Ionela NEAGU

BASIC CONCEPTS

The Syntax of the Simple Sentence

EDITURA UNIVERSITII PETROL-GAZE DIN PLOIETI 2009

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Copyright 2009 All rights on the present edition are reserved to the publishing house

Control tiinific: Prof. dr. Mihai Mircea Zdrenghea Prof. dr. Domnita Tomescu Redactor:

Tehnoredactare computerizat: Lector dr. Ionela Neagu Director editur: Prof. dr. ing. erban Vasilescu

Adresa: Editura Universitii Petrol-Gaze din Ploieti Bd. Bucureti 39, cod 100680 Ploieti, Romnia Tel. 0244-573171, Fax. 0244-575847

Descrierea CIP a Bibliotecii Naionale a Romniei

NEAGU, IONELA English Syntax. Basic Concepts / Ionela Neagu. - Ploieti: Editura Universitii Petrol-Gaze din Ploieti, 2009 Bibliogr. ISBN

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This book has grown out of the need to update the linguistic information that students in Philology or Foreign Languages must be provided during the lectures on English Syntax. I have taken into account the latest trends in this field, but I have tried to introduce them gradually, always contrasting new approaches to traditional ones. That is

why learners will find issues related to Structuralist, Generative but also Minimalist Grammar; or concepts that belong to Cognitivism and Functionalism. Theoretical

problems are thoroughly explained and exemplified all the time, followed by useful activities that offer food for thought to the students.

I have also considered the demands that students will face during the Master Studies or even Doctoral Schools and I hope I have managed to design an accessible course, covering a wide range of key concepts and approaches in order to lay the foundation for

further specialised training.

The first volume focuses on the Syntax of the Simple Sentence and it will soon be accompanied by a second volume dealing with the Syntax of the Complex Sentence and a Workbook that will challenge students to in-depth study and discussion. I am aware this is not an exhaustive study, but I hope you will find it an invaluable learning resource.

The author

Petroleum and Gas University of Ploiesti Foreign Languages Department

ionela.neagu06@yahoo.com

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Chapter 1 Approaches to Syntax: past and present 7 Classical Analytical Structuralism 7

From GTG to Universal Grammar 10

The Minimalist Program 17

Chapter 2 Syntactic Categories, Functional Categories and Clause Constituents 19 Heads, Complements and Modifiers 19 Phrase Types and Phrase Markers 24

Noun Phrase 24

Adjectival Phrase 38 Prepositional Phrase 40

Adverb Phrase 43 Verb Phrase 47

Inflection a prototypical functional category 50 Constituency tests 54

Chapter 3 Case Grammar and Argument Structure 57 Syntactic Form. Grammatical Functions. Semantic Roles 57 Constructions 66 Ditransitive constructions 67 Caused-Motion constructions 68 Resultative constructions 69 The Way construction 70

The Impact of -Theory on Government and Movement 72

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Chapter 4 Predication 75 Inside the Verb Group 75 Tense 76 Aspect 78 Modal Verbs 80

Passive Voice 83 Activo-passive constructions 85 Passive-like causative GET and HAVE 87

Negation and polarity items 89 Predication Types 95 Copulative Predication 95 Non-copulative Intransitive Predication 98 Transitive Predication 101

Chapter 5 Transformations and Universal Principles within the Simple Sentence 109 V-Movement 110

I-Movement and Yes/No Questions 113 Wh-Movement and Wh-Questions 115 NP-Movement 119

Sample Tests 128 Bibliography 137

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Theoretical ideas in this field are changing rapidly under the impact of new

empirical evidence. Concepts and principles regarded in this book as

fundamental have already been challenged and eliminated or substantially revised by now.

Structuralist analysis divides the parts of speech into: form class words (Nouns, Pronouns, Verbs, Adjectives, Adverbs) and function words (Determiners, Conjunctions). The central assumption underpinning syntactic analysis in traditional grammar is that phrases and sentences are built up of a series of

constituents (i.e. syntactic units), each of which belongs to a specific grammatical category and serves a specific grammatical function.

Activity. Are phrases and constituents similar concepts? Identify the phrases

and then the constituents in the following sentence: The little boy crossed the street in a hurry.

Are all phrases in a sentence also constituents? Are all constituents in a sentence

phrases?

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Structuralists made use of three main methods in order to analyse complex grammatical structures, namely: 1. Phrase analysis; 2. Immediate constituent analysis; 3. Sentence formulas.

The syntactic level is concerned with the description of the units Phrase and

Sentence as groups of constituents round a head and with the internal phrase structure of Noun Phrases (NP), Verb Phrases (VP), Prepositional Phrases (PP), Adjectival Phrases (AP), Adverbial Phrases (AvP). Phrases can be subdivided until the ultimate constituents are identified:

(1) The book / is on the floor / is / on the floor / The / book / is / on / the / floor /

Further more, one can proceed to the morphological analysis of each form word to separate inflectional or derivational morphemes from the root (stem or base). The morphological and distributional criteria bring reliable evidence as to the

syntactic category to which a word belongs. Syntactic functions are discharged by phrasal units generally referred to as sentence constituents: Subject, Predicate, Complement, Object, Adverbial/Adjunct.

Classical Analytical Structuralism used to consider the Sentence (S) as a hierarchical string of units, a binary construction dominating the NP and the VP.

Each part of a simple sentence can be expanded so that more complex sentence patterns are produced.

Here is an example of a sentence represented in a tree diagram or phrase marker:

(2) Sally showed the children the pictures.

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S

NP VP

Vgp NP NP

N AUX V DET N DET N

Tense

Sally (-ed) show the children the pictures

The Verb Phrase is the core of the structure realizing the function of predication. The immediate constituents within the Verb Group must follow the logical order:

Tense, Mood and Modality, Aspect, Voice.

Activity. Identify the structure of the phrases in the following sentences and draw tree diagrams:

1. My neighbours bought a car yesterday. 2. Mum has broken a plate.

3. The lion followed the path.

4. This smells wonderful.

5. The children are singing carols. 6. Your cousin must have missed the train.

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In contrast to the taxonomic approach adopted in traditional grammar, Chomsky takes a cognitive approach to the study of grammar. For Chomsky, the goal of

the linguist is to determine the underlying knowledge of native speakers about

their mother tongues which enables them to speak and understand the language

fluently.

The Standard Generative Transformational Model (GT) postulates two levels of syntactic structure: Deep Structure and Surface Structure. The sentence has been supplied a complete representation in terms of an underlying/basic Deep

Structure converted by Transformational rules into a linearized Surface Structure, ready to be performed phonologically. Transformations such as deletion, insertion or movement are meaning-preserving structural operations. They are

relations between intermediate descriptions of sentences. They rearrange

constituents in basic strings and derive a synonymous surface string (e.g. Passivization the active string is analysed as the deep structure; the passive string represents the surface structure.)

Activity. Identify the operations that take place while turning the following

active strings into passive:

1. The children have eaten the cake. 2. Someone broke into our house yesterday.

Moreover, the Generative Transformational Grammar (GTG) describes the definite set of rules by means of which an infinite number of grammatical

sentences are generated and possibly transformed (as explained above).

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Further refinement of this approach took place once Chomsky launched in 1981 the Government and Binding (GB) Model. The Government and Binding Model assumes that grammar at large is common to all languages, making up a

Universal Grammar. The Universal Grammar represents the theory of the initial state of the language faculty which, in Chomskyan tradition, seems to be

genetically determined and which undergoes multiple changes in a continuous process of creative generation of structural descriptions, in order to reach the

current state, namely the grammar we use today, our I-language. Or to put it

better, our I-language (where I=1, i.e. only one language) as this language is internal - representing human endowment, it is individual representing a

persons mind and it is also intensional covering all properties and relations that help the speaker mould his thoughts.

The language model of GB looks as follows:

(3) D-structure

Movement/ move-

S-structure

Phonetic Form (PF) Logical Form (LF)/ Semantic component

The transformational subcomponent of GTG is reduced to the move- rule

(where is the constituent that moves). Other rules like deletion, for instance, operate at the level of the Phonological Component. Move- is considered a

simple rule by which any item can move anywhere, since GB assumes the existence of a system of constraints which will allow this movement to produce correctly, imposing certain restrictions on the process.

