English Syntax: Basic Facts and In-Depth Analyses 3825256553, 9783825256555
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Table of contents :
Frontmatter
Cover
Impressum
Contents
Preface
List of abbreviations (alphabetical order)
List of abbreviations (structural order)
1 Basic Introduction and Syntactic Functions
1.1 Some Structural Facts and Layout Conventions
1.2 The Seven Syntactic Functions
1.3 Tricky Business: Oi vs. Oprep
2 The Internal Structure of Phrases
2.1 Characteristic Features of Phrases
2.2 The Noun Phrase (NP)
2.3 The Adjective Phrase (AdjP) and the Adverb Phrase (AdvP)
2.4 The Verb Phrase (VP)
2.5 The Prepositional Phrase (PP)
2.6 Tricky Business
2.6.1 Nouns in the Premodifier Slot of NPs
2.6.2 Embedding
2.6.3 Complementation
2.6.4 Complex Determinatives
3 Word Classes
3.1 Nouns
3.2 Adjectives and Adverbs
3.3 Adjectives vs. Adverbs
3.4 Pronouns and Determiners
3.5 Pronouns vs. Determiners
3.6 Prepositions and Conjunctions
3.7 Prepositions vs. Subordinating Conjunctions
3.8 Adverbs vs. Subordinating Conjunctions
3.9 Numerals
3.10 Words of Unique Function
3.11 Tricky Business
3.11.1 Some as an Adverb
3.11.2 Change of Word Class
4 The Verb
4.1 Distinction According to Word Class
4.1.1 Full Verbs
4.1.2 Modal Auxiliary Verbs
4.1.3 A Special Case of Modals: Catenative Verb Constructions
4.1.4 Primary Verbs
4.2 Copular Verbs
4.3 Multi-Word Verbs
4.3.1 Phrasal Verbs
4.3.2 Prepositional Verbs
4.3.3 Phrasal-Prepositional Verbs
4.3.4 Detection Rules
5 An Introduction to Complex Sentences
5.1 Clauses vs. Phrases
5.2 Sentences and Clause Combinations
5.3 Subordinate Clauses
5.3.1 Nominal Clauses
5.3.2 Adverbial Clauses
5.4 Embedded Clauses
5.5 Summary: Syntactic Functions of Dependent Clauses
6 Finite Clauses
6.1 Adverbial Clauses
6.2 Wh-Clauses
6.3 That-Clauses
6.4 Attributive Relative Clauses
6.5 Nominal Relative Clauses
6.6 Sentential Relative Clauses
6.7 Comparative Clauses
6.8 Tricky Business: Is that Still a Problem?
7 Non-Finite Clauses and Verbless Clauses
7.1 -ing-Participle Clauses
7.1.1 Subordinate -ing-Participle Clauses
7.1.2 Attributive -ing-Participle Clauses
7.2 -ed-Participle Clauses
7.2.1 Subordinate -ed-Participle Clauses
7.2.2 Attributive -ed-Participle Clauses
7.3 to-Infinitive Clauses
7.3.1 Subordinate to-Infinitive Clauses
7.3.2 Attributive to-Infinitive Clauses
7.4 Bare Infinitive Clauses
7.5 Verbless Clauses
7.6 Tricky Business
7.6.1 Catenative Verbs and Non-Finite Forms
7.6.2 Gradience in Non-Finite Clauses
8 Appositions
8.1 Definition and Terminology
8.2 Different Forms of Apposition
8.2.1 Phrasal Apposition
8.2.2 Clausal Apposition
8.3 Indicators of Apposition
8.4 Tricky Business
8.4.1 The Appositive of-Phrase
8.4.2 Distinguishing Apposition from Coordination
9 Coordination
9.1 Terminology and Basic Structures
9.2 Coordinators
9.3 Types of Coordination
9.4 The Analysis of Coordination
9.4.1 The Ellipsis Strategy
9.4.2 The Conjoint Strategy
9.4.3 The Shift Strategy
9.4.4 Detection Rules
10 Means of Emphasis and Other Deviating Sentence Patterns
10.1 Theme and Rheme
10.2 Fronting and Inversion
10.3 Cleft Sentences Proper and Pseudo-Cleft Sentences
10.4 Extraposition of Clausal Subjects and Objects
10.5 Existential Constructions
11 Practice Makes Perfect
11.1 Easy Sentences
11.2 Moderate Sentences
11.3 Difficult Sentences
Backmatter
References
Primary Sources
Secondary Sources
Secondary Online Sources
Index
Citation preview
Jenny Arendholz (Ed.)
English Syntax Basic Facts and In-Depth Analyses
utb 5655
Eine Arbeitsgemeinschaft der Verlage Brill | Schöningh – Fink · Paderborn Brill | Vandenhoeck & Ruprecht · Göttingen – Böhlau Verlag · Wien · Köln Verlag Barbara Budrich · Opladen · Toronto facultas · Wien Haupt Verlag · Bern Verlag Julius Klinkhardt · Bad Heilbrunn Mohr Siebeck · Tübingen Narr Francke Attempto Verlag – expert verlag · Tübingen Psychiatrie Verlag · Köln Ernst Reinhardt Verlag · München transcript Verlag · Bielefeld Verlag Eugen Ulmer · Stuttgart UVK Verlag · München Waxmann · Münster · New York wbv Publikation · Bielefeld Wochenschau Verlag · Frankfurt am Main
Dr. Jenny Arendholz is a senior lecturer at Ludwig-Maximilians-University Munich (LMU) and teaches English linguistics and language courses.
Jenny Arendholz (Ed.)
English Syntax Basic Facts and In-Depth Analyses
Narr Francke Attempto Verlag · Tübingen
Umschlagabbildung © Hannah Jahner, Sandra Neigefind und Jenny Arendholz Bibliografische Information der Deutschen Nationalbibliothek Die Deutsche Nationalbibliothek verzeichnet diese Publikation in der Deutschen Nationalbibliografie; detaillierte bibliografische Daten sind im Internet über http://dnb.dnb.de abrufbar.
© 2022 · Narr Francke Attempto Verlag GmbH + Co. KG Dischingerweg 5 · D-72070 Tübingen Das Werk einschließlich aller seiner Teile ist urheberrechtlich geschützt. Jede Verwertung außerhalb der engen Grenzen des Urheberrechtsgesetzes ist ohne Zustimmung des Verlages unzulässig und strafbar. Das gilt insbesondere für Ver‐ vielfältigungen, Übersetzungen, Mikroverfilmungen und die Einspeicherung und Verarbeitung in elektronischen Systemen. Internet: www.narr.de eMail: [email protected] Einbandgestaltung: Atelier Reichert, Stuttgart CPI books GmbH, Leck utb-Nr. 5655 ISBN 978-3-8252-5655-5 (Print) ISBN 978-3-8385-5655-0 (ePDF) ISBN 978-3-8463-5655-5 (ePub)
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Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
List of abbreviations (alphabetical order) . . . . . . . . . . . . . . . . . . . . . . . . . . 13 List of abbreviations (structural order) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 1
Basic Introduction and Syntactic Functions – Jenny Arendholz . . . 21
1.1 1.2 1.3 2
The Internal Structure of Phrases – Jenny Arendholz . . . . . . . . . . . 35
2.1 2.2 2.3 2.4 2.5 2.6 2.6.1 2.6.2 2.6.3 2.6.4 3
Some Structural Facts and Layout Conventions . . . . . . . . . 21 The Seven Syntactic Functions . . . . . . . . . . . . . . . . . . . . . . . 25 Tricky Business: Oi vs. Oprep . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Characteristic Features of Phrases . . . . . . . . . . . . . . . . . . . . . The Noun Phrase (NP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Adjective Phrase (AdjP) and the Adverb Phrase (AdvP) The Verb Phrase (VP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Prepositional Phrase (PP) . . . . . . . . . . . . . . . . . . . . . . . . Tricky Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nouns in the Premodifier Slot of NPs . . . . . . . . . . . . . . . . . . Embedding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Complementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Complex Determinatives . . . . . . . . . . . . . . . . . . . . . . . . . . . .
36 37 40 42 45 47 47 48 50 52
Word Classes – Michaela Pitsch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
3.1 3.2 3.3 3.4 3.5 3.6
Nouns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adjectives and Adverbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adjectives vs. Adverbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pronouns and Determiners . . . . . . . . . . . . . . . . . . . . . . . . . . . Pronouns vs. Determiners . . . . . . . . . . . . . . . . . . . . . . . . . . . Prepositions and Conjunctions . . . . . . . . . . . . . . . . . . . . . . .
58 60 64 66 71 72
6
Contents
3.7 Prepositions vs. Subordinating Conjunctions . . . . . . . . . . . 3.8 Adverbs vs. Subordinating Conjunctions . . . . . . . . . . . . . . . 3.9 Numerals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.10 Words of Unique Function . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11 Tricky Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.1 Some as an Adverb . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.11.2 Change of Word Class . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
The Verb – Sandra Neigefind . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.2 4.3 4.3.1 4.3.2 4.3.3 4.3.4 5
Distinction According to Word Class . . . . . . . . . . . . . . . . . . 88 Full Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 Modal Auxiliary Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 A Special Case of Modals: Catenative Verb Constructions 94 Primary Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 Copular Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 Multi-Word Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 Phrasal Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Prepositional Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 Phrasal-Prepositional Verbs . . . . . . . . . . . . . . . . . . . . . . . . . . 104 Detection Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
An Introduction to Complex Sentences – Hannah Jahner & Jenny Arendholz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
5.1 5.2 5.3 5.3.1 5.3.2 5.4 5.5 6
76 78 79 83 85 85 86
Clauses vs. Phrases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Sentences and Clause Combinations . . . . . . . . . . . . . . . . . . . 110 Subordinate Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 Nominal Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 Adverbial Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 Embedded Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 Summary: Syntactic Functions of Dependent Clauses . . . . 121
Finite Clauses – Jenny Arendholz & Michaela Pitsch . . . . . . . . . . . . 123
6.1 6.2 6.3
Adverbial Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 Wh-Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 That-Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
Contents
6.4 6.5 6.6 6.7 6.8 7
-ing-Participle Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 Subordinate -ing-Participle Clauses . . . . . . . . . . . . . . . . . . . 184 Attributive -ing-Participle Clauses . . . . . . . . . . . . . . . . . . . . 190 -ed-Participle Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 Subordinate -ed-Participle Clauses . . . . . . . . . . . . . . . . . . . . 194 Attributive -ed-Participle Clauses . . . . . . . . . . . . . . . . . . . . . 197 to-Infinitive Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 Subordinate to-Infinitive Clauses . . . . . . . . . . . . . . . . . . . . . . 201 Attributive to-Infinitive Clauses . . . . . . . . . . . . . . . . . . . . . . 205 Bare Infinitive Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 Verbless Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210 Tricky Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 Catenative Verbs and Non-Finite Forms . . . . . . . . . . . . . . . . 215 Gradience in Non-Finite Clauses . . . . . . . . . . . . . . . . . . . . . . 217
Appositions – Franziska Kirchhoff . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
8.1 8.2 8.2.1 8.2.2 8.3 8.4 8.4.1 8.4.2 9
Attributive Relative Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . 139 Nominal Relative Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 Sentential Relative Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 Comparative Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 Tricky Business: Is that Still a Problem? . . . . . . . . . . . . . . . . 175
Non-Finite Clauses and Verbless Clauses – Lioba Arnoldi . . . . . . . 179
7.1 7.1.1 7.1.2 7.2 7.2.1 7.2.2 7.3 7.3.1 7.3.2 7.4 7.5 7.6 7.6.1 7.6.2 8
7
Definition and Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . 223 Different Forms of Apposition . . . . . . . . . . . . . . . . . . . . . . . . 225 Phrasal Apposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225 Clausal Apposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 Indicators of Apposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 Tricky Business . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235 The Appositive of-Phrase . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235 Distinguishing Apposition from Coordination . . . . . . . . . . 238
Coordination – Jenny Arendholz . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
9.1 9.2
Terminology and Basic Structures . . . . . . . . . . . . . . . . . . . . . 241 Coordinators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
8
Contents
9.3 9.4 9.4.1 9.4.2 9.4.3 9.4.4 10
Means of Emphasis and Other Deviating Sentence Patterns – Jenny Arendholz . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
10.1 10.2 10.3 10.4 10.5 11
Types of Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 The Analysis of Coordination . . . . . . . . . . . . . . . . . . . . . . . . 258 The Ellipsis Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 The Conjoint Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261 The Shift Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 Detection Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
Theme and Rheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fronting and Inversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cleft Sentences Proper and Pseudo-Cleft Sentences . . . . . . Extraposition of Clausal Subjects and Objects . . . . . . . . . . . Existential Constructions . . . . . . . . . . . . . . . . . . . . . . . . . . . .
272 273 277 282 288
Practice Makes Perfect – Britta van den Berg & Jenny Arendholz . 291
11.1 Easy Sentences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 11.2 Moderate Sentences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 11.3 Difficult Sentences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355
Primary Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355 Secondary Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 Secondary Online Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
Preface “Isn’t there a book where I can read up on all this and practice syntactic analyses myself?” I’ve been asked this question a lot in the past 14 years and so far, the answer has always been “I’m afraid not.” After all, students could either resort to voluminous grammar books, which no one ever reads from cover to cover, or to slim booklets containing model solutions but hardly any explanations. So, in 2018, I finally decided that it was time to write that book myself. I was extremely lucky to be able to enlist a handful of very talented students for this project. Together, we joined forces and wrote a book that we as students, tutors, teachers and lecturers have been wanting for a long time. So, in a way, this volume is the result of years of learning and teaching syntax as it collects and answers all the pivotal questions that always come up in syntax classes at all levels. For that reason, this book not only offers basic insights to students in introductory classes but also helps advanced students to brush up on their knowledge of syntax and to drill their analytical skills in preparation for their (final) exams. By combining teachers’ and students’ perspectives, we tried to present this branch of linguistics in a way that would make syntax and syntactic analyses, with all their intricacies and pitfalls, more accessible and comprehensible, hopefully even enjoyable. In contrast to some collections of model solutions available to students, we uphold the function/form pairing almost religiously and definitely at all times. Therefore, our prepositional phrases, to give one example, always start with prep: prep, one prep for function in the phrase, one prep for the form, i.e. the word class of an element. This becomes particularly relevant in Chapter 9 “Coordination” where we do not omit part of a level, leaving out either a functional or a formal label, just to facilitate our analysis. You will also come to notice that we always opted for the most precise term available in our analyses. For instance, we use clause labels such as attributive -ing-participle clause instead of participle clause or an even more general term such as non-finite clause. In doing so, our aim is to get you to see the bigger picture of syntactic structures and, of course, to leave no question unanswered as far as possible. So, depending on your reason for studying syntax with this book, it will be for you to decide which level of accuracy and detail best fits your purpose. For that matter, the same holds true when it comes to approaching the content of the book in general. Each chapter
10
Preface
introduces the rather basic facts about a topic first before moving on to more difficult aspects. Particularly complex issues are more often than not saved up for the last part of a chapter and discussed in detail in sections called “Tricky Business”. Sample analyses are constantly provided throughout each chapter, paralleling the increasing complexity of the content discussed. This book is the direct result of meticulously screening and often chal‐ lenging Quirk et al.’s The Comprehensive Grammar of the English Language (1985) – or CGEL for short – which explains the large number of references to and quotes from Quirk et al.’s renowned work on constituency grammar. To keep the short citation really as short as possible yet to facilitate easy access to the relevant passages in a grammar book that runs to more than 1700 pages, we use the acronym CGEL followed by two numbers (e.g. CGEL 1208, 16.55) to indicate the page and the relevant chapter in the CGEL, respectively. To avoid cluttering our short citation, we deliberately refrained from marking those instances in which we did not adopt every minute bit of formatting (e.g. small caps) that is present in the original quote. For the same reason, most of the example sentences presented in the chapters do not come with short citations. After all, they were taken from the same CGEL chapters as the surrounding theory. It is no accident that we review a lot of classic, at times slightly archaic, declarative sentences from the CGEL as we have experienced that students are often quite familiar with the example sentences as such, but have never seen their full syntactic analysis. This is why we often went hunting for clues in the CGEL, trying to piece together complete analyses. Whenever we found pieces missing, we filled the gaps and resorted to suggesting solutions which we deem most appropriate. In addition to shining a light on sentences that were published already back in 1985, we also turned our attention to present-day sentences when drawing up the application-oriented Chapter 11 “Practice makes Perfect”. The practice sentences in this chapter date from the end of 2017 to the beginning of 2019 and were mostly taken from three British online newspapers and two American ones. Our selection of texts was guided by their topic. After all, the sentences should be culturally relevant and understandable without further contextual information. We worked on this book for three years and allowed for certain topics and issues to evolve and mature over time. We composed our chapters and syntactic analyses very diligently and carefully checked for mistakes and inconsistencies. Yet, syntax trees are prone to attract flaws, especially when
Preface
so many of them are drawn up at the same time. So, it should go without saying that all remaining flaws are our own. It would not have been possible to write this book without so many different contributions from many people. First of all, I owe thanks to Brigitta Mittmann, my first syntax teacher back in the day at Augsburg University, not only for sparking my interest in the topic but also for giving excellent syntax lessons from which I have profited greatly. I’m also grateful to many friends and colleagues, among them Monika Kirner-Ludwig, Christina San‐ chez-Stockhammer and Hans-Jörg Schmid, for taking the time to contribute to the success of this project in various ways. I also owe a lot of thanks to Eva Faistenhammer for keeping the project website up-to-date. I am especially indebted to Melanie Keller for proofreading the entire manuscript and for ensuring that we constructed idiomatically and syntactically correct English sentences. A very special thanks goes to my lovely colleagues Gill Woodman and Renate Schruff for being the wonderful people they are, for their moral and hands-on support and for their constant reassurance that the cavalry is always nearby and ready if needed. Felix Bokelmann deserves special thanks for his support, advice and guidance, enabling us to get generous funding for the project from “Lehre@LMU” – not once, but four times! – thus making it possible for the team of writers to get together in the beautiful Allgäu Alps for two highly productive conferences. In this context, I would also like to express my thanks to the wonderfully peaceful guest house “AllgäuWeite” for hosting us both times. I also wish to thank LMU’s “Karrierefond” for the funds to hire a highly valued student assistant who later became in charge of a chapter. Thanks also go to so many of my former students from syntax classes present and past for asking clever questions, thereby uncovering problems and inconsistencies in the CGEL. Special thanks go to Lisa Dafinger and Sybille Homes for their preliminary outlines of chapters as well as for their contributions in early discussions. I am also unbelievably grateful to Zarah Zein, Xaver Boxhammer and Carolin Kosney for taking great care of the formatting of the entire manuscript. In this context, thanks also go to Corina Popp, Kathrin Heyng, Katharina Gerhardt and Arkin Keskin at Narr Francke Attempto Verlag for guiding me through the publishing process. I’m also highly indebted to those former students of mine who got bitten by the syntax bug so badly that they unhesitatingly signed up for this project. They are my extraordinary team of co-authors composed of Lioba Arnoldi,
11
12
Preface
Sandra Neigefind, Hannah Jahner, Franziska Kirchhoff, Michaela Pitsch and Britta van den Berg. I would like to thank them so much for their hard work, enthusiasm and meticulous attention to detail at every stage of the project. It’s not often, and therefore much appreciated, that busy, full-time students voluntarily dedicate so much time to a project – let alone actually have a whale of a time discussing syntactic subtleties for hours. Hannah Jahner and Sandra Neigefind spontaneously agreed to design our beautiful book cover featuring the seven dwarfs Sandra created for Chapter 1. I couldn’t be happier with the results and thank both of them very much. Britta van den Berg read the entire manuscript twice from cover to cover to make sure the first round of formatting was consistent and the list of abbreviations complete. A great deal of thanks also go to Lioba Arnoldi for her spontaneous help in proofreading the index. I would like to express my thanks to Franziska Kirchhoff for taking the extra time to get acquainted with an extremely helpful web application written and kindly provided by my colleague Quirin Würschinger. I cannot thank him enough for not only letting me use this tool but also for being available for help and advice in using it. Our syntax trees would look a lot less appealing without these two people and their technical support and supervision. On a related note, I’m especially indebted to my dear husband Frank for putting his self-taught programming skills to good use and compiling every single tree that can be admired in this book. And finally, I’ll always be grateful to (and for) my incredible seven-year-old daughter for her cheerfulness, understanding and most of all her unwavering willingness to help with the book. Without her, life and work would not be the same. Jenny Arendholz Munich, December 2021
List of abbreviations (alphabetical order) A
adverbial
adj
adjective
AdjP
adjective phrase
adv
adverb
adv bare inf cl
adverbial bare infinitive clause
adv cl
adverbial clause
adv -ed-part cl
adverbial -ed-participle clause
adv -ing-part cl
adverbial -ing-participle clause
AdvP
adverb phrase
adv to-inf cl
adverbial to-infinitive clause
adv vless cl
adverbial verbless clause
attr -ed-part cl
attributive -ed-participle clause
attr -ing-part cl
attributive -ing-participle clause
attr rel cl
attributive relative clause
attr that-cl
attributive that-clause
attr to-inf cl
attributive to-infinitive clause
attr wh-cl
attributive wh-interrogative clause
aux v
auxiliary verb
bare inf cl
bare infinitive clause
cat v
catenative verb
CO
object complement
co conj
coordinating conjunction
comp cl
comparative clause
14
List of abbreviations (alphabetical order)
comp-element
comparative element
compl
complementation
compl det
complex determiner
compl prep
complex preposition
compl sub conj
complex subordinating conjunction
comp n
compound noun
conj
conjoin
coord
coordination
correl sub conj
correlative subordinating conjunction
CS
subject complement
def rel cl
defining/restrictive relative clause
det
determiner
dtm
determinative
-ed-part cl
-ed-participle clause
ellipt.
elliptical
exist. there
existential there
fv
full verb
Gen.
genitive
h
head
ind appos
indicator of apposition (FU and FO)1
1
Note that FU and FO are used as abbreviations to point to functional and formal levels, respectively.
List of abbreviations (alphabetical order)
inf mark
infinitive marker (FU and FO)
-ing-part cl
-ing-participle clause
int adv
interrogative adverb
int det
interrogative determiner
int pron
interrogative pronoun
marg mod aux
marginal modal auxiliary
marg prep
marginal preposition
mod aux
modal auxiliary
mod id
modal idiom
mv
main verb
n
noun
neg
negation
neg part
negative particle
nom bare inf cl
nominal bare infinitive clause
nom -ed-part cl
nominal -ed-participle clause
nom -ing-part cl
nominal -ing-participle clause
nom rel cl
nominal relative clause
nom that-cl
nominal that-clause
nom to-inf cl
nominal to-infinitive clause
nom vless cl
nominal verbless clause
nom wh-cl
nominal wh-interrogative clause
non-def rel cl
non-defining/non-restrictive relative clause
NP
noun phrase
num
numeral
15
List of abbreviations (alphabetical order)
16
Oant
anticipatory object (extraposition)
Od
direct object
Oi
indirect object
Opost
postponed object (extraposition)
Oprep
prepositional object
phr-prep v
phrasal-prepositional verb
phr v
phrasal verb
pn
proper noun
postmod
postmodifier
postmod (appos)
appositive postmodifier
PP
prepositional phrase
premod
premodifier
premod (appos)
appositive premodifier
prep
preposition (FU and FO)
prep adv
prepositional adverb
prepC
prepositional complement
prep v
prepositional verb
pron
pronoun
pv
primary verb
rel adv
relative adverb
rel det
relative determiner
rel pron
relative pronoun
S
subject
Sant
anticipatory subject (extraposition)
List of abbreviations (alphabetical order)
Scomp
compound sentence (coordination)
Sgr
grammatical subject (existential constructions)
Snot
notional subject (existential constructions)
Spost
postponed subject (extraposition)
semi aux
semi-auxiliary verb
sent rel cl
sentential relative clause
sub
subordination
sub conj
subordinating conjunction
subj mark
subject marker (FU and FO)
that-cl
that-clause
to-inf cl
to-infinitive clause
V
verb
vless cl
verbless clause
VP
verb phrase
wh-cl
wh-clause
zero rel pron
zero relative pronoun
17
List of abbreviations (structural order) Based on our alphabetical list of abbreviations, we compiled a list of the abbreviations actually1 found in syntactic analyses. We also rearranged them to directly show whether: a. the concept (and its abbreviation) belongs to a formal or a functional level, b. the concept (and its abbreviation) are immediate constituents of clau‐ ses2 or phrases. Please note that the abbreviations are otherwise in alphabetical order. The abbreviations (e.g. prep) used both on a formal and functional level are necessarily listed twice.
in clauses
functional level
formal level
syntactic functions
phrases
■ ■ ■ ■
■ ■ ■ ■ ■
■ ■ ■ ■
1 2
A CO CS Od (incl. the variations Oant and Opost) Oi Oprep S (incl. the variations Sgr, Sant, Snot and Spost) V
AdjP AdvP NP PP VP
subordinate clauses ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■
adv bare inf cl adv cl adv -ed-part cl adv -ing-part cl adv to-inf cl adv vless cl nom bare inf cl nom -ed-part cl nom -ing-part cl nom rel cl nom that-cl nom to-inf cl nom vless cl
Some abbreviations are introduced as auxiliary constructs to help explain a certain concept but never appear in an analysis, e.g attr rel cl in Chapter 6 and -ed-part cl in Chapter 7. The ultimate clause is, of course, the sentence (see Chapter 5).
20
List of abbreviations (structural order)
■ nom wh-cl ■ sent rel cl in phrases
phrase internal functions
embedded clauses
■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■
■ ■ ■ ■ ■ ■ ■ ■
aux v compl coord dtm h ind appos inf mark mv neg postmod postmod (appos) premod premod (appos) prep prepC sub subj mark
attr -ed-part cl attr -ing-part cl attr that-cl attr to-inf cl attr wh-cl comp cl def rel cl non-def rel cl
word classes ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■
adj adv cat v co conj compl det compl prep compl sub conj comp n correl sub conj det exist. there fv ind appos inf mark int adv int det int pron marg mod aux marg prep mod aux mod id n neg part num phr-prep v phr v pn prep prep adv prep v pron pv rel adv rel det rel pron semi aux sub conj subj mark
1 Basic Introduction and Syntactic Functions Jenny Arendholz In very broad strokes, analyzing a sentence syntactically means attributing a function and a form to smaller units within this sentence. This chapter sets out to describe some general rules on how to proceed when doing so. Knowing basic structural facts relevant for every syntactic analysis, including standardized conventions for the layout of an analysis, often helps to avoid typical mistakes from the start. After that, the seven syntactic functions will be briefly introduced. What follows are some guidelines on how to tell those seven functions apart. 1.1 Some Structural Facts and Layout Conventions As can be seen in Figure 1, a full-fledged syntactic analysis can consist of various levels (in this case five levels), always depending on the length of the sentence. Every single level is a pairing of a function (FU) and a form (FO); the function is determined first, then the corresponding form. Once the number of chunks, i.e. constituents, has been determined in a sentence, we can label them by choosing from the list of seven syntactic functions (see Section 1.2 below). The sentence in Figure 1 consists of three syntactic functions on the first level: a subject (S), a verb (V) and a subject complement (CS). To every function, one form is attributed – in the example above a noun phrase (NP), a verb phrase (VP) and a nominal to-infinitive clause, respectively.
