/pragmatics.htm

Special Constructions

12.1 Introduction

English displays constructions illustrated in (1), respectively known as ‘tough movement’,1

‘extraposition’, and ‘cleft’ constructions:

(1) a. John is tough to persuade . (‘Tough’movement)

b. It bothers me that John snores. (Subject Extraposition)

c. John made it clear that he would finish it on time. (Object Extraposition)

d. It is John that I met last night in the park. (Cleft)

Though these constructions each involve some kind of nonlocal dependency, they are different

from wh-question or relative clause constructions in several respects. This chapter looks into

the main properties of these new nonlocal dependencyconstructions.

As we have seen in the previous two chapters, in these wh-questionsand relative clauses, the

gap must match its filler in terms of the syntactic category:

(2) a. I wonder [whom [Sandy loves ]]. (Wh-question)

b. This is the politician [on whom [Sandy relies ]]. (Wh-relative clause)

In addition, we can observe that the filler whom and on whom here are not in the core clause

position (subject or object) but are in the adjoined filler position.

Now compare these propertieswith other examples of the easy type:

(3) a. He is hard to love .

b. This car is easy to drive

The gap in (3a) would correspond to an accusative NP (him) whereas the apparent filler in

the core position is a nominative subject he. The filler and the gap here are thus not exactly

identical in terms of their syntactic information, though they are understood as referring to the

same individual.Due to the lack of syntactic identity, the dependencybetween the filler and the

gap is considered ‘weaker’ than the one in wh-questions or wh-relatives (cf. Pollard and Sag

(1997)).

1The construction is named after adjectives which appear in it, such at tough, easy, difficult, etc.

245

246 / ENGLISH SYNTAX: AN INTRODUCTION

The extraposition and cleft constructions in (1b–d) are also different from wh-questions, as

well as from easy constructionexamples. In clefts, we havea gapand a correspondingfiller, but

in extrapositions we have a long-distance relationship between the extraposed clause and the

expletive pronoun it. In due course, we will see the differences of these constructions in detail.

12.2 ‘Easy’ Constructions

12.2.1 Basic Properties

Adjectives like easy, tough, difficult, and so on can appear in three seemlingly-relatedconstruc-

tions:

(4) a. To please John is easy/tough.

b. It is easy/tough to please John.

c. John is easy/tough to please.

Superficially, quite similar predicates such as eager and ready do not allow all these three:

(5) a. *To please John is eager/ready.

b. *It is eager/ready to please John.

c. John is eager/ready to please.

Even though (4c) and (5c) are grammatical and look similar in terms of structure, they are

significantly different if we look in detail at their properties. Consider the following contrast:

(6) a. Kim is easy to please.

b. Kim is eager to please.

One obvious difference between these two examples lies in the semantic roles of Kim: in (6a),

Kim is the object of please whereas Kim in (6b) is the subject of please. More specifically,

the verb please in (6a) is used as a transitive verb whose object is identified with the subject

Kim. Meanwhile, the verb please in (6b) is used intransitively, not requiring any object. This

difference can be shown clearly by the following examples:

(7) a. *Kim is easy [to please Tom].

b. Kim is eager [to please Tom].

The VP complement of the adjective easy cannot have a surface object whereas eager has no

such restriction. This means that the VP complement of easy has to be incomplete in the sense

that it is missing an object, and this is so with other easy adjectives as well:

(8) a. This doll is hard [to see ].

b. The child is impossible [to teach ].

c. The problem is easy [to solve ].

(9) a. *This doll is [hard to see it].

b. *The child is impossible [to teach him].

c. *The problem is easy [to solve the question].

SPECIAL CONSTRUCTIONS / 247

In all these examples, there must be a gap in the VP complement. Meanwhile, eager places no

such a restriction on its VP complementwhich should be internally complete:

(10) a. John is eager [to examine the patient].

b. John is eager [to find a new home].

(11) a. *John is eager [to examine ].

b. *John is eager [to find ].

These observations lead us to the following descriptive generalization:

(12) Unlike eager-type adjectives, easy-type adjectives select an infinitival VP comple-

ment which has one missing element semantically linked to their subject.

12.2.2 TransformationalAnalyses

Let us consider two related examples first:

(13) a. It is easy to please John.

b. John is easy to please.

Traditional movement analyses have assumed the following deep structure for (13a):

(14) [ S

is easy [ CP [ S PRO to please John]]]

The expletive it is introduced at S-structure in the matrix subject position to generate (13a).

One might assume direct movement of John to the subject position for (13b), but an issue

immediately arises with examples like (15):

(15) Hei is easy to please i.

The problematic aspect is the status of the subject He: how can a direct movement approach

move him into the subject position and then change the form into he?2 As a solution, Chomsky

(1986) proposes an empty operator (Op) movementoperation, represented as shown here:

2In more technical terms, this will violate the ‘Case Filter’ of Government-Binding Theory, for he receives two

cases: accusative from the original object position and nominative from the subject position.

248 / ENGLISH SYNTAX: AN INTRODUCTION

(16) S

RRR RRR

RRR R

SSS SSS

SSS S

NP VP

RRR RRR

RRR R

SSS SSS

SSS S

Hei V AP

RRR RRR

RRR R

SSS SSS

SSS S

is A CP

RRR RRR

RRR R

SSS SSS

SSS S

easy C IP

RRR RRR

RRR R

SSS SSS

SSS S

Opi NP VP

RRR RRR

RRR R

SSS SSS

SSS S

NP[PRO] V NP

please ti

��

The subject he is base-generated in the matrix subject position, while the null operator Opi moves to the intermediate position from its original object position, leaving the trace (ti). At an

interpretive level, this operator is coindexedwith the subject, indirectly linking the gapwith the

filler even though the two have different case markings.

12.2.3 A Lexicalist Analysis

As we have seen earlier, unlike eager-type adjectives, easy-type adjectives require an incom-

plete VP complement as a lexical property. This subcategorization restriction appears to be a

lexical fact for a family of adjectives and verbs. In addition to adjectives like easy, verbs like

take and cost also select an infinitival VP containing an accusative NP gap coindexed with the

subject:

(17) a. This theorem will take only five minutes to prove .

b. This theorem will take only five minutes to establish that he proved in 1930.

(18) a. This scratch will cost Kim $500 to fix .

b. This $500 bribe will cost the government $500,000 to prove that Senator Jones ac-

cepted .

Meanwhile, as we have noted in the previous section, eager-type adjectives do not have such a

subcategorization restriction.

We can represent this lexical difference in terms of lexical information.Letusbeginwith the

easy-type which selects a VP complementwith one NP missing:

SPECIAL CONSTRUCTIONS / 249

(19) easy-type adjectives⎡ ⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣

HEAD |POS adj

VAL

⎡ ⎢⎢⎢⎢⎣ SPR 〈NPi〉

COMPS

⟨⎡ ⎣VFORM inf GAP 〈 1 NPi[acc]〉

⎤ ⎦ ⟩ ⎤ ⎥⎥⎥⎥⎦

TO-BIND |GAP 〈 1 NPi〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦

The lexical entry in (19) specifies that the infinitival complement (VP or CP) of adjectives like

easy contains a GAP value (NPi) which is coindexed with the subject. This coindexation will

ensure the semantic linkage between the matrix subject and the gapped NP. Notice that unlike

canonicalfiller-gap constructions in which the GAP value is dischargedwhen it meets the filler

(by the Head-Filler Rule), the feature TO-BIND is introduced to lexically discharge the GAP

value in the VP complement. This lexical information will then project the following structure

for (6a):

(20) S

��

NPi VP

��

Kim V AP[

GAP 〈〉 ]

��

�

A⎡ ⎣COMPS 〈 2 VP[inf]〉 TB-GAP 〈 1 NP〉

⎤ ⎦

2 VP[ GAP 〈 1 NP〉

]

JJ JJ JJ JJ JJ JJ JJ

��

�

easy V VP[

GAP 〈 1 〉 ]

to V[

GAP 〈 1 NPi[acc]〉 ]

please

250 / ENGLISH SYNTAX: AN INTRODUCTION

Asshown in the tree, the transitiveverbplease introduces its object as the GAPvalue;hence the

mother infinitival VP is incomplete. The adjective easy selects this VP and then lexically dis-

charges through the TO-BIND|GAP (TB-GAP) value in accordance with the following revised NIP:

(21) Nonlocal Feature Inheritance Principle (NIP, final):

A phrase’s nonlocal feature such as GAP and QUE is the union of its daughters’

nonlocal feature values minus either the lexically or grammatically bound nonlocal

features.