Within GTG, the binary constituent structure of the sentence (S) used to be considered an exocentric construction, i.e. a phrase without a head or centre,

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being based on mutual dependency relations between the Subject NP and the Predicate VP.

The GB frame has replaced the concept of Sentence as a result of the headedness principle, according to which all phrases are headed. Lexical categories such as nouns, verbs, adjectives or prepositions are the heads of the phrases they represent. A head opts for certain lexical categories to combine with in order to

form a phrase depending on the properties of that head. The lexical category

selected by a head is called complement.

Specifiers precede the head and they are not subcategorized for. For instance, the synthetic genitive, the determiners that precede a head noun or degree words that

precede an adjective head fall into the category of specifiers. GB tries to capture the similarities between different categories of lexical phrases

by assigning the same structure to them. The X-bar Theory is based on two rules that cover all lexical categories:

(4) XP Specifier X X X Complements

Basic X-bar (X) Structure XP (X) maximal projection

Specifier X intermediate projection

X - head complement(s)

The relationships between the constituents can be understood in more familiar terms, such as: the maximal projection is the mother of the two nodes below it; the Specifier and the X nodes are its daughters and they are sisters to each other;

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the intermediate X projection is mother to the two nodes below it which thus become its daughters. The X-bar Theory can be extended to sentences and clauses in which case the

Subject NP is said to occupy the specifier position, while the sentence becomes an Inflection Phrase whose head I covers the tense and agreement features and

the subordinate clause is a Complementizer Phrase having the Complementizer as its head. The complementizer subcategorises for its complement which can

take the form of a finite or non-finite Inflection Phrase. For example,

complementizers that or whether subcategorise for a finite complement, while for requires a nonfinite complement.

The Sentence comes to be described as an endocentric Inflection Phrase (IP), having as head the functional category of Inflection (I). Inflection, the head of the sentence, is a verbal functional category. It represents a bundle of verbal and

nominal features: tense, agreement and mood features. Inflection (I) is considered the head of the sentence because it governs the VP and it agrees with the Subject Deep Phrase.

(5) She decorated the room. IP maximal projection (I)

NP I

N I VP (V)

N T Agr V

She -ed [+sg] V NP

decorated DET N

the N

room

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In 1928, Hjelmslev stated that the head and its dependent term can be bound either by agreement (concord) or by government, as follows:

if they are bound by agreement, like in those pictures, the dependent term

those shows its relation of dependence on the head-noun pictures by obvious agreement in number which is an inherent category of the head-

noun.

if they are bound by government, as in tell me, the dependent NP me is marked for the Dative case to show its dependence on the verb, but the

category of case is not inherent in the head, as case is not a verbal

category.

Black (1999: 38) provides a simpler definition of government: A head (N, V, A, P, I[+fin], C[for]) GOVERNS its NP specifier and its NP complement and the NP specifier of an IP[-fin] complement.

Activity. True or False 1. Specifiers are never subcategorized for.

2. Heads subcategorise either for a complement or for the head of a complement.

Activity. Provide examples to account for the following Case assignment rules as rephrased by Black (1999: 38) in terms of government: a. I[+fin] assigns nominative case to the NP specifier that it governs. b. N assigns genitive case to the NP specifier that it governs. c. V, P, C[for] assign accusative case to the NP that they govern.

The relation between two nodes part of the same constituent (as in decorated the room) is called constituent-command / c-command, defined after Reinhart (1976) as follows:

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(6) c-command c-commands iff, a) does not dominate and b) the first branching node dominating dominates . Later on linguists redefined this relation (sometimes even labeling it M-command) as reproduced below, noticing for instance that the Subject NP c-commands any NP in the VP due to the first maximal node above it, which is the sentence node.

(7) c-commands iff, every maximal projection dominating dominates .

An informal definition can be the following:

(8) Any constituent c-commands both its sister constituent and all the other constituents dominated by the sister.

The c-command relation has proved its importance when understanding anaphors

(reflexives and reciprocals) and (negative/ interrogative) polarity items. Further details will be provided in the following chapters.

Consider the example below and pay attention also to another way of drawing the

tree diagram:

(9) Mary called her mother.

IP

NP I

Mary I[+finite] VP

V

V NP

called her mother

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In the example above, we wonder whether the NP Mary c-commands the NP her mother. The first requirement is fulfilled as NP Mary does not dominate NP her mother because they belong to different branches. The first branching node

dominating NP Mary is IP which also dominates NP her mother, which proves

that NP Mary c-commands NP her mother. Another line of argument is that the

NP Mary c-commands its sister node I and all the other constituents dominated by it.

The c-command relation is reciprocal in that it functions both ways between sister nodes. For instance, we can say that the head V called and its sister Complement her mother c-command each other.

Activity. Create your own examples according to the diagram below and identify all c-command relations:

IP

NP I

Spec N I VP

N Compl Spec V

V Compl

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The shift from GB to the Minimalist Program (MP) is motivated by the same tension between descriptive and explanatory adequacy which has always

motivated the reshaping of generative grammar.

Any theory of language must include a lexicon which informs the speaker about

all phonological, syntactic and semantic properties of certain lexical items. The I-language is structured or generated by means of the lexicon and a computational system. The operations of the computational system help ensure the accurate

form of all structural descriptions (SDs) that the speaker will possibly perform.

Activity. Account for the relationship between the following concepts: competence performance

finite means infinite use

X-bar Theory proved the phrase structure rules to be superfluous. Thus, they

were eliminated so that UG should be feasible. Within the Principles and Parameters Approach, transformational rules become universal principles that

can be applied on any expression. Language variation is determined by the interaction of these principles with one another. That is why, for instance,

Chomsky considers command and government as fundamental concepts that apply throughout the modules of language (Binding theory, -Theory, Case theory, etc.). Principles are language-invariant, whereas language-particular features are the result of specific values ascribed to certain parameters.

The notion of construction, in the traditional sense, effectively disappears; it is perhaps useful for descriptive taxonomy but has no theoretical status. Thus, there are no such

constructions as Verb Phrase, or interrogative and relative clause, or passive and raising

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constructions. Rather, there are just general principles that interact to form these descriptive artifacts. (Chomsky, 1995: 26)

The principle of endocentricity is still present as an operation called Merge

applies to two root nodes of two syntactic objects to form a new object, labeled according to the head-component which projects. Bare Phrase Structure makes no distinction between different bar-levels as they are invisible at the interface

and for computation. (10)

name NP

or just: his name his name

The new trees are considered by Chomsky as set-theoretic entities, as the Merge

operation always applies to two lexical items, and , to produce the set {, }, i.e. a single element with a more complex structure.

However, the Minimalist approach evinces several other similarities and

differences with respect to X-Theory which require further in-depth study.

Activity. True or False 1. An endocentric construction is a phrase with a head.

2. The Bare Phrase Structure distinguishes between a specifier and a

complement.

3. Transformational rules change the meaning of the basic Deep Structure.

4. Within his UG approach, Chomsky claims that the child is biologically endowed with an innate language faculty that helps him acquire any natural language as his native language.

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Clause constituents are mainly referred to in terms of syntactic categories (NP, AP, VP, PP, AdvP) and grammatical functions (subject, complement, modifier or traditional syntactic functions: subject, predicate, direct/indirect object, subject/object complement, adverbials). We will observe 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. Internal syntax deals with the inner structure of the phrase, whereas external syntax focuses on the use of a

phrase in a larger construction.

In Aspects of the Theory of Syntax (1965), Chomsky suggested that lexical categories should no longer be treated as atomic symbols, but as complex symbols structured into sets of syntactic and semantic features by means of

subcategorisation rules. Strict subcategorisation rules provide the local distributional context where the respective lexical category can occur due to

particular syntactic features, whereas selectional rules analyse the inherent or contextual semantic features of that lexical constituent.

Minimal syntagms teach learners how to use a word correctly as they represent

the items subcategorisation frame. Notice the organisation of such a frame for

the verb to reach.