22
1 Basic Introduction and Syntactic Functions
s
S: NP
dtm: det
The
premod: adj
prudent
h: n
thing
postmod: attr to-inf cl
V: VP
A: PP
inf mark: inf mark
to
mv: pv
do
prep: prep
at
prepC: NP
V: VP
h: n
point is
V: VP
Od : NP
1st
this
mv: pv
CS : nom to-inf cl
Level:
dtm: det
2nd
inf mark: inf mark
to
mv: fv
ignore
dtm: det
the
h: comp n
weather report.
3rd
4th
5th
Figure 1: Example sentence with five levels of analysis
Note: Within one level of analysis, there has to be a 1:1 relationship between function and form, which is always indicated by a colon. Determining three syntactic functions thus necessitates attributing three forms to them! A form, such as a noun phrase (see Chapter 2.2), can be used with various functions. To illustrate this, consider the two sentences The dog bit the postman. vs. The postman bit the dog. Both the dog and the postman are noun phrases, which can both be used either as a subject or as an object (resulting in different meanings of the sentences, of course). Although the formal name we attach to the constituent remains stable – a noun phrase always remains a noun phrase – the syntactic function it fulfills may vary. This is comparable to the non-syntactic example of a man named John Black. His form is always the same, i.e. he is a man of a certain height and with a certain hair color and eye color, etc., named John Black, though his functions may vary depending on the situation. He might be a customer in a supermarket, a teacher, a dog
1.1 Some Structural Facts and Layout Conventions
owner or a patient at the dentist’s. Nevertheless, it is always the same form that is used in various functions.1 In applying the notational system proposed by Aarts/Aarts (1988), one word each is noted on one line in a flush right arrangement. This does not, however, hold for compound nouns (e.g. weather report, Figure 1), which can be written as one word on one line (see also Chapter 3.1). For reasons of readability, it is possible to conduct minor changes in the order of the elements of the sentence, thus reuniting chunks that have been separated by other chunks, most typically verbs that have been interrupted by an adverbial. Figure 2 displays changes like these with the help of the example She has suddenly left him. She has suddenly left him. = original order
She has ➔ left suddenly him.
Do not forget to mark the change in the original word order, e.g. by an arrow, and also comment on your reasons for doing so, e.g. in a footnote.
= changed order
Figure 2: Example sentence with original and changed order
Working your way through the analysis of a sentence from left to right and from larger to smaller units, you should always come up with pairings of functions and forms and end on a formal level by categorizing single items in terms of their word classes. As should also become evident by looking at Figure 1, the combination of functional and formal labels is always noted at the topmost line of the respective constituent. It goes without saying that this convention is valid for all levels of analysis. While colons link a function to a form, lines are used to indicate the transition to the next level. In between levels, there is no 1:1 relation, as can be seen in the subject and subject complement slot of the example sentence in Figure 1: on the second level, the internal structure of the noun phrase, the verb phrase and the to-infinitive clause are analyzed – again in terms of functions and then forms. The same procedure is repeated on every following level.
1
For this non-syntactic comparison, I am indebted to Brigitta Mittmann.
23
24
1 Basic Introduction and Syntactic Functions
Obviously, labeling structures requires knowing the extent of a constitu‐ ent, i.e. when one constituent ends and the next one starts. A simple test involves replacing the chunk under investigation with the pronouns it or something. The elements that remain untouched by that change must belong to the next syntactic constituent. This method works perfectly well with sentence (1) (CGEL 1049, 15.4): (1)
That the invading troops have been withdrawn has not affected our govern‐ ment’s trade sanctions.
→
(1a) [Something] has not affected our government’s trade sanctions.
→
(1b) That the invading troops have been withdrawn has not affected [it].
Sentence (1a) proves that the rather long first segment is in fact one constituent (not two or three), namely the S (represented by a clause), while sentence (1b) confirms that our government’s trade sanctions is also only one constituent, namely the direct object (Od, represented by one noun phrase, NP). One of the most important building blocks necessary for a successful syntactic analysis is to know the difference between functions and forms or, put differently, from which set to choose on which level. The following table serves as a guideline as well as a preview of the chapters to come:
functions
forms
category name
selection of exam‐ ples
where?
syntactic functions
S, V, O, etc.
Ch. 1
phrase-internal func‐ tions
head, premodifier, postmodifier, etc.
Ch. 2
phrases or clauses
NP, VP etc. or nominal Ch. 2, Ch. 5, Ch. 6 that-clause, etc. & Ch. 7
word classes
noun, adjective, prep‐ Ch. 3 & Ch. 4 osition, etc.
Table 1: Outline of forms and functions to choose from (with references to chapters to come)
1.2 The Seven Syntactic Functions
1.2 The Seven Syntactic Functions We can choose from seven syntactic functions: the subject (S), the verb (V), the indirect object (Oi), the direct object (Od), the subject complement (CS), the object complement (CO) and the adverbial (A). As a little mnemonic device, the seven dwarves might come in handy (see Figure 3):
Figure 3: Seven dwarves for seven syntactic functions (mnemonic device)
These seven functions can be found on the first syntactic level when segmenting sentences for the first time (see Figure 1, level 1), but also every time we have to analyze clauses within the sentence. In very broad strokes (but see Chapters 5, 6 and 7 for far more details on dependent clauses), clauses on whichever level are dealt with just like a sentence on the first level: once again, we look for our seven syntactic functions. Beyond S, V, CS on the first functional level, the sentence in Figure 1 also features a V and a Od on the 2nd level, both being syntactic functions inside the nominal to-infinitive clause of the 1st level, as well as a V and an A on the 3rd level, which are in turn syntactic structures inside the nominal to-infinitive clause of the 2nd level. As this example perfectly illustrates, it should not come as a surprise to not only find the basic seven syntactic functions on the first level of analysis! The goal of the remainder of this chapter is quite straightforward: to characterize those seven syntactic functions (Table 2) and to find ways to distinguish them from one another (Table 3).
25
26
1 Basic Introduction and Syntactic Functions
function
semantic role (Kortmann 2009: 134)
form
S
agent, i.e. the person (or the thing) carrying out ■ a noun phrase the action denoted by the verb of the sentence ■ a clause
V
action of the sentence (anchor of the sentence, ■ see valency and transitivity)
Oi
(usually) someone who benefits from the ac‐ tion of the verb (benefactive or recipient) or the goal of the action
■ a noun phrase ■ a clause
Od
patient, i.e. someone (or something) who is affected by the action denoted by the verb
■ a noun phrase ■ a clause
CS
complements the subject, is referentially iden‐ ■ tical with the subject and further characterizes ■ it ■
CO
complements the object, is referentially iden‐ ■ a noun phrase tical with the object and further characterizes ■ an adjective it phrase ■ a clause
A (“dustbin” category)
contains (mostly optional) information about ■ a noun phrase the circumstances with regard to time, place, ■ an adverb phrase reason, etc. ■ a prepositional phrase ■ a clause
always a verb phrase
a noun phrase an adjective phrase a clause
Table 2: Semantic roles and typical forms associated with the seven functions
If you still cannot decide what kind of syntactic function you are looking at based on the semantic role or on the form of the constituent, you might want to try one of the following tests. Except for the verb, every constituent can be determined by means of some very basic syntactic tests (see Table 3):
Musterdatei NFA_UTB.dot NFA_UTB.dot Musterdatei
Musterdatei function NFA_UTB.dot test(s) examples 1 S ► passive-test: The dog bit the postman. function test(s) examples can be transS V O 1.2 TheS Seven Syntactic Functions 1 d ► passive-test: The dog bit the postman. formed into a can be transS V Od function test(s)into by-agent prepo-a The postman wasexamples bitten by the dog. function test(s) examples formed 1 1 sitional phrase S V A dog. S ► passive-test: The dog bit the postman. S ► passive-test: dog bit the postman. by-agent The postman was bitten by the function test(s) function test(s) prepo- examples examples can be transS V O functioning as A dd can be2 can transS dog V the postman. OV 1 sitional phrase S bit A S passive-test: S ► passive-test: The formed into a Oi ► passive-test: can John gave Mary the book. formed into a functioning as A be transformed into can be transS V Od by-agent prepobitten become the subS postman V Mary Owas Obook. i the d by a► by-agent preposi‐ by-agent prepoThe was bitten by the the dog. dog. Oi passive-test: cana The John gave formed into postman sitional phrase S V A ject of athe corretionalby-agent phrase func‐ sitional phrase S V A become subS V O O i d prepo- The postman was bitten by the dog. tioning as of A a correfunctioning as A sponding pasMary was functioning as A ject sitional phrase S given the V book. A O ► passive-test: can John gave Mary the book. sive sentence S V i d Oi Oi passive-test: can be‐ ► functioning passive-test: can John gave Mary the O sponding paswas given book. as A Mary become thesome subV come the sentence subject of ► with SS gave ddd become the subV Mary Oii theO O sive VO Obook. Oi ► passive-test: can John a► corresponding pas‐ ject of a corre verbs, the O can John gave the book to i ject of a correwith become thesome sub- S V Oi OdMary. sive sentence sponding pasMary was given the book. also be put after S V O AMary. d theto sponding Mary was given book. verbs,ofthe can John the book ipasject a O corre gave sive Osentence sentence SS V V the indd d when sive V Od the O O also be put after A sponding pas- Mary was given book. with some verbs, the ► with some troduced by a ► sive with some the O in- S d when sentence V Od Oi canpreposition, also be verbs, theput Oby cana John gave the book to Mary. i can verbs, the O John gave the book to Mary. troduced i ► with some O when in‐ after the d also be bebecoming put after after SS V O A thus dd also put V O A preposition, verbs, Oi can John gave the book to Mary. troduced bythe a prep‐ the A Odd becoming whenSecinan (see the O when inthus also be put after S V Od A osition, thus becom‐ troduced by a tion 1.3) troduced by a an A (see Secining anthe AO (see Section d when preposition, Od ► passive-test: preposition, tion 1.3) bycana John gave Mary the book. 1.3) troduced thus becoming becoming become the be‐ subS gave V Mary Oi theObook. d thus Od Od passive-test: can ► preposition, passive-test: can John an A (see Secject ofbecoming athecorreS V comethus theAsubject of an (see Secbecome subOi Od tion 1.3) a corresponding pas‐ sponding pasThe book was given to Mary by John. tion 1.3) ject Aof (see a correan Sec- sive sentence O ► passive-test: can John gave Mary the book. sive sentence S V A d Od ► tion passive-test: can The Johnbook gavewas Mary the to book. sponding pasgiven Mary byAJohn. 1.3) become the subS V O O ii dd A become the subS S gave V Mary OV sive sentence A Musterdatei NFA_UTB.dot Od ► passive-test: can John theObook. CS CS passive-test: ject of of cannot a correcorre- ► passive-test: The president seems extremely annoyed. ject a become the sub- S V Oi Od become the subject of The sponding paswas given Mary cannot become S book V to Cannoyed. SJohn. sponding pasbook was given to Mary by by John. CS ► ject passive-test: The president seems extremely of a corre- a corresponding pas‐ sive sentence S V A A the subject of a sive sentence S V A A cannot become S V C sponding pas- The book was given to Mary bySJohn. sive sentence correspond-ding *Extremely annoyed is seemed by the presithe subject sive sentenceof a S V A A C ► passive-test: The seems passive sentence dent.president S CS ► passive-test: The president seems extremely extremely annoyed. correspond-ding *Extremely annoyed is seemed annoyed. by the presi► always follows extremely annoyed. always follows a cop‐aa The cannot become SS president V Sannoyed. ► always follows The president seems seems extremelyC cannot become V extremely Cannoyed. passive sentence dent. S CS ► verb, passive-test: The president seems ular which can copular verb, the subject of a copular verb, the subject of a The S president seems ► cannot always follows extremely annoyed. become V C S be substituted by the which can be The president is extremely annoyed. correspond-ding *Extremely annoyed correspond-ding *Extremely annoyed is is seemed seemed by by the the presipresicopular verb, the subject of a prototypical copular substituted by passive sentence dent. 1 3 passive sentence dent. Note that passivization only works with some (not all!) transitive but never withpresicopular verb to be correspond-ding *Extremely annoyedverbs is seemed by the the prototypical verbs (see transitivity ► below). always follows aa The president seems extremely annoyed. ► always follows The president seems extremely annoyed. 1 passive sentence dent. Note that passivization only works with some (not all!) transitive verbs but never with copular copular to copular verb verb, verbs (see transitivity below). copular verb, ► always follows a The president seems extremely annoyed. be 2 copular verb, CO that ► passive-test: Jim considers him a possible verbs candidate. 211 Note passivization only with works with some all!) transitive but never NoteNote that passivization passivization only works works with some (not all!) transitive verbs copular that only some (not all!)(not transitive verbs but but never never with with copularwith cannot become S V O C verbs (see transitivity below). copular verbs (see transitivity below). d O verbs (see transitivity below). 31 NoteFor information on copular verbs, seeall!) Chapter 4.2. verbs but never with copular thatmore passivization works with transitive theonly subject of a some (not verbs (see transitivity below). 1 correspond-ding *A possible candidate is considered him by passive sentence Jim.1 ►
in a passive construction, the CO becomes the CS
His friends call him Ted. 11 S V Od CO 1
27
28
which can be The president is extremely annoyed. substituted which be is extremely annoyed. which can can by be The The president president is is extremely extremely annoyed. annoyed. which can be The president the prototypical substituted by substituted by by substituted which can be The president is extremely annoyed. copular verb to the prototypical the prototypical the prototypical substituted by 2 be copular copular verb verb to to copular verb to the prototypical 22 CO ► be passive-test: Jim considers a possible 1 Basic him Introduction andcandidate. Syntactic Functions be 2 be copular verb to cannot become S V O C d O C ► Jim him possible candidate. COOO ► passive-test: passive-test: Jim considers considers him him aaa possible possible candidate. candidate. 2 C ► passive-test: Jim considers be the subject of a SS cannot become V O C dd O cannot become V O C O cannot cannot become Jim S considers V Od a possibleCcandidate. O CO CO passive-test: ► passive-test: him correspond-ding *A possible candidate is considered him by the subject of a thethe subject ofofaa the subject of become subject cannot become S V Od CO passive sentence Jim. correspond-ding *A candidate is considered him by correspond-ding *A possible possible candidate candidate is is considered considered him him by by a corresponding correspond-ding *A possible the subject pas‐ of a passive sentence Jim. passive sentence Jim. sive sentence passive sentence *A Jim.possible candidate is considered him by correspond-ding ► in a passive con- His friends call him Ted. passive sentence Jim. struction, theconCO His S V him Od Ted. CO in call ►a passive in aaa passive passive conHis friends friends call him Ted. ► in passive conHis friends call him Ted. construc‐ in► becomes the struction, the V O C struction, theCC CSOOO SSS V O Od C COOO tion, struction, the C V O becomes ► the in aCpassive conHis friends call himdd Ted. He is called Ted by his friends. becomes the C the CSbecomes becomes the C CS S struction,the the CSSO V Od CO S V C A S by He He is is called called Ted Ted by his his friends. friends. He becomes the CS is called Ted by his friends. ► inserting a cop- They the streets | nice and clean. SSS keep V C A S V C CSS A V A He is called Ted by his friends. ular verb like to S V O CO clean. d ► aaa copkeep the streets nice and inserting a copular They keep the streetsA||| nice nice and and clean. ► inserting inserting cop- They ► inserting copThey clean. S keep V the CSstreets be between the S ular verb like to V O C verb like to be be‐ d O ular verb like to ular verb alike to They S keep V theOstreets CO clean. d ► inserting cop| nice and object and the the streets [are] nice and clean tweenbe object bethebetween between the be between the ularobject verb com‐ like to S V Od CO and the object complethe streets object and and the the object and the the streets [are] [are] nice nice and and clean clean be between the plement proves thethe The long walk made us all | hungry. ment object compleobjectproves compleobject compleobject and the the streets [are] nice and clean identity of reference identity of referS long V us CO d || hungry. ment the The walk made all ment proves proves the The long walk walk made made usOall all hungry. 4 ment The long us | hungry. object complebetween Odproves and COthe ence between O d identity SS V Od CO identity of of referreferidentity of referV C d | hungry. O ment proves the The long walk made usOall 3 and Cbetween us all [are] hungry O ence O dd ence between O ence between O d identity3 of referS V Od CO A ► and passive-test: Weall left[are] in the morning. us hungry and C COOO 33 and C ence between Od us all [are] hungry cannot become We S left V in Amorning. A ► the A (the passive-test: cannot A ► passive-test: passive-test: We left in the the morning. A ► passive-test: We left in morning. and CO 3 us all [are] hungry “dustbin” the subject of a (“dustbin” become the subject of (the cannot become S V A (the cannot become become V A (the cannot SS left V A ► passive-test: We in theAmorning. category) category) correspond-ding *In the morning was left by us. “dustbin” the of “dustbin” a corresponding the subject subject pas‐ of aaa “dustbin” the subject of (the cannot become S V A sive sentence passive sentence *In category) correspond-ding category) correspond-ding *In the the morning morning was was left left by by us. us. category) correspond-ding “dustbin” the subject of a *In the morning was left by us. rearrangement-test: ► passive rearrangement sentence passive sentence sentence passive category) optional correspond-ding *In the morning was left by us. adverbi‐(!) test:(!)optional In the morning we left. ► rearrangement► ► passive rearrangement sentence als can be moved adverbials can In theA morning we S left. V test: optional test: optional (!) (!) In ► rearrangement the morning we left. around relatively adverbials can A S V adverbials A morning we S left. V freelytest: in the sen‐ can optional (!) In the 2 tenceadverbials (sentence-ini‐ For more information on copular verbs, cansee Chapter A 4.2. S V 3 Careful: Syntactically, this copular verb does not fit into the structure of the sentence (see CGEL tial, -middle and -end 22 more information 2 For For59, more information on on copular copular verbs, verbs, see see Chapter Chapter 4.2. 4.2. 2.22)! on copular verbs, see Chapter 4.2. 33 For more information position) this 3 Careful: Careful: Syntactically, Syntactically, this copular copular verb verb does does not not fit fit into into the the structure structure of of the the sentence sentence (see (see CGEL CGEL 2 3
Careful: Syntactically, this copular verb does not fit into the structure of the sentence (see CGEL 2.22)! 59, 2.22)! For59, more information on copular verbs, see Chapter 4.2. 59, 2.22)! Careful: Syntactically, this copular verb does not fit into the structure of the sentence (see CGEL 59, 2.22)!
2 4
22
Careful: Syntactically, this copular verb does not fit into the structure of the sentence (see CGEL 59, 2.22)! 2
be moved around relatively freely in the sentence (sentence-ini1.2 The Seven Syntactic Functions tial, -middle and -end position)
29
deletion-test: op‐ ► deletion-test: He (always) runs (quickly) (along the tionaloptional adverbials can river). adverbe deleted S (A) V (A) (A) bials without can be decompromising the leted without syntax of the sen‐ compromising tence the syntax of the the seven basic syntactic functions Table 3: Tests to contrast sentence
Tablefrom 3: Tests to contrast the forms seven basic functions semantic roles, and asyntactic collection of syntactic tests, there is Aside yet another useful resource for determining the function of a constituent: looking at its position in the sentence. Table 4, a slightly adapted reproduc‐ tion of Kortmann’s overview of the seven basic sentence patterns (2009: 131, cf. CGEL 53, 2.16), should always be kept in mind when doing a functional analysis. pattern
S
V
SV
The girl
was sleep‐ ing.
SVOd
Her mother
was dress‐ ing
SVCS
Little James
seemed
SVA
He
was sitting
SVOiOd
Mrs Bates gave
her children (Oi) all her love (Od).
SVOdCO
Most peo‐ considered ple
her (Od)
SVOdA
She
all her life (Od)
had spent
O
C
A
the baby (Od). very happy (CS). on the table.
a perfect mother (CO). in the village.
Table 4: Seven basic sentence patterns (Kortmann 2009: 131, slightly adapted)
This list of the seven basic sentence patterns… 3
■ … is comprehensive. It shows the only possible sentence patterns that exist in the English language. Accordingly, the order of the elements
30
1 Basic Introduction and Syntactic Functions
in this list is absolutely fixed. Consequently, proposing a sentence structure such as *VSOCS or *SVCO, to give just two obviously incorrect examples, usually results in a flawed syntactic analysis since deviations from these seven patterns5 can only be justified by reasons of emphasis (see Chapter 10). These structures always have a very marked word order. ■ … outlines obligatory sentence elements only. That means that optional adverbials can occur at multiple positions. In contrast to all other syntactic functions, which have a fixed place within those seven basic sentence patterns because the verb requires their presence, optional adverbials are not required by the main verb of the sentence. To illustrate that point, consider Kortmann’s SVCS sentence Little James seemed very happy. Leaving out the S or the CS leads to a syntactically crippled sentence and proves that both elements are obligatory. How‐ ever, the expanded sentence Back then Little James always seemed very happy in his tiny pool. has three optional adverbials which are not required by the verb. Therefore, their deletion still keeps the sentence syntactically intact. ■ … also holds for dependent clauses. These patterns cannot only be applied to full-fledged sentences on the first syntactic level but basically to every other level as well. Every time we have to analyze the internal structure of a subordinate clause, we have to rely on those seven patterns again. In other words, analyzing subordinate clauses requires the same mechanisms and the same set of tools as analyzing a complete sentence on the first level. Note on the SVO sentence pattern: If there is only one object, is it an Oi or a Od? On this, the CGEL comments: “[I]f there is only one object present, it is generally the direct object” (727, 10.7). → SVOd
5
Quirk et al. (CGEL 1198, 16.45) detail another exception: “The collocations make sure and make certain are peculiar in that the object is a that-clause and always follows the adjectival complement.” For this reason, a sentence like He made sure/certain that he enclosed his birth certificate. (ibid., slightly altered) must be analyzed as SVCOO.
1.2 The Seven Syntactic Functions
The list of the seven basic sentence patterns also introduces all the types of valency and transitivity that exist in English verbs. Valency, on the one hand, is defined as “the way in which a verb determines the kinds [see Table 2] and number of elements that can6 accompany it in the clause” (CGEL 1169, 16.18 Note). Counting obligatory elements surrounding a verb thus results in calling the verb monovalent (accompanied by one other constituent, i.e. SV), bivalent (accompanied by two other constituents, i.e. SVO, SVCS, SVA) or trivalent (accompanied by three other constituents, i.e. SVOiOd, SVOdCO or SVOdA). The term transitivity, on the other hand, “is often applied to all verbs which require [at least one] object” (CGEL 54, 2.16). Those verbs which require exactly one object are called monotransitive (SVO), those with two ditransitive (SVOiOd) and those with one object and one more obligatory component complex-transitive (SVOCO or SVOA). Verbs that do not require an object are called intransitive, which is true for all SV sentences and (at least technically) also for SVCS and SVA sentences. After all, there is no room for objects in these kinds of sentences. Therefore, the term copular is used for SVCS and SVA patterns, as only one particular type of verb, i.e. a copular verb such as be, appear, seem, become, leads to these structures.7 Copular structures: SVCS or SVA? SVCS: CS answers the questions How? or What? e.g. The children are sick. (How?) She is a teacher. (What?) SVA: A answers the question Where? e.g. The children are upstairs. Note that a verb never has one valency or one transitivity that you can simply learn by heart. Instead, its valency/transitivity is always dependent on the sentence structure of which the verb actually forms part. Kortmann (2009: 140, slightly simplified) illustrates that point with the sentences She ran. vs. She ran a business. While the first sentence makes use of
6 7
Can is actually a rather unfortunate choice of modal. After all, the valency of a verb depends on the number of obligatory (!) elements in a sentence. The term copula refers to the verb to be, while copular verbs are those verbs (including to be and to become) which are functionally equivalent to the copula (CGEL 54, 2.16 Note).
31
32
1 Basic Introduction and Syntactic Functions
the intransitive verb run, the second one features the same verb in a monotransitive form. In some rare cases, a sentence can be analyzed with recourse to more than one basic pattern, depending on its meaning. Consider, for instance, the following sentence (CGEL 1208, 16.55) in Figure 4, which can be read in two different ways, thus leading to two different syntactic analyses: He found her a loyal friend. number of persons
3: He, her, a loyal friend
2: He, her (= a loyal friend)
meaning
He found a loyal friend for her.
He thought that she was a loyal friend.
syntactic analyses
SVOiOd
SVOdCO
valency & transitivity trivalent & ditransitive
trivalent & complex-tran‐ sitive
Figure 4: One sentence, two syntactic analyses
1.3 Tricky Business: Oi vs. Oprep The last theoretical part of this chapter focuses on a problem which is closely connected to the ascription of syntactic functions in a sentence: what happens if the Oi is introduced by a preposition, thus turning it into a prepositional phrase placed after the Od? Should we use the notion prepositional object (Oprep)? We return to one of the sentences in Table 3, John gave Mary the book., which was identified earlier as a SVOiOd structure and which can be turned into John gave the book to Mary. If the Oi Mary is introduced by a preposition, typically to or for (occasionally also with and of) to indicate a recipient, both objects swap positions.8 This change in form and position also leads to a change in syntactic function since the (former) Oi, Mary, “may generally be paraphrased by a prepositional phrase functioning as adverbial” (CGEL 54, 2.17, cf. 59, 2.23). If we follow this straightforward rule, viz. treating the 8
Some sentences, on the other hand, only allow for the recipient to be placed in the A function, such as He suggested the idea to Bill. vs. *He suggested Bill the idea. or She described her home to us. vs. *She described us her home. (CGEL 59, 2.23 Note).
1.3 Tricky Business: Oi vs. Oprep
prepositional phrase (PP) as an A, John gave the book to Mary. should be analyzed as SVOdA. This is the analysis which will also be recommended at the end of this section (see below). Still, it is interesting to note that neither the meaning of the sentence nor the semantic roles of the two objects have changed during this trans‐ formation. Possibly for this reason, Quirk et al. consider abandoning this straightforward rule in favor of “an alternative analysis in which the to-phrases and the for-phrases […] are described as prepositional objects, and are regarded as grammatically equivalent to indirect objects” (59, 2.23 Note). Out of academic interest, the remainder of this section will thus trace this alternative train of thought. Paragraph 9.46 (CGEL 698) focuses on sentences like She made a beautiful doll for her daughter. and He cooked a dinner for her., which both include “intended recipients” in the form of for-prepositional phrases which “can often be equated with an indirect object” (ibid.). On the contrary, however, paragraph 10.7 (CGEL 726) lists typical features of objects, among them: “the object is normally a noun phrase or a nominal clause.” Consequently, this means that in the alternative analysis, form (PP) and function (Oi) seem to be in contradiction. Then again, the very same paragraph (727, 10.7) goes on explaining that “(iv) The indirect object generally corresponds to a prepositional phrase, which is generally placed after the direct object: I’ll send Charles another copy. ~ I’ll send another copy to Charles. / Pour me a drink. ~ Pour a drink for me.” And Note [a] to paragraph 10.7 (727) adds: “We do not, as some do, apply the term ‘indirect object’ to the corresponding prepositional phrases (eg: for me in Pour a drink for me.), though we use the term ‘prepositional object’ for the complement in such phrases.” As this quote shows, Quirk et al. rule out using the functional label Oi for PPs in these constructions. Instead, they introduce the term prepositional object (Oprep), which also needs some explaining. Paragraph 16.56 (CGEL 1208) details ditransitive constructions, among them the type object and prepositional object (thus discarding again the simpler possibility of calling the PP an A), listing three general combinations. Depending on the verb, one and the same content can sometimes be expressed with any of these three syntactic structures, the verb tell being a perfect example:
33
34
1 Basic Introduction and Syntactic Functions
(1)
Oi + Od, e.g. Mary told only John the secret.
