AN INTRODUCTION TO SYNTAX ACCORDING TO GENERATIVE GRAMMAR THEORIES Xavier Frías Conde (UNED) © Xavier Frías Conde, 2011 All rights reserved worldwide 1. An Introduction to Semantics Generative Grammar (GG) • GG is a theory of Grammar based on Noam Chomsky’s principles • It is mainly based on syntax, though some other disciplines of linguistics can be approached by means of GG • Along these notes, we will study the main elements of this theory applied to English and, occasionally, to some other languages, mainly Romance ones. Xavier Frías-Conde 5 Before syntax, there is semantics • All current linguistic theories take semantics as their starting point • Semantics is the base from which all the rest of disciplines develop • Words (i.e., the recipients of meaning) are the first items children acquire. Xavier Frías-Conde 6 A theory of semantics based on “predicates” and “valencies” • In order to understand the semantic value of a clause, we need settle the different kinds of predicates existing in any language. • A predicate is a semantic term to refer to what is commonly known as verb. • Predicates are then the cornerstone of sentence semantics. • Predicates may need some adjacent elements that complement their meaning. – – – – *I bought In this example, the sentence lacks an item, a “what”. *Learned French In this sentence, one doesn’t know “who” learned French Xavier Frías-Conde 7 • In the former examples, both predicates, “buy” and “learn” need some extra adjacent elements which complement their whole meaning. Without these extra elements, predicates can’t make up correct sentences. • The accompanying elements around a predicate are “valencies”. • Therefore, predicates may require valencies to achieve a whole meaning. Xavier Frías-Conde 8 Kinds of predicates according to the number of valencies they need 1. Predicates containing no valencies: avalents – 2. It is raining Predicates containing one valency: monovalents – 3. The dog is barking Predicates containing two valencies: bivalents – 4. Mary watched a good film Predicates containing three valencies: trivalents – Sarah just put the books on the table Xavier Frías-Conde 9 How to represent Predicate Frames (PF) • The semantic structures of Predicate Frames can be represented through some kind of trees called stemmas. PF (X) P (Y) Xavier Frías-Conde (Z) 10 • Codes: – X: first valency – Y: second valency – Z: third valency – sb: – sth: – swh: somewhere – swy: someway somebody something The first valency, or outer one, is the one that “triggers” events, actions or processes. It is usually identified with the syntactic subject It refers to the semantic nature of the valency: person, thing, place, manner… Xavier Frías-Conde 11 • Examples – Open: <xsb> <ysth>: <Johnx> opened < the door y> PF xsb open ysth Xavier Frías-Conde 12 • Watch: <xsb> <ysb/sth>: <Isb> watched <yousb> | <the film sth> • Sleep: <xsb>: <Johnsb> is sleeping • Arrive: <xsb/sth> || <xsb/sth> <yswhIsb> can’t arrive yet || <The bookssth> didn’t arrive <at the libraryswh> . PF PF Xsb watch Xsb PF sleep PF Xsb/sth arrive Xsb arrive Ysb/s Yswh th Xavier Frías-Conde 13 Compulsory and adjunct valencies • In many cases, predicates are accompanied by items which can be dropped. – Eliminable elements • George bought some magazines at the station before the departure • George bought some magazines before the departure • George bought some magazines at the station • George bought some magazines – Non-eliminable elements • George bought some magazines at the station before the departure • *George bought at the station before the departure Xavier Frías-Conde 14 • • • The compulsory elements are called actants. They are settled by the predicate. The optional elements are called satellites. They usually express external circumstances such as time, manner, place, cause, etc. So the hierarchy of semantics items is as follows: 1. 2. 3. • • Predicates Actants Satellites This hierarchization is quite important when attending to syntax. Predicates are always the starting point for any syntactic analysis or parsing. Xavier Frías-Conde 15 2. The Fundamentals of Syntax Syntax and Grammar • Syntax is the branch of linguistics devoted to the study of structures, i.e., the way in which words combine to express meaning through sentences. • Words combine to make up sentences. • The rules to combine words vary from language to language. • If we compare both Spanish and English we can see this easily: – Sp: Tengo hambre  litt.: (?) I have hunger  I am hungy – Eng.: I like animals:  litt.: * Yo gusto animales  Me gustan los animales – Sp.: Hablo bien alemán  *I speak well German  I speak German well Xavier