Meanwhile, the lexical information for eager-type adjectives is very simple:

(22) eager-type adjectives⎡ ⎢⎢⎢⎢⎢⎣ HEAD |POS adj

VAL

⎡ ⎢⎣ SPR 〈NP〉 COMPS

⟨ VP [ VFORM inf

]⟩ ⎤ ⎥⎦

⎤ ⎥⎥⎥⎥⎥⎦

Theseadjectivesselect acomplete infinitivalVPwithnomissingelement,eventuallygenerating

a simple canonical head-complementstructure like the following:

(23) S

��

NP VP

��

Kim V AP

��

is A[

COMPS 〈 2 VP〉 ] 2 VP[

GAP 〈〉 ]

��

eager V VP

to V

please

The adjective eager thus places no restriction on its VP complement, and so can legitimately

combine with the fully saturated VP complement. When its VP complement has a GAP value,

SPECIAL CONSTRUCTIONS / 251

it must be later dischargedby a filler as seen in the following contrast:

(24) a. *Kim is eager to recommend .

b. Who is Kim eager to recommend ?

Notice that the present analysis can straightforwardlyaccount for examples in which the VP

complement includes more than one GAP element. Compare the following pair of examples:

(25) a. This sonata is easy to play on this piano.

b. Which piano is this sonata easy to play on ?

The structure of (25a) is similar to that of (20):

(26) S

��

�� iiiiii

iiiii

1 NPi

\\ \\ \\ \\ \\ \

]] ]] ]] ]] ]] ]

VP[ SPR 〈 1 NP〉

]

��

iiiiii iiiii

This sonata V

AP⎡ ⎣SPR 〈 1 NP〉 GAP 〈〉

⎤ ⎦

nnnnnn nnnnn

��

A⎡ ⎢⎢⎢⎣ SPR 〈 1 NP〉 COMPS 〈 3 VP〉 TB-GAP 〈 2 NP〉

⎤ ⎥⎥⎥⎦

VP⎡ ⎣SPR 〈 1 NP〉 GAP 〈 2 NP〉

⎤ ⎦

!!! !!!

��

easy V 3 VP[

GAP 〈 2 NPi〉 ]

YYYYY YYYY ��

��

to play on this piano

Just like the structure in (20), here the adjective easy combines with an incomplete VP whose

missingGAPvalue is lexicallydischargedandcoindexedwith thematrixsubject.Nowconsider

the structure of (25b) in which the object is linked to the subject this sonata whereas the object

of on is linked to the wh-phrase which piano:

252 / ENGLISH SYNTAX: AN INTRODUCTION

(27) S

��

� iiiiiii

iiiii

2 NP

@@ @@ @@ @@ @@ @

AA AA AA AA AA A

S[ GAP 〈 2 〉

]

!!! !!!

!! ooooooooooooo ooooooooooo

Which piano V 1 NPi

`` `` `` `` `` `` ``

aa aa aa aa aa aa aa

AP⎡ ⎣SPR 〈 1 〉 GAP 〈 2 〉

⎤ ⎦

nnnnnnn nnnnn

��

�

is this sonata

A⎡ ⎢⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 3 〉 TB-GAP 〈 4 〉

⎤ ⎥⎥⎥⎦

3 VP[ GAP 〈 4 NPi, 2 NP〉

]

KK KK KK KK K

LL LL

easy to play on

In thestructureabove, theVPcomplementof easy has two GAPvalues:one is theobject ( 4 NP)

and the other is the object ( 2 ) of on. The first GAP value coindexedwith the subject is lexically

bound by easy through the feature TB-GAP. The remaining GAP value ( 2 NP) is passed up to

the second higher S where it is discharged by its filler, which piano, through the Head-Filler

Rule.

12.3 Extraposition

12.3.1 Basic Properties

English employs an extraposition process that places a heavy constituent such as a that-clause,

wh-clause, or infinitival clause at the end of the sentence:

(28) a. [That dogs bark] annoys people.

b. It annoys people [that dogs bark].

(29) a. [Why she told him] is unclear.

b. It is unclear [why she told him].

(30) a. [(For you) to leave so soon] would be inconvenience.

b. It would be inconvenience [(for you) to leave so soon].

This kind of alternation is quite systematic: given sentences like (31a), English speakers have

an intuition that (31b) is possible:

(31) a. That the Dalai Lama claims Tibet independencediscomfits the Chinese government.

b. It discomfits the Chinese government that the Dalai Lama claims Tibet indepen-

dence.

SPECIAL CONSTRUCTIONS / 253

The extraposition process can also be applicable to a clausal complement:

(32) a. I believe the problem to be obvious.

b. *I believe [that the problem is not easy] to be obvious.

c. I believe it to be obvious [that the problem is not easy].

As seen in (32b–c), when a clausal complement is followed by infinitival VP complement, the

former is much more preferablyextraposed to sentence-finalposition. In addition to a finite CP,

as in (32c), extraposition applies also to an infinitival CP/VP, a simple S, or even a gerundive

phrase:

(33) a. I do not think it unreasonable [to ask for the return of my subscription].

b. He made it clear [he would continue to co-operate with the United Nations].

c. They’re not finding it a stress [being in the same office].

12.3.2 TransformationalAnalysis

In terms of movement operations, there have been two main ideas to capture the systematic

relationships between examples such as the following:

(34) a. [That you came early] surprised me.

b. It surprised me [that you came early].

One approach assumes that the surface structure of a subject extraposition like (34b) is gener-

ated from (34a) as represented in the following (Rosenbaum (1967)):3

(35) S

��

SSS SSS

ll ll ll l

gg gg gg g VP

RRR RRR

��

�

It [t]

��

RRR RRR

SSS SSS

'' '' '' '' '

(( ((

(

V NP you came early

surprised me

The extraposition rule moves the underlying sentence you came early to a sentence-final posi-

tion. Thismovementprocess also introduces the insertionof that, generating (34b).To generate

3The notation [t] means a trace left after a movement.

254 / ENGLISH SYNTAX: AN INTRODUCTION

nonextraposed sentences like (34a) the system posits a process of deleting it in (34a) and then

adding the complementizer that.

Aslightlydifferentanalysishasalsobeensuggestedwith theoppositedirectionofmovement

(Emonds1970,Chomsky (1981),Groat (1995)).That is, instead of extraposing the clause from

the subject, the clause is assumed to be already in the extraposed position as in (36a):

(36) a. [[ ] [VP surprised [me] [CP that you came early]]].

b. [[It] [VP surprised me that you came early]].