(2)
Od + Oprep, e.g. Mary told the secret only to John.
(3)
Oi + Oprep, e.g. Mary told only John about the secret.
As these sentences, directly borrowed from Quirk et al. (1209, 16.56), showcase, the term prepositional object is applied for what used to be an Oi or a Od and is now introduced by a preposition in sentence-final position (and thus stands in stark contrast to another definition of prepositional objects as used in the context of prepositional and phrasal-prepositional verbs, but see Chapter 4.3 on multi-word verbs!). There is yet another peculiar consequence of this usage of the term prepositional object. If “prepositional objects […] are regarded as grammatically equivalent to indirect objects” as already stated above (CGEL 59, 2.23 Note), the third structure features two indirect objects. In order to keep confusion to a minimum and guarantee a straightforward analysis, we recommend limiting the use of the term prepositional object to sentences which actually have a multi-word verb (prepositional or a phrasal-prepositional verb, see Chapter 4.3) and stick to the relatively simple rule outlined at the beginning of this section that proposes analyzing the sentence-final PP which used to be the Oi as an A. Recommended analysis: John gave Mary | the book. = SVOiOd → John gave the book | to Mary. = SVOdA
2 The Internal Structure of Phrases Jenny Arendholz Just like the previous chapter, this one still concentrates on the first1 level of analysis. This time, however, the formal level will take center stage. As has already been mentioned in the previous chapter, every level of analysis consists of a pairing of a certain amount of functions and the same (!) amount of forms, which leads to a 1:1 relation of function and form. The function of a subject, for instance, is usually paired with the form of a noun phrase, while the function of a verb is always paired with the form of a verb phrase. There are, however, cases in which a subject or a subject complement, to give but two examples, is not formally represented by a phrase but by a clause. Many more details about clauses will be presented in Chapters 5, 6 and 7, in which the structures of the various clause types will be explained. To still give a first, introductory example showcasing the difference between a phrase and a clause, consider the following sample sentences: (1)
That the invading troops have been withdrawn has not affected our govern‐ ment’s trade sanctions.
(1a)
The withdrawal has not affected our government’s trade sanctions.
As indicated by the numbering, (1a) is a slightly altered version of (1), which was directly borrowed from the CGEL (1049, 15.4). While both sentences feature a SVOd structure on a functional level, they differ when it comes to the formal realization of the subject: (1) has a clause as a subject, (1a) a noun phrase. Since the mere length of a constituent is not, as one might think, a good criterion to distinguish a phrase from a clause – after all, there can also be very long phrases and very short clauses – we will need more solid criteria to be able to tell those two forms apart. One way of doing that is being aware of the internal structure of the five phrases, which is why this chapter details noun phrases
1
Note that this introductory comment does not mean that phrases can only be found on the first syntactic level. On the contrary, phrases (just like clauses) can occur as formal representations of functions on every level (see e.g. Figure 1, Chapter 1.1, and every analysis to follow).
36
2 The Internal Structure of Phrases
(NPs), verb phrases (VPs), adjective phrases (AdjPs), adverb phrases (AdvPs) and prepositional phrases (PPs). Another way to distinguish a phrase from a clause is to recognize typical clausal patterns, which is dealt with in Chapters 5 to 7. 2.1 Characteristic Features of Phrases In general, the five phrases can be remembered with the help of a hand2 as shown in Figure 1:
Figure 1: Five fingers for five phrases (mnemonic device)
Some basic facts about phrases3 are summarized very briefly: ■
the central and obligatory element of a phrase, whose word class lends its name to the entire phrase, is called the head; this is true for NPs, AdjPs, AdvPs and (to a certain degree4) VPs, which are all called headed or endocentric phrases (CGEL 60, 2.26); ■ only one head per phrase is allowed;
2 3 4
For this very useful mnemonic device, I am indebted to Brigitta Mittmann. For more information see Kortmann (2009: 128–129) or the CGEL (60–66, 2.25–2.33). As will be shown in more detail in Section 2.4, the term head is not used in VPs. Instead, the head of VPs is called main verb (mv).
2.2 The Noun Phrase (NP)
37
the PP is the only non-headed or exocentric phrase (CGEL 60, 2.26, see Section 2.5); ■ a phrase can consist of only one word (which must be its central element) or more words (a head and accompanying elements); only PPs consist of at least two words (the preposition and its complement, see Section 2.5). ■
Since we only have those five phrase types to choose from, it is a worthwhile strategy to simply test out the phrases in case of doubt. With the VP being restricted to the V and the PP always beginning with a preposition, in a lot of cases, the problem quickly boils down to deciding between a NP, an AdjP or an AdvP. Another valuable guideline when it comes to deciding which phrase type we are looking at is proposed by the CGEL (60, 2.25). As can be seen in Figure 2, certain phrase types (e.g. VP) are limited to a certain function, while others (e.g. NP) can be used for more than one function. The dotted arrows indicate possible, yet rare combinations of functions and forms: Subject
Verb Phrase
Verb
Object
Noun Phrase
Complement
Adjective Phrase
Adverbial
Adverb Phrase
(Subject)
Prepositional Phrase
Figure 2: Possible combinations of functions5 and phrase types (based on CGEL 60, 2.25, reproduction of Fig. 2.25 Phrases as clause elements)
2.2 The Noun Phrase (NP) A typical but by no means exclusive relation exists between the subject and the NP. Since NPs are very versatile, they can also be found in object (Od or Oi), complement (CS or CO) and adverbial slots. Table 1 foregrounds the second level of analysis and shows the maximum extent of a NP, adapting and expanding examples originally provided by Kortmann (2009: 128):
5
To keep confusion to a minimum, we want to be clear about the fact that we read the term complement as used in Fig. 2.25 in the CGEL as a hyperonym for subject complement and object complement.
38
2 The Internal Structure of Phrases
1st level
FU
e.g. S
FO
NP
2 level
FU
dtm
premod
h
postmod
FO
det
AdjP adj adj conjoint n
pn pron n
clause PP adj6
--
--
Mary (pn)
--
--
--
She (pron)
--
the
very shy (AdjP)
boy (n)
who sits at the table (def. relative clause)
my
green (adj)
apple (n)
--
a
tall and well-dressed (adj. conjoint)
man (n)
with a beard (PP)
something (pron)
different (adj)
nd
examples:
Table 1: Internal structure of a NP with examples
The following exhaustive (!) list of functions (CGEL 1238–1239, 17.2) can be found in a NP: ■
The head (h) of the phrase most typically is a proper noun (pn), a pronoun (pron), a common noun (n) or even a noun conjoint such as Mary and Peter (see Chapter 9). In less typical cases (see Chapter 3.11.2), we also find adjectives (adj, e.g. the unemployed, CGEL 64, 2.29 and 421, 7.23) or numerals (num, e.g. Five is an odd number., CGEL 393–395, 6.63–6.64, Chapter 3.9) as heads. If there is only one element in a NP, this element must be its head. ■ A singular (not, however, a plural) common noun must always be ac‐ companied by a determinative (dtm) in phrase-initial position (CGEL 64–65, 2.30). The dtm provides information about the quantity (or the possessive relationship) of the head of the NP and is usually paired with
6
As will be shown in Chapter 6.4, one special type of postmodifier is the postposed adjective, as in something different.
2.2 The Noun Phrase (NP)
39
the form of determiners (det)7 (but see also Section 2.6.4 for the special case of complex determinatives). ■ The premodifier or premodification (premod) and the postmodi‐ fier or postmodification (postmod) can only appear right before and right after the NP head, respectively. They are both optional elements and could be left out without crippling the syntax of the NP. In contrast to the dtm, they add qualitative information about the head. Therefore, premods usually take the form of an adjective, an AdjP (see Section 2.6.2 about embedding of phrases), sometimes even a noun (see Section 2.6.1) or an adjective conjoint (see Chapter 9), while postmods can be PPs or entire clauses, including the special type of appositive clauses (see Chapters 6, 7 and 8). Since determinatives and premodifiers are easily confused (at least at the very beginning of doing syntactic analyses), Table 2 summarizes the previ‐ ous paragraphs and juxtaposes the distinctive features of determinatives and premodifiers. dtm
premod
information about quantity (how many?) and possession (whose?)
vs.
information about quality (how?)
obligatory
optional
realized by determiners
realized by adjectives and AdjPs
Table 2: Juxtaposition of determinatives and premodifiers
It is possible to have more than one premodifier8 (see example (2), CGEL 1338, 17.113, simplified), more than one postmodifier (see example (3), CGEL 1296, 17.61), or, less likely, more than one pre- and postmodifier at the same time (see example (4)).
7 8
For a complete list of determiners (including a reference to the CGEL), see Chapter 3.4. In fact, the CGEL suggests dividing the space between the dtm and the h into four premodification zones (1337–1340, 17.113–17.114). As can also be learned from another chapter (1618, III.8), coordinated adjectives as premodifiers of a NP head should (!) be separated by a comma (see Chapter 9 on Coordination).
40
2 The Internal Structure of Phrases
(2)
this important long French novel (three premods: three adjs)9
(3)
the man in the corner talking to John (two postmods: PP + -ing-participle clause)
(4)
the greatest living artist of rap music in New York (two premods: two adjs AND two postmods: two PPs)
While these four functions (dtm, h, premod, postmod) are really the only ones to be found in a NP, their formal counterparts allow for a higher degree of variability, with Table 1 only showcasing the most common formal realizations. The same word of warning should be remembered when reading on about the other four phrases. 2.3 The Adjective Phrase (AdjP) and the Adverb Phrase (AdvP) Adjective phrases (AdjPs) and adverb phrases (AdvPs) show a lot of simi‐ larities in terms of their internal constituents. Their respective heads, i.e. adjectives and adverbs, can but do not have to be preceded by a premod and/or followed by a postmod, both of which are designed to add qualitative information about the head. By adapting and largely expanding examples taken from Kortmann (2009: 128) again, Tables 3 and 4 bear witness to that.
9
In this simplified phrase, we have deleted first (originally between this and important), which was described as a premodifier in the respective section of the CGEL (1338, 17.113). This stands in marked contrast to previous elaborations which clearly classified the ordinal number first as a numeral, which can either function as a determinative or a head (CGEL 393, 6.63 and 394, 6.64, see also Chapter 3.9). Note, however, that some dictionaries, e.g. Merriam Webster online (s.v. first), regard first – among other word classes – also as an adjective.
2.3 The Adjective Phrase (AdjP) and the Adverb Phrase (AdvP)
41
1st level
FU
e.g. CS
FO
AdjP
2nd level
FU
premod
h
postmod
FO
adv
adj adj conjoint
adv PP clause
--
old (adj)
enough (adv)
--
afraid (adj)
of ghosts (PP)
really (adv)
young and ambitious (adj conjoint)
--
--
certain (adj)
to come (to-infinitive clause)
examples:
Table 3: Internal structure of an AdjP with examples
On the first syntactic level, the AdjP is restricted to serve as the formal realization of only two functions: the CS and the CO (CGEL 60, 2.25). Again, the number and order of functional elements in an AdjP is limited to the structure given in Table 3, which is exhaustive in this regard. The same holds true for AdvPs presented in Table 4, which also shows that AdvPs have a very limited scope, as they can only be used for the function of A. The formal content of the three phrase-internal functions is also highly limited, namely mostly to adverbs (but see Section 2.6.3). 1st level
FU
(mainly) A
FO
AdvP
2nd level
FU
premod
h
postmod
FO
adv
adv adv conjoint
adv clause
very (adv)
quickly (adv)
--
right (adv)
here (adv)
--
examples:
42
2 The Internal Structure of Phrases
--
cheaply and quickly (adv conjoint)
enough (adv)
quite (adv)
late (adv)
enough (adv)
Table 4: Internal structure of an AdvP with examples
AdvPs such as quite late enough (see last example Table 4, CGEL 42, 2.7) which have both a pre- and a postmodifier are extremely rare. The last special case to be mentioned here concerns AdvPs like very much later (ibid.) which have an embedded (see Chapter 5) AdvP as a premodifier as in example (5). (5)
She came very much later.
This is how it looks when analyzed: (5) s
S: NP
h: pron
She
V: VP
mv: fv
came
A: AdvP
premod: AdvP
h: adv
premod: adv
very
h: adv
much later.
2.4 The Verb Phrase (VP) The maximum extent of the verb phrase (VP) is illustrated in Table 5 with the help of the verb to sink (CGEL 62, 2.28).
2.4 The Verb Phrase (VP)
43
1st level
FU
(always) V
FO
VP
2 level
FU
aux v
aux v
aux v
aux v
mv
FO
pv mod aux10
pv
pv
pv
pv fv
has (pv)
--
--
--
been (pv)
--
--
--
--
sank (fv)
was (pv)
--
--
--
sinking (fv)
has (pv)
been (pv)
--
--
sunk (fv)
would (mod aux)
have (pv)
been (pv)
--
sunk (fv)
may (mod aux)
have (pv)
been (pv)
being (pv)
sunk (fv)
nd
examples:
Table 5: Internal structure of a VP with examples
Again, you should take into account that the order of the elements presented in Table 5 is absolutely fixed. Although extremely rare, a VP can consist of up to five slots. In the case of VPs, we do not speak of heads but of main verbs (mv). This central, obligatory element is typically tensed and can be accompanied by one to four auxiliary verbs (aux v), which are necessary to express tense, aspect, modality and voice (CGEL 149, 3.52). On a functional level, we can thus choose from two functions, the main verb (mv) and the auxiliary verb (aux v). On a formal level, we find three verb types: full verbs (fv) like to dance, modal auxiliaries (mod aux) like might, and the three and only (!) primary verbs (pv) to be, to do and to have (see Chapter 4.1.4). If a VP includes a mod aux, it has to be put in phrase-initial position. You should also be aware of the fact that not every form can be freely combined with every function, since the schema in Table 6 must be respected (CGEL 96, 3.1):
10
Note that a detailed description of the word class modal auxiliaries (mod aux) will be presented to you in Chapter 4. For the time being, mod aux as used in Table 5 serves as a wildcard – which would also be absolutely acceptable in an analysis – for the more precise subcategories introduced in Chapters 4.1.2 und 4.1.3.
44
2 The Internal Structure of Phrases
FU
aux v
FO
mod aux e.g. might
mv pv fv to be, to do, to have e.g. to dance
Table 6: Possible combinations of forms and functions inside a VP
This means that… ■
modal auxiliaries can only function as auxiliary verbs but never as main verbs: *We might the ship. ■ full verbs can only function as main verbs but never as auxiliary verbs: *We dance sink the ship. ■ primary verbs are flexible and can function both as auxiliary verbs, The ship has sunk., and as main verbs, He has a ship., sometimes even as both in one and the same VP, He must have had a good time. Knowing about the internal structure of VPs is particularly helpful when dealing with sentences such as example (6). (6)
He has been kindly asked to open the door.
Even though we have not discussed clause types and their structures yet (see Chapter 5), we can tell right away that has been kindly asked to open cannot be one single VP – simply on the grounds that all those words do not fit into the structure of a VP. If it really was just one VP (which it is not!), open would be the inflected main verb (which is obviously wrong) and every element preceding open would be an auxiliary verb of the formal type modal auxiliary or primary verb. This is clearly not the case for kindly, asked and to. Instead, this is what the correct analysis of sentence (6)11 should look like:
11
A comment on the analysis: To avoid incomplete solutions (and in marked contrast to other guidelines), we suggest to use the term infinitive marker (inf mark for short) for both function and form of to (see Chapter 7.3). In fact, the CGEL (68, 2.34) also uses the term infinitive marker to designate a word class.
2.5 The Prepositional Phrase (PP)
45
(6) s
S: NP
h: pron
He
V: VP
aux v: pv
has
aux v: pv
been
mv: fv
asked
A: AdvP
kindly
h: adv
Od : nom to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
open
dtm: det
the
h: n
door.
Note that in the original sentence, the AdvP splits the VP in two. Therefore, it is advisable to rewrite the sentence as shown in the analysis above and move the AdvP out of the VP (e.g. put it behind the VP as indicated by the arrow). Do not forget to comment on the reasons for that changed arrangement in a footnote! 2.5 The Prepositional Phrase (PP) Since the last of the five phrases is the exocentric prepositional phrase (PP), there is no use looking for a head. Instead, PPs always embody two functions: the phrase-initial preposition (prep) and the prepositional complement (prepC). The latter is in most cases formally realized12 by a simple noun or a NP, but can also be filled by a nominal wh-clause or a nominal -ing-participle clause (see Chapters 6 and 7) as the last two examples in Table 7 show (CGEL 63, 2.28 and also 657, 9.1, slightly adapted).
12
For the sake of completeness, the CGEL (658, 9.1, Note [c]) also mentions fixed phrases in which “an adverb or an adjective may function as prepositional complement,” 1 at last, at once, before long, by far, by now and illustrating this point with examples like more.
46
2 The Internal Structure of Phrases
1st level
FU
e.g. A
FO
PP
2 level
FU
prep
prepC
FO
prep
n NP clause
for (prep)
lunch (n)
at (prep)
the corner of the street (NP)
from (prep)
what he said (nominal wh-clause)
by (prep)
signing a peace treaty (nominal -ing-participle clause)
nd
examples:
Table 7: Internal structure of a PP with examples
As is obvious in Table 7, the abbreviation prep is used on a functional as well as on a formal level – a convention which is not shared by all syntacticians. We strongly suggest this notational practice for two reasons: 1. The CGEL (63, 2.28) uses the notion preposition on the same level as postmodifier, determinative, head, etc., all of which are clearly functions inside phrases. 2. A syntactic analysis always ends on a formal level, giving a word class to each element. It makes perfect sense for a PP to be “headed” – at least in a grammatical but not in a semantic sense – by a preposition. The most common function a PP can take is the A, although Quirk et al.’s overview (see Figure 2) suggests that there are rare cases in which a PP may also function as a CS, an CO or even as a S. The latter case is easily explained when looking at example (7) (CGEL 658, 9.1, Note [a]): (7)
A:
When are we going to have our next meeting?
B:
On Tuesday will be fine. (S = PP)
In special cases, PPs can also have a “quasi-adjectival function as comple‐ ment,” (CGEL 658, 9.1, Note [b]) which Quirk et al. prove with the following example (8):
2.6 Tricky Business
(8)
This machine is (very) out of date. (ibid.) (CS = PP)
Quirk et al. (ibid.) argue from a semantic point of view when ascribing the function of a CS, drawing parallels between adjectives and PPs of that kind. What is also remarkable in (8) is that the PP is actually premodified by the adv very – a structure which is technically only possible in AdjPs (and never in PPs) and usually fulfills the function of a CS or an CO.
2.6 Tricky Business The last theoretical part of this chapter delves deeper into the syntax of phrases and focuses on four rather common problematic details: 1. What options do I have when a noun occurs in the premodifier slot of a NP? 2. What is embedding and how does it work? 3. What does complementation (in NPs, AdjPs and AdvPs) mean and how is it related to postmodification? 4. How do I analyze a more complex determinative as featured in our government’s trade sanctions (see sentence (1))? 2.6.1 Nouns in the Premodifier Slot of NPs
Another frequent type of premodification features nouns in the premodifier slot, as can be seen in example (9): (9)
his life story 13
Very often, these nouns are “so closely associated with the head as to be regarded as compounded with it” (ibid.). For this reason, those structures can be analyzed as one head which consists of a compound noun (comp n). This case is exemplified in the analysis of (9) Option A. Alternatively, it is also possible to note down premod + h (see Option B):
13
But see also Chapter 8 for the discussion of appositives in premodifier slots.
47
48
2 The Internal Structure of Phrases
(9) Option A (S): NP
(9) Option B
dtm: det
his
h: comp n
life story
(S): NP
dtm: det
his
premod: n
life
h: n
story
For some n + n structures, like travel idea, it makes sense to use Option B, while for others, like life story, Option A is more appropriate. There are two main criteria14 which help you choose between these two options (see Table 8): Option A: comp n (e.g. life story)
Option B: premod + h (e.g. travel idea)
n + n structure has an entry in the n + n structure does not have an entry dictionary → it is lexicalized and insti‐ in the dictionary tutionalized stress only on the premod e.g. ʹlife story
stress on the premod and on the h e.g. ʹtravel iʹdea
Table 8: Two criteria to distinguish between premod + h or compound n in n + n structures
2.6.2 Embedding
As we have seen in the example the very shy boy (Table 1, Section 2.2), the premod is realized by an AdjP, which means that a phrase occurs inside (or is embedded in) a phrase, viz. an AdjP inside a NP. Table 3 (Section 2.3) listed an AdjP head (certain) that was postmodified by a clause (to come), which means that we can also find clauses (here, a to-infinitive clause) inside phrases (here, an AdjP) (see Chapter 5 for more details on embedded clauses). Embedding, as this is called, “accounts for the indefinite extensibility of certain units of
14
For a more detailed discussion about the difference between full-fledged compound nouns and premod + h constructions, see Chapter 3.1.
1
1
2.6 Tricky Business
49
grammar” (CGEL 43, 2.8). Since it is particularly common in phrases, one of Quirk et al.’s phrase examples will be explained in more detail: (10)
(The) students at this college (seem busy).
Students at this college is a NP and consists of a NP head (students) and a postmodifier (the rest). The postmodifier is a PP and consists of a prep and a prepC. The prepC is a NP. That means that the last NP (this college) is embedded in a PP (at this college), which in turn is embedded in a NP (students at this college) and is typically depicted as follows: [students [at [this college]]]. A full analysis of example (10) would thus look like the one outlined below. (10) s
S: NP
dtm: det
The
h: n
students
postmod: PP
prep: prep prepC: NP
V: VP CS : AdjP
mv: fv h: adj
at dtm: det
this
h: n
college seem busy.
As this example perfectly illustrates, the NP which is headed by students is indeed “extended” considerably as described in the above definition. The claim for “indefinite extensibility” can at least be guessed when considering a NP like “some students [at [the college [on [the other side [of [the park [at [the north end [of…]]]]]]]]]” or a PP like “on [the top floor [of [a house [in [the corner [of [the old square [behind [the church…]]]]]]]]]” (CGEL 44, 2.8). Quirk et al. go on explaining that “[i]n practice, of course, phrases of this degree of complexity rarely occur; but it is important to recognize that however long such a phrase may be, there is always the possibility of making it longer by further embedding.” What is even more important to keep in mind is the fact that we are still dealing with one (very long) NP and one (very long) PP, respectively.
50
2 The Internal Structure of Phrases
2.6.3 Complementation
When introducing the basic phrase structure of NPs, AdjPs and also AdvPs, the CGEL (63, 2.28) uses the terms postmodification and complementation. In all of the respective tables, including the overview of the AdvP (see Figure 3), complementation is depicted as a special case of postmodification:
I spoke to him
premodification
head
quite very as
yesterday often severely clearly
postmodification
indeed
complementation
as I could
Figure 3: Postmodification and complementation (reproduction of Table 2.28d, CGEL 63, 2.28)
This calls for clarification. First of all, complementation should not be confused with complement (as in CS or CO), since it is the “function of a part of a phrase or clause which follows a word, and completes the specification of a meaning relationship which that word implies” (CGEL 65, 2.32). In simpler words and with regard to the AdvP example cited in Figure 3, as clearly as I could, this quote postulates that complementation… ■ ■
is a function inside a phrase (here, inside the AdvP) and thus on the same syntactic level as a postmodifier; differs from a postmodifier in that it semantically completes (as I could) expectations set up by a previous word (as) in that phrase.
The CGEL further explains that “complementation may be either obligatory or optional” (ibid.). In our example, the premodifier as obviously calls for a piece of complementation like as I could because a sentence like *I spoke to him as clearly. is semantically and syntactically unacceptable (see Chapter 6.7 on comparative clauses15). It is, however, debatable whether the same holds true for the NP and AdjP examples given in the same subchapter (62–63, 2.28):
15
Note well that there is not only a fine line between postmodification and complemen‐ tation but also between complementation and comparative clauses! While comparative clauses (see Chapter 6.7) are always cases of complementation, the reverse is not necessarily true.
2.6 Tricky Business
51
(11)
I remember a better story than that.
vs.
I remember a better story.
(12)
I remember the best trip that I ever vs. had.
I remember the best trip.
(13)
The weather was too hot to be enjoyable.
The weather was too hot.
vs.
Although clearly lacking in content, the shortened sentences are at least tolerable from a syntactic perspective. But the CGEL is the first to admit “that there is not a straight choice between optional and obligatory elements of phrases” (67, 2.33) when it comes to complementation, since the difference is merely based on semantics. A better way of deciding whether the term complementation is adequate can, however, be found in this part of the definition: “Whereas the [postmodifier] always relates to the head of a phrase, the [complementation] may relate to a premodifier which is sepa‐ rated from its complementation by the head” (ibid. 66, 2.33). This becomes obvious when looking again at the NP in example (11), a better story than that, in which the complementation than that does not refer to the head story but to the premodifier better. Since there is a clear difference between postmodification and complementation, we should choose wisely.16 The analysis of (11) shows how cases of complementation (using the abbreviation compl on the functional level) should be noted down: (11) s
S: NP
h: pron
I
V: VP
mv: fv
remember
Od : NP
dtm: det
a
premod: adj
better
h: n
story
compl: PP
16
prep: prep
than
prepC: pron
that.
Even though there is a clear difference between postmodification and complementation, syntactic analyses very often do not bother to always keep them apart.
52
2 The Internal Structure of Phrases
Taking a look at examples (12) and (13) again, it becomes clear that the function of complementation can take several forms and not just the PP as in example (11). In (12), the best trip that I ever had, the complementation is a defining relative clause (see Chapter 6.4), while (13), too hot to be enjoyable, features a to-infinitive clause (see Chapter 7) as complementation. 2.6.4 Complex Determinatives
So far, the slot of the determinative has not been given much attention. After all, Table 1 looks perfectly unproblematic with only one word, the determiner the, this or a, serving as the determinative. Although this marks the general case, there are also NPs which feature a more complex determinative. Consider, for instance: Case A)
John’s (new bicycle), my daughter’s (new desk)
Case B)
some 50 people, nearly ten inches
Case C)
all those many (children)
In their definition, Quirk et al. (64, 2.30) mention that determination is a “function of words and (sometimes) phrases.” While the fact that determi‐ nation counts as a syntactic function has already been established, it is important to note that it can go beyond a simple word (note the plural of words in the definition!) and can also be realized as a phrase. As becomes clear in Case A), “the determinative function can be per‐ formed not only by a determiner but by a genitive construction: John’s new bicycle, etc.” (CGEL 64, 2.29). Quirk et al. explain that the genitive “fills a slot in the noun phrase equivalent to a central determiner such as the” (326, 5.121) and show that the genitive can materialize as a possessive determiner, a single noun in the genitive case, or a “noun accompanied by its own determiners and/or modifiers,” as can be seen in Figure 4.
2.6 Tricky Business
53
DETERMINATIVE
the her Jenny’s my daughter‘s
(new) (new) (new) (new)
HEAD
desk desk desk desk
Figure 4: Genitive constructions as determinatives (reproduction of Figure 5.121a, CGEL 326, 5.121)
Since my in my daughter’s (new) desk (last line, Figure 4) clearly belongs to daughter’s and not desk, it is reasonable to cast the genitive construction into a phrase of its own, i.e. a NP. In other words and as shown in the analysis of example (14) My daughter’s new desk is pink., the NP my daughter’s new desk consists of the three functions determinative, premodifier and head which in turn are formally realized by a NP, an adjective and a noun, respectively. (14) s
S: NP
V: VP CS : AdjP
dtm: NP
dtm: det
My
h: n
daughter’s
premod: adj
new
h: n
desk
mv: pv
is
h: adj
pink.