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(1) reach [+ V] categorial feature [+ __NP] strict subcategorisation feature [+ (achievement)] inherent semantic feature [+ ] contextual semantic features

The categorial feature specifies the syntactic category the lexical constituent

belongs to, in our case [+ V]. The strict subcategorisation feature identifies the syntactic category of the obligatory component that the verb reach must select

in order to form a correct phrase. Thus the verb reach must always be followed by an NP. Notice that within the strict subcategorisation frame, the syntactic

category of the constituent that can fill in the subject position is never mentioned. The last two types of features represent the selectional restrictions of the lexical

item under study. Hence, the verb reach is an achievement verb (according to Vendlers classification) representing the final act of an Animate subject NP moving towards a destination. The contextual semantic features clearly resemble

and anticipate the theta grid of the verb reach that can be designed according to

the theory of semantic/thematic roles discussed in another chapter:

reach:

Observe also the following examples: (2) a. *These songs [remind me].1

b. * These songs [remind of my childhood]. c. * These songs [remind me vaguely]. d. * These songs [remind me to spend my childhood]. e. These songs [remind me of my childhood].

1 A * before a word, phrase or sentence indicates deviance.

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The only acceptable sentence is (2e) because it is the only one which fulfills the condition that the verb to remind requires an NP and a PP as its complements due to its internal, lexical properties. Some of the unacceptable examples in (2) can become correct when used in the appropriate contexts:

(3) a. It is a wonderful period of my life of which these songs [remind me]. b. Here are some pictures from the childhood of which these songs [remind me vaguely].

External contexts can once again turn the well-formed VP in (2e) into unacceptable ones, as in the following examples:

(4) a. *Mother wanted [remind me of my childhood]. b. Mother wanted [to remind me of my childhood].

The sentence (4a) is unacceptable because the verb want must be followed by a long infinitive/ to-infinitive as in (4b), not by a short infinitive.

Within the phrase2, there is one obligatory element which defines it and

determines its projection into a larger phrasal constituent. In lexical terms, such an element can be a noun, verb, adjective or preposition; in structural terms, they are called heads. The phrase that a lexical category takes or selects is called a complement. As explained in the previous examples, the head verb remind must be accompanied by an NP and a PP which are its complements. Here are other

examples:

(5) remind V [ _ NP, PP[of] ] tell V [ _ NP, NP] depend V [ _ PP[on]] die V [ _ ]

2 The phrase sometimes includes other words/phrases which precede the head and which are not

subcategorized for. These are called specifiers and comprise determiners, indefinite pronouns, synthetic genitives and degree words.

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In addition to the complements of a head, a phrase may also contain modifiers (or also called adjuncts) which are not selected by the verb, but provide further information about the action denoted by the verb.

(6) a. read V [ _ NP] John is reading a book in the garden. b. cut V [ _ NP] The cook has cut the bread carefully.

In the above examples (6), as indicated by the subcategorisation frames, both verb heads read and cut require the use of an NP as complement, but they may also take other phrases in the garden and carefully as their modifiers, providing details about the place and the manner of the actions expressed.

A phrase including the head with all its complements is called a minimal phrase.

A phrase that includes both the head with its complements and the modifiers is

called a maximal phrase.

Here are some of the differences that help one identify the complements and the

modifiers in a phrase (adapted after Kim and Sells, 2007):

complements are obligatory items, whereas modifiers are optional: (7) give V [ _ NP, NP] You must give me the report (on Monday).

Modifiers of the same type of phrase can follow the verb head whereas

two complements of the same type cannot co-occur with the same verb head:

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(8) a. *Mary was writing a letter [to her aunt] [to her grandma]. b. Mary was writing a letter to her aunt [on Sunday] [at 8 oclock]. The examples in (8) prove that the two complements functioning as indirect objects in (8a) cannot co-occur with the same verb head, whereas the two modifiers functioning as adverbial phrases of time in (8b) can accompany the same verb head.

The minimal phrase (verb + its complements) can be replaced by do the same thing in order to avoid repetition in a complex sentence:

(9) a. The teacher drew a cat and the pupils did the same thing. b. The teacher drew a cat on the blackboard and the pupils did the same thing in their notebooks.

In (9b) one can notice the two optional modifiers that are different in the two clauses: on the blackboard and in their notebooks.

Complements follow the lexical head, whereas modifiers follow the complements. Moreover, modifiers can change their position within the

sentence, whereas complements cannot.

(10) The groom made the announcement before dinner. Before dinner the groom made the announcement. *The announcement made the groom before dinner.

*the groom made before dinner the announcement.

Modifiers can co-occur with a large range of heads, whereas complements are selected by certain heads:

(11) a. Diane wrote/ read/ received the letter yesterday afternoon. b. Diane told Michael the truth yesterday afternoon.

c. *Diane told the letter the truth yesterday afternoon.

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In (11a) the NP the letter functions as the complement of lexical heads such as wrote/ read/ received, but it cannot follow the verb to tell (11c) which requires only [+ ANIMATE] complements.

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The Structure of Noun Phrases a morpho-syntactic analysis

Generally speaking, a noun-phrase (abbreviated NP) is a phrase having a noun as head. For instance, in the example:

(12) Children are wonderful. we say that children is a NP functioning as the Subject of the sentence.

However, morphology teaches us that a noun can be preceded by a determiner,

such as an article. Compare now the following NPs:

(13) (a) children (b) the children

Taking into account that sentence (12) proved that the NP children may occur without the definite article the, we can state that any NP needs a head-noun and it can also be preceded by an optional determiner. In syntax, this statement can be expressed by the following phrase-structure rule:

(14) NP (Det) N

Remember that Determiners can be: predeterminers, central determiners and postdeterminers.

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The class of central determiners includes: the articles, the possessive and demonstrative pronouns and several indefinite pronouns. (15) (a) the book (b) my rights (c) no reason

Predeterminers precede the central determiner that qualifies a head noun: (16) (a) half the books (b) all my rights Postdeterminers follow the central determiner:

(17) (a) the other day (b) my first books (c) those three reasons

Except for the ordinal and cardinal numerals that may occur together functioning as postdeterminers as in (18 (a)), it seems that no other two determiners of the same type may co-occur in a NP:

(18) (a) the first two days (b) *my the dog (c) *all many chapters

Nevertheless a NP like all those beautiful antique red-and-white Japanese bedside lamps is correct. So adjectives do not belong to the class of Determiners. Adjectives, participles, inflective genitives, nouns, adverbs that are placed between a determiner and its head noun fall into the class of premodifiers. Furthermore, any unit (a word, a phrase or even a clause) immediately following the head noun is called a postmodifier.

The table below provides examples of NPs and their morphological structure:

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(19) DETERMINERS

PREDET CENTRAL POSTDET PREMODIFIERS HEAD NOUN POSTMODIFIERS

- a - - carpet - both these - - students - all the last fifty - pages to read

some of his first leather jackets - each of those - famous leaders who spoke yesterday none of your - mothers blouses -

- a whole - mile to the store - the - - flat next door - the - grocers (shop) - - - - Janets husband - - - - - court martial

Activity. Check your comprehension by adding further items into the empty slots. Account for your choice.

Syntactically, we can represent the structure of a sentence using the so-called tree diagrams or Phrase-markers as we have done the previous chapter. Phrase-markers are diagrams made up by connecting a set of nodes. The lines that connect the nodes are called branches. On a vertical axis, the nodes in a Phrase-marker are related by dominance. We say that one node N1 dominates another N2 if N1 is represented higher up the

tree than N2. On a horizontal axis, the nodes in a Phrase-marker are related by

precedence. We say that one node N1 precedes another N2 if N1 occurs to the left of N2.

Basically, these are the first principles that representatives of Transformational

Syntax found important as regards the representation of phrase-structures. New

principles have followed once they adopted other approaches to Syntax.

All nodes are labeled according to the dominance relation: from the S-node (the Sentence) which immediately dominates a NP and a VP that in turn dominate other phrases or only lexical categories (N, V, P, etc.) represented by the terminal nodes, namely the lexical items (the words) that make up the sentence.

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As this subchapter is restricted to the study of NPs, lets examine the structure of several simple and complex NPs and the way they can be represented.

(20) (a) a movie (b) each star

NP NP

Det N Det N

a movie each star

Notice that although the head-noun in 20(a) is preceded by a Central Determiner, whereas the head-noun in 20(b) is preceded by a Predeterminer, the tree diagram specifies the general label of the class: Determiner.