The insertion of the expletive it in the subject position in (36a) would then account for (36b).

When the CP clause is moved to the subject position, the result is the nonextraposed sentence

(34a).

Most current movement approaches follow this second line of thought. Though such deriva-

tional analyses can capture certain aspects of English subject extraposition, they are not speci-

fied in enoughdetail to predict lexical idiosyncrasies as well as non-localpropertiesof extrapo-

sition (see Kim and Sag (2005) for further discussion).

12.3.3 A Lexicalist Analysis

As we have seen, Englishexhibits a systematic alternationbetween pairsof non-extraposedand

extraposed sentences like the following:

(37) a. [That Chris knew the answer] occurred to Pat.

b. It occurred to Pat [that Chris knew the answer].

This alternation relation is quite productive.For example, as English acquires new expressions,

e.g. freak out, weird out, or bite, it acquires both extraposedand non-extraposedsentence types

(cf. Jackendoff 2002):

(38) a. It really freaks/weirds me out that we invaded Iraq.

b. That we invaded Iraq really freaks/weirds me out.

(39) a. It really bites that we invaded Iraq.

b. That we invaded Iraq really bites.

Thesimplegeneralizationabout theprocessofextrapositionis that it applies toa verbalelement

(CP, VP, and S). Adopting Sag et al. (2003), Kim and Sag (2006), we then can assume that the

extraposition process also refers to the verbal category whose subtypes include both comp and

verb (see Chapter 5.4.2). In particular, we can adopt the following lexical rule to capture the

systematic relationship in extraposition:

(40) Extraposition Lexical Rule (ELR): [ ARG-ST 〈 . . . , 1 XP[verbal], . . . 〉

] ⇒ ⎡ ⎣ARG-ST 〈 . . . , NP[NFORM it], . . . 〉 EXTRA 〈 1 XP〉

⎤ ⎦

What this rule says is that if a predicative element (actually, adjective or verb) selects a verbal

argument(eitherCPorS), thisverbalelementcanberealizedas thevalueof thefeatureEXTRA

SPECIAL CONSTRUCTIONS / 255

together with the introduction of it as an additional argument.

For example, consider the following data set:

(41) a. Fido’s barking annoys me.

b. That Fido barks annoys me.

c. It annoys me that Fido barks.

As shown here, the verb annoys can take either a CP or an NP as its subject. When the verb

annoys selects a verbal argument (CP), it can undergo the ExtrapositionLexical Rule in (40) as

follows:

(42) ⎡ ⎣〈annoys〉 ARG-ST 〈 1 [nominal] , 2 NP〉

⎤ ⎦⇒

⎡ ⎣ARG-ST 〈NP[NFORM it], 2 NP〉 EXTRA 〈 1 CP 〉

⎤ ⎦

Since the verb annoys selects a nominal (CP or NP since its subtypes are noun and comp) as

one of its arguments, it can undergo the ELR when this argument is realized as a CP (comp is a

subtype of verbal). As shown here, the output annoy now selects the expletive it as its subject

while its original CP now serves as the value of the EXTRA. The two arguments in the output

ARG-ST, in accordancewith the ARC, will be realized as the SPR and COMPS value, with the

EXTRA value intact. This realization will allow us to generate a structure like the following:

256 / ENGLISH SYNTAX: AN INTRODUCTION

(43) S

RRR RRR

SSS SSS

3 NP

VP⎡ ⎣SPR 〈 3 〉 EXTRA 〈〉

⎤ ⎦

RRR RRR

��

VP⎡ ⎣SPR 〈 3 〉 EXTRA 〈 1 〉

⎤ ⎦

RRR RRR

GG GG

1 CP

HH HH HH HH HH HH HH HH HH H

II II II II II II II II II I

V⎡ ⎢⎢⎢⎢⎢⎢⎣

SPR 〈 3 〉 COMPS〈 2 〉 ARG-ST 〈 3 NP[it], 2 〉 EXTRA 〈 1 〉

⎤ ⎥⎥⎥⎥⎥⎥⎦

2 NP that Fido barks.

annoys me

As shown in the tree, the two arguments of the verb annoys are realized as SPR and COMPS

respectively. When it combines with the NP me, it forms a VP with a nonemptyEXTRA value.

This VP then combines with the extraposed clause CP in accordance with the following Head-

Extra Rule:

(44) Head-Extra Rule:[ EXTRA 〈〉

] → H

[ EXTRA 〈 1 〉

] , 1

As given here, the rule also discharges the feature EXTRA passed up to the head position.

This grammar rule reflects the fact that English independently allows a phrase in which a head

element combines with an extraposed element:

(45) [ EXTRA 〈〉

]

��

H [ EXTRA 〈 1 〉

] 1

SPECIAL CONSTRUCTIONS / 257

We can observe that English freely employs this kind of well-formed phrase condition even in

the extraposition of an adjunct element.

(46) a. [[A man came into the room] [that no one knew]].

b. [[A man came into the room] [with blond hair]].

c. I [read a book during the vacation [which was written by Chomsky]].

All of these examples are licensed by the Head-Extra Rule which allows the combination of a

head element with an extraposed element.

Object extraposition is no different– consider the following examples:

(47) a. Ray found the outcome frustrating.

b. Ray found it frustrating [that his policies made little impact on poverty].

The data indicate that the lexical entry for find selects three arguments including a CP and thus

can undergo the ELR Rule:

(48) ⎡ ⎣〈find〉 ARG-ST 〈 1 NP, 2 [nominal], 3 AP〉

⎤ ⎦⇒

⎡ ⎣ARG-ST 〈 1 NP, NP[it], 3 AP〉 EXTRA 〈 2 [comp] 〉

⎤ ⎦

Since the type comp is a subtype of nominal and verbal at the same time, the verb can undergo

the ELR. The output introduces a new element it together with the EXTRA value. The three

arguments in the output will then be realized as the SPR and COMPS values, projecting a

structure like the following:

(49) VP[

EXTRA 〈〉 ]

��

""" """

""" ""

VP[ EXTRA 〈 2 〉

]

��

�

2 CP

WW WW WW WW WW WW WW W

XX XX

XX X

V⎡ ⎣ARG-ST 〈NP, 4 NP[it], 3 AP〉 EXTRA 〈 2 〉

⎤ ⎦ 4 NP 3 AP that his policies . . .

found it frustrating

The verb find requires an expletive object and an AP as its complement. It also has a clausal

elementas its EXTRA element.ThefirstVP thushasa nonemptyEXTRA valueprojected from

258 / ENGLISH SYNTAX: AN INTRODUCTION

the verb, and this VP forms a well-formed phrase with the extraposed CP clause.

One main difference between subject and object extraposition is that the latter is obligatory:

(50) a. *I made [to settle the matter] my objective.

b. I made it [my objective] to settle the matter.

c. I made [the settlement of the matter] my objective.

(51) a. *I owe [that the jury acquitted me] to you.

b. I owe it [to you] that the jury acquitted me.

c. I owe [my acquittal] to you.

This contrast is due to a general constraintwhich disprefers any elementwithin VP from occur-

ring after a CP:

(52) a. I believe strongly [that the world is round].

b. *I believe [that the world is round] strongly.

In the present context this means that there is no predicative expression (verbs and adjectives)

whose COMPS list contains an element on the list after a CP complement (see Kim and Sag

(2005)).

12.4 Cleft constructions

12.4.1 Basic Properties

The examples in (53) represent the canonical types of three kinds of cleft construction: it-cleft,

wh-cleft, and inverted wh-cleft in English:

(53) a. It’s their teaching material that we’re using. (it-cleft)

b. What we’re using is their teaching material. (wh-cleft)

c. Their teaching material is what we are using. (inverted wh-cleft)

These three types of clefts all denote the same proposition as the following simple declarative

sentence:

(54) We are using their teaching material.