Quirk et al. clarify once more when formulating: “We therefore see the genitive construction as a noun phrase embedded as a definite determinative within another noun phrase” (326, 5.121). This quote, the examples in Figure 4 as well as the analysis of example (14) should leave no doubt that everything that comes before the premodifier (new) is to be taken as one constituent, i.e. one determinative. Case B) shows a similar pattern, as the determinative is also realized by a NP; this time, however, the internal structure of this NP is different. When compared to sentence (14), the head in the NP in sentence (15) is premodified by an adverb, which is rather untypical in a NP. It works, however, because
54
2 The Internal Structure of Phrases
the head of the NP is a numeral, which can function as a head (see Chapter 3.9): (15) s
S: NP
V: VP A: AdvP
dtm: NP
premod: adv
Some
h: num
50
h: n
people
mv: pv
were
h: adv
there.
Last but not least, let us now consider Case C), as in all those many children. We learn from the CGEL (1238–1239, 17.2) that the word class determiner (see Chapter 3.4) can be subdivided into predeterminers (e.g. all, both, double), central determiners (e.g. the, a, this, some) and postdeterminers (e.g. many, few, several). Recognizing those simple words as (types of) determiners is just as vital for analyzing the determinative as the fact that those three types can be used independently or put side by side if sticking to the following order: pre-, central, postdeterminer. Quirk et al. (ibid.) demonstrate this with NPs like all the furniture, both those musicians or the few survivors whose determiners are all fixed in terms of their position. Unfortunately, there is no hint in the CGEL about how to actually analyze a combination of two to three types of determiners. Two possible solutions present themselves (see Table 9):
1
2.6 Tricky Business
55
Solution 1) all FU:
dtm
FO:
det
Solution 2) those
det
many
det
children
all
those
many
children
h
FU:
dtm
dtm
dtm
h
n
FO:
det
det
det
n
Table 9: Possible solutions for analyzing multiple determiners
Solution 1) follows the line of argumentation just presented for the geni‐ tive construction: everything preceding the head is to be taken as one constituent, i.e. one determinative. The first problem this solution entails, however, is that there is no internal, phrasal relationship between all those many, as was still the case with my daughter’s. The second problem is the unpleasant deviation from the 1:1 pairing of function and form. In contrast, Solution 2) introduces three constituents before the NP head, pairing three determinatives with three determiners and thus preserving the function/form pairing. Since the CGEL never states anything to the contrary, i.e. never excludes the possibility of having more than one determinative in a row, we recommend the second solution.
3 Word Classes Michaela Pitsch Word classes are often underestimated. It seems obvious that climb is a verb and tree is a noun. Yet knowing which class a word belongs to is essential for a syntactic analysis. Only if you can determine that tree is a noun, can you conclude that the big apple tree is a noun phrase, tree being its head (see Chapter 2). All in all, the CGEL distinguishes between the following word classes (Table 1): nouns proper common adjectives adverbs verbs1 full
John, Thames, Trinity College … table, ink, wall, garden … big, yellow, happy, steady … steadily, yesterday, outside …
OPEN CLASS
modal primary pronouns determiners prepositions conjunctions
can, may, must, would … CLOSED CLASS have, do, be I, you, themselves, which, what… the, a, this, her … on, under, in front of, before … while, because, although, and …
numerals interjections2 words of unique function
one, two, third, fourth … oh, ugh, hey … to, not
walk, talk, swim, run, jump …
Table 1: Word classes (CGEL 67, 2.34)
Some of these word classes are very easy to distinguish; others are more dif‐ ficult to keep apart. It is also noteworthy that some words have so-called dual membership, which means they can be categorized differently depending on how they are used. This, for example, can be a determiner or a pronoun; love
1 2
Since this word class is very complex, it has been granted its own chapter (see Chapter 4). Note that interjections are not usually central in exam contexts and will therefore not be explained any further.
58
3 Word Classes
can be a verb or a noun, depending on the respective use in the sentence. Some of the more difficult cases will be discussed in separate sections. 3.1 Nouns Nouns3 (n) can be either common nouns or proper nouns. Proper nouns are actual names and cannot be used with determiners or in the plural form (e.g. *the John, *Johns). They are usually spelled with initial capital letters. Common nouns are all other nouns, e.g. toy, remark, milk, music etc. They can be identified based on the following criteria, a majority of which should be fulfilled (CGEL 410, 7.13): (a) (b) (c) (d)
They take determiners, e.g. the/a criminal They can be inflected for number, e.g. one criminal – several criminals They can be inflected in the genitive case, e.g. the criminal’s sentence They can be premodified with an adjective (adj), e.g. a sexual criminal
Another way to group nouns is according to their morphology. Here, compound nouns4 (comp n) such as flower pot, White House or writing desk (consisting of n + n or adj + n constructions) make up a special class of nouns and should be noted as such in your syntactic analysis. It is, however, often difficult to differentiate between compound nouns, which function themselves as the head of a noun phrase (NP), and premodified nouns (see Chapter 2.6.1 for the two options of analyses). For this reason, Quirk et al. (1568–1570, I.59) name the following differences between the two cases. Note that there is an increase in reliability with spelling being the least and context the most reliable criterion: 1) Spelling: Spelling is not a dependable criterion on its own. The compound ʹflowerˌpot, for example, can be found in three concurring spellings:5 flowerpot, flower-pot, flower pot. While the first two spelling variations suggest that the item is a
3 4 5
For more details on the classification of nouns, see CGEL 245–252, 5.1–5.9. For detailed information on compounds and other processes of word formation, see the CGEL Appendix. Additionally, there are some cultural variations. While in BrE the hyphen is very common, either the open or the solid form is preferred in AmE (CGEL 1569, I.59).
3.1 Nouns
59
compound, the third does not. Generally speaking, an item is more likely to occur in its solid form, i.e. written as one word, the more lexicalized it is. 2) Pronunciation: In contrast to spelling, the stress pattern is a very reliable feature of compounds. Compound nouns are stressed on the first constituent. Compare ʹblackbird and ˌblack ʹbird (CGEL 1568, I.58) – and ignore the fact that the spelling is, at least in this case, already a major hint. In cases in which the spelling does not provide any clues, pronunciation can be very helpful. Blackbirds refer to a species of bird and not just a ˌblack ˈbird, i.e. “a certain kind of bird which happens to be black” to quote Quirk et al. Additional examples (CGEL 1568, I.59) including their different stress patterns are shown in Table 2: compound nouns
n/adj + n constructions
a ʹhotˌhouse
a ˌhot ʹhouse
a ʹdarkˌroom
a ˌdark ʹroom
Table 2: Stress patterns of compound and premodified nouns
3) Context: In some cases, only context will help you define whether you are dealing with a compound noun or a n/adj + n construction. Consider the example German shepherd. Two interpretations are possible without contextual information. Firstly, German shepherd might refer to a certain dog breed. In this case, the two elements, German and shepherd, together form one single meaning and must therefore be considered a compound. In this case, both German and Shepherd should be capitalized. Secondly, German shepherd might be taken as a combination of the two elements, i.e. a shepherd who happens to be German. German here is just an attribute describing the head of the NP, which is shepherd. The question of how German shepherd is to be interpreted only becomes clear given further contextual information. The text, if not the sentence itself, will make clear whether it is a dog or a person. Compare examples (1)6 and (2) and the respective analyses of the noun phrase:
6
A comment on the analysis: Noting down two (or even more) words in a single line also indicates that they belong together and in this case that they form a compound noun.
60
3 Word Classes
(1)
The police often use German Shepherds to sniff out drugs.
(2)
Since sheep farming is no longer in high demand in Germany, the number of German shepherds has sunk dramatically.
(2)
(1) (S): NP
h: comp n
German Shepherds
(S): NP
premod: adj
German
h: n
shepherds
3.2 Adjectives and Adverbs Some adjectives (adj) can be recognized simply by looking at them. The following are suffixes which only occur in this word class (CGEL 402, 7.1): -able (comfortable), -al (seasonal), -ful (playful), -ic (scientific), -ish (greyish), -less (useless), -ous (dangerous), -y (dirty). However, there are many adjectives which have no specific form. To categorize these as adjectives, the CGEL (402–403, 7.2) provides four criteria: (a)
They can be used attributively, i.e. describing a noun. e.g. a big house, a hungry child
(b)
They can be used predicatively with the verb seem. e.g. This child seems hungry. The universe seems infinite.
(c)
They can be premodified by very. e.g. very big, very old, very hungry
(d)
They can form a comparative and superlative form. e.g. big – bigger – biggest, good – better – best
The first two criteria (a and b) are most important and central to this word class. A word is an adjective if at least one of these two is met. Thus, we have the following spectrum (Figure 1): 1
1
3.2 Adjectives and Adverbs
[1] [2] [3] [4] [5] [6] [7] [8]
hungry infinite old afraid utter asleep soon abroad
61
(a)
(b)
(c)
(d)
+ + + ? + – – –
+ + – + – + – –
+ – + + – – + –
+ – + + – – + –
CENTRAL ADJECTIVES PERIPHERAL
ADVERBS
Figure 1: Spectrum of adjectives (CGEL 404, 7.3)
The adjectives that fulfill both of the central categories (a) and (b) are called central adjectives. Those that fall into at least one of the central categories are called peripheral adjectives. This criterion can also be used to distinguish adjectives and adverbs as in [7] and [8]. Since neither of them meets criterion (a) or (b), they are not adjectives but adverbs. Participles like frightening or frightened are considered adjectives as well whenever they occur on their own and refer to a noun without forming a clause with other clause constituents. Compare the following examples: (3)
She dropped a bowl, frightening me to death.
(4)
The similarity between the twins was frightening.
In (3), the main clause is She dropped a bowl. Frightening does not describe a noun, but forms the verb in a participle clause7 that also includes an object (me) and an adverbial (to death). In (4), frightening refers to a noun, namely the similarity between the twins. It is therefore an adjective. This conclusion can also be tested by checking some of the criteria above. You can, for example, modify frightening in (4) with very. In (3) this is not possible. (3a)
*She dropped a bowl, very frightening me to death.
(4a)
The similarity between the twins was very frightening.
7
For more details on participles and participle clauses, see Chapter 7.
62
3 Word Classes
Most adjectives, when used to modify the head of a noun phrase, usually come before the head, i.e. they are premodifiers. They can also, however, follow the head of the NP. Adjectives in the latter position are called postpositives, which might be worth an explanatory note in your syntactic analysis (see Chapter 6.4). Here are some NP examples for the different use of postpositive adjectives: (5)
the latest edition available
(6)
the greatest artist alive
(7)
something good, nothing special, somewhere quiet
(8)
architecture proper, Japan proper
(9)
the president elect, Asia Minor, heir apparent
In (5) and (6) latest and greatest are in the premodifier slot and their respective heads are edition and artist. These heads are each followed by another adjective which thus occupies the position of a postmodifier and can therefore be called a postpositive. While it is possible to move available in front of the head in (5) (the latest available edition), this cannot be done with (6) (*the greatest alive artist). Alive is an adjective which only occurs as a postpositive. Only the synonym living can be used as a premodifier (the greatest living artist). Postpositives are also used to modify pronouns as can be seen in (7). In (8), proper as a postpositive takes the meaning ‘in the actual sense of the word’. In addition, they quite often occur in titles or other fixed expressions, a few examples of which are given in (9) (CGEL 418–419, 7.21). Note: You do not need to label adjectives central, peripheral or postpos‐ itive in your syntactic analysis. It is, however, worthwhile to keep this distinction in mind so that you will be able to recognize adjectives even if they do not occur in their usual position, viz. as premodifiers within a NP.
3.2 Adjectives and Adverbs
63
The word class adverb (adv)8 is very similar to the syntactic function adverbial (!) in that they both can be referred to as ‘dustbin’ categories. Quirk et al. refer to the adverb as “the most nebulous and puzzling of the traditional word classes. Indeed, it is tempting to say simply that an adverb is an item that does not fit the definitions for other word classes” (CGEL 438, 7.46). Since they are most commonly confused with adjectives, a look at the criteria for the word class adverb may prove helpful. Morphologically, the following three types of adverbs can be distinguished (Table 3, CGEL 438–439, 7.46): (a)
simple adverbs
e.g.
just, only, well, back, near, out, to‐ day, tonight, though, however, fur‐ thermore, etc.
(b)
compound adverbs
e.g.
somehow, somewhere, therefore, whereupon, whereby, whereto, here‐ with, etc.
(c)
derivational adverbs e.g. e.g. e.g. e.g. e.g. e.g.
oddly, interestingly, strangely, etc. clockwise, otherwise, etc. northward(s), upward(s), etc. sideways, leastways etc. cowboy-style, western-style, etc. schoolboy-fashion, etc.
■ ■ ■ ■ ■ ■
with the suffix {-ly} with the suffix {-wise} with the suffix {-ward(s)} with the suffix {-ways} with the suffix {-style} with the suffix {-fashion}
Table 3: Three types of adverbs (according to morphology)
Note: Again, these additional terms simple, compound and derivational do not have to be mentioned in your syntactic analysis.
8
The distinction between adjuncts, conjuncts, disjuncts and subjuncts is not part of this chapter since it is not relevant for syntactic analysis. For further information, see CGEL 504–647, 8.25–8.147.
64 64
64
3.3 Adjectives vs. Adverbs
3 Word Classes
As mentioned at the beginning of this chapter, some words haveClasses dual 3 Word membership and belong to more than one word class. Adjectives and adverbs 3.3 Adjectives vs. Adverbs that look alike include fast, long, late, clean, close, deep, fine, flat, high etc. 3.3 Adjectives vs. beginning Adverbs (CGEL 405–409,at7.6–7.11). The following illustrate useshave of fast: As mentioned the of this sentences chapter, some words dual 3 Word Classes membership and belong to more than one word class. Adjectives and adverbs As mentioned at the beginning of this chapter, some words have dual that look alike include fast, long, late, clean, close, deep, fine, flat, high etc. membership and belong to more than one word class. Adjectives and adverbs 3.3 Adjectives vs. Adverbs (CGEL 405–409, 7.6–7.11). The following sentences illustrate uses of fast: that look alike include fast, long, late, clean, close, deep, fine, flat, high etc. (CGEL 405–409,at7.6–7.11). The following illustrate useshave of fast: As mentioned the beginning of thissentences chapter, some words dual (10) Terenceand is abelong fast driver. (attributive use) to more than one word class. Adjectives and adverbs membership that look alike include fast, long, late, clean, close, deep, fine, flat, high etc. (CGEL 405–409, 7.6–7.11). The following sentences illustrate uses of fast:
(10)
Terence is a fast driver. (attributive use)
(10) (11)
Terence isdriving a fast driver. (attributive use) use) Terence’s style is fast. (predicative
→
←
Although driving style is not formally part of the same phrase as fast, the (11) Terence’s driving style ispredicatively. fast. (predicative use) (11) can be rephrased adjective describes the noun Sentence as(11) (11a),Terence’s in which fast is used attributively again. driving style is fast. (predicative use) Although driving style is not not formally formally part part of of the the same same phrase phrase as as fast, fast, the the adjective describes the noun noun predicatively. predicatively. Sentence Sentence (11) (11) can can be be rephrased rephrased Although driving style is not formally part of the same phrase as fast, the as (11a), in which fast is used used attributively attributively again. again. adjective describes the noun predicatively. Sentence (11) can be rephrased as (11a), in which fast is used attributively again.
→
(11a) Terence has a fast driving style. 9 Criterion (b), Criterion (b), predicative predicative use use with with seem, seem,9 can can also also be be applied applied to to both both (11a) Terence has a fast driving style. sentences: sentences:
(11a) Terence has a fast driving style.
Criterion predicative (10b) The(b), driver seems fast.use with seem,9 can also be applied to both (10b) The driver seems fast. sentences: 9 Criterion (b), predicative (11b) Terence’s driving styleuse seemswith fast. seem, can also be applied to both sentences: (10b) The driver seems fast.
9 Note that seem links the twoadjectives elements thatcan belong together, viz. the Criterion (c) postulates that be premodified byadjective very: fast and noundriver driver in (10b)fast. and the adjective fast and the noun driving style in (11b). This (10b)theThe seems
explains the deviation in phrasing when comparing (10) and (10b) and will also explain the phrasing of (12b) later on. (10c) Terence is a very fast driver. 9 Note that seem links the two elements that belong together, viz. the adjective fast and noun driver in (10b) andisthe adjective (11c)theTerence’s driving style very fast. fast and the noun driving style in (11b). This 9 Note thatthe seem links the elements belong together, viz. the and explains deviation in two phrasing whenthat comparing (10) and (10b) andadjective will alsofast explain noun driver in (10b) and the phrasing of (12b) later on.the adjective fast and the noun driving style in (11b). This explains the deviation in phrasing when comparing (10) and (10b) and will also explain the phrasing of (12b) later on.
9
Note that seem links the two elements that belong together, viz. the adjective fast and the noun driver in (10b) and the adjective fast and the noun driving style in (11b). This explains the deviation in phrasing when comparing (10) and (10b) and will also explain the phrasing of (12b) later on.
(10c)
Terence is a very fast driver.
(11c)
Terence’s driving style is very fast.
And finally, they can form a comparative and superlative form: fast – faster
3.3 Adjectives – fastest. vs. Adverbs
And finally, they form a comparative and superlative form: fast – faster (10d) Terence is acan fast/faster/the fastest driver. – (11d) fastest.Terence’s driving style is fast/faster/the fastest. (10d) Terence is a fast/faster/the fastest driver. Thus, fast in (10) and (11) fulfills all the criteria for adjectives and can be (11d) Terence’s style is fast/faster/the deemed as such.driving (12), however, seems to befastest. a bit more complicated:
Thus, fast in (10) and (11) fulfills all the criteria for adjectives and can be deemed as such. (12), however, seems to be a bit more complicated: (12)
←
Terence usually drives fast.
Here, fast refers to the action in the sentence; it describes the way Terence Here, fast refers to the action in the sentence; it describes the way Terence is driving. So it does not refer to a noun but a verb. Due to this difference, is driving. So it does not refer to a noun but a verb. Due to this difference, not all the criteria apply to fast as it is used in this sentence: not all the criteria apply to fast as it is used in this sentence: (12a) (12a) (12b) (12b) (12c) (12c) (12d) (12d)
*Terence usually fast drives. (attributive use) *Terence usually fast drives. (attributive use) *Terence usually drives seems fast. *Terence usually drives seems fast. Terence usually drives very fast. Terence usually drives very fast. Terence usually drives fast/faster/the fastest. Terence usually drives fast/faster/the fastest.
The main criteria for adjectives, (a) and (b), are not fulfilled here. Thus, it is The main criteria for adjectives, (a) and (b), are not fulfilled here. Thus, it is not an adjective. Since none of the other word classes is a probable match, not an adjective. Since none of the other word classes is a probable match, we resort to our dustbin word class: the adverb. we resort to our dustbin word class: the adverb. For many grammarians another gray area concerns so called a-adjectives and a‑adverbs. Compare, for example: (13)
The patient was asleep.
(13a) *The asleep patient said…
(14)
The patient was abroad.
(14b) *The abroad patient said…
As shown by (13a) and (14a), criterion (a), attributive use, is not fulfilled. Hence, criterion (b), becomes decisive. However, there are limits to the predicative use as well, as proven by (13b) and (14b).
65
66
3 Word Classes
(13b) The patient seems asleep. (14b) *The patient seems abroad.
Interestingly, abroad can be used predicatively but only with the verb to be. Thus, abroad is classified as an adverb, while asleep can be identified as an adjective. Some more examples of a-adjectives and a-adverbs are presented in Table 4: a-adjectives
a-adverbs
ablaze, adrift, afire, afloat, afraid, aghast, ajar, alert, alike, alive, alone, aloof, ashamed, averse, awake, aware
aboard, around, astern, away
Table 4: a-adjectives and a-adverbs (CGEL 408–409, 7.10–7.11)
Note: These criteria have their limits! Another way to verify the word class of an item is by checking its syntactic function. Adjectives that are not part of a noun phrase can only function as CS or CO. Thus, anything else that looks like an adjective and forms a sentence constituent on its own which is not a CS or CO must be an adverb.
3.4 Pronouns and Determiners The term pronoun (pron) suggests that its function is to replace a noun (pro-noun). But instead of only being considered a nominal substitute, pro‐ nouns should be regarded as closed-class words with a noun-like function. The following overview (Figure 2) is based on the CGEL (345, 6.13), but was slightly adapted:10
10
The CGEL gives very misleading examples for possessive pronouns (my/mine, our/ours). However, Quirk et al. later go on to distinguish between personal pronouns and determiners and state that only mine, ours, etc. are actual pronouns, while my, our, etc. are determiners. This distinction is discussed in Section 3.5.
3.4 Pronouns and Determiners
central
67
personal
e.g. I, me, you, he, him, she, her, we, us, etc.
reflexive
e.g. myself, yourself, himself, ourselves, etc.
possessive
mine, yours, his, hers, its, ours, theirs
reciprocal
each other, one another
relative
who, whose, whom, which 11, that
interrogative
who, whose, whom, which11
demonstrative
this, these, that, those
indefinite
positive
negative
universal
all, both, each, every
assertive
e.g. the some-series, many, few, half, several, other, another, etc.
non-assertive
the any-series, either
the no-series, neither
Figure 2: Pronoun categories
Note: In your syntactic analysis, the only pronoun that needs to be labeled with its specific name is the relative pronoun, which introduces a relative clause. Otherwise, pronoun (pron) will suffice. Let us pick the pronoun all from Figure 2 to illustrate this word class with an example sentence and its corresponding analysis. In (15) All (of the students) passed their exams. (CGEL 258, 5.16), all is a pronoun functioning as the NP head, which can be postmodified by a PP:
11
Please note that Quirk et al. in their version of this overview (345, 6.13) call these pronouns the “wh-series.” However, this term is misleading since it also includes the words why, when and how, which are not pronouns but adverbs (see also Chapter 6.2 as well as Chapter 6.4 on relative pronouns and relative adverbs).
68
3 Word Classes
(15) s
S: NP
h: pron postmod: PP
All prep: prep prepC: NP
V: VP Od : NP
of dtm: det
the
h: n
students
mv: fv
passed
dtm: det
their
h: n
exams.
It is noteworthy that the personal pronoun it can be used in two ways. Like every other personal pronoun, it can refer to certain animate or inanimate objects mentioned in a text. When used in this fashion, it is called a referring-it. (16)
She made some soup and gave it to the children.
In example (16), taken directly from the CGEL (348, 6.16), two sentences are coordinated (see Chapter 9). In the second sentence, it is used to refer back to some soup and avoid repetition. But it can also be used as a syntactic prop and is thus called a prop or dummy it. This is the case with verbs that have zero-valency (and are called avalent), meaning they do not have a real subject. (17)
It is warm today.
(18)
It is raining.
The pronoun it does not refer to any sort of agent in (17) and (18). The action occurs on its own. It is used because it is the most neutral of the pronouns and thus, the most devoid of meaning (CGEL 348–349, 6.17). This does not change the syntactic analysis, though. It might not be an agent, but syntactically, it is still the subject of the sentence,12 formally realized by a NP which in turn consists of a head which is a pronoun.
12
1 another way, i.e. in extrapositions such as It The prop it can, moreover, be used in yet is a shame that they lost the game. (see Chapter 10.4 for a detailed discussion).
3.4 Pronouns and Determiners
69
Let us take a look at determiners (det). Determinatives, as their corre‐ sponding function, specify the kind of reference a particular NP has, i.e. they ‘determine’ it (CGEL 253, 5.10; see also Chapter 2). The most prominent determiners are the definite and indefinite articles the and a(n). However, there are many more. In fact, most of the terminological categories listed above in Figure 2 for the types of pronouns also apply to determiners. In the section on determiners in the CGEL, this word class is split into three groups: central determiners, predeterminers and postdeterminers. Table 5 is a compilation of determiners as listed in the CGEL (253–264, 5.10–5.24). (a) predeterminers ■ ■ ■ ■
all, both, half multipliers fractions such, what
e.g. e.g.
double, twice, three times, etc. one third, one fifth, etc.
e.g. e.g. e.g. e.g. e.g. e.g. e.g. e.g. e.g. e.g. e.g.
the, a, an my, your, her, his, its, our, their whose, which this, that, these, those whichever, whatever, whoever, etc. which, what, whose no, neither some any, either enough every, each
e.g. e.g.
one, two, three, four, etc. first, second, last, etc.
e.g.
few, many, etc.
(b) central determiners ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■
articles possessive determiners relative determiner demonstrative determiner wh-determiner in -ever interrogative determiner negative determiner assertive determiner non-assertive determiner quantitative determiner universal determiner
(c) postdeterminers ■ cardinal numerals13 ■ ordinal numerals and ‘general ordinals’ ■ quantifiers Table 5: Three groups of determiners
13
This list shows a funny thing about numerals: determiner clearly is a formal term designating a word class, but so is numeral (see Section 3.9 for more details)!
70
3 Word Classes
All these determiners can be used individually, but they can also be grouped (see Chapter 2.6.4). In these cases, as their names suggest, predeterminers precede central determiners (e.g. all the children, double her income) and post‐ determiners occur after predeterminers or central determiners, if present (e.g. all ten children, all the ten children). It is certainly possible, though not vital, to indicate the kind of determiner if two or more occur together. (19) all the ten children would be analyzed as follows: (19) NP
dtm: (pre) det
all
dtm: det
the
dtm: (post) det
ten
h: n
children
Some determiners are even more complex, and this can be rather problem‐ atic. Examples for these complex determiners (compl det) are much of the, plenty of, a lot of, lots of, a good deal of, a great number of, etc. They are formed by more than one element, but can be substituted by a simple determiner without any change in meaning: e.g. a lot of – many. When analyzing constructions like these, the CGEL clearly states that “the whole expression [can be seen] as a determiner” (264, 5.25). Two alternative analyses for (20) much of the campus are given below: (20a) NP
dtm: compl det
much of the
h: n
campus
(20b) NP
h: pron postmod: PP
much prep: prep prepC: NP
of dtm: det
the
h: n
campus
3.5 Pronouns vs. Determiners
Although both solutions are doable, it is quite apparent that analysis (20a) is the simpler of the two. It takes into account that the head is campus and not much. Still, both solutions are syntactically correct. Note: Determiners (det) always function as determinatives (dtm) and only occur phrase-initially.
3.5 Pronouns vs. Determiners Due to their identical appearance, pronouns and determiners are often confused. They are, however, quite different because pronouns, as stated above, have noun-like functions and mainly occur as the head of a NP, while determiners only specify the reference of the NP head. Determiners can never occur in a head-position. Compare the following two sentences: (21)
This is my book.
(22)
This book is mine.
When seen in direct opposition, the possessive determiner my can be easily distinguished from the possessive pronoun mine, as the forms in this case are actually different. This is not the case if you substitute my and mine with his. His would be a determiner in (21) and a pronoun in (22), yet both word classes are identical in form. In (21) and (22), the difference in function is also notable. Mine stands alone as the NP head in the CS. My determines which book is meant in the utterance in (21). Let us also consider this. In (21), it is the head of the NP, as this alone constitutes the subject of the sentence. In (22), this book is the subject with this in the determinative slot and book as the head.
71
72
3 Word Classes
(21) s
S: NP
h: pron
This
V: VP
mv: pv
is
CS : NP
dtm: det
my
h: n
book.