(21) an exquisite vase NP

Det N

AP N

Adj an exquisite vase

The Government and Binding approach focuses on the similarities between

different types of phrases trying to assign them the same structure. That is why,

as the diagram shows, a new node labeled N (N-bar) has been created to dominate two different lexical units: and adjective and a noun. According to the X-bar Theory, the head of the phrase is said to be preceded by a Specifier and followed by a Complement.

In (21), the Determiner is in Specifiers position. NP specifiers include Determiners and possessive NPs. In (22) below, plane is the head-noun and Michaels is the Specifier.

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(22) Michaels plane has landed. NP or: NP

Det N NP[+poss] N [+poss]

N[+poss] N

NP N N [+poss]

N

Michael s plane Michaels plane

Other complex NPs involve a head-noun preceded by Determiner, Adjectival Phrase and possessive phrase. In a NP like (23), identity is the head-noun, false is an adjunct, the young mans is the specifier. Paul Roberts (1968: 279) explains how such a structure can be derived by means of the Possessive Transformation (or T-poss) applied on an initial sentence (insert sentence) whose subject takes the possessive morpheme and replaces the definite article in a matrix clause. In our case, a NP like (23) is derived from the initial sentence: The young man had a false identity. This sentence can be inserted into a matrix sentence like: The false identity misled the authorities. By applying T-pass, the result sentence will be: The young mans false identity misled the authorities.

(23) the young mans false identity

NP

NP[+poss] N

Det N[+poss] AP N

AP N[+poss] A

A

A N[+poss] A

the young mans false identity

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The NP can also be postmodified by nouns, adjectives, prepositional phrases or even clauses. Whenever the head noun requires one of these we say that it selects its complements. We discuss here the case of prepositional phrases (PPs) as modifiers and complements of the head-noun, including both the PP in the Accusative (24) and the Analytical Genitive construction (the of-Genitive) (25).

In (24), the head-noun is books, the Determiner is the specifier and the NP that shelf is the complement of the preposition from. The whole PP from that shelf functions as modifier and not as noun complement fact which can be tested by

trying to insert other similar modifiers: the books from that shelf from the bookcase. (24) the books from that shelf NP

Det N

N PP

P

P NP

Det N

N

the books from that shelf

In a phrase like the books on contemporary linguistics the Prepositional Phrase on contemporary linguistics functions is the Complement of the head noun. We can say that they are sisters of the same node N as the Complement completes the meaning of the head noun. The difference between modifiers and

complements is that while modifiers add further information about the head

noun, its complements are necessary, they are selected by the noun.

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(25) the colours of the rainbow NP

Det N

N PP

P

P NP

Det N

N

the colours of the rainbow

In (25), colours is the head-noun, the Determiner is in specifiers position and the possessive prepositional phrase is a complement in the NP, the sister of the head

noun.

Binding Theory

Binding Theory specifies coreference relations between several NPs within a

sentence.

Generally speaking, students may remember the concept of reference as

associated to morphology and especially to the functions of the articles (see the table below). Remember for instance the anaphoric reference, i.e. backward reference of the article to an item previously mentioned, or the cataphoric

reference, i.e. forward reference of the article to the following detailed description of the item it introduces.

(26) DEFINITE ARTICLE INDEFINITE ARTICLE ZERO ARTICLE

A. DEFINITE SPECIFIC REFERENCE

1. Implicit/ situational reference

Eg.: Shut the window, will you? the Earth, the sun

A. INDEFINITE SPECIFIC

REFERENCE 1. Individualizing function Eg.: They have a son and a daughter.

A. IMPLICIT REFERENCE

Eg.: Mother; Father; Sunday/ Thursday; (The) Summer was ending. Measles is contagious. (Pojarul este contagios.)

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2. Anaphoric reference [ ]

Eg.: I ordered a book and the book has just arrived.

3. Explicit/ linguistic reference

Eg.: He is sitting at the first desk. She was wearing the new dress.

4. Cataphoric reference [ ]

Eg.: The road between the trees is narrow.

B. GENERIC REFERENCE

1. Classifying function Eg.: The horse is a useful animal. [all horses] the rich, the people, the French Can you play the piano?

C. OTHER USES

1. Deictic/ demonstrative function

(the = this, that) Eg.: I could not remember it at the time.

2. Distributive function (the = each) Eg.: This material sells at 80p the meter. His popularity increases by the day.

3. Idiomatic function Eg.: in the morning/afternoon; in the beginning; to throw the book at someone (= to punish); to be on the bus/plane.

B. GENERIC REFERENCE

1. Classifying function Eg.: He is a teacher.

C. OTHER USES

1. Epiphoric reference [ ]

Eg.: As I was passing down the street, a flowerpot came down with a crash.

2. Cataphoric reference

Eg.: a flowerpot from the 3rd floor

3. Distributive function Eg.: once a day; twice a month.

4. Numerical function (a = one)

Eg.: Ill come back in a day or two. They are of an age/ of a size.

5. Idiomatic function Eg.: in a hurry; as a reward; what a pity!; in a loud/ low voice; What a cold day! such a good day = so good a day

B. GENERIC REFERENCE 1. Classifying function Eg.: Potatoes are vegetables. Man is mortal.

C. OTHER USES

1. Epiphoric reference

Eg.: There were birds in the sky, flowers in the grass

2. Idiomatic function

Eg.: at noon; at night; arm in arm; hand in hand; by mistake; by chance; by heart; go to school/bed; have lunch; at home; by bus/ train; from top to toe; on foot; on board/deck.

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However, Chomsky introduces the term anaphor restricting it to cover reflexive and reciprocal pronouns. Whereas pronominals (personal pronouns, possessive pronouns) cannot be found in the same NP or in the same clause with their antecedent, anaphors have their antecedent in the same NP or minimal clause.

Binding Theory involves reflexive constructions, positing that reflexive pronouns corefer with their NP-antecedents which must be found within the same minimal

clause as the reflexive.

(27) Doris blamed herself for missing the exam. Doris thought that Jim would blame her/*herself for missing the exam. Jim told Doris that he blamed her/*herself for missing the exam. Doris thought of herself as guilty for missing the exam.

In a sentence like: They would often call them the pronoun them cannot be understood as referring to the same class of individuals as the subject they.

In binding terms, we can say that anaphors must be bound by antecedents

whereas pronominals must be free of their antecedents within their governing-

category (Chomsky) or local domain (Jacobs, 1995: 122).

Activity. Discuss the coreference relations in the following sentences: 1. Your parents teach you good things. 2. Your parents teach them good things. 3. Your parents teach yourself good things.

4. Your parents teach themselves good things.

5. Your parents want you to teach yourself good things. 6. Your parents want you to teach themselves good things.

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The Syntactic Functions of Noun Phrases and NP Substitutes

Subject Consider the following examples:

(28) (a) Money is useful. (b) Both families have met. (c) A strange noise was coming from the window.

Simple or complex NPs may function as the subject of a sentence. Notice that the subject is assigned to the whole noun-phrase (which includes possible specifiers and adjuncts), not only to the head-noun.

(29) (a) Nobody came late. (b) Others think you are wrong. (c) You can take either orange.

The examples above remind us of the process entitled NP-Proform Substitution

according to which a NP constituent can be replaced by a pronoun (see the Constituency tests). Another consequence of this principle is that in tree diagrams pronouns are represented under the NP-node. The following examples illustrate the Generic Subject expressed by pronouns which do not make reference to a certain individual but to a person in general:

(30) (a) You are nervous when you teach for the first time. (b) One should think more and speak less. (c) They say there will be a long autumn.

Generic Subjects may also be considered those NPs whose referents are sets or classes of individuals due to the classifying function of the determiners that

accompany the head-noun: (31) (a) The wolf is a dangerous animal. (b) A lion would eat a man when hungry. (c) Man is mortal.

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Expletive IT and THERE can function as Subjects. Expletive IT and THERE (from Latin: explere=to fill) are meaningless words used to fill a syntactic vacancy. They function as Dummy subjects (meaningless subjects). (32) (a) It is raining heavily.

(b) There are few pupils in the classroom. (c) It is true that his father is ill. (d) Its no use arguing with her. (e) It was Janet who first realized the difficulty of the situation.