The immediate question that follows is then what is the extra function of the cleft struc-

ture instead of the simple sentence (54)? It is commonly accepted that clefts share identical

information-structureproperties given in (55), for the example in question:

(55) a. Presupposition (Background):We are using X.

b. Highlighted (Foregroundor focus): their teaching material

c. Assertion: X is their teaching material.

In termsof thestructures, the three typesofcleftall consistofamatrixclauseheadedbyacopula

and a relative-like cleft clause whose relativized argument is coindexed with the predicative

argument of the copula. The only difference is where the highlighted (focused) expression is

placed.

SPECIAL CONSTRUCTIONS / 259

12.4.2 Distributional Properties of the Three clefts

It-clefts: As noted before, the it-cleft construction consists of the pronoun it as the subject of the matrix verb be, the highlighted (or focused) phrase XP, and a remaining cleft clause.

The pronoun it here functions as a place holder, though it is similar in form to the referential

pronoun it. For example, it is hard to claim that the pronoun it in the followingdialoguehasany

referential property:

(56) A: I share your view but I just wonder why you think that’s good.

B: Well I suppose it’s the writer that gets you so involved.

As for the type of highlighted XP, we observe that only certain types of phrase can be used:

(57) a. It was [NP the man] that bought the articles from him.

b. It was [AdvP then] that he felt a sharp pain.

c. It was [ PP to the student] that the teacher gave the best advice.

d. It was [S not until I was perhaps twenty-five or thirty] that I read and enjoyed them.

Phrases such as an infinitival VP, AP, or CP cannot function as the XP:

(58) a. *It was [VP to finish the homework] that John tried.

b. *It is [ AP fond of Bill] that John seems to be.

c. *It is [ CP that Bill is honest] that John believes.

Also notice that in addition to that, wh-words like who and which can also introduce a cleft

clause:

(59) a. It’s the second Monday [that] we get back from Easter holiday.

b. It was the girl [who] kicked the ball.

c. It’s mainly his attitude [which] convinced the teacher.

Wh-clefts: Unlike the it-cleft, the wh-cleft construction places a cleft clause in the subject position followed by the highlighted XP in the postcopular position. This gives a wide range of

highlighted phrases. As shown in (60), almost all the phrasal types can serve as the highlighted

XP:

(60) a. What you want is [NP a little greenhouse].

b. What’s actually happening in London at the moment is [AP immensely exciting].

c. What is to come is [PP in this document].

d. What I’ve always tended to do is [VP to do my own stretches at home].

e. What I meant was [CP that you have done it really well].

Different from it-cleft, the wh-cleft allows AP, base VP, and clause (CP, simple S, and wh-

clause) to serve as the highlighted XP:

(61) a. What you do is [VP wear it like that].

b. What happened is [ S they caught her without a license].

260 / ENGLISH SYNTAX: AN INTRODUCTION

c. What the gentleman seemed to be asking is [S how policy would have differed].

Inverted wh-clefts: Though the inverted wh-cleft construction is similar to the wh-cleft, the

possible types of highlighted phrase are in fact different:

(62) a. [ NP That] is what they’re trying to do.

b. [AP Insensitive] is how I would describe him.

c. [PP In the early morning] is when I do my best research.

(63) a. *[VP Wear it like that] is what you do.

b. *[S They caught her without a license] is what happened.

c. *[CP That you have done it really well] is what I meant.

In general, all wh-words except which are possible in inverted wh-clefts:

(64) a. That’s [when] I read.

b. That was [why] she looked so nice.

c. That’s [how] they do it.

d. That’s [who] I played with over Christmas.

e. *That was [which] I decided to buy.

12.4.3 SyntacticStructures of the Three Types of Cleft: Movement Analyses

There have been two main directions in movement analyses to deal with English it-cleft con-

structions: an extraposition analysis and an expletive analysis. The extraposition analysis as-

sumes a direct syntactic or semantic relation between the cleft pronoun it and the cleft clause

through extraposition (Akmajian 1970, Gundel 1977, Hedberg 2000).

(65) a. [What you heard] was an explosion. (wh-cleft)

b. It was an explosion, [what you heard]. (right-dislocated)

c. It was an explosion [that you heard]. (it-cleft)

For example, in Gundel (1977), the wh-cleft clause in (65a) is first right dislocated as in (65b)

which then can generate the it-cleft (65c) with the replacement of what into that. Analyses of

this view basically take the cleft clause to be extraposed to the end of the sentence.

Meanwhile, the expletiveanalysis (Chomsky1977, É. Kiss 1998,Lambrecht2001) takes the

pronoun it tobeanexpletiveexpressiongeneratedinplace,while thecleft clause is semantically

linked to the clefted constituent by a ‘predication’ relation.

(66) It was [PRED John + who heard an explosion].

An elaborated analysis within this view has been proposed by É. Kiss (1998):

SPECIAL CONSTRUCTIONS / 261

(67) IP

��

NP I′

��

It I FP

��

wasj NP F ′

��

,,, ,,,

Johni F CP

+++ +++

,,, ,,,

��

whoi IP

��

ti heard an explosion

��

As shownhere, theclefted phrase John, functioningas focus, is assumed to occupy the specifier

of the FP (focus phrase) while the copula is the head of the FP and the cleft clause is the

complementofF.ThehighlightedfocusphraseJohnandthecleft clauseare thus inapredication

relation.

Even though the wh-cleft and it-cleft are identical in presenting ‘salient’ discourse informa-

tion for emphasis, they have different syntactic properties which make it hard to derive one

from the other (cf. Pavey 2004). It is because there are many cases where we can observe clear

differences among the three types of clefts. For example, one noticeable difference lies in the

fact that only wh-clefts allow a base VP as the highlighted XP phrase:

(68) a. What you should do is [VP order one first].

b. *It is [VP order one first] that you should do first.

c. *[VP Order one first] is what you should do.

The threeare differentaswellwith respect to theoccurrenceof anadverbial subordinateclause:

(69) a. Itwasnotuntil Iwasperhaps twenty-fiveor thirty that I read themandenjoyedthem.

b. *When I read them and enjoyed them was not until I was perhaps twenty-five.

c. *Not until I was perhaps twenty-five was when I read them and enjoyed them.

As seen here, the not until adverbial clause appears only in it-clefts.

It is not difficult to find imperfect relationships among the three types of cleft. For example,

neither wh-clefts nor inverted wh-clefts allow the cleft clause part to be headed by that:

(70) a. It’s the writer [that gets you so involved].

b. *[That gets you so involved] is the writer.

c. *The writer is [that gets you so involved].

262 / ENGLISH SYNTAX: AN INTRODUCTION

In addition, the head of the cleft clause in the it-cleft can be a PP, but not in the wh-cleft or

inverted wh-cleft:

(71) a. And it was this matter [[on which] I consulted with the chairman of the Select Com-

mittee].

b. *[[On which] I consultedwith the chairmanof the Select Committee]was this matter.

c. *Thismatterwas [[onwhich] I consultedwith thechairmanof the SelectCommittee].

These facts suggest that the different types of cleft cannot be put in direct derivational rela-

tionships with each other. Though we cannot provide detailed analyses for them, we sketch out

possible directions here.

12.4.4 Lexically-BasedAnalyses

Wh-clefts: Let us first consider wh-clefts:

(72) a. [What I ate] is an apple.

b. [What we are using] is their teaching material.