(22) s
S: NP
V: VP CS : NP
dtm: det
This
h: n
book
mv: pv
is
h: pron
mine.
3.6 Prepositions and Conjunctions “Prepositions are tricky little beasts” (Simpson 2014: n.p.). With most of them containing only six letters at most, they are very short words that seem to be of far lesser importance than nouns, verbs and adjectives (ibid.). Traditionally, a preposition (prep) is defined as “a word that governs, and normally precedes, a noun or pronoun and which expresses the latter’s relation to another word” (Huddleston/Pullum 2002: 598). Examples would be before or after, which express a relation between two nouns with respect to time. Under, above or next to are typical examples that convey where something is in relation to something else. On and under consist of one word and are simple prepositions (prep), while next to is a fixed combination of two elements and is a complex preposition (compl prep). Additional examples of each appear in Table 6 followed by three short analyses:
1
3.6 Prepositions and Conjunctions
73
simple prepositions (CGEL 665–667, 9.7)
complex prepositions (CGEL 669–671, 9.10–9.11)
about, after, around, as, at, before, be‐ hind, beneath, beyond, but, despite, down, during, except, for, from, in, inside, into, like, near, notwithstanding, off, onto, past, per, round, since, than, through, throughout, to, towards, under, unlike, until, up, without, etc.
ahead of, apart from, but for, inside of, instead of, out of, prior to, up against, etc. in aid of, in charge of, in front of, etc. in accordance with, in conformity with, etc. by dint of, by virtue of, by way of, etc. on account of, on behalf of, on top of, etc. as far as, for the sake of, with regard to, etc.
Table 6: Simple and complex prepositions
(23) PP
prep: prep prepC: NP
under dtm: det
the
h: n
tree
(24) PP
prep: compl prep
next to
prepC: NP
dtm: det
the
h: n
tree
(25) PP
prep: marg prep
regarding
prepC: NP
dtm: det
the
h: n
tree
In addition to simple and complex prepositions, there is a third group which the CGEL terms marginal prepositions (marg prep). Aside from regarding, analyzed in (25), other marginal prepositions include bar, barring, excepting, excluding, save, concerning, failing, wanting, pending, given, granted, inclu‐ ded, etc. (CGEL 667, 9.8). They “behave in many ways like prepositions, although they also have affinities with other word classes such as verbs or adjectives” (ibid.). In many cases, these marginal prepositions can be
74
3 Word Classes
substituted with “real” prepositions. All the examples above from bar to save, for instance, could easily be replaced with the simple preposition except. Whenever such a substitution is possible, the words must be analyzed as having the form and function of a preposition. Let us now turn to conjunctions, which are classified as coordinators or coordinating conjunctions (co conj) and subordinators or subordinating conjunctions (sub conj). Both coordinating and subordinating conjunctions link clauses (see Chapter 5 on clause combinations) or sentence constituents. While coordinators join elements of the same kind, e.g. a main clause and another main clause or a NP with another NP (see Chapter 9 on coordination), subordinators form hierarchies by connecting a subordinate clause to a superordinate main clause (CGEL 918–919, 13.2, Chapters 6 and 7 on subordinate clauses). Note: There are only three clear cases of coordinators: and, but and or. Aside from these three coordinators, the CGEL (935–941, 13.33–13.42) also discusses correlative coordinators. The first item in a correlative pair is called the endorsing item, the second is the coordinator. Table 7 cites only the most typical patterns with an example for each. The parentheses used in the examples highlight the optionality of the endorsing item: (both) … and
He has met (both) her mother and her father.
(either) … or
He has met (either) her mother or her father.
(neither) … nor
He has met neither her mother nor her father.
Table 7: Most typical correlative coordinating conjunctions
A full analysis of the second sentence in Table 7 is presented in (26):
3.6 Prepositions and Conjunctions
75
(26) s
S: NP
h: pron
He
V: VP
aux v: pv
has
mv: fv
met
Od : NP conjoint
coord: endorsing item
either
conj1 : NP1
dtm: det
her
h: n
mother
coord: co conj
or
conj2 : NP2
dtm: det
her
h: n
father.
Note that the endorsing item is put on the same level as the coordinating conjunction. Both are preceded by a function marker, i.e. coord (for coordi‐ nation) in order to uphold the function/form pairing on all levels of analysis (see Chapter 9 for more details on how to analyze cases of coordination). Subordinators make up a much bigger word class, which can again be split into simple, complex and correlative subordinators (see Table 8, CGEL 998–1001, 14.12–14.13). simple sub conj
compl sub conj
after, although, as, be‐ ■ cause, before, if, lest, once, since, that, though, un‐ less, until, when(ever), whereas, where(ever), whereupon, while ■ ■
ending in that: assuming that, but that, considering that, in order that, in that, in the event that, now that, save that, so that ending in as: according as, as far as, inasmuch as, insofar as others: as if, as though, in case
correl sub conj as … so as/so/such … as 14 less/more/-er … than no sooner … than barely/hardly/scarcely … when/that so/such … (that) the … the whether/if … or
Table 8: Simple, complex and correlative subordinating conjunctions
14
1 See also comparative clauses in Chapter 6.7.
76
3 Word Classes
While simple and complex subordinating conjunctions are frequently used, correlative subordinating conjunctions15 are rare and will not be further detailed here. The other two forms of subordinating conjunctions are analyzed in (27)16 and (28): (27) s
sub: sub conj
A: adv cl
S: NP
h: pron
you
V: VP
mv: fv
need
h: n
help,
Od : NP V: VP
If
give
mv: fv
Oi : NP
h: pron
me
Od : NP
dtm: det
a
h: n
call.
(28) A: adv cl
sub: compl sub conj
In case
S: NP
h: pron
you
V: VP
mv: fv
need...
3.7 Prepositions vs. Subordinating Conjunctions The attentive reader may have noticed some overlaps in the last two sections. As, after, before and until, for example, were all listed both as simple prepo‐ sitions and subordinators. Both word classes have “a relating or connecting 15 16
For more hints on correlative subordinating conjunctions, see CGEL (999–1001, 14.13). A comment on the analysis: To give someone a call is what Ungerer et al. (1984: 36) call verbal complex. In verbal complexes, the verb and a subsequent adj (e.g. fond of) or n (e.g. to do justice) are so closely related “that together they form one unit of meaning.” Verbal complexes “correspond in meaning to single-word verbs,” which would be to call in sentence (27). Yet the syntactic analysis has no way of reproducing this semantic aspect, which explains our analysis of (27).
1
3.7 Prepositions vs. Subordinating Conjunctions
function” (CGEL 659, 9.3) with the difference being that subordinators introduce subordinate clauses, while prepositions are followed by nominal or nominalized elements (CGEL 660, 9.3). Compare the following sentences: (29a) I called her the day before she arrived.
(30a) After I had lunch, I went to meet him.
(29b) I called her the day before her arrival.
(30b) After lunch, I went to meet him.
In both sentence pairs, the first sentence contains a subordinator and the second a preposition. In (29a) and (30a), the subordinator is followed by a whole clause (she arrived and I had lunch, respectively), while the prepositional complements in (29b) and (30b) are noun phrases. For more details on the difference between clauses and phrases, see Chapter 5. Note: Prepositions introduce phrases – subordinating conjunctions introduce clauses! Another special case is with (and also without), which is usually a preposition as in the following sentences (31, 32): (31)
Mary is playing with her little brother John.
(32)
She opened the bottle with a cork-screw.
However, with absolute participles and verbless clauses (see Chapter 7), with is used as a subordinating conjunction (CGEL 705, 9.55; 1003, 14.15): (33)
With Mary being away, John felt miserable.
(34)
With Mary away, John felt miserable.
The verbless clause in (34) is basically an elliptic version of (33). In most verbless clauses, a form of the verb to be can be inserted mentally to ascertain that it is a clause and not a phrase. Again, in each sentence, a subordinate clause is added to a main clause, this time linked by with. Therefore, with is not a preposition but a subordinator.
77
78
3 Word Classes
Note: With can only be used as a subordinating conjunction with absolute participles and verbless clauses! If with is not followed by one of these clause types, it is a preposition introducing a phrase.
3.8 Adverbs vs. Subordinating Conjunctions A special type of adverbs, namely conjunct adverbs like however, yet, so, hence, etc., are easily confused with subordinators. They also have a connecting function like subordinators, but they link sentences and not clauses. (35)
We paid him a large sum. So he kept quiet about what he saw.
(35a)
We paid him a large sum. He kept quiet about what he saw.
(35b) We paid him a large sum so he kept quiet about what he saw.
Example (35) (CGEL 442, 7.52) consists of two sentences divided by a full stop. So links them as a cohesive tie, but it could also be left out as in (35a), which indicates that it is an optional adverbial on the first functional level. It is formally realized by an AdvP, with the adverb so functioning as the head. 3.9 Numerals In (35b), so is used as a subordinator. Subordinators link main clauses and subordinate 3.9 Numerals clauses. The second part of this section specifically deals with how, when, where and why, which can be used as subordinators but also as relative adverbs (similar in function to “normal” relative pronouns like who and which). As such, they are used to introduce relative clauses: (36)
[I saw] the place where he is staying.
(36)
I saw the place where he is staying.
(37)
He doesn’t know the time when she was here.
(37) (38)
[He doesn’t know] the time when she was here. He saw them when they were in Rome.
(38) (39)
He saw them when they were in Rome. I’ll go where they go. (CGEL 442, 7.53)
(39)
I’ll go where they go. (CGEL 442, 7.53)
←
←
The subordinate clauses in (36) and (37) are relative clauses. Here, where and when are shorter versions of in which and at which, respectively and The therefore, subordinate clauses in (36)(see andChapter (37) are6.4). relative clauses. Here,aswhere are, relative adverbs Relative pronouns well and when are shorter versions of in which and at which, respectively and as relative adverbs always refer to an antecedent in the main clause. In (38)
79 79
3.9 Numerals
(38)
He saw them when they were in Rome.
(39)
I’ll go where they go. (CGEL 442, 7.53)
The subordinate clauses in (36) and (37) are relative clauses. Here, where and when are shorter versions of in which and at which, respectively and are, therefore, relative adverbs (see Chapter 6.4). Relative pronouns as well as relative adverbs always refer to an antecedent in the main clause. In (38) and (39), however, there is no possible antecedent present. The subordinate clauses are adverbial clauses introduced by subordinators. Note: Only relative clauses can be introduced by relative pronouns (e.g. who) or relative adverbs (e.g. when). If you have identified a clause introduced by where as a relative clause, you know that where must be a relative adverb.
3.9 Numerals The category numerals (num) (CGEL 393–398, 6.63–6.69) can be divided into cardinal (e.g. one, two, three, four, five, six, etc.) and ordinal (e.g. first, second, third, fourth, fifth, sixth, etc.) numbers. As previously mentioned (see Section 3.4), numerals can also correctly be called determiners in examples like one book (dtm: det or num). But Chapter 2.2 is just as correct when stating that a numeral can be like a (pro)noun and as such, function as a NP head,17 e.g. Five is an odd number. (h: num).18 This corresponds to the CGEL’s claim that numerals can “function either as determinatives or as heads in the NP” (393, 6.63 and 394, 6.64). Accordingly, an analysis of a sentence like (40) One of the main problems is limited consistency. has to treat one as the head of a NP in the S slot:
17 18
We tolerate this inconsistency, i.e. a numeral being the head of a NP, since there is no such thing as a “numeral phrase.” To distinguish between a (pro)noun-like numeral and a determiner-like numeral, think back to the guidelines used to differentiate between pronouns and determiners.
79
80
3 Word Classes
(40) s
S: NP
h: num postmod: PP
One prep: prep prepC: NP
V: VP CS : NP
of dtm: det
the
premod: adj
main
h: n
problems
mv: pv
is
premod: adj
limited
h: n
consistency.
Examples (41) and (42) give more insight into the analysis of numerals used in dates: (41)
In 1876, Thomas Edison created the light bulb.
(42)
Richard Nixon was president of the USA in the early 1970s.
(41) s
prep: prep
In
prepC: num
1876,
S: NP
h: pn
Thomas Edison
V: VP
mv: fv
created
A: PP
Od : NP
dtm: det
the
h: comp n
light bulb.
1
3.9 Numerals
81
(42) s
S: NP
h: pn
Richard Nixon
V: VP
mv: pv
was
CS : NP
president
h: n prep: prep
postmod: PP
prepC: NP
A: PP
of dtm: det
the
h: pn
USA
prep: prep prepC: NP
in dtm: det
the
premod: adj
early
h: num
1970s.
In (42), we see another case of a numeral being a NP head, which makes perfect sense since 1970s has an adjectival premodifier, a determinative and even forms a plural – just like a noun. Things get a bit more complicated, however, when abbreviations are involved. The following sentences are the same except that (43) contains the usual notation for sums of money, which is spelled out in (44): (43)
She bought a bag for $200.
(44)
She bought a bag for two hundred dollars.
Both underlined phrases undoubtedly contain numerals, but two hundred in (44) looks more like a determiner for dollars, similar to ten in all the ten children (Section 3.4). In (43) there is only the dollar symbol. The visual focus is on the number 200. A syntactic analysis of such a sentence would have to be based on the way this sentence would be uttered (see (44)19):
19
1 A comment on the analysis: An alternative analysis with a slightly different meaning is also possible: the PP for $200 can also be the postmodifier of bag.
82
3 Word Classes
(44) s
S: NP
h: pron
She
V: VP
mv: fv
bought
Od : NP
A: PP
dtm: det
a
h: n
bag
prep: prep prepC: NP
for dtm: num
200
h: n
$.
Analyses of abbreviated dates also have to be altered since they are not meant to be read the way they are notated. (45)
They met on 22.10.2010.
(45a)
They met on the 22nd of Oct. 2010.
(45b) They met on Oct. 22nd of 2010. (45a) s
h: pron
They
V: VP
mv: fv
met
A: PP
prep: prep
on
S: NP
prepC: NP
dtm: det
the
h: num
22nd
postmod: PP
prep: prep prepC: NP
1
of h: n
Oct.
postmod: num
2010.
3.10 Words of Unique Function
83
(45b) s
S: NP
h: pron
They
V: VP
mv: fv
met
A: PP
prep: prep
on
prepC: NP
h: n
Oct.
postmod: num
22nd
postmod: PP
prep: prep
of
prepC: num
2010.
In (45a), we can see that the ordinal 22nd is used pronominally, being a pro-form for the longer version the 22nd day (CGEL 394, 6.64). For this reason, it is justified to label numerals as NP heads (just like nouns and pronouns). What (45a) also shows (see 2010) and what can also be witnessed in (45b) (see 22nd) is the fact that numerals can, in some cases, be (post)modifiers. This is only hinted at in the CGEL when briefly mentioning “the appositive use [of numerals] in number five, page nine, etc” (394, 6.64). With appositives being a special case of postmodifiers (see Chapter 8), we deduce that numerals can rightfully be treated as postmodifiers as well. 3.10 Words of Unique Function Two little words do not quite fit into this grand scheme of word classes. The CGEL (67–68, 2.34), unlike other schools of grammar, does not usually employ the word class particle. Still, for them, not is a negative particle (neg part). The second word of unique function is the infinitive marker (inf mark) to, not to be confused with the preposition to (see Table 6, Section 3.6). While the preposition to is always followed by a noun (phrase) as in to the couch, the inf mark to is found in to-infinitive constructions as a marker of the non-finite form of the verb. We recommend analyzing both not and to as part of the verb phrase. The CGEL does not consider them as having a specific function. However, the binary structure of form and function is important in syntax, which is why we decided to ascribe the function negation (neg) to the form neg part and the function infinitive marker (inf mark) to the form 1 inf mark (see examples (46) and (47)).
84
3 Word Classes
(46) s
S: NP
h: pron
This
V: VP
mv: pv
is
neg: neg part
not
Cs : NP
dtm: det
my
h: n
book.
(47) s
S: NP
h: pron
We
V: VP
mv: fv
want
Od : nom to-inf cl
V: VP
A: PP
inf mark: inf mark
to
mv: fv
go
prep: prep
to
prepC: NP
A: NP
dtm: det
the
h: n
cinema
dtm: det
next
h: n
week.
Example (47) nicely demonstrates the contrast between the two word classes of to: the infinitive marker with the non-inflected full verb go and the preposition in a PP followed by a NP. Remember that next is to be treated the same way as last, which is listed as a postdeterminer among the ‘general’ ordinals (see Table 5, Section 3.4). The fact that next here is a determiner can also be tested by substitution: it has the same function as this, for example, which in this position would clearly be a determiner.
1
3.11 Tricky Business
3.11 Tricky Business The last theoretical part of this chapter focuses on two rather common, problematic details in connection with word classes: 1. What do I do with some in constructions like some 50 people? 2. What do I note down when an adjective is used like a noun as in a demonstration of radicals? 3.11.1 Some as an Adverb
A sentence structure may not seem intricate at first, but, when you have reached the last level of analysis and are confronted with the choice of word class, you might find yourself facing a difficult decision. Consider the following sentences: (48)
Some 50 people gathered in front of the theater.
(49)
Approximately 50 people gathered in front of the theater.
On the surface, these sentences do not seem challenging and they have the same meaning. The only difference is that (48) is introduced by some, which we have classified so far either as a determiner or a pronoun, and (49) by approximately, which is an adverb. It may be surprising to learn that some as used in (48), i.e. followed by an ordinal number, has to be treated as an adverb as well.20 With this in mind and the fact that numerals such as 50 can also count as (pro)nouns (see Sections 3.9 and 2.6.4 for complex determinatives) and act as NP heads, we arrive at the following analysis (with (49) looking exactly the same):
20
Even though the CGEL does not mention some as an adverb, our argumentation is backed by various (online) dictionaries which also classify some as an adverb (cf. Merriam Webster online, Oxford Learner’s Dictionary online, Cambridge Dictionary online, s.v. some).
85
86
3 Word Classes
(48) s
S: NP
dtm: NP
premod: adv
Some
h: num
50
h: n
people
V: VP
mv: fv
gathered
A: PP
prep: compl prep
in front of
prepC: NP
dtm: det
the
h: n
theatre.
3.11.2 Change of Word Class
As mentioned earlier, words can convert and, hence, change word classes. This has been the case with participles, for example, which can behave like adjectives. It is also possible for an adjective to convert into a noun. (50)
A demonstration of radicals took place yesterday.
Radical is originally an adjective, but in this sentence, it occurs in plural form, looking very much like a noun. Additionally, it functions as a prepositional complement, a position usually taken up by nominal elements. The sentence would be analyzed as follows: (50) s
S: NP
dtm: det
A
h: n
demonstration
postmod: PP
V: VP
prep: prep
of
prepC: n
radicals
mv: fv
took
Od : NP
h: n
place
A: AdvP
h: adv
yesterday. 1
4 The Verb Sandra Neigefind Of the various word classes that have been discussed, one is a bit more complicated than the rest: the verb. The structure of a verb phrase (VP) was already introduced in Chapter 2.4, so this chapter will take a closer look at the different categories of verbs, enabling you to analyze a VP from top to bottom by means of a function/form pairing. Table 1 offers an overview of all the categories a verb can belong to. criterion for classification word class
name
examples
in
full verbs
to sing, to run, to talk
4.1.1
modal auxiliary verbs
can, might, should
4.1.2
[catenative verbs]
appear to, come to, fail to
4.1.3
primary verbs
to do, to be, to have 1
4.1.4
intransitive
The bomb explodes.
Ch 1
She is happy.
4.2
monotransitive
He likes the girl.
Ch 1
ditransitive
She gives him the doll.
Ch 1
complex-transitive
She considers him nice.
Ch 1
simple verbs
He plays soccer.
4.3
multiword verbs
phrasal verbs
She turned up unexpectedly. 4.3.1
prepositional verbs
Of course, you can cope with 4.3.2 all the work.
phrasal-prepo‐ sitional verbs
He thinks he can get away with everything.
syntactic class copular
number of words
Table 1: Categories of verbs
1
This is a comprehensive list as there are only three primary verbs.
4.3.3
88
4 The Verb
4.1 Distinction According to Word Class As you can see in Table 1, we distinguish between three basic word classes for verbs. These classes are mutually exclusive, meaning each verb can only belong to one group. Catenative verbs can be seen as a special type of modal auxiliary verbs and do not count as a class of their own. It will be discussed in a separate section (4.1.3). 4.1.1 Full Verbs
The bulk of verbs are full verbs (fv). Full verbs are an open word class. They can only function as main verbs (mv); the reverse, however, is not true, which is why a mv can, but does not have to, be a fv (see Table 6 in Chapter 2.4). Examples include verbs such as sing, run, hope and enable. Another way to categorize full verbs is by labeling them according to the number of words they consist of. Here we distinguish between simple verbs (featuring only one word) and multi-word verbs (consisting of up to three separate words). The latter represent a complex and important topic for syntactic analysis and will be dealt with in Section 4.3. 4.1.2 Modal Auxiliary Verbs
Modal auxiliary verbs (or modals for short, abbreviated as mod aux in an analysis) belong to a closed inventory. In a VP, they can only function as auxiliary verbs (aux v) (see Chapter 2). The CGEL introduced the following criteria that must be met for a verb to be considerd a modal auxiliary verb (CGEL 121–127, 3.22–3.29). The following examples are either taken directly or are slightly altered versions from the CGEL (ibid.). Before examining the following criteria, note that this list is meant to give you a deeper insight into modal verbs; it is not necessarily used in syntactic analyses. It will, however, improve your ability to decipher unclear cases of modal verbs. In addition, it will help you differentiate between the different types of modals.
4.1 Distinction According to Word Class
a)
89
When a finite clause is negated, the auxiliary precedes the negative particle (neg part) not. She can do it.
She cannot do it.
She saw the play.
She didn’t see the play. *She saw not the play.
b)
When negated, the auxiliary and the negative particle contract (e.g. can’t, wouldn’t, mustn’t, won’t, etc.).
c)
Especially in questions, the word order is inverted and the auxiliary appears at the beginning of the sentence.
d)
She can swim.
Can she swim?
She plans to come.
*Plans she to come?
An emphatic positive can be formed. Won’t you try again?
e)
In elliptic replies to questions, the auxiliary can function as the single operator. Won’t you try again?
f)
Yes, I WILL try again.
Yes, I will.
Auxiliaries occur in pre-adverb position. She would never believe that story.
g)
Quantifiers that modify the subject can occur between the auxiliary and the main verb of the verb phrase. All the boys can swim.
h)
The boys can all swim.
Auxiliaries can be used with any kind of subject, regardless whether the sentence is an active or a passive construction. The bus should be here at five.
*The bus hopes to be here at five.
The man should be here at five.
The man hopes to be here at five.
Note: These criteria apply to all verbs which can fill the auxiliary slot in verb phrases! Therefore, primary verbs (see Section 4.1.4) also meet all the stated specifications, but are not to be confused with modal verbs!
90
4 The Verb
The CGEL introduces some additional criteria that apply only to modal verbs (CGEL 127–128, 3.30): i)
Modal auxiliaries are followed by the bare infinitive of a verb (including used to and ought to).2 I can go.
j)
*I hope go.
There are no non-finite forms of modal auxiliaries. *to can
k)
*canning
There is no inflection for the 3rd person singular. She must write.
*She musts write.
However, there are different types of modal auxiliaries and not all fulfill every criterion above (see Table 2). type of modal verb
examples
criteria fulfilled
central modals
can, could, may, might, should, will, would, must
(a)–(k)
marginal modals
dare, need, ought to, used to
(a)–(b), (i)–(k)
modal idioms
had better, would rather/sooner, have got to, be to
(i)–(j)
semi-auxiliaries
have to, be about to, be able to, be (i)–(j) bound to, be going to, be supposed to, be willing to
catenative verbs
appear to, fail to, happen to, seem to, tend to
(i)
Table 2: Types of modal auxiliary verbs with most common examples (adapted from Figure 3.40a, CGEL 137, 3.40)
2
Be careful: In used to and ought to, to is an integral part of the modal and does not belong to the following infinitive. Thus, He used to go for a walk every day. contains a modal (used to) followed by a bare infinitive without to.
4.1 Distinction According to Word Class
Aside from these structural clues, there is also a semantic test that can help you detect a modal auxiliary verb: no matter which type of modal auxiliary verb is used, these verbs do not describe the actual activity expressed by a VP. In He might be going to the cinema., the agent is somewhat likely to perform the action of “going,” so going is the mv. Might cannot be the mv but only the auxiliary verb expressing modality3 (in this case uncertainty). The activity in She is going to sing a song., on the other hand, is sing and in this case going is not the mv but part of the modal construction to be going to in the auxiliary slot. Detection Rule: A modal auxiliary verb expresses modality, but never contains information about the actual activity expressed in the VP. A full verb or a primary verb does! Let us take a closer look at different types of modal verbs to work out the differences and facilitate their detection in a syntactic analysis. The central modal verbs (also called core modals) are can, could, may, might, shall, should, will, would and must. This list of nine central modals is comprehensive. They fulfill all the criteria stated above, from (a) to (k) (CGEL 135–136, 3.39). They exist in only one form and can never be preceded by another auxiliary verb. However, they can be followed by the primary verbs (pv) be, do and have when these fulfill an auxiliary function. (1) s
S: NP
h: pron
He
V: VP
aux v: mod aux
can
mv: fv
write
Od : NP
3
dtm: det
a
h: n
song.
Modality is best defined “as the manner in which the meaning of a [VP, clause or sentence] is qualified so as to reflect the speaker's judgment of the likelihood of the [action] it expresses” (CGEL 219, 4.49).
91
92
4 The Verb
The marginal modal auxiliaries (marg mod aux) are dare, need, ought to and used to. This list is comprehensive as well. Semantically, they are very close to the central modals, but they do not fulfill all the criteria listed above (CGEL 138–140, 3.41–3.44). They only conform to (a)–(c) from the first group and all items in the second group. Keep in mind, however, that these modals can also be full verbs, which look exactly the same, but have a different function: Need and dare as full verbs are fully inflected and followed by a to-infinitive, e.g. He needed to escape., or by a NP, e.g. He needs a haircut. 4 The following analyses of sentences (2) and (3) taken from the CGEL (138, 3.42) show the difference between the marg mod aux and the fv need. We consider negative sentences here, as the positive form of the modal verb is not used (*He need escape.) and because the type of negation (neg) hints at the exact word class of need: it is a fv when the pro-form do is used (see (3)), and a marg mod aux when only not is used (see (2) and criterion a) in the above list). However, the use of the marginal modals need and dare is very rare in English. (2) s
S: NP
h: pron
He
V: VP
aux v: marg mod aux
need
neg: neg part
not
mv: fv
escape.
(3) s
S: NP
h: pron
He
V: VP
aux v: pv
does
neg: neg part
not
mv: fv
need
Od : nom to-inf cl
4
inf mark: inf mark
to
mv: fv
escape.
In fact, need and dare as full verbs “can enter into a number of different constructions (cf 16.26, 16.39.16.50)” (CGEL 139, 3.42, Note [e]).
4.1 Distinction According to Word Class
The four most common modal idioms (mod id) are had better, would rather, have got to and be to. They differ from full verbs, as they do not have a non-finite form and must be in the initial position in a VP. This also means that they cannot be preceded by other verbs and do not fulfill criteria (a)–(h) for modal verbs. In addition, have got to and be to have a third person singular s-form (CGEL 141–142, 3.45). The syntactic analysis is shown in example (4). (4) s
S: NP
h: pron
I
V: VP
aux v: mod id
would rather
mv: fv
rent
Od : NP
dtm: det
the
h: n
cottage.