On the one hand, expletive IT and THERE are inserted into the subject position whenever the subject is moved from its usual location (further details are included in the chapter on Transformations). Notice the examples (32) (b)-(e) where the Deep-Subject NP, i.e. the logical subject of the sentence is introduced by it or by there because it was moved after the verb. In such cases the Subject can be expressed by a NP (32b), a THAT-Nominal Clause (32c), a gerundial construction (32d) or it can occur in Cleft sentences (32e). These examples also illustrate the cataphoric function of the pronoun IT to introduce and anticipate

items of information that come later in the utterance. That is why some linguists

still name it Introductory IT making the difference between Anticipatory IT and Emphatic IT (as in (32e)).

Example (32a) is an instance of Impersonal Subject used with verbs expressing natural phenomena, time, distance, temperature: (33) (a) It is summer. (b) Its been a few years since we last went to the cinema. (c) It is 2 kilometers to the next petrol station.

35

Subject Complement The NP being assigned the role of Subject Complement or Predicative provides information about the Subject-entity. As shown in the examples below, the Predicative is part of a copulative predication. The Predicative is the complement

of a copula verb, such as: be, become, seem, pass and so on.

(34) (a) He is a man of honour. (b) They seem friends.

Object The role of Object is assigned to a complement of the verb. The NP can have the syntactic function of Direct Object or Indirect Object. Direct Objects (DO/Od) always occur with transitive verbs: (35) (a) The typist has just finished the report.

Barry J. Blake (1994: 134) considers that: The direct object has both semantic and discourse-pragmatic properties: (a) Its core function is to express the role of patient in a two-place construction.

(b) Where a non-patient is expressed as direct object the activity is presented from the point of view of its effect on the direct object. (c) The direct object holds a position on the givenness hierarchy intermediate between the subject and the peripheral relations.

A semantic approach to Direct Objects (Domnica erban, 1982:270) distinguishes:

Affected object if the entity denoted by the DO is affected by the process expressed by the verb:

(36) (a) The wind has broken the window. (b) Mother has sliced the bread carefully. (c) He slapped her.

36

(d) Grandmother chopped the onion. (e) She tore up all the letters.

Effected object if the entity denoted by the DO represents the result or the goal of the action:

(37) (a) They have built new houses. (b) Sonia wrote a long letter yesterday. (c) We issue a monthly newsletter. (d) Our team carved a beautiful statue. (e) I knitted this sweater myself.

Cognate object if the entity denoted by the DO represents the obvious result of an action expressed by an accomplishment verb:

(38) (a) The children will sing a song now. (b) They have fought the fight of their life. (c) Mary would always dream the same dream. (d) He could smell a terrible smell. (e) She smiled a wry smile.

Direct Objects are accompanied by Indirect Objects after ditransitive verbs in Dative constructions:

(39) (a) The girl told a secret to her mother. (b) The hostess has brought her guests some drinks. (c) The postman left a parcel for my son.

Understood as the transfer of an entity from its owner to a different possessor, the

Dative Construction requires an Agent in the Subject position, a ditransitive verb, a Direct Object to encode the affected/transferred entity and an Indirect Object to encode the final destination or the individual who benefits from the transfer.

37

As shown in the examples above, the Indirect Object is preceded by preposition to/for when it is placed after the Direct Object. If the Indirect Object directly follows the main verb, thereby exchanging places with the direct object, the prepositions are deleted unless the verb requires an obligatory dative preposition.

In such cases, the Direct Object is expressed by a longer NP or even a clause:

(40) (a) The shop assistant showed us two pairs. (b) The traveler said to his friend that he was tired. (c) The teacher explained to her students how to analyse the sentence.

The prepositional Indirect Object can also follow intransitive verbs in complex intransitive predications (see further details in Chapter 4):

(41) (a) The musician bowed low to the audience. (b) He apologized to his parents. (c) A great idea occurred to her one day.

Object Complement The NP functioning as Object Complement (OC/Co) must be governed by a transitive verb, so the Direct Object NP and the Object Complement NP are sister complements:

(42) (a) The committee elected Ben Waltz president. (b) They made her Queen. (c) Her parents considered Cambridge the best option.

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Adjectival Phrases as Noun Modifiers

As mentioned in the previous subchapter, the Adjectival Phrase (AP) is mainly included within a Noun Phrase under the N (N-bar) node (as in 43 below). Roberts (1968:226) mentions the following derivational rule that leads to APs as modifiers of head nouns:

T-noun modifier When the deletion transformation leaves a single-word ing verb or participle as the modifier of a noun phrase, the word is shifted to a position

between the determiner and the head noun:

Det + N + modifier Det + modifier + N

(43) the new technology NP

Det N

AP N

A

A

the new technology

Starting from initial sentences based on copulative predications (NP + be + AP) we can apply deletion of the verb and then T-noun modifier to derive

grammatical NPs with APs as modifiers:

(44) (a) The review is remarkable. deletion the review remarkable T- noun modifier the remarkable review

39

(b) The trip was short. deletion the trip short T-noun modifier the short trip

In order to derive APs having as head an adjective formed from a present participle, we need initial sentences based on intransitive predications with verbs

in the progressive aspect:

(45) His nose is bleeding. T-relative his nose that is bleeding T- relative, deletion his nose bleeding T-noun modifier his bleeding nose

In order to derive APs having as head an adjective formed from a past participle, we need initial sentences based on transitive predications with verbs in the simple aspect:

(46) Someone sold an item. T-passive An item was sold. deletion an item sold T-noun modifier a sold item

There are adjectival phrases that post-modify a head noun: (47) (a) the doctors concerned (b) the house ablaze (c) cheeks aflame

NP

Det N

N AP

A

A

the doctors concerned

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Adjectival Phrases as Verb Complements

Within the Verb Phrase the Adjectival Phrase can function as the Predicative in a copulative predication:

(48) (a) The car is broken. (b) The ball is dirty. The Adjectival Phrase can also function as Object Complement following the Direct Object of a transitive verb: (49) (a) They thought Ann asleep. (b) Father painted the car black

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Prepositional Phrase as Noun Complements or Noun Adjuncts The Prepositional Phrase can modify a noun as shown in a previous subchapter.

As a noun modifier the PP can take the form of the Analytical Genitive (the of-Genitive, as in (50)), or of a shortened Relative Clause (as in (51)):

(50) the bank of the river NP

Det N

N PP

P

P NP

Det N

N

the bank of the river

In (50) the Determiner is in Specifier position, while the PP of the river is the complement in the NP. In (51) the Determiner is in Specifier position, the noun

41

head fish is followed by the PP from the river which is only a Modifier of the head-noun. Notice in the diagram that modifiers are sisters of the N, whereas complements are sisters of the head noun, i.e. N. (51) the fish from the river NP

Det N

N PP

P

N P NP

Det N

N

the fish from the river

Lszl Budai (1999: 340) identifies a few of the possible structures involving Prepositional Phrases as Noun modifiers, namely:

NP + for + NP (indicating purpose): shelter for the poor, provision for bleak days

NP + with + NP (possession): the boy with blue eyes, the lady with a pink purse, a student with low self-esteem

NP + without + NP (lacking): a man without a woman, a king without heirs

NP + in + NP (with nouns denoting articles of clothing): those children in uniforms, those people in mourning clothes, a party in pyjamas

Activity. Find similar structures of nouns postmodified by prepositional phrases.

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Prepositional Phrases as Adjective Complements

There are adjectives that require certain Prepositional Phrases in order to complete their meaning. For instance in: fond of literature, interested in engineering, good at languages the underlined PPs are Complements of the head adjectives in the Adjectival Phrase. (52) fond of literature AP

A

A PP

P

P NP

fond N of N

literature

Prepositional Phrases as Verb Complements or Verb Adjuncts

Within the Verb Phrase the Prepositional Phrase can function as Subject Complement/ Predicative in a copulative predication when the PP follows a copula verb:

(53) (a) She is in low spirits. (b) All goods seem of high quality.

Following an intransitive verb the Prepositional Phrase can function as Adverbial

Modifier: (54) (a) Mary is singing in a low voice. Adverbial of Manner

(b) The plane landed on time. Adv. of Time

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(c) He works in a great company. Adv. of Place (d) She peeped inside out of curiosity. Adv. of Cause/Reason

(e) They were playing computer games for fun. Adv. of Purpose

The Prepositional Phrase is commonly used as Prepositional Object: (55) (a) They had to come to school with their family. Sociative Prepositional Object (b) The novel was not written by a famous writer. PO of Agent

(c) The burglars broke into the house with a hammer. PO of Instrument

With intransitive or ditransitive verbs, the Prepositional Phrase can function as Prepositional Indirect Object: (56) (a) Everybody was listening to the headmaster. (b) Grandma knitted a T-shirt for the dog.