Before getting to the specific syntactic structures there are two things to note here: the role of

the copula be and the cleft clause. The copula in the cleft construction has a ‘specificational’

use, not a ‘predicational’ one. In examples like (73a), the copula is predicational, whereas in

examples like (73b), the copula is specificational.

(73) a. The student who got A in the class was very happy.

b. The one who broke the window was Mr. Kim.

One main difference is that in the former the postcopular element denotes a property of the

subjectwhereas in the latter thepostcopularelementspecifies thesameindividualas thesubject.

In the wh-cleft too, the postcopular expression specifies the same individual as the subject.

As for the properties of the cleft part itself, we can observe that it behaves just like a free

relative clause. Not all wh-words can occur in free relatives:

(74) a. He got what he wanted.

b. He put the moneywhere Lee told him to put it.

c. The concert started when the bell rang.

(75) a. *Lee wants to meet who Kim hired.

b. *Lee boughtwhich car Kim wanted to sell to him.

c. *Lee solved the puzzle how Kim solved it.

In the examples in (74), what, where and when can head a free relative clause in the sense that

they are interpreted as ‘the thing that, the place where, and the time when’. However, this kind

of interpretation is not possible with who, which or how. As in free relatives, neither who nor

which can appear in wh-clefts, for example:

(76) a. *Who achieved the best result was Angela.

b. *Which book he read the book was that one.

SPECIAL CONSTRUCTIONS / 263

Also note that the syntactic distribution of a free relative clause is as an NP, not as a clause of

some kind. For example, the object of eat is a diagnostic environment:

(77) a. I ate [what John ate].

b. I ate [an apple].

Since the verb ate requires only an NP as its complement, the only possible structure is as

follows:

(78) S

��

SSS SSS

SSS S

NP VP

JJ JJ JJ JJ JJ J

SSS SSS

SSS S

I V NP[

GAP 〈〉 ]

-- -- -- -- -- -

SSS SSS

SSS S

ate 1 NP S[

GAP 〈 1 〉 ]

JJ JJ JJ JJ JJ J

SSS SSS

SSS S

what NP VP[

GAP 〈 1 〉 ]

John V[

GAP 〈 1 NP〉 ]

ate

Even though thefiller what and the headphrase John ate forma constituent, the result cannotbe

anSsinceatecancombinewithonlyanNP.Thiskindof freerelativestructure, ratherunusual in

the sense that thenon-headfiller what is the syntactichead, is formedby the followinggrammar

rule (Pullum 1991):4

(79) Free-Relative Phrase Rule:

NP[GAP 〈〉] → 1 NP[FREL i], S[GAP 〈 1 NP〉] 4The feature FRELis assigned to wh-words like what, where, and when, but not to how and why, to categorize which

can head free relatives and which cannot. See Kim (2001b).

264 / ENGLISH SYNTAX: AN INTRODUCTION

This rule ensures that when a free relative pronoun combines with a sentence missing one

phrase, the resulting expression is not an S but a complete NP.

On the assumption that the cleft clause in the wh-cleft is a free relative, we then can assign

the following structure to (72b):

(80) S

!!! !!!

NP[ FREL i

] !!!

!!! !!

""" """

OO OO OO OO OO

��

NP[FREL i] S/NP

��

V NP[FOC +]

��

what we are using is their teaching material

As shown here, the cleft clause is formed by the combination of what with an S missing an

NP. The index of the free relative is identified with that of the postcopular NP their teaching

material.

Taking wh-clefts as a type of free-relative clause construction headed by an NP, we can

understand the ungrammaticality of examples like the following:

(81) a. *[To whom I gave the cake] is John.

b. *[That brought the letter] is Bill.

The subjects here are not headed by NPs, and therefore cannot be free relatives.

InvertedWh-cleftsThe inverted wh-cleft is motivatedby a different informationstructure per- spective. In particular, the inverted cleft highlights the phrase in subject position:

(82) S

��

�

NPi

RRR RRR

RRR RR

SSS SSS

SSS SS

��

�

Their teaching material V NPi

��

.. ..

is NP S/NP

-- -- -- --

.. ..

what we are using

In these structures, the cleft clause has no FREL value to allow almost all wh-words to head the

relative clause:

SPECIAL CONSTRUCTIONS / 265

(83) a. This is how he did it.

b. This is why he came early.

In other words, while the subject position of a wh-cleft is restricted to NPs, the postcopular

complement position in the inverted cleft is not restricted – simply due to properties of the

copula be.

It-clefts: There are two different types of it-cleft. Compare the following:5

(84) a. Type A: It is [PP on Bill] [CP that [John relies [PP ]]].

b. Type B: It is [ NP Bill] [

S [ PP on whom] [John relies [

PP ]]].

In (84a), the cleft clause contains a gap matching the filler PP on Bill. If we treat that as a

relativizer, the PP gap cannot be discharged by that because of the category mismatch, for that

is an NP. However, in (84b) the cleft clause has two parts: one with a missing gap John relies

and the other with the wh-phrase on whom functioning as the filler. This second example is

similar to ones where the highlighted element is an adverbial:

(85) a. It was [then] [when we all went to bed].

b. It was [only gradually] [that I came to realize how stupid I was].

Asnoted in the literature, eventhoughacleft clause is similar in structure toa restrictive relative

clause, there are some differences. For example, consider the following:

(86) a. It is John that we are looking for.

b. *John that we are looking for showed up.

We can notice here that, unlike a cleft, a canonical restrictive relative clause does not allow a

pronoun to function as the antecedent of the relative clause.

Most wh-phrases can freely occur in the it-cleft, such as who, whose, or no wh-word if that

is present:

(87) a. It’s the second Monday [that] we get back from Easter.

b. It was the peasant girl [who] got it.

c. It was in 1997 [when] the INS introduced the alien registration receipt card.

d. It is Uncle John [whose address] I lost.

To capture these two different types and restrictions on the type of wh-phrases, we can assume

that the copula be in the it-cleft has its own lexical information:

(88) Copula be for Type A it-Cleft:⎡ ⎢⎢⎢⎢⎢⎢⎢⎣

〈be〉 SPR 〈NP[it]〉 COMPS

⟨ 2 YPi[FOCUS +], CP

[ GAP 〈 2 i〉

]⟩ TO-BIND |GAP 〈 2 i〉

⎤ ⎥⎥⎥⎥⎥⎥⎥⎦

5See Gazdar et al. (1985) recognizing two different it-cleft constructions.

266 / ENGLISH SYNTAX: AN INTRODUCTION

(89) Copula be for Type B it-Cleft:⎡ ⎢⎢⎢⎢⎢⎢⎣

〈be〉 SPR 〈NP[it]〉

COMPS

⟨ 2 YP[FOCUS +], S

⎡ ⎣MOD 〈 2 〉 GAP 〈〉

⎤ ⎦ ⟩

⎤ ⎥⎥⎥⎥⎥⎥⎦

In both constructions, the contrastive focus (marked with the feature FOCUS functions as the

most salient contextual information. In Type A, the second complement, functioning as the

background, is a CP with a GAP value. The lexical head be also binds off the GAP inside the

CP complement. Notice that the index of the GAP value is identical to that of the focus YP,

providinga strict semantic linkage between these two.

