Doctor of Philosophy in English
Course: Modern Theories of Grammar
Lecture Notes: Chapter 11 – Generative Grammar
I. A Theory of Language
Generative grammar is a theory that seeks to describe the implicit knowledge native
speakers possess about their language—termed linguistic competence. Championed by
Noam Chomsky (1965), this theory postulates that a finite set of syntactic rules can
generate an infinite number of grammatically correct sentences. Unlike descriptive
grammars that catalog surface forms, generative grammar investigates deep, abstract
structures of language, considering grammar a mental system represented in the
mind/brain. It assumes that language is species-specific and part of the biological
endowment of humans.
II. Aspects of the Theory of Syntax
The syntactic component of generative grammar provides the rules and principles for
phrase structure and transformational processes. Central to this theory is phrase structure
rules, which construct hierarchically organized representations of sentences. Syntax also
employs transformational rules that alter these structures—for example, forming questions
or passives. These rules ensure the systematic correspondence between meaning and form.
Syntax, therefore, is not linear but hierarchical and recursive, allowing for embedded
structures and infinite productivity (Carnie, 2021).
III. Goals of Generative Grammar: Levels of Adequacy
Chomsky (1965) proposed three levels of adequacy:
1. Observational Adequacy – A grammar accounts for all observable utterances in a
language.
2. Descriptive Adequacy – A grammar reflects the linguistic intuitions of native speakers.
3. Explanatory Adequacy – The highest level, where a theory explains how linguistic
knowledge is acquired and constrained by Universal Grammar.
IV. Strict Subcategorization
Subcategorization refers to the lexical specification of what kinds and how many
complements a verb (or other predicate) requires. For example, 'devour' subcategorizes for
a direct object ('He devoured the meal'), while 'sleep' does not ('She sleeps'). Strict
subcategorization frames the limitations on possible sentence structures, preventing
ungrammatical formations. These restrictions are vital for generating only structurally and
semantically valid constructions (Radford, 2009).
V. Levels of Syntactic Representation
Generative grammar distinguishes between:
- Deep Structure (D-Structure): Represents the core grammatical relations and thematic
roles before transformations.
- Surface Structure (S-Structure): The final syntactic form that appears in spoken or written
language.
- Transformations: Rules or operations (e.g., movement, deletion) that convert D-Structures
into S-Structures (Chomsky, 1981).
VI. Topicalization and the Assignment of Thematic Roles
Topicalization involves moving a constituent to the front of a sentence for emphasis or
discourse purposes ('That book, I really enjoyed'). Despite this syntactic movement, the
thematic roles (like agent, patient, goal) remain assigned based on the verb’s argument
structure in deep structure. Generative grammar maintains that thematic role assignment
precedes transformations, preserving the semantic integrity of the sentence (Haegeman,
1994).
VII. Subject-Auxiliary Inversion
This transformation occurs in interrogative sentences, where the auxiliary verb moves to a
position before the subject ('She is singing → Is she singing?'). It is a hallmark of English
question formation and illustrates transformational movement at work. It also requires
knowledge of tense, subject agreement, and negation, emphasizing syntax's complexity.
VIII. Wh-Movement
In wh-questions, interrogative words ('who, what, where, etc.') are moved to the beginning
of the clause, known as wh-movement. This process involves both movement and inversion,
as seen in 'You saw who → Who did you see?'. Constraints such as island conditions restrict
wh-movement, providing evidence of deep structural rules (Radford, 2009).
IX. Imperative Sentences
Imperatives ('Close the door!') are directive speech acts characterized by the absence of an
overt subject, though syntactically they imply a second-person subject (you). Generative
grammar treats imperatives as distinct clause types with unique structural properties,
which nonetheless conform to transformational rules.
X. Verb Phrase (VP) Deletion
VP Deletion is an ellipsis operation where the verb phrase is omitted but understood from
context ('She can dance, and he can [ ] too'). This transformation underscores the generative
capacity of syntax to avoid redundancy, relying on syntactic identity and antecedent
tracking.
XI. There-Insertion
There-insertion introduces an expletive 'there' to fulfill the subject position in existential
sentences ('There is a book on the table'). The real subject appears post-verbally. This
construction demonstrates the syntactic need to fill obligatory positions in surface
structure, reflecting the Extended Projection Principle (EPP).
XII. Passive Construction
In passives ('The cake was eaten by Tom'), the object of an active sentence becomes the
subject. The passive transformation alters argument structure and visibility of agents. It is a
syntactic operation reflecting changes in thematic prominence while maintaining
grammatical integrity.
XIII. Government-Binding (GB) Theory
Introduced by Chomsky (1981), GB Theory modularized syntax into distinct subtheories:
- Core and Periphery: Core grammar contains universal, rule-based components; the
periphery includes language-specific exceptions.
- Principles and Parameters: Universal Grammar (UG) consists of innate principles and
parameters that vary by language.
- Modularity: Syntax is composed of independent modules including Theta Theory, Binding
Theory, Case Theory, etc.
References
Carnie, A. (2021). *Syntax: A generative introduction* (5th ed.). Hoboken, NJ: Wiley-
Blackwell.
Chomsky, N. (1965). *Aspects of the theory of syntax*. Cambridge, MA: MIT Press.
Chomsky, N. (1981). *Lectures on government and binding: The Pisa lectures*.
Dordrecht, The Netherlands: Foris Publications.
Chomsky, N. (1986). *Knowledge of language: Its nature, origin, and use*. New York, NY:
Praeger.
Haegeman, L. (1994). *Introduction to government and binding theory* (2nd ed.).
Oxford, UK: Blackwell.
Koopman, H., Sportiche, D., & Stabler, E. (2014). *An introduction to syntactic analysis
and theory*. Hoboken, NJ: Wiley-Blackwell.
Radford, A. (2009). *Analyzing English sentences: A minimalist approach*. Cambridge,
UK: Cambridge University Press.