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Adverb Phrases as Noun Adjuncts Adverbs can either premodify or postmodify a noun.

(57) (a) the above sentence/ the sentence above (b) an inside pocket/ the inside story of their marriage (c) the floor below (d) the room upstairs/downstairs (e) the kindergarten nearby/ a nearby town

44

As all of them are locative Adverb Phrases that describe the position of the entity denoted by the head noun, we say that they function as modifiers or adjuncts of the head noun and not as complements.

Activity. Make up Noun Phrases using the following adverbs as modifiers of the head noun: outside, ahead, back, before, underneath. Check your choice of using them as pre- or post- modifiers with a dictionary.

Adverb Phrases as Verb Adjuncts

Adverb Phrases can accompany any type of predication due to their optional nature functioning as different Adverbial Modifiers.

Adverbials of Place denote the location or the direction of the event expressed by the verb:

(58) (a) We are waiting for her here. (b) Mark slipped the letter inside. (c) The car was driving slowly as the dog was running behind. (d) Try to walk backwards now! (e) Look westwards to see the sunset!

Adverbials of Time provide details about the precise moment when the event

takes place:

(59) (a) Tomorrow we are going to the cinema. (b) Lets see a good movie tonight! (c) See you soon! (d) The teacher will be here presently/ shortly.

Adverbials of Frequency emphasize the regularity with which the action is

performed:

45

(60) (a) He would often skip classes (b) Temperatures are usually higher this time of year. (c) People seldom have fun with their children nowadays.

(d) Photocopy this document twice, please!

Adverbials of Manner focus on the rhythm of the action expressed by the verb,

the way in which the action is performed: (61) (a) Margaret reads English fluently. (b) Children were playing noisily in the park. (c) The hunchback got quickly out of sight. (d) Speak louder, please!

Adverb Phrases as Adjuncts, Disjuncts, Conjuncts

Beside the above mentioned types of Adverb Phrases functioning as Adverbial

Modifiers of the verb, there are adverbs or Adverbial Phrases that comment on

the whole sentence, expressing an evaluation of what is said emphasizing the speakers opinion. Such Adverbial Phrases as: frankly, briefly, apparently, probably, certainly, funnily enough, paradoxically, hopefully are said to function as disjuncts.

(62) (a) Frankly, she isnt tired. (b)They are probably at home. (c) Briefly, there is nothing more I can do about it.

There are other Adverb Phrases having a connective function at the level of the

paragraph that help the writer make the text cohesive. Such Adverb Phrases as:

46

firstly, however, moreover, thus, hence, overall, then, anyway are said to function as conjuncts.

(63) (a) It was chilly in the morning. The sea, however, was nice and warm.

(b) In spite of our warning them, they will climb that mountain anyway.

(c) Overall, its been a great party!

Unlike Adverbial Phrases functioning as adjuncts, disjuncts and conjuncts are not integrated within the clause. They can appear initially in a declarative clause but they cannot be contrasted with another adverbial in alternative interrogation or

negation.

Activity. Make up sentences of your own using the following Prepositional Phrases and state whether they function as adjuncts, disjuncts or conjuncts: on the contrary, on the other hand, in retrospect, as a rule, on balance, in some respects, in the main, to all intents and purposes.

Adverbial Intensifiers

Adverbial Intensifiers are those Adverb or Adverbial Phrases that modify

adjectives/APs or other adverbs/AdvPs emphasizing the degree of the quality denoted by the adjective or the adverb they modify. Here are a few examples:

(64) (a) very interesting (b) quite understandable (c) totally wrong (d) rather unconsciously

47

Syntactically, at the level of an Adjectival Phrase such as extremely disappointed, the Intensifier is placed in specifier position in the tree diagram as shown below:

(65) extremely disappointed AP

Deg A

A

extremely disappointed

Such an AP can easily be inserted within a NP, adjoined to N to modify the head noun: an extremely disappointed clerk.

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The Verb Phrase must be understood as the verb plus its complements and adjuncts that follow the main verb in a sentence. (66) [S[NP Her great voice] [VP made Mary famous in the whole world]].

The Verb Group From Structuralism to Minimalism linguists have adopted different approaches to

the Verb Phrase and the way it should be represented in Phrase Markers. Thomas (1993), Burton-Roberts (1997), Tallerman (1998) and others maintain a comfortable perspective referring to the structure of Verb Phrases in the

following terms:

(67) VP: Vgroup + (NP)/(PP)/(AdvP) Vgroup: AUX + V

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Consider the following example: (68) Sarah answered the phone. S NP VP

N Vgp NP

AUX MV Det N

[TENSE]

Sarah (past)answered the phone The order of the Auxiliaries within the Verb Group must be: Modal/Tense

Perfective Aspect Progressive Aspect Passive followed by the lexical verb.

According to the X-Theory, the Verb Phrase is headed by V which selects certain complements. Other optional phrases (i.e. adjuncts/modifiers) may also accompany the VP. (69) He noticed the mistake. S V DO

VP

V

V NP

Det N

N

noticed the mistake

We have represented only the VP within the sentence (69) He noticed the mistake. The diagram shows a VP headed by noticed with one NP complement. Remember: Specifiers and Complements are only functional not categorial terms.

49

Radford (1988: 232) emphasizes the need to distinguish between obligatory Complements and optional Adjuncts when representing them in Phrase Markers as well. He proves that within the X-bar framework Complements are sisters of

the head verb, while Adjuncts are sisters and daughters of V-bar. Lets make this distinction referring to the following example: (70) They tell her in the morning. S NP VP(V) They V

V PP

V NP in the morning

tell her

The VP is headed by tell which selects the NP her as its sister complement, accompanied by the PP in the morning as adjunct, sister of V and daughter of V.

But are Auxiliaries Specifiers of VP or possible heads of VPs? The approach to

sentence as an Inflection Phrase has offered a possible solution to this issue

discussed in the following subchapter.

Van Valin and Lapolla (1997: 26) present the structure of the clause in universal terms from a syntactico-semantic perspective suitable to account for the clause

structure in any language. They discuss the contrast between verb complements

and verb adjuncts in terms of the core of the clause (the predicate + its arguments) and its periphery (non-arguments of the predicate). The predicate is the nucleus of the clause. These distinctions constitute what they call the layered structure of the clause (LSC).

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As previous subchapters on types of phrases have also specified possible complements and adjuncts of the Verb Phrase, we will move on to introduce the clause as an Inflection Phrase according to the Government and Binding Model.

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Learners of English become acquainted with the concept of Inflection when they

start the study of English Morphology. Derivational Morphology teaches them word-formation by means of derivational affixes, such as prefixes, infixes, suffixes, whereas Inflectional Morphology introduces them to a new category of

affixes that carry grammatical information. These inflectional affixes form a

closed set and they represent concrete realizations (or formatives) of grammatical categories such as Tense, Aspect, Agreement, Case, Comparison

and so on.

Here is a synthetic presentation of the categories and the formatives that realize them as resulted from the study of Inflectional Morphology:

(71) Tense: -s/-es, -ed Aspect: -ing

Agreement: -s/-es

Case: s Comparison: -er, -est

Studies in English syntax have introduced Inflection (INFL or I) as another name for the category of Auxiliary to indicate whether a Clause is finite or non-finite

(in infinitival Clauses the Inflection position may be filled by the particle to).

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More recent approaches to syntax have decided to use the term Inflection as a general label which covers both Auxiliary and the system of inflections that mark all the other grammatical categories specified above. Notice that we have

mentioned the category of Auxiliary and not the class of Auxiliary verbs, as linguists have brought evidence in favour of the idea that auxiliary verbs

(aspectual auxiliaries BE and HAVE) are also functional categories. Two such pieces of evidence are provided by Cornilescu in Concepts of Modern Grammar (1996: 195), as follows:

BE and HAVE select certain VP complements (BE + Present Participle; HAVE + Past Participle)

BE and HAVE cannot relate to arguments (they cannot assign thematic roles) except through the VP complement they select.