Let us take a closer look at semi-auxiliaries (semi aux). According to the CGEL (143–146, 3.47–3.48), a semi aux is a verb idiom which expresses modal or aspectual meaning. Their first part is the primary verb be or have. Examples are be able to, be going to, be supposed to and have to. The forms introduced by be only fulfill criterion (j) of the modal auxiliaries (no non-finite form). However, the use of be in these forms in turn provides the means for most of the criteria for modal verbs to be met, for instance, no do-support in a negated sentence (see criterion (a)). This is illustrated in example (5a). In contrast, another semi aux, viz. have to in example (5b), does need a do-support for negation, thus nicely illustrating rather subtle nuances between semi auxiliaries: (5a)
We are not able to get up early tomorrow.
(5b)
We do not have to get up early tomorrow.
Classifying such verbs as semi auxiliaries gives us the option to analyze the following verb, which actually expresses the action of the entire sentence, as the mv of the notably large VP. Compare therefore the sample analysis of the sentence in (6).
93
94
4 The Verb
(6) s
S: NP
h: pn
Brazil
V: VP
aux v: semi aux
is going to
mv: fv
win
Od : NP
dtm: det
the
h: pn
World Cup.
4.1.3 A Special Case of Modals: Catenative Verb Constructions
Appear to, come to, fail to, happen to, and tend to are catenative verbs (cat v), and when followed by an infinitive, the resulting construction is called a catenative verb construction. It is sometimes suggested that the verbs appear, come etc. should be analyzed as the mv (FO: fv) of a VP and that the following to introduces a to-infinitive clause (to-inf cl). Compare the two analyses for (7) He failed to solve the riddle. (7a)
He failed mv: fv
(7b)
He
| to solve the riddle. Od: to-inf cl
failed to
solve | the riddle.
aux v: cat v + mv: fv
Od: NP
The corresponding chapter in the CGEL (146–147, 3.49) is remarkably vague on this point. A legitimate argument can be made for both solutions. After all, (7a) could be paraphrased with He failed it., proving that to solve the riddle is one constituent. But it could also be argued, perhaps more convincingly, that in (7b), failed to could be substituted by couldn’t, showing that failed to should be perceived as one form, as it works just like any other modal auxiliary. This is the path that we will pursue in this section: cat verbs are a type of modal verb that can only function as auxiliaries. Nevertheless, they are closer to full verbs than other types of modal verbs as they take do-support, e.g. when negated (see (8)). 1
4.1 Distinction According to Word Class
(8)
95
Sam didn’t come to realize the importance of the problem.
Be careful: Verbs like appear and happen can still be used as full verbs. And if they are, they must be the verbs expressing the activity described by the VP. Compare the following examples. While appear expresses the activity in sentence (10), it does not in sentence (9): (9) s
S: NP
h: pn
John
V: VP
aux v: cat v
appeared to
mv: fv
realize
Od : NP
dtm: det
the
h: n
importance.
(10) s
S: NP
h: n
Comets
V: VP
mv: fv
appear
A: PP
prep: prep
at
prepC: NP
premod: adj
predictable
h: n
times.
In addition to cat verbs ending with to, there are also cat verbs that share the same function of be in its auxiliary slot, such as start out, keep (on) and go on combined with the -ing-participle of the main verb as in (11). Get can also be used with the -ed-participle (e.g. Our team got beaten by the visitors.). (11) s
S: NP
V: VP
dtm: det
The
h: n
girl
aux v: cat v
kept (on)
mv: fv
working.
1
96
4 The Verb
4.1.4 Primary Verbs
There are only three primary verbs: be, do and have. They comprise a closed inventory. While full verbs are only able to function as the mv of a VP and modal verbs only as auxiliaries, primary verbs can take on both functions (see Table 6 in Chapter 2.4). When used as an auxiliary, they express negation in VPs and/or tense and aspect (CGEL 129–135, 3.31–3.38). Consider the following sentences which show primary verbs functioning as main verbs, (12) to (14), and primary verbs as auxiliaries (12a–14a): (12)
Mary is a teacher.
(12a) Mary is teaching a class right now. (13)
John has done his research.
(13a) John didn’t leave a stone unturned. (14)
They have a house.
(14a) They have had a great time in France.
4.2 Copular Verbs Verbs functioning as main verbs (i.e. full verbs and primary verbs) belong to different syntactic classes based on their transitivity as discussed in Chapter 1.2. There is a special case of intransitivity, triggered by a special kind of verb, though, which deserves extra attention: the copular verb. The prototypical copular verb is to be. Others include to appear, to become, to look, to seem, to feel, to taste and many more (CGEL 1172, 16.21); all of these verbs can, but do not necessarily have to, be used as copular verbs. Compare, for instance, sentences (15) and (16). (15)
John grew very old.
(15a) John is very old. (16)
John grew tomatoes in the garden.
(16a) *John is tomatoes in the garden.
4.2 Copular Verbs
97
The verb grow is a copular verb in (15) but not in (16). As (15a) and (16a) show, the substitution test (with our prototypical copular verb to be) always helps tell the difference. Note: To check if a verb is actually a copular verb, [1] replace it with to be. The sentence will retain its meaning if it truely is a copular verb. [2] Also confirm that the verb cannot be used without the following constituent, i.e. that the sentence will be incomplete if the next component is deleted (CGEL 737, 10.16). In examples (17) and (18), the verbs to marry and to die would also be classi‐ fied as copular verbs according to the test. However, the CGEL classifies the following complementation in both cases as a verbless clause functioning as an adverbial, which becomes quite clear once we reformulate the sentences (17a and 18a) (CGEL 737, 10.16). (17)
They married young.
(17a) They married when they were young. (18)
He died a poor man.
(18a) He died when he was a poor man.
To explain, take another look at (17) and (17a). If we analyze young as a CS, it corresponds to the sentence They are young (now). This is, however, not what the sentence means, as becomes more obvious when comparing it with its longer version in (17a). This shows us that young in (17) is better analyzed as an A instead of a CS. The analysis of a sentence containing a copular verb is as follows: (19) s
S: NP
h: pn
William
V: VP
mv: pv
is
CS : NP
dtm: det
my
h: n
friend.
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4 The Verb
As you can see, there is no need to note the pv as a copular verb in your syntactic analysis, classifying it as a pv is enough. However, it is still very useful to spot copular verbs, as it helps you to identify the correct syntactic sentence pattern. Copular verbs can only be followed either by a subject complement or by an adverbial. This means that copular verbs are never complemented by objects, which is why we give preference to calling them copular verbs instead of applying the term (in)transitivity (which deals with the absence/presence of objects). These verbs are also called linking verbs, as they link the subject with something else. They describe states of people and things functioning as the subject. Accordingly, the only two sentence patterns where copular verbs are involved are SVCS and SVA (CGEL 1171–1176, 16.21–16.24), as can be seen in the following examples: (19)
William is my friend.
(20)
The girl seemed very restless.
(21)
The kitchen is downstairs.
These examples illustrate the two possible structures triggered by copular verbs. (19) and (20) are constructed with a CS, a NP and an AdjP, respectively. Example (21) takes an adverbial denoting space. Table 3 summarizes the functional and formal options with copular verbs. option for next questions example (obligatory) answered constituent
CS SV She is..
A
forms
how?
…happy. …what some would call sloppy.
AdjP clause
what?
…a teacher. …what some would call a boss.
NP clause
where?
…upstairs. …in the garden. …where most of her friends are.
AdvP PP clause
Table 3: Options for copular verb constructions
4.3 Multi-Word Verbs
99
4.3 Multi-Word Verbs Multi-word verbs are full verbs that consist of more than one word. If you detect a fv with more than one word, it is a multi-word verb. The words that follow the lexical verb are particles.5 However, combinations only count as multi-word verbs if they function, syntactically as well as semantically, as a single unit. Because they are one semantic unit, they are also called verbal idioms. 6 Take a look at examples (22) and (23) to examine the differences between multi-word verbs and free combinations (CGEL 1150, 16.2) (22) s
S: NP
h: pron
We
V: VP
mv: prep v (fv + prep)
go into
Oprep : NP
dtm: det
the
h: n
problem.
(23) s
S: NP
h: pron
We
V: VP
mv: fv
go
A: PP
prep: prep
into
prepC: NP
dtm: det
the
h: n
museum.
While example (22) contains a multi-word verb, (23) does not. We call (23) a free combination because the verb and the preposition just happen to be next to each other. Moreover, in (23), both the verb go and the preposition into preserve their separate meanings. A verb counts as a multi-word verb if and only if it has an idiomatic status! In other words, the combination of 5 6
Different multi-word verbs have different particles. Use the exact name you find in the following paragraphs in your analysis. In contrast to multi-word verbs, other idiomatic verbal expressions like fall asleep or to give someone a ring (‘to phone someone’) are not treated separately in the CGEL and are always analyzed as a main verb and its complementation in a copular, monotransitive, ditransitive or complex transitive construction.
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4 The Verb
go and into as used in (22) has a meaning other than the sum of the meaning of its parts. This status can be detected by replacing the construction with a single-word verb. Please note that this test is not always reliable, as there are multi-word verbs which cannot be paraphrased in one word and free combinations that can (CGEL 1162, 16.12). However, in example (22), we can paraphrase the verb to go into with discuss, but cannot find a one-word-alternative for go into in (23). There are three different types of multi-word verbs. The following sections will identify these types and guide you on how to analyze them. 4.3.1 Phrasal Verbs
Phrasal verbs (phr v) consist of two units: a full verb and a particle called a prepositional adverb (prep adv). Examples directly taken from the CGEL (1152–1153, 16.3–16.4) appear below: (24)
The tank blew up.
(27)
She’s bringing up two children.
(25)
When will they give in?
(28)
We will set up a new unit.
(26)
The plane has now taken off.
(29)
She looked up her friends.
All these verbs have an idiomatic meaning and cannot be understood simply by knowing the meaning of their parts. In example (25), for instance, the meaning of to give in has nothing to do with giving or the direction in. You have to know that the meaning is ‘to relent’ or ‘back down’. The examples also illustrate another characteristic feature of phrasal verbs: they occur in intransitive (24)–(26) and monotransitive (27)–(29) constructions. In monotransitive constructions with phrasal verbs, we can move the object around. Let us look at the examples (27) and (27a)–(27c). (27)
She’s bringing up two children.
(27a) She’s bringing two children up. (27b) She’s bringing them up. (27c) *She’s bringing up them.
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101
If this object is a NP, we can move it around (27 or 27a); if it is a pronoun as in (27b vs. 27c), we have to move the pronominalized object between the two parts of the phr v (CGEL 1152–1155, 16.3–16.4). This feature of phrasal verbs will prove helpful to distinguish between the different types of multi-word verbs. For the syntactic analysis of a sentence like (24), we recommend the following: (24) s
S: NP
V: VP
dtm: det
The
h: n
tank
mv: phr v (fv + prep adv)
blew up.
The advantage of this kind of syntactic tree structure is three-fold: 1) the function/form relation is upheld (which cannot be said of model solutions presented elsewhere); 2) the special type of verb (phr v) is noted down in the analysis; and 3) the word class of each part of the phr v is also mentioned. A few phrasal verbs belong to the syntactic class of copular verbs. Therefore, the following element has to be identified as CS. Sentences (30) and (31) offer examples for copular phrasal verbs. (30)
They ended up happy.
(31)
It turned out a success.
The test for copular verbs from Section 4.2 still works and the replacement with a form of to be is possible in both cases: They are happy. and It was a success. 4.3.2 Prepositional Verbs
As phrasal verbs, prepositional verbs (prep v) consist of two units: a full verb and a particle called a preposition (prep). Here are some examples taken in part from the CGEL (1155–1156, 16.5): (32)
We must go into the problem.
(35)
1
Jenny thanked us for the present.
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4 The Verb
(33)
I’ve come across a problem.
(36)
The gang robbed her of her neck‐ lace.
(34)
She looked after her son.
(37)
Mary took care of the children.
Prepositional verbs appear either in monotransitive (32)–(34) or ditransitive (35)–(37) constructions. The NP that usually7 follows these prepositions functions as prepositional object (Oprep). In cases of ditransitive complemen‐ tation, we find a direct object and a prepositional object (CGEL 1156, 16.5 and 1158, 16.7). The term prepositional object has already been discussed in Chapter 1.3. As a reminder: We recommend the usage of the term Oprep only in the context of prepositional verbs (and phr-prep v, see Section 4.3.3), although not all linguists, including the CGEL, are that rigid. Taking another look at the monotransitive examples of prep v, which can easily be confused with the monotransitive phr verbs (see Section 4.3.1), we can also try to replace the Oprep with a personal pronoun. Here, however, the full verb and preposition cannot be separated. (32)
We must go into the problem.
(32a) We must go into it. (32b) *We must go it into. (32c) *We must go the problem into.
The syntactic analysis of a prep v is structured as in the following example (34). (34a) s
S: NP
h: pron
She
V: VP
mv: prep v (fv + prep)
looked after
Oprep : NP
7
dtm: det
her
h: n
son.
The Oprep can also take other forms than a NP, e.g. an -ing-part clause in (35a) Jenny thanked us for arriving on time.
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103
Please note that example (34), She looked after her son., has, in fact, two different meanings and can therefore be analyzed in two different ways: either as a prep v with a Oprep (look after = ‘take care of’) as in (34a) above, or as a free combination, i.e. a simple verb followed by an adverbial which is realized by a PP (look after = ‘follow someone with one’s eyes’) as in (34b): (34b) s
S: NP
h: pron
She
V: VP
mv: fv
looked
A: PP
prep: prep
after
prepC: NP
dtm: det
her
h: n
son.
Thus, it is not always easy to draw a line between a prep v or a free combi‐ nation. After all, the boundaries are notoriously fuzzy, and the idiomatic surplus of multi-word verbs is at times hard to evaluate. Still, there are two criteria to effectively detect monotransitive prepositional verbs (CGEL 1164–1165., 16.14–16.15): Note: We know a multi-word verb is a monotransitive prep v if… 1) the Oprep can be the S of a passive sentence. 2) the pronouns who(m) and what are used to ask for the Oprep. Let us consider the following examples to test these two criteria. (38)
We arrived at a station.
(38a) *A station was arrived at.
(39)
We arrived at a conclusion.
(39a) A conclusion was arrived at.
While arrive at is a prep v in sentence (39), it is not in (38) because it fails the passive test. The second test works as well. (38)
We arrived at a station.
(38b) Where did we arrive at?
(39)
We arrived at a conclusion.
(39b) What did we arrive at?
1
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4 The Verb
(38b) uses the adverbial (!) question form where, whereas (39b) relies on the pronoun what to detect the Oprep as predicted in rule 2). Thus, only (39) should be classified as a prep v. There are a few prepositional verbs which belong to the syntactic class of copular verbs. They would, therefore, be followed by a CS instead of a Oprep. Sentence (40) is one example of a copular prepositional verb. (40)
He turned into a monster.
You can still use the test for copular verbs to identify the construction. Replacing the verb with a form of to be results in the sentence He is a monster., proving that turn into is a copular verb and a multi-word verb (which can be substituted by a simple verb). 4.3.3 Phrasal-Prepositional Verbs
Phrasal-prepositional verbs (phr-prep v) are the only type of multi-word verbs that contain three units: a full verb, a prepositional adverb, and a preposition (in that order!). The name of the verb (phrasal-prepositional) may help you remember the correct sequence: first is a prepositional adverb (as with phrasal verbs) and then comes a preposition (as with prepositional verbs). Below are some examples: (41)
We are all looking forward to your party on Saturday.
(42)
He thinks he can get away with everything.
(43)
He had to put up with a lot of teasing at school.
(44)
We put our success down to hard work.
(45)
I’ll let you in on a secret.
(46)
Don’t take it out on me!
The phr-prep v comes with monotransitive (41)–(43) or ditransitive (44)–(46) complementation. The object following a phr-prep v is also called a Oprep. The idiomatic status of these verbs can often be detected with the help of one-word paraphrases (i.e. put up with = ‘tolerate’) (CGEL 1160, 16.9). Finally,
4.3 Multi-Word Verbs
105
the syntactic analysis of a sentence containing a phr-prep v looks like this (43, shortened): (43, shortened) s
S: NP
h: pron
He
V: VP
aux v: semi aux
had to
mv: phr-prep v (fv + prep adv + prep)
put up with
Oprep : NP
h: pron
it.
4.3.4 Detection Rules
If the main verb in the syntactic analysis is a multi-word verb, it is not hard to find out which one it is. Just follow the guidelines presented in Figure 1, which summarize all the features of multi-word verbs mentioned in the previous sections.
106
4 The Verb
How many particles does the verb have?
2 → phr-prep v
1
How many objects are there (transitivity)?
intransitive → phr v
monotransitive
ditransitive → prep v
Substitute the O with a pronoun. What happens?
verb and particle stay together → prep v
verb and particle are seperated by the pronoun → phr v
Figure 1: Overview of multi-word verbs and detection rules
5 An Introduction to Complex Sentences Hannah Jahner & Jenny Arendholz In comparison to previous chapters, this one is rather unusual and therefore starts with a disclaimer: This chapter is meant as a preface to the following two chapters in that it tries to carve out basic structures of clauses in general in order to facilitate a deeper understanding of the various finite (Chapter 6) and non-finite clause types (Chapter 7). The level of abstraction aimed at in this chapter will pave the way for a basic grasp of the nature of clauses in contrast to phrases previously presented in Chapter 2 – a difference often problematic for syntax beginners. After all, clauses and phrases both appear on formal levels (see below). There are two consequences of this rather unique chapter: 1. A lot of structures, viz. concrete clause types, will only be foreshadowed here with their explanations and concrete analyses following in later chapters (6 and 7). 2. A lot of terminology introduced here (i.e. finite, non-finite and verbless clauses, embedded and subordinate clauses, nominal and adverbial clauses) will never actually appear in your analysis. We are well aware that this level of abstraction might just be what some readers need in order to understand the larger scheme, while the same approach might scare others off. For some readers, it might thus be helpful to skip ahead to Chapters 6 and 7 and return to this one afterwards. 5.1 Clauses vs. Phrases The difference between clauses and phrases is vitally important in syntactic analyses. It is also key to understanding the difference between subordina‐ tion (see Section 5.3) and embedding (see Section 5.4). Table 1 summarizes the differences between the two syntactic forms.
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5 An Introduction to Complex Sentences
clauses
phrases
contain a verb (but see Chapter 7.5 for verbless clauses)
do not contain a verb (exception VPs)
there is no central element, i.e. no head contain a central element, i.e. a head1 look like mini sentences including (parts of) SVO structures
strictly follow the phrase patterns
can contain other subordinate clauses
can contain embedded clauses
are sometimes (!) introduced by a func‐ are never introduced by a function word tion word2 Table 1: Differences between clauses and phrases
If you are unsure about whether a constituent is a clause or a phrase, the following steps, which can be deduced from Table 1, might help you. At first, you should check whether the structure contains a verb. If it does, it is very likely a clause. If it does not contain a verb, be aware that it could still be a verbless clause (see Chapter 7.5). Check whether your structure looks like a mini sentence or rather follows one of the phrase patterns introduced in Chapter 2. Clauses are sometimes introduced by function words like that, after, if and many more, while phrases are not. Be careful, though: Not finding a function word does not automatically mean that it cannot be a clause! However, if you do find a function word, your structure of interest is definitely a clause. Let us have a look at the following examples. (1)
the old man
(2)
The old man sits at the table.
Example (1) neither contains a verb, nor looks like a mini sentence. Instead, it follows the typical phrase pattern of a NP: the is the determinative, old the premodifier and man the head of the phrase. Therefore, (1) can clearly be identified as a NP. Example (2), on the other hand, does contain the finite 1 2
This is definitely true for NPs, AdjPs and AdvPs. VPs and PPs also have central, head-like elements, which are, however, not called head but mv and prep, respectively (see Chapter 2). Note that we use the term function word in its broadest sense, including relative pronouns and subordinating conjunctions (see Chapter 3, 6 and 7).
5.1 Clauses vs. Phrases
109
verb sits. It can clearly be identified as a SVA clause on the first syntactic level. As examples (1) and (2) show, it is not difficult to tell a simple clause and a simple phrase apart. However, many students start having difficulties when it comes to sentences like example (3). (3)
The old man who sits at the table is drinking a beer.
In comparison to (1) and (2), example (3) displays a rather complex sentence structure. This kind of complexity is one of the reasons why many students have difficulties with syntactic analyses. Therefore, we will focus on the different syntactic levels of a sentence and introduce and explain them step-by-step. With regard to sentence (3), a straightforward, schematic solution will suffice for the time being (see Figure 1): {} ■ one {sentence} which is at the same time one and consists of three [phrases] ■ the first [phrase] includes another The main activity in the sentence is that someone (= The old man who sits at the table) is drinking something (= a beer). ■ three constituents on the first syntactic level (FU: SVOd, FO: NP, VP, NP) ■ the sentence is governed by the finite verbs is drinking ■ sits must be a finite verb in a clause on a level other than the first [The old man ] Who am I talking about? Who can carry out the action of the VP, i.e. who can do the drinking? head = man (n) → NP typical NP structure: dtm, premod, head, postmod
[is drinking]
[a beer]
VP What was drunk? typical VP structure: head = beer (n) → NP aux v + mv typical NP structure: dtm, head
■ there is a finite verb in the post‐ mod ■ the postmod must be a clause governed by the finite verb sits ■ this clause is part of the NP, i.e. it is embedded in the NP (see 5.4)! Figure 1: Schematic analysis of sentence (3)
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5 An Introduction to Complex Sentences
5.2 Sentences and Clause Combinations According to Quirk et al. (42, 2.7), sentences are the highest grammatical unit. As we know from Chapter 1, every sentence consists of at least one clause. A simple sentence consists of a single clause whose elements (subject, object, adverbial, etc.) are each realized by a phrase. If a sentence consists of more than one clause, it is called a multiple sentence. Multiple sentences can further be divided into compound sentences (see Chapter 9) and complex sentences (CGEL 719, 10.1). This is illustrated in Figure 2.
Figure 2: Sentence structures (CGEL 719, 10.1; examples based on 38–40, 2.4)
A compound sentence is a sentence in which two or more independent main clauses are linked by a coordinating conjunction such as and, or or but (see Chapter 3.6). The clauses of a compound sentence are equal constituents of the sentence. As the angle brackets indicate, the coordinating conjunction does not belong to either of the independent clauses. The combination of two independent main clauses is called coordination. However, the term coordination is also used in a broader sense, i.e. when clauses with the same syntactic status are combined. Therefore, not only the combination of two independent main clauses (see example (4)), but also the combination of two subordinate clauses (see example (5)) is called coordination (see Chapter 9). (4)
{ and }
(5)
{ and , }
5.2 Sentences and Clause Combinations
This chapter focuses, however, on the second type of multiple sentences illustrated in Figure 2: the complex sentence, which is a combination of an independent main clause and one or more dependent clauses (CGEL 987, 14.2). Dependent clauses in general are often subsumed under the umbrella term subordinate clauses. In this book, however, we would like to pursue a slightly more differentiated terminology when talking about complex sentences. To explain: As their name already suggests, dependent clauses cannot stand on their own and are always part of a clause combination. There are two types of such clause combinations of complex sentences: sentences where the dependent clause is a direct constituent of the main clause, and sentences where the dependent clause is a phrase constituent. We call the former subordinate and the latter embedded clauses. It would therefore be misleading to use the term subordinate clause (instead of dependent clause) both as an umbrella term and as one of its hyponyms. Note: There are two types of dependent clauses: ■ subordinate clause = direct constituent of a clause (often coextensive with a sentence) ■ embedded clause = direct constituent of a phrase The fact that the term dependent clause is used as an umbrella term instead is shown in Figure 3. The two basic types of dependent clauses as well as the two subtypes of subordinate clauses are also displayed in Figure 3.
Figure 3: Overview of the types of dependent clauses
111
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5 An Introduction to Complex Sentences
To provide a framework for understanding the different types of dependent clauses, we will now move from broad umbrella terms to more specific terms. Note that using the umbrella terms in your syntactic analysis is not necessarily wrong. However, being as precise as possible may earn you more points in an exam context. All types of clauses can further be classified according to their realization of the verbal element. A clause is called a finite clause if its verbal element is finite. A clause with a non-finite verb as its verbal element, on the other hand, is called a non-finite clause (CGEL 150, 3.53). The third structural type of clauses is the verbless clause. Verbless clauses do not have a verb element, but are “nevertheless capable of being analyzed into clause elements” (CGEL 992, 14.5). Example (6) shows a non-finite and (7) a verbless clause (ibid.). (6)
Knowing my temper, I didn’t reply.
(7)
Although always helpful, he was not much liked.
The underlined parts in examples (6) and (7) can be regarded as dependent clauses because they cannot occur on their own and their internal structure can be analyzed “into the same functional elements that we distinguish in finite clauses” (ibid.). We referred to such structures before as “mini sen‐ tences” and analyze them accordingly. Example (7a) displays the syntactic functions of the clausal constituents in the corresponding mini sentence in (7). (7a)
Although
he
was
always
helpful, he was not much liked.
sub conj
S
V
A
CS
The extended dependent clause in (7a) is the reason for postulating the following syntactic functions: (7)
Although
always
helpful, he was not much liked.
sub conj
A
CS
Here is a full-fledged analysis of sentence (7).
5.3 Subordinate Clauses
113
(7) s
A: adv vless cl
sub: sub conj
Although
A: AdvP
h: adv
always
CS : AdjP
h: adj
helpful,
S: NP
h: pron
he
V: VP
mv: pv
was
neg: neg part
not
CS : AdjP
premod: adv
much
h: adj
liked.
5.3 Subordinate Clauses When “one clause is made a constituent of another clause” (CGEL 44, 2.9), i.e. constitutes a syntactic function, we speak of subordination. This can be shown in example (8), in which the dependent clause directly constitutes the object of the superordinate clause, i.e. the sentence . The smaller chunk is a subordinate clause (as you will learn later, it is called nominal that-clause, nom that-cl for short, see analysis). (8) I
understand
that the offer has been accepted.
S
V
Od
NP
VP
subordinate clause
1
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5 An Introduction to Complex Sentences
(8) s
S: NP
h: pron
I
V: VP
mv: fv
understand
Od : nom that-cl
sub: sub conj
that
S: NP
dtm: det
the
h: n
offer
aux v: pv
has
aux v: pv
been
mv: fv
accepted.
V: VP
Subordinate clauses are typically introduced by a class of words known as subordinating conjunctions (sub conj), or subordinators for short (see Chapter 3.6–3.8). They indicate the semantic relationship between the subordinate clause and the superordinate clause. Note that as opposed to coordinat‐ ing conjunctions in compound sentences, subordinating conjunctions in subordinate clauses do belong to their respective subordinate clause. If you find a subordinating conjunction, you will always find a subordinate clause. Unfortunately, some subordinate clauses do not need a subordinating conjunction. So you need to learn how to identify subordinate clauses without just looking for a subordinating conjuction (see Chapters 6 and 7). Another reason why simply learning all the subordinating conjunctions by heart will not guarantee you a successful analysis is that some words belong to multiple word classes, thus triggering different constructions (see Chapter 3.7–3.8). There are two categories of subordinate clauses: nominal clauses and adverbial clauses (see Figure 3). As displayed in Figure 4, nominal and adverbial clauses formally realize different sets of syntactic functions, fortunately without any overlap: FU FO
S
Oi/Od nominal clauses
CS/CO
A adverbial clauses
Figure 4: Syntactic functions of nominal and of adverbial clauses 1
5.3 Subordinate Clauses
115
5.3.1 Nominal Clauses
Nominal clauses “have functions that approximate to those of noun phrases: subject, object, complement”3 (CGEL 1047, 15.2, see also Figure 4). This shows that nominal clauses are, just like phrases, direct constituents of a clause and, therefore, fulfill the requirements for subordinate clauses. Reconsider example (8) and its related sentence (8a) to prove and illustrate this claim. (8) I
understand
that the offer has been accepted.