In contrast, in Type B, the second COMPS element is a saturated S which modifies the

focused element. Let us consider the structure that (88) licenses:

(90) S

��

QQQQQQ QQQQQQ

QQQQQQ QQ

NP VP[

GAP 〈〉 ]

ffffff ffffff

ffffff ff

#### ####

####

V⎡ ⎣COMPS 〈 2 , 3 〉 TB-GAP 〈 2 〉

⎤ ⎦

2 PPi[ FOCUS +

]

dd dd dd dd d

ee ee ee ee e

3 CP[ GAP 〈 2 PPi〉

]

��

is on Bill C S[

GAP 〈 2 PPi〉 ]

��

that John relies

This is a Type A cleft sentence: the copula be selects two complements: PP and CP. The cleft

clause CP has a PP gap whose GAP value is linked to the focus PP. This GAP value is lexically

discharged by the TO-BIND feature. Meanwhile, the lexical information in (89) will license

structures like the following:

SPECIAL CONSTRUCTIONS / 267

(91) S

��

QQQQQQ QQQQQQ

QQQQQQ QQ

NP VP[

GAP 〈〉 ]

&&&& &&&&

&&&&

QQQQQQ QQQQQQ

QQQQQQ QQ

It V[

COMPS 〈 2 , 3 〉 ] 2 NP[FOCUS +]

3 S⎡ ⎣GAP 〈〉 MOD 〈 2 〉

⎤ ⎦

��

is Tom 5 PP

jj jj jj jj

kk kk kk kk

S[ GAP 〈 5 〉

] KK KK KK

LL LL

on whom Bill relies

(92) S

��

QQQQQQ QQQQQQ

QQQQQQ QQ

NP VP[

GAP 〈〉 ]

ffffff ffffff

ffffff ff

QQQQQQ QQQQQQ

QQQQQQ QQ

It V[

COMPS 〈 2 , 3 〉 ] 2 AdvP[

FOCUS + ] 3 S[

MOD 〈 2 〉 ]

��

was then when we all went to bed

These two structures involve the Type B copula in the sense that the cleft clause contains no

GAP element and modifies the highlighted phrase.6

Our analysis explains why the following examples are unacceptable:

(93) a. *It is [Kim] [[on whom] [that Sandy relies ]].

b. *It is [Kim] [[on whom] [Sandy relies on ]].

c. *It is [Kim] [[whom] [Sandy relies ]].

The example (93a) is ruled out since the combination of on whom and that Sandy relies is not

a well-formed S, even though it could be a CP; (93b) is not allowed because of the mismatch

6The MOD feature here originates from the subordinator conjunction when.

268 / ENGLISH SYNTAX: AN INTRODUCTION

between the gap (NP) and the filler (PP); and (93c) is ruled out similarly. The fragment Sandy

relies requires a PP but the filler is an NP (whom).

Within the present system where the missing element in the cleft clause is taken to be a GAP

element, we also expect to see an unboundeddependency relation:

(94) a. It was the director that she wants to meet .

b. It was the director that she said she wants to meet .

c. It was the director that I think she said she wants to meet .

In addition, our analysis licenses examples like the following:

(95) a. I wonder who it was who saw you.

b. I wonder who it was you saw .

c. I wonder in which pocket it was that Kim had hidden the jewels.

Let us look at the structure of (95a), as our system generates it:

(96) VP

��

�

��

�

V S [ QUE +

]

��

�

��

�

wonder 2 NP i[QUE +]

TT TT TT T

UU UU UU U S

[ GAP 〈 2 NP i〉

]

��

�

��

�

who 1 NP VP [ GAP 〈 2 NP〉

]

��

�

��

it V

⎡ ⎢⎢⎢⎣ SPR 〈 1 〉 COMPS 〈 3 〉 GAP 〈 2 NP〉

⎤ ⎥⎥⎥⎦ 3 S

jj jj jj jj jj j

kk kk kk kk kk k

was who saw you

As shown here, the first COMPS value of the cleft copula be is realized as a GAP element. This

GAP value is passed up to the pointwhere it is dischargedby the wh-element who.This induces

an interrogativemeaning to the complement clause of the verb wonder.

Even though the present system allows the focus phrase (complement of the copula) to be

indirectly gapped, a GAP value originating in the cleft clause cannot pass up further:

(97) a. Who do you think it is that Mary met ?

SPECIAL CONSTRUCTIONS / 269

b. *To whom do you think it is the book that Mary gave ?

The ‘real’ gap in (97a) is the one immediately after be, which is indirectly connected through

the lexical information of be to the second one. Notice that in (88) the first GAP value (linked

to the book originating in the cleft clause is lexically terminated at the level sister to CP, by the

copula be. Notice that in the lexical entry (89), the cleft clause S does not contain any GAP.

Neither realizations of be can sanction an example like (97b).

270 / ENGLISH SYNTAX: AN INTRODUCTION

12.5 Exercises

1. Explain the relationship among the following sentences.

(i) a. It is difficult for me to concentrate on calculus.

b. For me to concentrate on calculus is difficult.

c. Calculus is difficult for me to concentrate on.

2. Draw structures for the following sentences and show which grammar rules are involved

in generating them.

(i) a. This problem will be difficult for the students to solve.

b. Being lovely to look at has its advantages.

c. This toy isn’t easy to try to hand to the baby.

d. That kind of person is hard to find anyone to look after.

e. Letters to Grandma are easy to help the children to write.

(ii) a. It was to Boston that they decided to take the patient.

b. It was with a great deal of regret that I vetoed your proposal.

c. It was Tom who spilled beer on this couch.

d. It is Martha whose work critics will praise.

e. It was John on whom the sheriff placed the blame.

f. I wondered who it was you saw.

g. I was wondering in which pocket it was that Kim had hidden the jewels.

3. Explain why the following examples are ungrammatical, referring to the analysis pre-

sented in this chapter.

(i) a. *It is Kim on whom that Sandy relies.

b. *It is Kim on whom Sandy relies on.

c. *It is Kim whom Sandy relies.

d. *It is on Kim on whom Sandy relies.

Further, consider the following examples in (ii) and (iii), draw structures for them and

show which grammar rules and principles are involved in their generation.

(ii) a. I wonder who it was who saw you.

b. I wonder who it was you saw.

c. I wonder in which pocket it was that Kim had hidden the jewels.

(iii) a. Was it for this that we suffered and toiled?

b. Who was it who interviewed you?

4. Analyze the following raising examples and show clearly how the cleft and raising con-

structions interact.

(i) a. I believe it to be her father who was primarily responsible.

b. I believe it to be the switch that is defective.

5. Consider the following set of examples, all of which contain the expression what Mary

offered to him. Explainwhether the phrase functionsas an indirect question or an NP and

SPECIAL CONSTRUCTIONS / 271

support your explanationsby drawing the syntactic structures:

(i) a. Tom ate [what Mary offered to him].

b. I wonder [what Mary offered to him].

c. [What Mary offered to him] is unclear.

6. Read the following passage and then provide the correct form of the underlined expres-

sions together with their lexical entries:

(i) The misfortunes of human beings may divide into two classes: First, those

inflicted by the non-human environment and, second, those inflicted by other

people. As mankind have progressed in knowledge and technique, the second

classhasbecomeacontinually increasingpercentageof the total. Inold times,

famine, for example, was due to natural causes, and although people did their

best to combat it, large numbers of them died of starvation. At the present

moment large parts of the world be faced with the threat of famine, but al-

thoughnatural causes have contribute to the situation, the principal causes are

human. For six years the civilized nations of the world devoted all their best

energies to killing each other, and they find it difficult suddenly to switch over

to keeping each other alive. Having destroyed harvests, dismantled agricul-

tural machinery, and disorganizedshipping, they find it no easy matter relieve

the shortage of crops in one place by means of a superabundance in another,

aswouldeasilybedoneif theeconomicsystemwere innormalworkingorder.