Frías-Conde 19 Word classes • Words belong to two major categories: lexical and functional ones. • Lexical words are these having a complete meaning, so that they are the base of sentences. • Functional words are mainly used with grammar purposes, such as it happens with conjunctions and all kinds of links, as well as morphemes. • In GG this distinction is not always applied in this way. According to GG literature, there are four major kinds of words, which are the skeleton of syntax, being verbs the head of them: – – – – Verbs (V) Prepositions (P) Nouns (N) Adjectives (A) Xavier Frías-Conde 20 The X-bar theory • The way to combine words to make up a sentence is represented by means of the so-called “X-bar”. • X-bar refers to phrases. • A phrase is a complex structure where a major element, its head, develops to incorporate other elements that complement its meaning. • Let’s take the example of a verb phrase. It also has two other attached elements depending on it. One is the subject and the other one is the object. Xavier Frías-Conde 21 VP The first NP is embedded at the beginning of the tree, then there is a certain ZP which represent an Adverbial, now not included. At bottom, there is the verb and another NP, the object. V’’ N P V’ It seems evident that the verb is the head of all this structure. All the rest of elements depend on it. If you compare this syntactic structure with a predicate frame, the similitude is enormous V John has Xavier Frías-Conde ZP NP doubts 22 • The “abstract” representation of the X-bar, according to the previous model, is like this: XP YP X’’ specifier X’ ZP adjunct X YP head complement Xavier Frías-Conde 23 • Head: the major item which controls and determines the category of the other ones. • Specifier: outer item which has a an initial relationship with the head, such as it happens between subject and verb. • Complement: inner item which emerges as a result of the verb projection, such as it happens between object and verb. • Adjunct: an extra element which can be avoided or dropped, such it happens with most adverbs referring to time, place, manner, etc. • Both specifiers and complements are related to actants, while adjuncts are related to satellites. Xavier Frías-Conde 24 Into the syntactic representation of a sentence: VP and IP • The minimal structure of any sentence, in any language, is composed by Inflection Phrase (IP) and Verbal Phrase (VP) • IP is a functional category representing certain elements: – Time – Person (said Agreement, for example, between the predicate and the subject) – Aspect • Perfective (a completed action) • Imperfective (an uncompleted or unfinished action) – Voice • Active • Passive • Medial – Etc. Xavier Frías-Conde 25 • A verb needs rise from V to I to take inflection: IP In this case, I(nflection) stands for 3PS, simple past. I’ I VP NP V’ V -ed John Xavier Frías-Conde yawn- 26 • The rising is necessary for the verb (stem) to take an inflection (endings) IP NP2 I’ I’’ V1 VP t2 I V’ Observe also how in English, as well as in many other languages, the subject compulsory follows the verb in this movement upwards (called amovement in GG. The movement of the items is expressed by means of subindexes. t1 John yawn- ed Xavier Frías-Conde 27 • A similar example applied to a Romance language (Italian) IP NP2 I’ I’’ V1 VP I t2 V’ t1 Piero cant-ò Xavier Frías-Conde 28 • A similar example applied to Czech IP NP2 I’ I’’ V1 VP t2 I V’ t1 Pavel stud- -uje Xavier Frías-Conde 29 3. The theory of case What a case is • • • • Case is a category corresponding to nouns and adjectives (and also demonstratives, articles and other determiners) It marks out the role they play within a sentence Cases are narrowly linked to syntactic functions Eg.: – Subject function is performed by a noun or NP in nominative – Direct Object function is performed by a noun or NP in accusative • Cases are mostly assigned by verbs, but not always – Nominative: It is the case by default; whenever a noun doesn’t have a case, it takes nominative – Accusative and dative: these are assigned by the verb – Genitive: it is assigned by another noun – Ablative, Instrumental, Locative…: they are assigned by prepositions in English Xavier Frías-Conde 33 Declension • • • Some languages have special endings for cases and some others don’t All Romance languages and English (except for the so-called Saxon Genitive) lack declension endings (except for personal pronouns) Latin, German and Czech (as well as most Slav languages) do have endings to mark the case of adjectives and nouns. Xavier Frías-Conde 34 Declension in Latin The first declension in Latin Nominative Accusative Genitive Dative