S
V
Od
NP
VP
nominal clause
I
understand
the idea.
S
V
Od
NP
VP
NP
(8a)
The term nominal clause is brought into play here instead of the more general term subordinate clause, used in the first attempt to analyze (8). Although nominal clause describes the type of clause already quite accurately, it still serves as a heading for a whole inventory of even more specific clause types – the ones that you will actually need in most exam contexts. These are listed in Table 2 along with CGEL examples and the respective chapter in which they will be discussed in more detail.
3
The list of functions in this quote from the CGEL was shortened deliberately by excluding “appositive, and prepositional complement” (ibid.) because a) the former is, technically speaking, not even a syntactic function and b) neither can be found on the first level of analysis. Note, however, that we can find nominal clauses in these constructions.
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types of nominal clauses nominal that-clauses, e.g. I noticed that he spoke English with an Australian accent. nominal wh-clauses,4 e.g. The problem is who will water my plants when I am away.
verb type finite clauses (Chapter 6)
nominal relative clauses, e.g. Whoever did that should admit it frankly. nominal to-infinitive clauses, e.g. To be neutral in this conflict is out of the question. nominal bare infinitive clauses,5 e.g. All I did was hit him on the head.
non-finite clauses (Chapter 7)
nominal -ing-participle clauses, e.g. Watching television keeps them out of mischief. nominal -ed-participle clauses, e.g. They found him worn out by travel and exertion. nominal verbless clauses, e.g. Wall-to-wall carpets in every room 6 is their dream.
no verb (Chapter 7)
Table 2: Types of nominal clauses (CGEL 1048, 15.3, slightly adapted)
As can be seen in Table 2, only some of the nominal clause types carry the word nominal in their name. Since that-clauses, wh-clauses and relative clauses frequently appear both in subordinate clauses (as nominal clauses) and also in embedded positions (as attributive clauses), it makes sense to be as precise as possible in naming them. For this reason, subordinate that-clauses are called nominal that-clauses, while embedded that-clauses are called attributive that-clauses (see Table 4). For your syntactic analysis, we recommend the use of the most specific term possible, i.e. specifying a
4 5
6
Note that we use the term wh-clause as an umbrella term for wh-interrogative clauses (CGEL 1050, 15.5.), Yes-no and alternative interrogative clauses (CGEL 1053, 15.6.) and exclamative clauses (CGEL 1055, 15.7). For more details about this, see Chapter 6.2. Since the aim of this table is to give a comprehensive overview of all the types of nominal clauses, we also included the “nominal bare infinitive clause (without to) [although it] is severely limited in its functions” (CGEL 1067, 15.15): CS, as in the example, or (rarely) S in a pseudo-cleft sentence (see Chapter 10.3). If you have the impression that this clause is very similar to a simple NP, see Chapter 7.5 for detailed information about the nature of this rather strange kind of clause.
5.3 Subordinate Clauses
117
nominal that-clause as such instead of calling it only a nominal clause or, even less precise, a subordinate clause, let alone a finite clause. 5.3.2 Adverbial Clauses
Adverbial clauses (in the broadest sense) are the realization of the adverbial constituent (A) – and only the A – in the form of a clause (see Figure 4). They provide the reader with information in addition to what is contained in the subject, verb, object or complement. They can also indicate the attitude of the speaker. Example sentence (9) illustrates the status of the adverbial clause as a type of subordinate clause. Compare (9) and (9a) to see how an adverbial clause is just one possible formal realization of the function A. Another formal realization is a PP as in (9a), though other phrases are also possible (see Chapter 2). (9) They
went
wherever they could find work.
S
V
A
NP
VP
adverbial clause
They
went
to the cinema.
S
V
A
NP
VP
PP
(9a)
The term adverbial clause subsumes finite, non-finite and verbless clauses. However, the adverbial clause proper refers only to the finite type (see Chapter 6.1), which is introduced by a subordinating conjunction (sub conj) that indicates the semantic role of the clause in the sentence. This can be shown with the help of three classic examples ((10) to (12), CGEL 1087, 15.31; 1078, 15.25; 1088, 15.32): (10)
They went wherever they could find work. (sub conj wherever indicating place)
(11)
When I last saw you, you lived in Washington. (sub conj when indicating time)
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(12)
If the weather is fine, (then) we’ll have a barbecue. (sub conj if indicating condition)
But, as visible in Table 3, other types of subordinate clauses can be found in the adverbial slot. We recommend that you note down the more specific terms found in Table 3, e.g. to-infinitive clause, instead of the umbrella term adverbial clause and use the latter only for finite subordinate clauses (with subordinating conjunctions!) in the adverbial slot as in the examples (10) to (12). types of adverbial clauses adverbial clauses (proper), e.g. When I last saw you, you lived in Washington. sentential relative clauses, e.g. Things then improved, which surprises me. adverbial to-infinitive clauses, e.g. I’m not sure what to do, to be honest. adverbial bare infinitive clauses, e.g. He paid the fine rather than appeal to a higher court.
verb type finite clauses (Chapter 6)
non-finite clauses (Chapter 7)
adverbial -ing-participle clauses, e.g. Driving at high speed, one may well miss direction signs. adverbial -ed-participle clauses, e.g. The sentence is ambiguous, taken out of context. adverbial verbless clauses, e.g. Fresh from the oven, rolls are delicious.
no verb (Chapter 7)
Table 3: Types of adverbial clauses with CGEL examples
5.4 Embedded Clauses Unlike subordinate clauses, embedded clauses do not directly constitute one of the seven syntactic functions. Instead, embedded clauses are constituents of phrases.
5.4 Embedded Clauses
119
(13) This
is
[the
house
]
S
V
CS
NP
VP
NP
h
mv
dtm
h
postmod
pron
pv
det
n
embedded cl
As can be seen by taking a closer look at (13), embedded clauses can only be used on the second syntactic level at the earliest and not, as with subordinate clauses, on the first level of analysis. An embedded clause always formally realizes a function inside (!) a phrase, most typically a postmodifier inside a NP or an AdjP (see Table 7). Accordingly, an analysis involving an embedded clause should look like this. (13) s
S: NP
h: pron
This
V: VP
mv: pv
is
CS : NP
dtm: det
the
h: n
house
postmod: def rel cl
Od : NP
h: rel pron
that
S: NP
h: pn
Jack
V: VP
mv: fv
built.
As examples (14) to (16) show, embedded clauses can also be found in two other phrase types besides NPs, viz. AdjPs (14), PPs (15), and AdvPs (16). (14)
I am [ready ]
(15)
She’s good [at ]
(16)
He ran fast [enough ]
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5 An Introduction to Complex Sentences
In (14), an attributive to-infinitive clause serves as postmodifier for the AdjP head ready and thus represents one constituent inside the AdjP. The same holds true for (15), where an attributive -ing-participle clause is a prepositional complement inside a PP. In (16), the attributive to-infinitive clause complements (see Chapter 2.6.3) the head of the AdvP. In all three example sentences, the respective clauses are embedded in phrases. Table 4 offers an overview of the different clause types that can occur as embedded clauses. types of embedded clauses
verb type
attributive relative clauses, e.g. This is [the book ]. attributive that-clauses, e.g. [The fact ] worried all of us.
finite clauses (Chapter 6)
attributive wh-clauses, e.g. I answered [his question ]. comparative clauses,7 e.g. Jane is [as healthy ]. attributive to-infinitive clauses, e.g. I’m [very eager ]. attributive -ing-participle clauses, e.g. They are [busy ].
non-finite clauses (Chapter 7)
attributive -ed-participle clauses, e.g. [Any coins ] must be handed to the police. Table 4: Types of embedded clauses (partly taken from the CGEL)
As already indicated in 5.3.1, attributive relative clauses, attributive that-clauses and attributive wh-clauses are the only clause types that carry the name attributive in order to highlight their distinctness from their nominal counterparts.
7
As we will show in Chapter 6.7, comparative clauses are always embedded clauses. For this reason, there is no need to call them attributive comparative clauses, as there is no nominal or adverbial counterpart to confuse it with.
5.5 Summary: Syntactic Functions of Dependent Clauses
121
5.5 Summary: Syntactic Functions of Dependent Clauses We end this chapter with a summary of the various clause types previously introduced. Table 5 offers a systematic and hierarchically-ordered overview, starting with hyperonyms and becoming more and more precise further down, where the bulletpoints spell out the most specific names of the clause types. The most accurate term to use in your analysis is thus found in the bulletpoints, although all the other terms listed further up are also correct. Also note that many dependent clauses can be used in varying positions in a sentence, thus sometimes appearing more than once in the table. dependent clauses embedded clauses
subordinate clauses adverbial clauses
finite ■ ■ ■ ■
attributive that-cl attributive wh-cl attributive relative cl comparative cl
non-finite
finite
finite
■ adverbial cl (proper) ■ nominal that-cl ■ sentential relative cl ■ nominal wh-cl ■ nominal relative cl non-finite
■ attributive to-infinitive ■ adverbial to-infini‐ cl tive cl ■ attributive -ing-partici‐ ■ adverbial bare infin‐ ple cl itive cl ■ attributive -ed-participle ■ adverbial -ing-par‐ cl ticiple cl ■ adverbial -ed-partici‐ ple cl verbless ---
nominal clauses
verbless
non-finite ■
nominal to-infinitive cl ■ nominal bare infini‐ tive cl ■ nominal -ing-partici‐ ple cl ■ nominal -ed-participle cl verbless
■ adverbial verbless cl ■ nominal verbless cl
Table 5: Systematic and hierarchically ordered overview of dependent clauses
Whereas Table 5 summarizes the different types of dependent clauses, Table 6 and 7 give a brief overview of the different syntactic functions which dependent clauses can have. Please note that these tables exemplify each syntactic function with only one clause type and are therefore not exhaustive when it comes to the particular form of a clause.
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5 An Introduction to Complex Sentences
subordinate clauses subtype
functions
example
nominal clauses
S
That the invading troops have been withdrawn has not affected our government’s trade sanctions.
Od
I understand that the offer has been accepted.
Oi
He gave whoever asked for it 8 a copy of his latest paper.
CS
The best excuse is to say that you have an examination tomorrow morning.
CO
You can call me whatever you like.
A
We left after the speeches ended.
adverbial clauses
Table 6: Different functions of dependent, subordinate clauses
embedded clauses functions
example
postmod in NP
[The fact ] is very much to her credit.
postmod in AdjP
I am [ready ].
compl, e.g. in AdjP9
Jane is [as healthy ].
prepC in PP
They did not consult us [on ].
Table 7: Different functions of dependent, embedded clauses
8 9
Note that the nominal relative clause is the only type of clause that can normally function as an indirect object. See Chapter 2.6.3 for example sentences with complementation in phrases other than the AdjP.
6 Finite Clauses Jenny Arendholz & Michaela Pitsch The previous chapter has shown that phrases and clauses are different forms that can both be used to fill (the same) functional slots: the subject of a sentence can be realized as a noun phrase (NP) or a nominal that-clause: His early arrival (S: NP) was clearly an inconvenience to his host. vs. That he arrived so early (S: nom that-cl) was clearly an inconvenience to his host. This chapter is designed to familiarize you with the various types of finite clauses, i.e. clauses that are formed with a finite verb. In contrast to non-finite verbs (see Chapter 7), finite verbs provide information about person, number, tense, aspect, mood and voice. Since a lot of these clauses look similar on the surface – quite a few of them start with the word that – it is imperative to characterize each clause type meticulously in order to tell them apart and avoid confusion. In this vein, the clauses will be labeled in the analyses as precisely as possible – even though this may be more than you actually need in some exam contexts. Table 1 offers a first overview of the clause types which will be discussed in detail in this chapter. clause type
example sentence
section
adverbial clauses
It didn’t work out as we had hoped.
6.1
attributive wh-clauses
I answered his question where the library was.
6.2
nominal wh-clauses
Tim asked me where the library was.
6.2
attributive that-clauses
The fact that he resigned worried all of us.
6.3
nominal that-clauses
That he resigned worried all of us.
6.3
attributive relative clau‐ My brother (,) who lives in America (,) is an ses engineer.
6.4
nominal relative clauses Whoever did that should admit it frankly.
6.5
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6 Finite Clauses
sentential relative clau‐ Things then improved, which surprises me. ses
6.6
comparative clauses
6.7
Jane is as healthy as her sister (is).
Table 1: Overview of clause types to be discussed in Chapter 6
6.1 Adverbial Clauses The term adverbial clause (adv cl) was already introduced in Chapter 5. When used in its broadest sense, it comprises all subordinate clauses that function as adverbials. However, as this chapter deals with finite clauses only, we will have a closer look here at adverbial clauses proper.1 Whenever we mention the term adverbial clause in this chapter, we are actually referring to the adverbial clause (proper). It is a subordinate clause that functions as an adverbial, centers around a finite verb and starts with a subordinating conjunction. In your syntactic analysis, only these clauses are actually labeled with the abbreviation adv cl. In Chapter 7, you will encounter many non-finite clauses, e.g. adverbial -ing-participle clauses. Although they can also function as adverbials (A), they are not denoted adverbial clause on the formal level. Instead, they keep their names. In our example, the term adverbial -ing-participle clause (adv -ing-part cl) would be used. Compare (1, CGEL 1078, 15.25) and its modified version (1a): both share the function A, but differ in their formal realization: (1)
While I was asleep, I dreamed about you. FU: A / FO: adv cl
(1a)
Being asleep, I dreamed about you. FU: A / FO: adv -ing-part cl
You can recognize the adverbial clause in (1) by the clause-initial subordi‐ nator while and by the finite verb was. This little word gives you information about the semantics of the clause. It was already mentioned in Chapter 1 that 1
For more details on the distinction between adverbial clauses in the broadest sense and adverbial clauses proper, see Chapter 5.3.2.
6.1 Adverbial Clauses
125
adverbials have various semantic roles, which can be expressed by phrases or adverbial clauses. In sentence (2), for example, you can find an adverbial of time conveyed by the prepositional phrase before class. The same slot can also be filled with an adverbial clause (3). (2)
I met Judy
before class. FU: A / FO: PP
(3)
I met Judy
before I went to class. FU: A / FO: adv cl
Do not be fooled by the fact that both adverbials begin with the word before. Each before belongs to a different word class. In (2), it is a preposition introducing a PP, whereas in (3), it is a subordinator introducing an adver‐ bial clause.2 In Table 2, you find subordinators which typically introduce adverbial clauses, classified according to the respective semantic content (CGEL 1077–1118, 15.24–56). semantic role
subordinators
time
after, as, before, once, since, till, until, when, whenever, while, whilst, now (that), as long as, so long as, as soon as, immediately
place
where, wherever
condition
if, in case, as long as, in the event that
concession
whereas, while, although, even if, even tough, though
contrast
whereas, while
exception
except (that), but that, excepting (that), save (that)
reason
because, since, as, for
purpose3
in order to, so as to, so that, in order that
result
so (that)
comparison
as if, as though, like, (just) as, (exactly) as
2 3
For further information on this point, see Chapter 3.7. Note that most of the time, adverbial clauses of purpose are actually to-infinitive clauses (see Chapter 7.3.1) and need to be labeled as such.
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6 Finite Clauses
proportion
as…so, the…the
preference
rather than, sooner than
comment
as
Table 2: Adverbial clauses and their subordinators
As you can see, as appears very often in this table, which is why the semantic role cannot simply be determined by looking at the subordinator alone. In most exam contexts, however, the semantic role of the adverbial is of minor importance. It may, however, prove useful when trying to identify the function of sentence constituents: whenever you see a clause introduced by a subordinator that gives information on how, when, where, why, etc. something in the main clause happened, this subordinate clause has the function of an adverbial (A). Here is a sample analysis of (4) It didn’t work out as we had hoped.: (4) s
S: NP
h: pron
It
V: VP
aux v: pv
did
neg: neg part
not
mv: phr v (fv + prep adv)
work out
A: adv cl
sub: sub conj
as
S: NP
h: pron
we
V: VP
aux v: pv
had
mv: fv
hoped.
6.2 Wh-Clauses The second type of finite clauses is called wh-clauses (wh-cl), a term that is used rather inconsistently throughout the CGEL. In most cases, it actually serves as an umbrella term for the following four subtypes: wh-interrogative clauses as in I can’t imagine what they want with your address. (CGEL 1050,
6.2 Wh-Clauses
15.5), yes-no interrogative clauses as in I wonder if you can help me. (CGEL 1053, 15.6), alternative interrogative clauses as in I can’t find out whether the flight has been delayed or whether it has been cancelled. (ibid.)4 but also exclamative clauses like I remember what a good time I had at your party. (CGEL 1055, 15.7). Please note that despite the semantic differences in these four constructions, we will stick to the label wh-clause for all four and focus on the most frequent of the four types, the wh-interrogative clause. The odd one out, the exclamative clause, will get a separate paragraph after the following discussion of the “regular” wh-clauses. The “regular” wh-clauses are also known as indirect questions. In indirect speech, direct questions are reported. Sentence (5a) clearly picks up on the direct question in (5), incorporating it as an indirect question. Therefore, we find a wh-clause in the Od slot, following the Oi me. (5)
Where is the library?
(5a)
Tim asked me where the library was.
Verbs like ask, tell, explain, doubt, know, etc. prototypically precede a wh-clause, but this clause can also follow nouns, e.g. question, issue, idea, as in (5b). (5b)
I answered his question where the library was.
Compare sentences (5a) and (5b) regarding their syntactic functions in Figure 1:
4
In yes-no and alternative interrogative clauses, in which we see the same array of syntactic functions as in wh-interrogative clauses, the choice of subordinating conjunctions is limited: if or whether (in the yes-no type), whether… or or if … or (in the alternative interrogative clause type).
127
128
6 Finite Clauses
(5a)
(5b)
Tim
asked
me
where the library was.
S
V
Oi
Od
I
answered
his question where the library was.
S
V
Od
Figure 1: Syntactic functions on the first level of analysis in sentences (5a-b)
In (5a), the wh-clause forms the entire object on its own, whereas in (5b), his question is also part of the object and the wh-clause describes this noun in more detail. It tells us what his question actually was. Thus, wh-clauses can be used in nominal positions as in (5a) or in attributive positions, i.e. as postmodifiers as in (5b) (see Figure 2). wh-clause subordinate: nominal FU: S, Od, CS
embedded: attributive FU: postmod in NP or AdjP, prepC in PP
Figure 2: Attributive and nominal wh-clauses and their functions
When used as nominal clauses, wh-clauses appear in slots that are typically filled by nouns functioning as S, Od or CS. If they are used attributively, they function as postmodifiers to nouns or adjectives or as prepositional complements in PPs (CGEL 1050–1051, 15.5). The difference between these two types of wh-clauses becomes obvious when looking at the analyses of sentences (5a)5 and (5b):
5
A comment on the analysis: We will discuss the exact word class of the first element in a wh-clause later in this section in Table 3.
6.2 Wh-Clauses
129
(5a) s
S: NP
h: pn
Tim
V: VP
mv: fv
asked
Oi : NP
me
h: pron
Od : nom wh-cl
A: AdvP S: NP
V: VP
h: int adv
where
dtm: det
the
h: n
libary
mv: pv
was.
(5b) s
S: NP
h: pron
I
V: VP
mv: fv
answered
Od : NP
dtm: det
his
h: n
question
postmod: attr wh-cl
A: AdvP S: NP
V: VP
h: int adv
where
dtm: det
the
h: n
libary
mv: pv
was.
As visible in Figure 2, nominal wh-clauses can be the Od as in sentence (5a), but also the S or CS of a sentence: (6)
When the ministers would vote upon the deal has not yet been decided. (SVA)
(7)
His question was whether the vote would take place this week. (SVCS)
Also, attributive wh-clauses do not only occur in NPs as shown in sentence (5b), but also as postmodifiers in AdjPs as in sentence (8). Compare the following two sentences (CGEL 1225, 16.73): 1
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6 Finite Clauses
(8)
I was unsure what I should say.
(9)
It was unclear what they would do.
At first glance, the sentences appear very similar. However, by substituting and repositioning sentence constituents, you will find that it in sentence (9) is an extraposed subject with the nominal wh-clause being its notional counterpart (read more about extraposition in Chapter 10.4). Thus, unclear stands on its own, forming the CS, which can be seen when rephrasing the sentence as What they should do was unclear. This is not possible in (8), where the wh-clause is tightly connected to the adjective unsure. It cannot be moved to a different position as it explains what the subject was unsure about. It postmodifies the adjective6 and has to be classified as an attributive wh-clause within the AdjP. (8)
(9)
I
was
unsure what I should say.
S
V
CS
It
was
unclear
what they would do.
Sant
V
CS
Spost
Figure 3: Syntactic functions on the first level of analysis in sentences (8) and (9)
The last possible function of the attributive wh-clause is the prepC in a PP as the following two sentences show: (10)
Everyone was talking about who would take over the leadership of the party.
(11)
The opinion polls caused much confusion about who the winner would be. (Ungerer et al. 1984: 202)
6
Although the CGEL does not use the term antecedent in the context of constructions with attributive wh-clauses, the adjective in sentence (8), unsure, is still very similar in function to a “regular” antecedent normally found in attributive relative clauses (see Chapter 6.4). For this reason – and because the presence of an antecedent usually makes detecting attributive clauses far easier – we will put the term antecedent to good (and broad) use and apply it to all attributive clauses (see Tables 8, 15, 16 and 17), knowing full well that in doing so, we are not necessarily in sync with the CGEL in all cases.
6.2 Wh-Clauses
131
In case of doubt, substitute the wh-clauses by it. This results in the modified sentence The opinion polls caused much confusion about it. for (11), which proves that the entire wh-clause is really one constituent that follows the preposition about. This works in both sentences. Thus, it becomes apparent that about is not part of the wh-clauses. Accordingly, both wh-clauses function as prepCs. The complete analysis of sentence (10) bears witness to that: (10) s
S: NP V: VP
A: PP
h: pron
Everyone
aux v: pv
was
mv: fv
talking
prep: prep prepC: attr wh-cl
about S: NP
h: int pron
who
V: VP
aux v: mod aux
would
mv: phr v (fv + prep adv)
take over
Od : NP
dtm: det
the
h: n
leadership
postmod: PP
prep: prep prepC: NP
of dtm: det
the
h: n
party.
However, this does not mean that prepositions are never part of a wh-clause. Just as prepositions can be part of direct questions, they can also belong to the introductory element of an indirect question. (12)
For whom will you vote?
(12a) They asked for whom I would vote.
In (12a), the preposition for does not belong to the verb of the main clause (ask) but to vote in the subordinate clause. Sentence (12a) would thus be analyzed as follows:
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6 Finite Clauses
(12a) s
S: NP
h: pron
They
V: VP
mv: fv
asked
Od : nom wh-cl
prep: prep
for
prepC: int pron
whom
S: NP
h: pron
I
V: VP
aux v: mod aux
would
mv: fv
vote.
A: PP
We will now comment on the introductory elements of wh-clauses. When reporting a question, the question word used in the direct question becomes the introductory element of the wh-clause. These so-called wh-elements comprise the words who, whom, which, whose, what, when, where, why and also how. Whenever the direct question might be answered with yes or no (e.g. Is the library this way?), the subordinators whether or if are used. Wh-elements belong to different word classes (see Chapter 3) and can take on many syntactic functions. Table 3 provides a comprehensive overview (see CGEL 817–819, 11.14, 11.15 for hints on functions and 368–371, 6.36–6.39 for hints on word classes): wh-ele‐ ment
example sentence He asked…
form (interrogative …)
function
who
…who bought this book.
int pron
S
whom
…whom I met at the library. int pron …to whom I gave my library card. int pron
Od prepC (in PP as A)
what
…what was going on. …what I did last night. …for what I needed this book.
int pron int pron int pron
S Od prepC (in PP as A) dtm
7
…what kind of book I liked to read. int det
7
The usage of who and whom strongly depends on the formality of the context. Only in formal situations are who and whom used in their traditional way as summarized in 1 have any of the functions listed for whom Table 3. In an informal context, who might as well.
6.2 Wh-Clauses
which
133
…which (of the books) was my favourite. …which he should pick. …with which he could study.
int pron
S
int pron int pron
…which book was my favourite.
int det
Od prepC (in PP as A) dtm
whose
…whose book this was.
int det
dtm
how 8
…how he could reach the library. …how far it was.
int adv9 int adv
A premod (in AdvP as A)10
when
…when he had to return the book. int adv
A
where
…where he could find a book on syntax.
int adv
A
why
…why he had to learn this.
int adv
A
Table 3: wh-elements, their forms and functions
As promised at the beginning of this section, here are a few additional notes on the nature of the fourth subtype of wh-clauses, the exclamative clause. Remember that we will nevertheless use the label wh-clause for this subtype as well! Exclamative clauses can function as extraposed subjects (see Chapter 10.4), direct objects or prepositional complements (see sentences (13)–(15), CGEL 1055, 15.7): (13)
It’s incredible how fast she can run. (exclamative clause as extraposed subject)
(14)
I remember what a good time I had at your party. (exclamative clause as Od)
(15)
I read an account of what an impression you had made. (exclamative clause as prepC)
8 9
10
Please note that how, when, where and why can also introduce relative clauses. When they do, they are not interrogative adverbs but relative adverbs (see Section 6.4 in this chapter and Chapter 3). In the CGEL, only where is explicitly labeled as an interrogative adverb (409, 7.11 Note [b]), a term which we also use for when, how, why by analogy. Their functions are listed in section 11.15 (CGEL 818), but are also alluded to in section 10.10 (731–732) where where, when, how long and why are called “wh-interrogative adverbials.” Since how long is treated as one wh-interrogative adverbial by the CGEL (see footnote 9), the same should hold for how far analogously.
134
6 Finite Clauses
It is also interesting to point out that “the exclamative element is formed with what as predeterminer in a noun phrase and how as [intensifying adverb] of an adjective, adverb, or clause” (ibid.). Here are two sample analyses for wh-clauses introduced by how and what, respectively: (13) s
Sant : NP
h: pron
It
mv: pv
V: VP CS : AdjP
is
h: adj
Spost : nom wh-cl
incredible A: AdvP
how fast
h: int adv
S: NP
h: pron
she
V: VP
aux v: mod aux
can
mv: fv
run.
(15) s
S: NP
h: pron
I
V: VP
mv: fv
read
Od : NP
dtm: det
an
h: n
account
postmod: PP
prep: prep
of
prepC: attr wh-cl
Od : NP
dtm: int det
what
dtm: det
an
h: n
impression
S: NP
h: pron
you
V: VP
aux v: pv
had
mv: fv
made.