As this illustration shows, it be now man that is man’s worst enemy. Nature,

it is true, still see to it that we are mortal, but with the progress in medicine

it will become more and more common for people to live until they have had

their fill of life.7

7From ‘Ideas that Have harmed Mankind’ by Bertrand Russell.

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Index

nominal, 89, 90, 204, 254, 255, 257

verbal, 89, 254

acceptability grade, 242

accusative, 179, 181, 216, 232, 235, 245, 248

active, 129, 175, 176, 190

adjective, 3, 12, 13, 25, 43, 80, 91, 93, 100,

118, 248

attributive, 118

control, 125, 126, 142

predicative, 118, 255

raising, 126, 127

adjunct, 41, 43, 54, 194, 217, 241, 257

Adjunct Clause Constraint (ACC), 241

adverb, 12, 24–26, 41, 42, 150, 161, 162, 171

adverbial, 41, 217, 219, 261, 265

adverbial amelioration effect, 207

Affix Hopping Rule, 152

agent, 36, 37, 44–46, 65, 139, 141, 177

AGR (agreement), 65, 101–106

agreement, 18, 31, 37, 100, 158

index, 105

mismatch, 107

morphosyntactic, 105, 109

noun-determiner, 101

pronoun-antecedent, 103

subject-verb, 7, 43, 56, 103, 108

ambiguity, 19, 33

structural, 8, 18

anomalous, 66

semantically, 27

antecedent, 100, 103, 107, 122, 231, 265

ARG-ST (argument-structure), 65–67, 73, 90,

146

Argument Realization Constraint (ARC), 66,

67, 198, 200, 205, 218

arguments, 62, 65, 66

article, 5, 14, 58, 116

atomic, 62

attribute, 62–64, 77

attribute-value matrix (AVM), 62

autonomous, 18

auxiliary verb, 15, 16, 24, 28, 37, 177, 185,

193, 205

Baker, C.L., 4

Bare Head-Rel Modifier Rule, 236

benefactive, 39, 44

Bresnan, Joan, 186, 195

British English, 157

Case Filter, 247

Case Theory, 179

Chomsky, Noam, 1, 3, 36, 151, 152, 178, 186,

195, 215, 217, 247, 260

clausal

complement, 15, 93, 95, 209, 253

subject, 90, 241

clause, 11

complement, 85

embedded, 201, 208, 218, 228, 230

finite, 15

infinitival, 15, 16, 91, 125, 236

infinitval, 87

285

286 / ENGLISH SYNTAX: AN INTRODUCTION

subordinate, 11, 14, 219, 261

cleft, 19, 245, 246, 258

it-cleft, 258, 259

wh-cleft, 258, 259

inverted wh-cleft, 258, 260

coindex, 132, 134, 139

combinatory

possibilities, 1

properties, 49

requirement, 49

rules, 2

common noun, 82

competence, 2, 3

complement, 15, 41, 50–52, 54, 55, 59

clausal, 15, 84

infinitival, 127

oblique, 40, 44, 50, 51, 194

predicative, 39, 40, 50, 51

VP, 16

complementation pattern, 56, 70

complementizer, 14, 15, 30, 85, 87, 88, 254

Complex Noun Phrase Constraint (CNPC), 240

complex NP, 240, 242

COMPS (complements), 41, 66, 67

conjunction, 14, 21

coordinating, 14

subordinate, 267

subordinating, 14

constituency, 31

constituent, 11, 18–22, 25, 35, 49, 88, 177, 252

constituent question, 20

constituenthood, 32, 179

context dependent, 105

context free grammar, 26

contraction, 149, 150, 159, 167

contrastive focus, 266

convention, 1

Coordinate Structure Constraint (CSC), 240,

241

coordination, 21, 88, 152, 198, 213

Coordination Rule, 30, 202, 203, 232, 241

copula, 82, 155, 156, 258, 261

core clause, 245

COUNT, 115

COUNT (countable), 114

count nouns, 4, 6, 7, 98

creativity, 2

declarative, 77, 79, 193

deep structure, 125, 126, 130

DEF (definite), 112

definite, 111, 116

definiteness, 117

demonstrative, 14, 58

dependency

strong, 245

weak, 245

descriptive rules, 4

determiner, 14, 57, 73, 97, 98, 100, 101, 105,

108, 110, 115

Determiner Phrase (DP), 99

direct object, 50

directive, 193

discharge, 197, 199, 201

discourse, 175, 238

distributional criteria, 13

distributional crtierion, 12

Do-so Replacement Condition, 53

do-so test, 53

Do-support, 152

Dowty, David, 44

DP (Determiner Phrase), 58, 59, 237

Emonds, Joseph, 254

empty element, 197, 206

empty operator, 247

endocentricity, 55, 57, 61

English Declarative Sentence Rule, 51, 77

exclamative, 165, 193

experiencer, 44, 46, 141, 142

expletive, 83, 126, 129, 143, 159, 247, 259

external syntax, 49

EXTRA, 255, 256, 258

extraction, 205

extraposition, 245, 246, 253, 260

Extraposition Lexical Rule, 255

feature, 61, 62

INDEX / 287

name, 63

specification, 24

structure, 62–64

system, 61

unification, 64

feature percolation, 195

femine, 103

filler, 194–197, 202, 223

filler-gap, 242

Fillmore, Charles, 165

finite, 2, 15, 23, 62, 74, 76–78, 90, 153, 162,

163, 170

VP, 51

finite set, 2

Flickinger, Dan, 168

floated quantifier, 150, 155

form, 12, 193

fragment, 20, 24

free relative, 262

FREL, 263

function, 12, 193

GAP, 198, 200, 231, 236, 240, 269

gap, 194–196

gapping, 149

Gazdar, Gerald, 78, 265

GEN (gender), 103

generate, 3

generative grammar, 3

generative linguistics, 1

generative syntax, 149

generativity, 27

gerundive, 50, 78, 253

goal, 39, 44, 69

Godard, Daniel, 187

grammatical category, 12

grammatical competence, 3

grammatical function, 35, 42, 49, 175, 176, 178

head, 7, 15, 50, 51

head feature, 73, 74, 78

Head Feature Principle (HFP), 74–76, 79, 82,

233

Head-Complement Rule, 59, 73, 74, 76, 80, 82,

184, 189

Head-Extra Rule, 256, 257

Head-Filler Rule, 75, 199, 201, 206, 211, 217

Head-Light Rule, 188, 189

Head-Modifier Rule, 59, 60, 73, 74

Head-Only Rule, 215, 233

Head-Rel Modifier Rule, 227, 230

Head-Specifier Rule, 59, 61, 73, 74, 76, 92,

101, 183

headedness, 50, 55, 61

heavy element, 187

hierarchical structure, 29, 59

HPSG, 62

Huddleston, Rodney, 47, 238

hypothesis, 4, 6

imperative, 159, 165, 193

IND (index), 105

indirect question, 209, 213, 214, 216, 241

Indirect Wh-question Constraint (IWC), 241

infinite use, 1

infinitival

CP, 91

marker, 15, 82

S, 88

VFORM, 77

VP, 88, 125, 127, 128, 130, 134, 143, 214

wh-relative, 233

information

argument, 62

phonological, 62

semantic information, 62

syntactic, 62

instrument, 36, 45

interability, 52

intermediate category, 57, 59, 71, 195

internal syntax, 49

interrogative, 97, 185, 193

inverted sentence, 194

islands, 241

Jackendoff, Ray, 46, 254

Kim, J.-B., 89, 151, 152, 162, 187, 254, 258

288 / ENGLISH SYNTAX: AN INTRODUCTION

Kleene Star, 18

Kleene Star Operator, 18

Lambrecht, Knud, 1, 260

language specific, 59