Ablative SG rosa rosam rosae rosae rosa Xavier Frías-Conde PL rosae rosas rosarum rosis rosis 35 Declension in Czech An example of declension in Czech Nominative Accusative Genitive Dative Instrumental Locative SG student studenta studenta studentu / -ovi studentem studentu Xavier Frías-Conde PL studenti studenty studentů studentům studenty studentech 36 Declension in German The declension of Mann in German, together with the definite article Nominative Accusative Genitive Dative SG der Mann den Mann des Mannes dem Mann Xavier Frías-Conde PL die Männer die Männer der Männer den Männern 37 Samples of declension • • • Nominative – – – – – Lt: Petrus amicus meus est En: Peter is my friend Fr: Pierre est mon camarade Gr: Peter ist mein Freund Cz: Petr je můj kamarád Accusative – – – – – Lt: Petrum video En: I see Peter Fr: Je vois Pierre Gr: Ich sehe Peter Cz: Vidim Petra Genitive – – – – – Lt: Domus Petri magna est En: Peter’s house is big Fr: La maison de Pierre est grande Gr: Peters Haus ist groß Cz: Dům Petra je velký Xavier Frías-Conde 38 • Dative – – – – – • Lt: Petro presentem do En: I give Peter a present / I give a present to Peter Fr: Je donne un cadeau à Pierre Gr: Ich giebe Peter ein Geschänk Cz: Dám dárek Petrovi Ablative (Instrumental) – – – – – Lt: (cum) Petro sum En: I am with Peter Fr: Je suis avec Pierre Gr: Ich bin mit Peter Cz: Jsem s Petrem Xavier Frías-Conde 39 Xavier Frías-Conde 40 4. Kernel and non-kernel sentences Kernel sentences added items • • IP[I[VP[V[]]]] This minimal structure of a sentence is known as kernel sentence Anyway, some other items may be added to simple sentences: – – – – • other All simple sentences require the minimal structure already mentioned: – • and Negation: Peter doesn’t understand it Interrogation: Did you buy the newspaper today? Focalisation: My car they stole! Topicalisation: In the morning, we will leave Each of these structures are represented by means of a functional phrase: – – – – Negation: NegP (Negative Phrase) Interrogation: IntP (Interrogative Phrase) Focalisation: FocP (Focus Phrase) Topicalisation: TopP (Topic Phrase) Xavier Frías-Conde 43 Negative Phrase • In English Modal verbs are required The movement of the subject is always a rising one in English. Observe how it moves jumping through all the specifier nodes until reaches the top position IP I’ DP1 I NEGP NEG’ t1 NEG VP V’ t1 V’’ V The boy did not understand DP a word Xavier Frías-Conde 44 • In most Romance languages (others than French and Occitan), negation is instead placed at the beginning: – Sp.: Pedro no tiene trabajo – Pt.: O Pedro não tem trabalho – It.: Piero non ha lavoro NEGP[DP[Piero2 [NEG • non IP[t2 I[ha 1 VP[t2 [V t1 [NP lavoro]]]]]]]] In Czech, negation works in a similar way as in Romance languages: – Cz: Petr nemá praci NEGP[DP[Petr 2 NEG[nemá 1 IP[t2 [I t1 VP[t2 V[t1 NP[praci]]]]]]]] • In Czech, the negation head (ne-) is merged to the verb; in some Romance languages we also interprete negation in the same way, such as in the Iberian languages, though in spelling negation and verb are separated: NEGP [DP[Pedro2 NEG[no tiene1 IP[t2 [I t1 VP[t2 V[t1 NP[trabajo]]]]]]]] Xavier Frías-Conde 45 Interrogative Phrase • In English, an interrogation is built up by means of a IntP that is always placed on top. There are two kinds of questions: • – – Closed questions: with an auxiliary verb but no wh-word: the answer is usually yes/no Open questions, with a wh-word INTP INT’ . INT IP I’ . t Did VP you buy any bread Xavier Frías-Conde 46 The movement of the interrogative element, a wh-word is direct. It doesn’t jump along the different nodes, as the rising subject does, but reaches the top position straight ahead. INTP INT’ NP2 INT1 IP The main difference between this open question and a closed one lies on the complexity of the structure of the open question. Take into account that open questions require a rising item which moves from VP into IntP. This rising item may be generated anywhere (specifier, complement or adjunct) I’ . VP t1 NP V’ V’’ V where do t2 you live Xavier Frías-Conde 47 Focus Phrase Focalisation is not very frequent in English, though it is quite usual in other languages, such as Romance ones. As a matter of fact, focalisation and interrogation work in the same way, where the focused elements moves forward straight ahead. FOCP FOC’ DP3 FOC IP NP2 I’ VP I1 V’ t2 V’’ t1 all the bread t3 you ate! Xavier Frías-Conde 48 This is an example of focalisation applied to Standard Italian. FOCP INT’ DP3 FOC pro: this is an element not to be found in English, unless we treat with imperative clauses. This pro stands for covert or omitted subjects, usual in most Romance