These features prove that the English aspectual auxiliaries BE and HAVE behave

like the Inflection, so they cannot be constituents of Inflection, but only different functional categories.

Taking everything into account, a finite Inflection constituent is said to be an

Auxiliary, overtly or covertly inflected for both Tense and Agreement (a Modal Auxiliary is optionally present), thereby becoming the head which selects the VP as the obligatory complement. For further details, see also Radford (1988: 305-306).

The Government and Binding Model replaces the concept of sentence as a result of the headedness principle (i.e. all phrases are headed). The sentence comes to be described as an endocentric inflection phrase (IP) having as head the functional category of Inflection (I). Due to various instances of agreement or substitution that mark the relation between the subject of a sentence and Inflection, the subject is said to be the Specifier of Inflection.

52

Hence the representations (like (59)) based on the traditional Phrase Structure Rules (PSRs) such as S NP ^ VP; NP (Det) ^ N and so on are now replaced by representations (like (74)) that take into account new PSRs, namely: (72) IP NP ^ I I I ^ VP

(73) traditional phrase marker S

NP VP

N Vgp NP

AUX MV DET N

TENSE

John (present) wants an apple

(74) GB phrase marker IP maximal projection (I)

NP I

N I VP (V)

N V

John T Agr V NP

-s [+sg] wants DET N

an N

apple

Trying to develop a theory of Universal Grammar that would identify general structural principles in organizing phrases and sentences, linguists have focused

53

upon the binary branching bringing evidence from the phonological structure and the morphological structure of natural languages. For instance, the lexeme

unjustifiable is structured starting from its root just to which the derivational morpheme ify is attached deriving the verb justify; then another binary branching is formed by the lexeme justify to which the suffix able is attached deriving the adjective justifiable which in its turn is prefixed by un.

Binary branching has to be preserved also in the case of an infinitival phrase like

to leave. Consider the following examples: (75) a. I expect [Alice must be sleeping]. b. I expect [Alice will be sleeping]. c. I expect [Alice to be sleeping]. d. I expect [Alice to have slept].

The first two Complement Clauses between square brackets have a present tense interpretation due to the present-tense features acquired when moving into the Inflection node. In (c) the Complement Clause has a present tense value as well, while the bracketed Infinitival Complement Clause in (d) clearly refers to a past event. We can paraphrase (c) and (d) as below:

(76) a. I expect Alice is sleeping. b. I expect Alice has slept.

The infinitival particle to carries non-finite Tense features, just as finite auxiliaries carry finite Tense features, sharing the same function of the infinitive

inflections with French or Italian verbs such as: manger, ouvrir or piangere,

sorridere. That is why in some grammars the sentence is considered a Tense Projection (TP) resulted from the merging process of a T-bar constituent with a subject,

54

where the T-bar constituent is the intermediate projection of a tense auxiliary (T) that merges with a verb phrase (VP).

(77) They are blaming him. TP

PRO T They T VP

are V PRO

blaming him

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In order to identify a constituent, one can make use of several tests. Here are

some of the options:

Pro-form Test. If a string can be replaced with a pro-form, such as a pronoun, than the string is a constituent. For instance, in the following

sentence:

(78) (a)The little boy crossed the street in a hurry. (b) He crossed the street in a hurry. [the little boy is a constituent] (c) The little boy did so in a hurry. [crossed the street is a constituent] (d) The little boy crossed it in a hurry. [the street is a constituent] (e) The little boy crossed the street like that. [in a hurry is a constituent]

Question Test. If a string can become an answer to a Wh-question, than the string is a constituent.

55

(79) (a) How did the boy cross the street? (b) In a hurry.

Movement Test. If one can change the position of the string within the

same sentence, than the string is very likely to be a constituent.

(80) (a) The strike began on Monday. (b) On Monday, the strike began. [on Monday is a constituent]

Coordination Test. If one can coordinate two strings than both strings are constituents.

(81) (a) The manager was speaking on the phone and to his secretary at the same time. (b) The postman was riding and delivering the mail to each house.

Cleft Test. The string that a cleft sentence focuses upon is always a constituent.

(82) (a) The plane was delayed by thick fog. (b) It was the thick fog that delayed the plane.

Activity. Identify the constituents of the following pairs of sentences: 1a. The baby is sleeping.

1b. The baby is asleep.

2a. She considered him a genius.

2b. He was considered a genius. 3a. They found the show entertaining. 3b. They found Mary an entertaining partner.

56

57

1 $ )& $$

!" 2 !"2 $

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Sentences can be analysed using phrase structure rules that allow us to represent

constituents in terms of lexical and phrasal syntactic categories, namely nouns,

verbs, adjectives, adverbs, NPs, VPs, APs, AdvPs. Another dimension of the sentence analysis is focused upon when using the notion of syntactic functions: Subject, Predicate, Object, Adverbial.

(1) The children broke the window with a ball. [S[NP the children][VP broke [NP the window][PP with a ball]]]

Or: [S[Sbj the children][Pred broke [DO the window][PO with a ball]]]

We can also represent a sentence in terms of semantic roles/thematic roles/theta roles. A thematic role denotes the underlying relationship between the participants in the event expressed by the main verb.

(2) The children broke the window with a ball. Agent Patient Instrument

The window was broken by the children with a ball. Patient Agent Instrument

In the above examples one can notice how in spite of the change in syntactic functions that took place once the sentence is turned into the Passive voice, the

58

thematic roles assigned to each constituent remain the same. Thus, the children which is the Active Subject turns into a Prepositional Object in the passive sentence, but it is still the Agent who perform the action. As the window changes from an Active Direct Object into a passive Subject, it still keeps the thematic role of Patient, suffering the action initiated by the Agent.

Although we cannot make generalizations, the properties of thematic roles do

interact in regular ways with certain grammatical constructions. Chomsky (1965) argues that although the Verb directly assigns theta-roles to its Internal Arguments (i.e. its Complements), it is not the Verb but the whole Verb Phrase that assigns a theta-role to its External Argument (i.e. the Subject). Below there are several examples of argument-taking predicates:

(3) Janet is crying. The detective loaded his gun. The nurse brought the patient the medicine. That ride cost Mark his life. The NPs functioning as Subjects in the above sentences Clark, the detective, the nurse, that ride are the external arguments of the predicate, while the NPs that immediately follow the verb making up the VP his gun, the patient, the medicine, Mark, his life are the internal arguments of the verb. Each argument carries one thematic role. However, grammatical functions are syntactic notions, whereas

thematic roles are semantic notions.

Bas Aarts (2008: 94) draws on the idea that an element in a sentence that does not refer to a participant is not an argument. Among the expressions having

non-participant status, he identifies the impersonal it and existential there, as well

as all phrases or clauses that function as Adjuncts (i.e. for instance, time or manner adverbials).

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Each predicate displays a certain argument structure as it is shown below:

(4) cry [1]

(5) load [1, 2]

(6) brought [1, 2, 3]

(7) cost [1, 2, 3]

The argument structure identifies the arguments that the predicate takes and their categorial status. The figures 13 show the position of each argument in the order they appear in the sentence. The underlined argument represents the

external argument, namely those NPs functioning as the Subject of the clause.

Activity. Provide clear examples to support the truthfulness or falsity of the following statements:

1. Each argument realises a grammatical function, but not all grammatical

functions are linked to argument positions. 2. Adjuncts are never arguments. 3. Arguments are the verbs complements.

4. External arguments help us to identify the type of verbs (transitive, intransitive, ditransitive)

Here is an inventory of the most cited thematic roles taken over from Fillmores

theory on Case (The Case for Case, 1968):

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Agent: the initiator of the action acting with volition, thus performing a deliberate act for which he may be held responsible

(8) The robber shot the clerk. The little boy stumbled.

In certain instances, the Agent does not really intend to perform the act. We can

notice the difference between the two examples above and we can test the

presence of volition or willingness by adding adverbials of manner such as: deliberately, willingly, intentionally: (9) The robber deliberately shot the clerk. *The little boy willingly stumbled.

Experiencer: the entity subjected to an action, being aware of the process or state taking place, but not in control of it.

(10) David is afraid of dogs. A few passers-by saw the accident. I cant abide liars. Children often disagree with their parents ideas.