Left-Branching Constraint (LBC), 241

Levin, Beth, 45

lexeme, 76

lexical category, 11, 17

lexical idiosyncrasy, 110, 180

lexicalist, 180

lexically discharge, 249

lexicon, 17, 46, 62

LFG, 62

LIGHT, 187

location, 41, 44

locative, 36

locative adjunct, 223

long-distance, 194, 199, 223, 239

long-distance dependency, 195

main verb, 149

manner, 41

masculine, 103

maximal phrase, 51

meaning criterion, 12

meaning preservation, 128, 142

memorize, 3

minimal phrase, 51

mismatch, 138

MOD, 225, 231, 267

modals, 88

modifier, 41, 51, 52, 54, 55, 61, 73, 118, 119,

223

postnominal, 226

morphological criteria, 13

morphological criterion, 12

movement, 195, 254

movement paradox, 195

multiple gap, 252

N-bar, 57–59

negation, 15, 149, 150, 159–161, 167

constituent, 161

sentential, 162

neuter, 103

NFORM, 83, 84, 254, 255

NICE properties, 150

nominative, 179

non-count nouns, 4

nonfinite, 76

nonhead daughter, 228

nonlocal dependency, 245

Nonlocal Inheritance Principle (NIP), 201, 202,

225, 229, 233, 250

nonlocal position, 198

nontransformational, 132, 142, 180

noun, 12

collective, 109

common, 97, 98

countable, 97

measure, 116

partitive, 110

pronoun, 97, 100

proper, 97, 100

uncountable, 97

NUM (number), 61, 101–106

Numberg, Geoffery, 105

object, 35

obligatory, 50, 52

ontological issue, 149

ordering restriction, 150

particle, 16, 20, 30, 31, 187, 188

partitive, 109, 115

parts of speech, 12

passive, 129

prepositional, 186

Passive Lexical Rule, 181, 185

passivization, 38, 129, 186

past, 12, 15, 76–78, 152, 156

past participle, 77

patient, 36, 44, 45, 139

PER (person), 103, 104, 107

performance, 3, 4

personal pronoun, 103

PFORM, 81, 96, 112, 117, 188

PHON (phonology), 65

INDEX / 289

phrasal category, 19

phrasal verb, 30

phrase, 11

Phrase Structure Rule (PS) Rule, 22

plural, 12

Pollard, Carl, 52

POS (part-of-speech), 61, 73, 104–106, 108,

115, 117

position

of adverb, 155

possessive, 14, 58, 98, 99

postcopular, 145, 146, 262

pragmatics, 180

PRD (predicate), 68, 118

pre-terminal, 17

predicate, 24, 35, 36, 40, 41, 57, 66, 70, 118,

127, 129, 246

predication, 260

predicational, 262

preposition, 8, 13, 20, 81, 94, 111, 112, 186,

188

prepositional object, 223

Prepositional Passive Rule, 188

prepositional verb, 30, 186, 188

prescriptive rules, 4

present, 77, 78

present participle, 77

principles, 1

PRO, 131, 214–216, 233

projection, 50, 55

promoted, 176

pronoun, 5, 21, 37, 83, 97, 111, 179

proper noun, 97

proposition, 140, 175

PS rules, 24, 27, 29, 30, 35, 55, 56, 59, 61, 151

Pullum, Geoffrey, 47, 238

quantificational, 110, 111

quantified NP, 238

quantifier, 14

QUE (question), 185, 211, 225

question, 193

raising properties, 177

Rappaport Hovav, 45

reanalysis, 186

reason, 41

recipient, 39

recursive application, 28

redundancy, 56, 57

reflexive, 100

REL, 224, 227

relative

pronoun, 223, 231

relative clause

bare, 229, 230, 234–236

infinitival, 224, 233

nonrestrictive, 236

reduced, 224

restrictive, 236

relativizer, 265

Rosenbaum, Peter, 253

rules, 1, 4

Sag, Ivan A., 3, 46, 52, 55, 62, 78, 89, 162, 226,

254, 258

SAI Rule, 165, 193, 201

salient contextual information, 266

salient discourse information, 261

Saussure, Ferdinand de, 1

selectional restriction, 128, 177

SEM (semantics), 65, 105

semantic constancy, 53

semantic criteria, 12

semantic restriction, 53

semantic role, 36, 126, 139, 178, 246

semantics, 177, 180

sentence, 11

sentential negation, 150

Sentential Subject Constraint (SSC), 241

situation, 175

slash, 196

sounds and meanings, 1

source, 44

specificational, 262

specifier (SPR), 57

speech acts, 193

290 / ENGLISH SYNTAX: AN INTRODUCTION

SPR (specifier), 57, 66, 67, 69, 70, 73, 76, 79,

83, 84, 99, 101, 107, 117, 134

stand-alone test, 20

statement, 193

structural

change, 178

description, 178

difference, 54, 237

position, 14

structure sharing, 63, 104

subcategorization, 56, 68, 127, 128, 139, 157,

176, 211, 248

subject, 7, 35

embedded, 130

subject-auxiliary inversion, 37, 38, 150

subjecthood tests, 37

substitution, 21, 60

subsumption, 64

sucategorization, 134

surface structure, 130, 132, 253

SYN (syntax), 65, 75, 107, 138, 140

syntactic

category, 35, 49

syntactic function, 12

syntactic knowledge, 8

tag question, 37, 150, 164, 167

temporal adjunct, 223

Tense, 152

tense, 13, 15, 23, 76, 77, 151, 153, 179

ternary structure, 186

theme, 44–46, 65, 69, 141

TO-BIND, 249, 250

topicalization, 1

tough, 245

trace, 197, 248, 253

transformation, 130, 151, 165, 178–180, 253

transformational, 125, 179

unbounded, 194, 199

underlying structure, 254

underspecification, 88, 102

ungrammatical, 2

unification, 64, 65, 197

unify, 197

universal, 59

VAL (valence), 66, 67, 128

Valence Principle (VALP), 76, 183, 233

verb, 12

complex transitive, 69

diransitive, 40

ditransitive, 56, 69

equi, 125

intransitive, 45, 56, 67, 246

linking, 68, 70

transitive, 56, 68, 90, 179–181, 186

VFORM, 51, 65, 74, 76–80, 188

finite, 51

infinitival, 43, 127

nonfinite, 160, 161

VP ellipsis, 16, 149, 150, 159, 160, 162, 163,

169

VP Ellipsis Rule, 169

well-formed, 3

wh-question, 20, 204, 205, 224, 234, 240

wh-relative pronoun, 229

word, 11

word order, 1

X′ rules, 55, 61, 73

X′ theory, 59

yes-no question, 193

This new textbook, focusingon the descriptive facts of English,providesa systematic introduc-

tion to English syntax for the studentswith nopriorknowledgeofEnglishgrammaror syntactic

analysis. The textbook aims to help students to appreciate the various sentence patterns avail-

able in English, understand insights into core data of English syntax, develop analytic abilities

to furtherexplore thepatternsof English,and learnprecise waysof formalizingsyntactic analy-

sis for a variety of English data and major English constructions such as agreement, raising and

control, the auxiliary system, passives, wh-questions, relative clauses, extraposition, and clefts.

Jong-BokKim is Associate Professor of Schoolof Englishat KyungHee University,Seoul, Korea. Peter Sells is Professor of Linguistics at Stanford University.

291