languages or Czech IP I’ pro2 VP I V’ t2 V’’ V I ragazzi abbiamo t3 aspettati Xavier Frías-Conde 49 Topic Phrase The main difference between a Topic and a Focus stands on their semantic status. Focus are elements generated within VP that rise up in order to be emphasised (i.e., they transform an unmarked sentence into a marked one. TOPP INT’ DP3 TOP IP I’ NP2 I1 VP V’ t2 Instead, topics are added elements that can be dropped without affecting the correcteness of the sentence. They usually refer to time, place, manner and other semantic items. V’’ t1 Yesterday we worked t3 on the new project Xavier Frías-Conde 50 5. The vp shell What is the vp-shell • • • • Whenever there is a sentence having two objects (remember the so-called bivalent verbs), GG has to introduce a new way to analyse this kind of sentence. In these cases, verbs need to be spread out so that the three compulsory items accompanying the verb may fit in the syntactic structure. For this purpose, vp shell is introduced, so that we can still consider it as a kernel sentence Observe the PF corresponding to give PF xsb give ysth Zto sb Xavier Frías-Conde 53 IP I’ . vp I v’ . v Xavier Frías-Conde VP 54 The vp-shell and the Indirect Object IP In a sentence like: • I gave a book to John I’ . I subject vp v’ NP VP v direct object There are three compulsory element: subject, direct object and indirect object. Their generation is as follows NP V’ V’ t PP indirect object Xavier Frías-Conde 55 IP I’ NP2 vp I1 t2 v’ VP t1 V’ NP V’ t1 I gave a book Xavier Frías-Conde PP to John 56 IP It is, however, quite usual that Od and Oi are placed in different order in English. I’ NP2 I gave John a book I1 This change may also be represented by means of vp. vp v’ t2 VP v’’ V’ NP t1 NP3 V’ t1 I gave John t3 a book Xavier Frías-Conde 57 A frequency adverb: double specifier Frequency adverbs (and some other usual adverbs) always have a fixed position in the clause: a double specifier in vp. IP I’ NP2 I vp vp’ t2 ADV v’ VP V1 V’ DP t1 I have already put the books PP on the shelf Xavier Frías-Conde 58 IP Anyway, the double specifier could be in IP, namely when the verb is simple. IP’ NP2 I’ ADV vp t1 t2 v’ VP t1 V’ DP t1 I already put the books PP on the shelf Xavier Frías-Conde 59 The passive voice The passive voice may be understood as containing a vp. It is probably better to include a new functional phrase, but for reasons of simplicity, we will treat passive voices as being composed of a DIATP (Diathesis Phrase) and a VP, but they are not properly kernel sentences IP I’ DP2 I1 DIATP DIAT’ t2 t1 VP V’ t2 In this case, the subject is originated in the node of complement and immediately moves to the specifier node V’ V The papers were t2 sold out Xavier Frías-Conde 60 A passive sentence having an originally Oi as its subject must be analysed with a DIATP and a vp which holds the ditransitive structure. IP I’ DP2 I3 DIATP t2 DIAT t3 vp t2 v V VP V’ DP t1 The children were t2 given a present Xavier Frías-Conde 61 An ergative sentence An ergative sentence in English is one suffering an important transformation: an initially transitive sentence loses its subject but its object occupies its place: IP I’ DP2 I1 DIAT t2 S V O DIAT S V t1 VP V’ t2 In this way, the agent of the process disappears: The torpedo sank the ship The ship1 sank t1 V’ t1 t2 The ship sank Xavier Frías-Conde 62 In most Romance languages, ergative sentences are built by means of se, which is originally generated under DIATP. IP I’ DP2 I1 DIATP t2 DIAT VP t1 V’ t2 V’ t1 t2 El barco se hundió Xavier Frías-Conde 63 6. Completive Clauses Complementiser Phrase • • • • A complex sentence is one having two or more clauses. Up to now, we have just seen simple sentences, i.e., sentences containing only one clause. Whenever there is a complex sentence, there is a main clause and a dependent clause Dependent clauses may be: – Attached: If I were you, I would change that bulb || When you finish that, you can leave – Embedded: • Completives: He said that he didn’t understand that sentence | • Relatives: The man whom we helped was blessed • All dependent clauses are introduced by means of a complementiser, which is expanded into the category of complementiser phrase. Xavier Frías-Conde 67 Completive clause • Completive clauses are usually introduced by: – To, in which case the verb is in infinitive: • Mark hopes to be successful – That, in which case the clause behaves • Mark hopes (that) you’ll be successful – Whether/if, though these work as the former ones • I don’t know whether/if he’s right • In fact, verbs may be divided into three categories according to the kind of CP they may take: – To-clauses