Patient: the entity that suffers a change of state when the action is performed:

(11) She sliced the bread carefully. A car ran over their dog yesterday. The bee stung the farmer on his arm. The gardener mowed the grass. David has got bitten by an angry dog.

Blake (1994: 68) argues that the role Patient covers all of the following situations (for which we provide further examples below), thus including what other linguists call Theme (b):

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(a) an entity viewed as existing in a state or undergoing change (12) This theory is clearly obsolete. The bomb blew the tower up. (b) an entity viewed as located or moving (13) The baby is sleeping in the pram. The competitors have dived into the water.

(c) an entity viewed as affected or effected by another entity (14) The cat has scratched the front door. The figure had been moulded in clay.

Benefactive: the entity for whose benefit the action is performed:

(15) They have been praising the winner for days on end. The children laid the table for their parents. The Zookeeper has set the animals free.

Theme: the entity that moves or whose location is specified. This

label derives from Grubers 1965 dissertation. However not all linguists consider it satisfactory.

(16) You need this stamp on the envelope. They have looked the word up in the dictionary.

Location: the place where something is situated or where an action occurs

(17) Your friend is at the door. Many people were lying on the beach when the storm began. We have just found the city on the map; it is near Calgary.

Source: the starting point for a movement (18) The message was first heard on radio.

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The Moores have sent for the doctor.

Goal: the end point for a movement (19) The books will be shipped to your country in 5 to 10 days. He bribed his way out of prison.

Instrument: the means used to perform an act (20) They have corrected their spelling with a dictionary. Policemen have been traveling by train for more than 8 hours.

Stimulus (21) Their criticism stung him. He amazed everybody with his intelligence.

Recipient (22) The student has got a last warning. The trainer always gets the blame for whatever goes wrong.

Starting from the assumption that a head may directly -mark only one sister NP,

Cornilescu (1996: 180) notices that only verbs and prepositions may occur with sister NPs which they assign -roles directly, whereas As and Ns relate to NPs only by means of prepositions, so they indirectly -mark the respective NPs.

Consider the following examples:

(23) [NP Your friends] [VP have missed [NP the train]].

Within the VP, the NP the train gets Accusative case marking, being assigned the

syntactic function of DO and the -role of Theme.

(24) This play is by Shakespeare. Agent

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The letter is from Italy.

Source The cat is under the table.

Location

Due to their full meaning, the above prepositions directly assign the appropriate thematic roles to the governed NPs. However, the role can be jointly assigned by the verb and the preposition:

(25) The police will look into the matter. She dived into the swimming-pool.

Unlike verbs, as stated above, As and Ns assign thematic roles indirectly, by

means of the prepositions that relate them to other NPs:

(26) the writing of a novel the singing of a song

the building of a house

It is considered that the preposition of is inserted only at the level of S-structure, as a means of -role assignment and case realization, as noticed in the behaviour of nouns derived from transitive verbs: write a novel, sing a song, build a house. All the other prepositions used by other verbs to mark their object are listed in the lexicon and projected onto the D-structures: (27) ask a question the asking of a question answer a question the answer to a question

change sbs mind a change of mind change sbs condition a change in condition

give a book - * the giving of a book

meet a friend - * the meeting of a friend reach a place - * the reaching of a place vs arrival at a place

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respect the authorities respect for authorities revise a report the revision of/ to a report

All the above examples prove the defective nature of nouns as -markers.

Activity. Discuss and provide examples to support the relationship between thematic roles and recurrent prepositions.

Grimshaw (1990) suggests that the theta-grid represents the prominence relations among arguments. She adopts the following thematic hierarchy noticing that

syntactic relations are not established only according to this hierarchy of thematic

roles but also according to the aspectual properties (Vendlers: activities, accomplishments, achievements, states) of the predicate. (28) Thematic Hierarchy (Agent(Experiencer(Goal/Source/Location(Theme)))))

She claims that arguments are -marked from the least prominent to the most

prominent, as the least prominent roles are the most dependent on the verb for their interpretation.

Jackendoff (1990: 258) proposes another Thematic Hierarchy based on the principle of ordering the -marked arguments from the least embedded to the

most deeply embedded, from left to right, as follows: (29) 1. Actor 2. Patient or Beneficiary

3. Theme

4. Location, Source, Goal

Instrumental Prepositional Phrases are not included as they are always adjuncts. The role of Agent is always related to Actor or to Patient.

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In spite of linguists different views on thematic hierarchies, they all agree that each argument of a predicate can be assigned a thematic role. By including the thematic roles of the verbs arguments within the argument structures, we make

up the thematic structure of the predicate.

Here are a few examples based on the sentences ((4)-(7)) discussed in the beginning of this chapter:

(30) cry [1]

(31) load [1, 2]

(32) brought [1, 2, 3]

(33) cost [1, 2, 3]

In this way thematic grids do not represent only sets of thematic roles, but they also encode syntactic information about the coding of these roles.

Activity. Discuss the influence of the thematic hierarchy and of the aspectual properties of verbs in assigning -roles in the following examples: 1a. Hes been writing a novel for 2 years.

1b. He wrote a novel last year.

2a. Hes been climbing the mountain for an hour.

2b. He reached the top. 3a. He swam to the buoy.

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3b. He is swimming to the buoy.

4a. The plane has just landed in Atlanta. 4b. The plane has flown to Atlanta.

5a. They look up to their manager. 5b. The young lady looked down on the maid. 6a. Tears blurred her eyes. 6b. The writing blurred and danced before his eyes.

""

Drawing on the research in Construction Grammar whose main representatives

are Charles Fillmore (1968), Lakoff (1987), Filip (1993) and others, Adele Goldberg in her book entitled Constructions. A Construction Grammar Approach to Argument Structure (1995) proves that:

Argument structure constructions are a special subclass of constructions that provides the basic means of clausal expression in a language. (1995: 3)

The lexicon and syntax are not considered separate units in this approach to Grammar. As Goldberg (1995: 19) states:

() syntactic frames are directly associated with semantics, independently of the verbs which may occur in them. [] To a large extent, verb meaning remains constant across constructions; differences in the meaning of full expressions are in large part attributable directly to the different constructions involved.

Here are the meaningful structures she identifies in her study:

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Ditransitive Constructions

Goldberg argues that volitionality must be a universal feature characterizing the subject argument of all ditransitive verbs as well as willingness must characterize their first object argument. The few exceptions when no volitionality or willingness is required must be associated with the conventional systematic metaphor causal events as transfers in which case the subject is the CAUSE that made possible the transfer of an EFFECT to an AFFECTED entity.

Compare the following examples:

(34) (a) They gave Martin a book. S/Agent IO/Recipient DO/Theme

(b) Will you give us a hand? S/Causer IO/aff. DO/eff.

(c) They gave her the cold shoulder. S/Causer IO/aff. DO/eff. (d) He gave the door a blow. S/Causer IO/Patient DO/effect

The first example (a) is a non-metaphorical instance of a Dative construction which can be interpreted as a successful change in the ownership of the book.

The subject NP they is the Agent and the Source of transfer, the Indirect Object NP Martin represents the final destination, the Goal or the Recipient, i.e. the new

owner, while the Direct Object NP a book is the transferred entity, the Theme that moves from the Source to the Recipient.

The next three examples (b)-(d) are metaphorical instances of the Dative Construction. Although the meaning of the verb remains the same, the three

sentences have different meanings due to the construction as a whole: the Indirect

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Object NPs are obviously affected by the action expressed by the verb, they become Patients subjected to certain changes by a certain Causer.

Caused-Motion Constructions

Goldberg brings evidence in favour of the idea that there are complex transitive constructions of the form (SVOObl) (where V is a nonstative verb; Obl is a directional Preposition Phrase) which can be interpreted as X CAUSES Y TO MOVE Z although the lexical items involved do not inherently encode this meaning.

Here are further examples we have found suitable to account for her theory:

(35) (a) The audience clapped the speaker out of the conference hall. S/Cause DO/Theme OC/ Path

(b) The animals scared the thieves out of the house. S/Cause DO/Theme OC/ Path (c) He smuggled a gun into the prison. S/Cause DO/Theme OC/Path

Compare also: (36) (a) She piled old articles of furniture onto the balcony. (b)