with PRO (=null subject): • I hope to PRO learn something else – That-clauses • I believe that I’m not going to succeed – To-clauses without PRO (the so-called rising object) • I want him1 to t1 remain silent Xavier Frías-Conde 68 A to-clause Infinitive clauses in English must take to in most cases. Here the verb doesn’t rise (there’s no a-movement). PRO stands for an absent subject, which can never be overt (=explicit), but it coincides to be the same as in the main clause. IP I’ NP2 I1 VP A pro is instead an covert subject, which can be overt at any moment. In Romance languages or Czech this is quite usual. t2 V’ t1 CP C IP VP I V’ PRO I hope < e> to V AP be successful Xavier Frías-Conde 69 Clauses with –ing Clause with –ing are supposed no to have any kind of introductory particle (like to). IP I’ NP2 I1 VP t2 V’ t1 CP C IP VP I V’ PRO V I like < e> < e> playing Xavier Frías-Conde AP golf 70 A That-clause IP In this case, the that-clause behaves exactly as a simple clause, suffering all the amovements. I’ NP2 I1 VP t2 V’ CP t1 C IP I’ NP3 I VP V’ t3 V I hope that you will Xavier Frías-Conde be AP successful 71 Object rise Verbs like want, like, invite, offer, etc. “attract” the object of the completive sentence into the main one. IP CP is usually a border that can’t be overcome, however, certain verbs are strong enough to attract the subject of the second clause into the first one; however, they change their original nominative case into accusative, since there’s already one nominative-subject operator I’ NP2 I1 vp t2 v’ t1 VP NP3 V’ t1 CP C IP I t3 Clause border I VP t3 We want her < e> Xavier Frías-Conde to V study 72 Clauses with for Certain clauses are also to-completives, but they include a for which is usually accompanied by an object pronoun, in fact the subject of the completive clause. IP I’ NP2 I1 VP V’ t2 V’’ t1 PP P’ DP P CP NP3 C IP t3 I VP (e) t3 We bought the book for her to Xavier Frías-Conde V study 73 Final clauses in Portuguese work exactly the same, with the exception tha the subject remains in nominative because there’s no rise to the preposition node IP I’ pro2 I1 VP V’ t2 V’’ t1 PP DP P’ CP C’ NP3 C IP t3 I (e) VP t3 comprámos o livro para ela Xavier Frías-Conde V estudar 74 An attached clause: conditional clause A conditional clause is the typical example of an attached clause. It also works independently, though it must be introduced by means of a complementiser, in this case if, the usual link word. TopP’ TopP’ CP C IP IP T op I’ NP1 I VP V’ t1 V If you are hungry, you can Xavier Frías-Conde eat NP anything 75 Xavier Frías-Conde 76 7. Relative Clauses What a relative clause is • Relative clauses are formed by the union of two independent clauses having one common item You bought a book. The book was interesting You bought a book that was interesting • In the former examples, the book is considered the referent. The pronoun that needs this referent to acquire a meaning. • Relative pronouns have a syntactic function within the clause (subject, object, etc.) Xavier Frías-Conde 79 • One of the main differences between a completive and a relative clause lies on the place that the link words occupy – In completive clauses, the complementiser has no syntactic function, so it is a head. CP C’ <e> C IP – In relative clauses, the relative pronoun isn’t a complementiser, so it occupies a specifier position. CP NP C C IP <e> • Relative clauses are introduced by a CP. The behaviour of relative clauses is exactly the same of interrogative phrases. Xavier Frías-Conde 80 Relative pronoun as an object IP DP D I’ NP N I1 VP t2 CP V’ C’ DP t1 C <e> IP I’ DP4 I3 VP V’ t4 t3 The book that AP t4 you bought is very interesting That is here the object of the relative clause. It could also be omitted, in which case it would be a pro. Xavier Frías-Conde 81 Relative pronoun as a subject IP DP D I’ NP N I1 VP t2 CP V’ C’ DP t1 C <e> IP I’ . I3 VP V’ t4 t3 The man who AP jumped PP over the hedge is very funny Who is here the subject of the relative clause. That could also be possible here Xavier Frías-Conde 82 Relative pronoun within the object IP I’ DP I1 VP V’ t2 V’’ PP t1 DP D NP N CP C’ DP4 C IP I’ . I3 VP t4 I knew the man who t3 smiled Who is here the subject of the relative clause. That could also be possible here Xavier Frías-Conde 83 More questions relative pronouns • Other relative pronouns fulfil different functions. So, when or where have also a relative use even in time and place clauses, as in: – • concerning IP[ CP [ When the autumn arrives] , everybody gets nervous ] How may also work similarly in – IP[CP[How1 you manage your business t1]2 is a mystery t2] Xavier Frías-Conde 84