Sometimes, the meaning of the subordinate wh-clause can be ambiguous, vacillating between two interpretations. You can’t imagine what difficulties I have with my children. can mean You can’t imagine the great difficulties I have with my children., which would be an exclamatory interpretation, or You can’t imagine the kinds of difficulty I have with my children., which would be
1
6.3 That-Clauses
135
an interrogative interpretation. In this regard, it also proves advantageous to merely call the subordinate clause nom wh-clause for both readings. 6.3 That-Clauses That-clauses (that-cl) constitute another group of clauses that can be used nominally as a subordinate clause (nominal that-clause, nom that-cl) or attributively (attributive that-clause, attr that-cl) as an embedded clause. Figure 4 lists all possible functions of that-clauses (CGEL 1049, 15.4): that-clause subordinate: nominal FU: S, Od,11 CS
embedded: attributive FU: postmod in NP or AdjP12
Figure 4: Attributive and nominal that-clauses and their functions
While sentences (16) to (18) exemplify the three possible functions of nominal that-clauses, sentences (19) and (20) show the two functions of the attributive ones: (16)
That he resigned worried all of us. (SVOd)
(17)
He knew that he could get a better position elsewhere. (SVOd)
(18)
The reason for his resignation was that he was offered a better position elsewhere. (SVCS)
11
12
In most cases, the that-clause is a direct object. It rarely occurs as an indirect object and is only “marginally acceptable” (CGEL 1050, 15.4 Note [a]) in sentences such as They would not give that she passed her examination with distinction any consideration in determining her salary. In contrast to wh-clauses, that-clauses cannot function as a prepC, i.e. they do not follow prepositions (CGEL 1049, 15.4).
136
6 Finite Clauses
(19)
The fact that he resigned worried all of us. (postmod in NP)
(20)
We were worried that he would resign. (postmod in AdjP)
In attributive function, a that-clause fills the position of a postmod within a NP or an AdjP (see Figure 4). The head of a NP followed by an attr that-cl “must be a general abstract noun such as fact, idea, proposition, reply, remark, answer, and the like” (CGEL 1260, 17.26).13 Constructions like the fact that X (as in The fact that he resigned worried all of us.) always involve an attr that-cl14 and are called appositions (see Chapter 8 for more details). Compare the analysis of (16) and (19) to see the difference between a nom that-cl and an attr that-cl. Note that the meaning of both sentences is practically identical.15 Also pay attention to the levels on which the two types of that-clauses occur (nom that-cl as a subordinate clause on the first level vs. attr that-cl as an embedded clause inside a phrase on the second level): (16) s
S: nom that-cl
V: VP Od : NP
sub: sub conj S: NP
h: pron
he
V: VP
mv: fv
resigned
mv: fv
14
15
worried
h: pron postmod: PP
13
That
all prep: prep
of
prepC: pron
us.
The head of the NP is again very similar in function to an antecedent (cf. footnote 6 in this Chapter). Note that the term attributive that-clause follows terminology actually introduced by Ungerer et al. (1984: 200), whereas the CGEL calls the very same construction an appositive (that-)clause (1010, 14.22; 1244, 17.9), alluding to the fact that these clauses are used in constructions called appositions (see Chapter 8). Throughout this book, however, we treat both terms as synonyms and will only use the term attributive that-clause. Another far more natural way of expressing the same proposition is the sentence It worried all of us that he resigned. However, we will postpone the discussion of constructions with so-called extrapositions until Chapter 10.4.
6.3 That-Clauses
137
(19) s
S: NP
dtm: det
The
h: n
fact
postmod: attr that-cl
V: VP Od : NP
sub: sub conj
that
S: NP
h: pron
he
V: VP
mv: fv
resigned
mv: fv
worried
h: pron postmod: PP
all prep: prep
of
prepC: pron
us.
Now we will take a look at attributive that-clauses that postmodify heads in AdjPs as in (21) We are glad that you can join us on our wedding anniversary. (CGEL 1049, 15.4, slightly altered). The that-clause is clearly linked to the adjective glad and cannot be moved to another position. This indicates that glad … anniversary forms one sentence constituent only. Here is the full syntactic analysis: (21) s
S: NP
h: pron
V: VP
mv: pv
CS : AdjP
We are
h: adj postmod: attr that-cl
glad sub: sub conj
that
S: NP
h: pron
you
V: VP
aux v: mod aux
can
mv: fv
join
Od : NP A: PP
h: pron
us
prep: prep
on
prepC: NP
1
dtm: det
our
h: comp n
wedding anniv.
138
6 Finite Clauses
We can learn from all these analyses that that is always a subordinating conjunction (sub conj). However, that can sometimes be omitted. Consider sentences (22) to (22c): (22)
They have a valid point.
(22a) He says that they have a valid point. (22b) He feels that they have a valid point. (22c) He feels they have a valid point.
We have seen above that wh-clauses are reported questions. That-clauses in many cases are reported declarative sentences following a verb of utterance as in (22a), or of perception as in (22b and c). The last example proves that that-clauses need not necessarily be introduced by a subordinating conjunction. Still, in your analysis, the clause type has to be called a (nominal or attributive) that-cl even though the word that might not actually be there. Compare the two analyses of (22b) and (22c): (22b) s
S: NP
h: pron
He
V: VP
mv: fv
feels
Od : nom that-cl
sub: sub conj
that
S: NP
h: pron
they
V: VP
mv: pv
have
Od : NP
dtm: det
a
premod: adj
valid
h: n
point.
6.4 Attributive Relative Clauses
139
(22c) s
S: NP
h: pron
He
V: VP
mv: fv
feels
Od : nom that-cl
S: NP
h: pron
they
V: VP
mv: pv
have
Od : NP
dtm: det
a
premod: adj
valid
h: n
point.
6.4 Attributive Relative Clauses Another finite, postmodifying (and thus embedded) clause in a NP aside from an attributive that-clause (see Section 6.3) is the attributive16 relative clause (attr rel cl). Take as a first example sentence (23) My brother, who lives in America, is an engineer. (CGEL 1240, 17.4) – or should it rather be (23a) My brother who lives in America is an engineer. without commas? As we will see later on, both versions are possible and correct, yet carry different meanings (see Table 4). It is thus essential for the beginning of this section to explain the difference between the two subtypes of attributive relative clauses, viz. non-defining/non-restrictive and defining/restrictive17 relative clauses (non-def rel cl and def rel cl, respectively) as represented by sentences (23) and (23a). The main difference depends on the question of whether the preceding NP head, in this case brother, needs that embedded clause to be unambiguous in terms of reference. Table 4 illustrates that difference in meaning and highlights what we need to keep in mind when it comes to punctuation and use of relative pronouns. Details will be discussed bit by bit throughout this section.
16 17
Note that the CGEL only uses the term adnominal relative clause (1244, 17.9), which is synonymous to the far more common term we actually use here: attributive relative clause. 1 synonymously, this book gives preference to Although both terms in each pair are used the terms defining/non-defining relative clause and their corresponding abbreviations.
140
6 Finite Clauses
defining relative clause
non-defining relative clause
My brother who lives in America is an engineer.
My brother, who lives in America, is an engineer.
True to their name, defining relative clauses define one element of a larger group of possible referents.
True to their name, non-defining rela‐ tive clauses are not needed to define a specific element in a larger group since there is only one legitimate referent.
meaning: I have more than one brother. meaning: I only have one brother and The def rel cl is necessary to single out the reference is unambiguous. The non-def rel cl merely gives additional which one of my brothers I mean. information. punctuation: no commas!
punctuation: two commas!18
relative pronouns: relative pronouns: for persons: who (S), whom (Od), whose for persons: who (S), whom (Od), whose (Gen.) (Gen.) for things: which (S, Od), whose (Gen.) for things: which (S, Od), whose (Gen.) AND ALSO that (S, Od)
NEVER that
Ø19 only if the rel pron is the Od in the def rel cl but not the S!
Ø is never an option in a non-def rel cl
Table 4: Difference between a defining and non-defining relative clause
As has already been hinted at in Table 4, attributive relative clauses are (almost) always introduced by a relative pronoun (rel pron), which most 18 19
It should go without saying that this is not true for sentences with a sentence-final non-defining relative clause. In cases like I visited my brother, who lives in America. the second comma becomes a period. There are cases in which the relative pronoun can be deleted. This zero relative (pronoun), as the CGEL (1248, 17.14) calls it, is expressed by the symbol Ø.
6.4 Attributive Relative Clauses
141
typically has the syntactic function S or Od in the internal structure of the rel cl. In (23), our non-def rel cl is analyzed in full with the rel pron who functioning as the S in the rel cl. Note that the term attributive relative clause is just an auxiliary construct to help you recognize the particular clause type, which is why it is not actually used in the analysis. Instead, use the abbreviations def rel cl or non-def rel cl.20 (23) s
S: NP
dtm: det
My
h: n
brother,
postmod: non-def rel cl
V: VP Cs : NP
mv: pv
S: NP
h: rel pron
who
V: VP
mv: fv
lives
A: PP
prep: prep
in
prepC: pn
America, is
dtm: det
an
h: n
engineer.
Clearly, who refers back to my brother, the so-called antecedent,21 which the CGEL defines as “an element to which [the relative pronoun] in some sense ‘cross-refers’” (76, 2.44). The rel pron who carries out the action of the verb (lives) and is the S in the rel cl. In contrast to (23), (24) goes to show that a rel pron like that cannot only function as a S but also as a Od inside the rel cl:
20 21
Since the distinction between defining and non-defining is only relevant for attributive relative clauses anyway, it indirectly shows that you have classified the clause as an attributive relative clause. But compare also with footnotes 6 of this Chapter in the context of attributive wh-clauses and 13 for attributive that-clauses!
1
142
6 Finite Clauses
(24) s
S: NP
h: pron
This
V: VP
mv: pv
is
CS : NP
dtm: det
the
h: n
book
postmod: def rel cl
Od : NP
h: rel pron
that
S: NP
h: pron
I
V: VP
mv: fv
bought
A: PP
prep: prep
at
prepC: NP
dtm: det
the
h: n
sale.
In (24), that refers back to the antecedent the book, whereas the action of the verb, bought, is completed by I, the S in the rel cl. When asking what was bought by me, the answer is the book or its substitute, the rel pron that, making that the Od of the rel cl. Another detail that deserves some attention concerns the omission of the rel pron, leading to a construction that is always introduced by the zero rel pron, Ø. As has already been touched upon in Table 4, a zero rel pron can only be found in defining (!) relative clauses in which the rel pron functions as a Od. The sentences in Table 5 prove these claims: def rel cl
non-def rel cl
rel pron = Od
This is the book that I bought at the sale. This is the book Ø I bought at the sale.
My brother, whom I last met in America, is an engineer. *My brother, Ø I last met in Amer‐ ica, is an engineer.
rel pron =S
My brother who lives in America is an engineer. *My brother Ø lives in America is an engineer.
My brother, who lives in America, is an engineer. *My brother, Ø lives in America, is an engineer.
Table 5: Options for zero relative pronouns
1
6.4 Attributive Relative Clauses
When analyzing sentences like This is the book Ø I bought at the sale., you have the option of inserting and analyzing zero elements, in this case the zero rel pron Ø. But acknowledging the fact that there is a zero rel pron Ø may help you determine the clause type (viz. def rel cl) as well as clause-internal functions (e.g. I as the S). In less typical constructions, however, the rel pron can also function as a CS in a def rel cl like She is the perfect accountant which (*who/*that/*Ø) her predecessor was not. (CGEL 1248, 17.14) or in a non-def rel cl like Anna is a vegetarian, which (*who/*that/*Ø) no one else is in our family. (CGEL 1258, 17.22). Note that in these cases, the choice of the rel pron is narrowed down to which alone. While this is rather unproblematic, the fourth possible syntactic function of a rel pron, “adverbial (or complement in a prepositional phrase functioning as adverbial)” (CGEL 1248, 17.14) must be illustrated with an example: (25)
He is the policeman at whom 22 the burglar fired the gun.
(25a) He is the policeman who(m)/that/Ø 23 the burglar fired the gun at.
A closer look at the internal structure of the two defining relative clauses (25) and (25a)24 leads to the following analyses:
22
23
24
“When the governing preposition precedes its complement, as in the rather formal [(25), at whom], the choice of whom is obligatory. When it does not, as in [(25a), who(m)], there is some choice between who or whom: the latter is preferred in formal English, the former is preferred in informal use, where however the zero form is by far the most common” (CGEL 1249, 17.14). In these constructions, “some choice exists in placing a preposition which has a wh-pronoun as its complement. No such choice exists with that, where [a preposition in final position] presents the sole pattern” (CGEL 1252, 17.17) because constructions such as *at that the burglar fired the gun. do not exist. A comment on the analysis: In contrast to zero rel prons without prepositions (e.g. This is the book Ø I bought at the sale.), those which come with a preposition need to be commented on in an analysis. As becomes obvious when looking at (25a), Ø is the prepC without which the PP is incomplete (see Chapter 2 and the two obligatory elements of a PP, prep and prepC).
143
144
6 Finite Clauses
(25) s
S: NP
h: pron
He
V: VP
mv: pv
is
CS : NP
dtm: det
the
h: n
policeman
postmod: def rel cl
A: PP
S: NP
V: VP
prep: prep
at
prepC: rel pron
whom
dtm: det
the
h: n
burglar
mv: fv
fired
Od : NP
dtm: det
the
h: n
gun.
(25a) s
S: NP
h: pron
He
V: VP
mv: pv
is
CS : NP
dtm: det
the
h: n
policeman
postmod: def rel cl
A: PP (pt. 2) S: NP
V: VP Od : NP
prepC: rel pron
who(m)/that/–
dtm: det
the
h: n
burglar
mv: fv
fired
dtm: det
the
h: n
gun
A: PP (pt. 1)
prep: prep
at.
Comparing these analyses, it is obvious that the only difference lies in the fact that in sentence (25a), the chunk “A: PP” is segmented into two parts, leading to what the CGEL (664, 9.6) calls a stranded preposition at the end of the sentence. To avoid this rather1 unpleasant layout, it is advisable to
6.4 Attributive Relative Clauses
rearrange the order of the words, thus reuniting the constituent “A: PP” as in the analysis of (25). Do not forget to indicate (e.g. by means of an arrow) and comment on the changed word order! The same problems and analyses can be encountered when looking into non-def rel clauses, for which the CGEL (1258, 17.22) offers the following sample sentences: (26)
This is a new type of word processor, about which there has been so much publicity.
(26a) This is a new type of word processor, which/*that/*Ø there has been so much publicity about.
As sentence (26a) demonstrates, the choice of the rel pron in a non-def rel cl with a stranded preposition is rather limited (compare (25a)). When place, time and cause are expressed in a relative clause, “special adverbs”, sometimes called relative adverbs (rel adv),25 where, when and why can (in case of (29) even should) be used instead of the combination of preposition and rel pron (CGEL 1253–1254, 17.18): (27)
That’s the place in which/where she was born.
(28)
That was the period during which/when she lived here.
(29)
That’s the reason ?for which/why he spoke.
Even though sentences (27)–(29) do not always make use of our prototypical relative pronouns (see Table 4) but of relative adverbs instead, it is imperative that you analyze them as attributive relative clauses nevertheless. This is what the relative clause in (27) looks like when analyzed:
25
Even though this term cannot be found in the CGEL, we will nevertheless use it for the sake of clarity and contrast with regard to other constructions. In an exam context, adv is absolutely sufficient.
145
146
6 Finite Clauses
(27) s
S: NP
h: pron
That
V: VP
mv: pv
is
CS : NP
dtm: det
the
h: n
place
postmod: def rel cl
A: AdvP
h: rel adv
where
S: NP
h: pron
she
V: VP
aux v: pv
was
mv: fv
born.
There are, however, also constructions in which the rel pron is a possessive determiner of the form whose (CGEL 1249, 17.14): (30)
The woman whose daughter you met is Mrs Brown.
(31)
The house whose 26 roof was damaged has now been repaired.
The analysis of sentence (30), including a defining relative clause with a relative determiner (rel det),27 should look like this:
26
27
In this sentence, “the antecedent is nonpersonal [which is why] there is some tendency to avoid the use of whose (presumably because many regard it as the genitive only of the personal who), but avoidance involves stylistic difficulty. There is the stiffly formal and cumbersome of which: The house the roof of which was damaged…” (ibid.). For more on alternative constructions see CGEL (1249, 17.14). Even though this term cannot be found in the CGEL, we will nevertheless use it for the sake of clarity and contrast with regard1to other constructions. In an exam context, det is absolutely sufficient.
6.4 Attributive Relative Clauses
147
(30) s
S: NP
dtm: det
The
h: n
woman
postmod: def rel cl
V: VP
Od : NP
dtm: rel det
whose
h: n
daughter
S: NP
h: pron
you
V: VP
mv: fv
met
mv: pv
CS : NP
is
h: pn
Mrs Brown.
To close this section, one special case will not go unmentioned: postposed adjectives (CGEL 418–419, 7.21), which can “be seen as reductions of relative clauses” (CGEL 1294, 17.56), e.g. ■ something different / something that is different ■ a play popular in the 1890s / a play that was popular in the 1890s (ibid.) Table 6 outlines two strategies for handling postposed adjectives. For reasons of simplicity, we give preference to strategy A. Strategy A) postmodifying adj/AdjP NP
NP
h: pron
something
postmod: adj
different
dtm: det
a
h: n
play
postmod: AdjP
h: adj
popular prep: prep
postmod: PP
prepC: NP
1
in dtm: det
the
h: num
1890s
148
6 Finite Clauses
Strategy B) elliptic rel cl NP
h: pron postmod: def rel cl (ellipt.)
something S: NP
h: rel pron
(that)
V: VP
mv: pv
(is)
CS : AdjP
NP
h: adj
different
dtm: det
a
h: n
play
postmod: def rel cl (ellipt.)
S: NP
h: rel pron
(that)
V: VP
mv: pv
(was)
CS : AdjP
h: adj
popular
postmod: PP...
in the 1890s
Table 6: Options for the analysis of postposed adjectives
Some basic facts about attributive relative clauses to remember: 1. an attributive rel cl is an embedded clause → it always functions as a postmodifier of a NP head (= its antecedent) 2. the rel pron can function as S or Od, less typically as CS or A 3. commas are only used in a non-def rel cl 4. that is only used in a def rel cl 5. zero relative pronouns can only be found in a def rel cl
6.5 Nominal Relative Clauses Nominal relative clauses (nom rel cl), which are subordinate clauses, are a rather problematic breed, as they are often confused with attributive relative clauses (see Section 6.4) or wh-clauses (see Section 6.2). The goal of this 1
6.5 Nominal Relative Clauses
149
section is thus twofold: describing central features of the nom rel cl and distinguishing it as clearly as possible from other clause types. Although relative clause is part of its name, the nom rel cl does not have an antecedent like a “normal” attr rel cl. Compare: (32)
You’re not who/*that I thought you were. = no antecedent
(33)
You’re the boy who/that I love. = with antecedent (boy)
When trying to replace who by a rel pron such as that in (32), we immediately realize that (32) is not an attr rel cl. If, however, we substitute who by whoever, a pronoun frequently used in nom rel clauses, we still get a syntactically and semantically acceptable sentence. The missing antecedent is also noticeable in examples (34) to (36): (34)
Whoever did that should admit it frankly.
(~ The person who did that…)
(35)
I took what they offered me.
(~…the thing(s) that they offered me.)
(36)
Macy’s is where I buy my clothes.
(~…the place where I buy my clothes.)
As indicated by the equivalent clauses in brackets, the nom rel clauses on the left are equal in meaning to noun phrase heads with general reference (person, thing and place, respectively), modified by an attributive relative clause. This proves that attr rel cl and nom rel cl are, in fact, somewhat related in structure. In a nom rel cl, however, the “wh-element is merged with its antecedent” (CGEL 1056, 15.8). This means that whoever in (34) can be considered a blend of the person who. The same is true for what and the thing(s) that in (35) and for where and the place where in (36). Knowledge about this structural feature can serve as a test when trying to distinguish a nom rel cl from other clauses (see below). A nom rel cl is usually introduced by what the CGEL calls wh-elements (1057–1058, 15.8), including:
150
6 Finite Clauses
■ ■ ■ ■ ■ ■ ■
who(m)(ever) 28: She can marry who(m)(ever) she pleases. what(ever): You can call me what(ever) you like. which(ever): You can take which(ever) you like. where (but not wherever!): Macy’s is where I buy my clothes. when (but not whenever!): Now is when I need you. (in rare cases) how (but not however!): That’s how she works. (in rare cases) why (but not whyever!): That’s why I don’t go there anymore.
The word class (syntactic form) of these introductory wh-words varies depending on their actual usage in a sentence: Most commonly, we find pronouns (She tasted what I bought.), determiners (She saw what food I bought.) and also adverbs29 (Here is where I bought the food.). A similar degree of diversity can be observed when looking at the syntactic function of: a) the nom rel cl in a sentence and b) the wh-word inside the nom rel cl, both of which are listed in Table 7 (CGEL 1057–1058, 15.8). The last column of Table 7 also specifies the word class of each wh-word (in brackets, e.g. FO: det). True to (the first part of) their name, nom rel clauses (see Chapter 5.3.1 on nominal clauses) are found in nominal slots. sentence
a) b) FU of nom rel FU of wh-word cl (in sentence) (in nom rel cl)
What happened upset him.
S
S (FO: pron)
What he saw upset him.
S
Od (FO: pron)
What she became in later life distressed her friends.
S
CS (FO: pron)
28 29
“The wh-element may express either a SPECIFIC meaning (generally indicated by the absence of the -ever suffix) or a NONSPECIFIC meaning (generally indicated by the presence of the -ever suffix)” (CGEL 1059, 15.9). Compare this to the word class “relative adverbs” in Section 6.4 in def rel clauses like That’s the place in which/where she was born. Here we also find the adverb where, but it is not preceded by an antecedent! If we reduce (That’s) the place where she was born., a NP with a def rel cl., we get the nom rel cl (That’s) where she was born. Both constructions serve as CS and both are introduced by the adverb where.
6.5 Nominal Relative Clauses
151
Where she went was Manchester.
S
A (FO: adv)
You should see whoever deals with com‐ plaints.
Od
S (FO: pron)
She took what she needed.
Od
Od (FO: pron)
They welcomed whatever visitors came their way.
Od
dtm (in S) (FO: det)
I’ll show you what you can open the bottle with.
Od
prepC (FO: pron)
He gave whoever asked for it a copy of his latest paper.
Oi30
S (FO: pron)
That’s what she calls her sister.
CS
CO (FO: pron)
April is when the lilacs bloom.
CS
A (FO: adv)
You can call me what(ever) you like.
CO
Od (FO: pron)
prepC
CS (FO: pron)
I’m happy with what I am.
Table 7: Functions of nom rel clauses and wh-words (including their form)
The following four sample analyses (37–4031) of sentences taken from Table 7 showcase the wh-word in all possible word classes and the nom rel cl with various syntactic functions:
30 31
The indirect object normally refers to people. For this reason, the nom rel cl is the only type of clause that can function as Oi (CGEL 1048, 15.2). A comment on the analysis: Alternatively, you might consider rearranging the order of the words in the sentence and reunite the two parts of the “A: PP” constituent.
152
6 Finite Clauses
(37) s
S: NP
h: pron
You
V: VP
aux v: mod aux
can
mv: fv
call
Od : NP
me
h: pron
Co: nom rel cl
Od : NP
h: pron
what(ever)
S: NP
h: pron
you
V: VP
mv: fv
like.
(38) s
S: NP
h: pron
They
V: VP
mv: fv
welcomed
Od : nom rel cl
S: NP
dtm: det
whatever
h: n
visitors
V: VP
mv: fv
came
A: NP
dtm: det
their
h: n
way.
(39) s
S: nom rel cl
A: AdvP
h: adv
Where
S: NP
h: pron
she
V: VP
mv: fv
went
V: VP
mv: pv
was
A: NP
h: pn
Manchester.
1
6.5 Nominal Relative Clauses
153
(40) s
S: NP
h: pron
I
V: VP
aux v: mod aux
’ll
mv: fv
show
Oi : NP
you
h: pron
Od : nom rel cl
A: PP (pt. 2)
prepC: pron
what
S: NP
h: pron
you
V: VP
aux v: mod aux
can
mv: fv
open
Od : NP
dtm: det
the
h: n
bottle
A: PP (pt. 1)
prep: prep
with.
The remainder of this section will summarize the differences between nom rel clauses and clause types that look similar, viz. attributive relative clauses and both types of wh-clauses, which have already been mentioned throughout this chapter. Some obvious aspects are listed in Table 8. nom rel cl
attr rel cl
nom wh-cl
attr wh-cl
example
I took what they offered me.
This is the place where she was born.
Tim asked me where the li‐ brary was.
I answered his question where the library was.
antecedent
--
✓ (place)
--
✓ (question)
word class of wh-word32
pron, det, adv
rel pron, rel det, rel adv
int pron, int det, int adv
int pron, int det, int adv
32
1 The word in bold refers to the correct solution for the example sentence.
154
6 Finite Clauses
type of de‐ pendent clause → function of the clause
subordinate (nominal)
embedded
subordinate (nominal)
→ S, Oi, Od, → only post‐ → S, Od, CS mod in NPs CS, CO; but also: prepC (then embed‐ ded clause!)
embedded → postmod in NPs and AdjPs; also: prepC
Table 8: Distinguishing nom rel clauses, attr rel clauses, nom wh-interrogative clauses and attr wh-clauses
Summarizing hints already mentioned in the previous sections, we list some more tests that may help you differentiate between alleged clausal doppelgangers: 1. attr rel cl vs. nom rel cl ■ Check the wh-element! Is it replaceable by another rel pron? Yes: You’re the boy who/that I love. → →
■
who is a rel pron (just like that)! → it must be an attr rel cl! →
→
who is not a rel pron! the clause cannot be an attr rel cl but has to be a nom rel cl!
Check the position of the clause! Is it an embedded clause? Yes: You’re the boy that I love.
→
No: You’re not who/*that I thought you were.
the clause is part of a NP and postmodifies the head (boy) it must be an attr rel cl!
No: You’re not who I thought you were. →
→ →
the clause is not part of a NP and does not postmodify an an‐ tecedent the clause is not embedded but subordinate the entire clause is the CS
6.5 Nominal Relative Clauses
155
→
the clause cannot be an attr rel cl but has to be a nom rel cl!
2. nom rel cl vs. nom wh-cl: ■ Can you paraphrase the clause with a NP consisting of a head with general reference and a postmodifying def rel cl? Yes: I took what they offered me. ~…the thing(s) that they offered me.
→
■
it must be a nom rel cl!
No: I can’t imagine what they want with your address. *… the thing(s) that they want with your address. →
it must be a nom wh-cl!
Check the wh-element. Can you form a compound ending in -ever? Yes: I took what(ever) they offered me.
→
it must be a nom rel cl!
No: *She asked me whoever would look after the baby. →
it cannot be a nom rel cl but has to be a nom wh-cl!
The CGEL (1060, 15.9) explains that the “compound forms in -ever are used in nominal relative clauses, but not in [nom wh]-clauses.” So whenever you can add the -ever or see a clause with a form ending in -ever, it has to be a nom rel cl. The opposite, however, is not true: clauses that do not use a compound with -ever are not automatically something other than a nom rel cl. After all, we have seen above that there are a lot of nom rel clauses that can do without -ever. In these cases, the difference between a nom rel cl and a nom wh-cl can become extremely blurry. This is particularly true for sentences whose meaning is ambiguous from the very start: (41)
They asked me what I knew. (CGEL 1061, 15.9)
156
6 Finite Clauses
The clause in sentence (41) can have two interpretations (although depend‐ ing on the context, one might appear the likelier choice), which is why we can also have two correct syntactic analyses: –
as a nom rel cl: They asked me things that I knew. (NP paraphrase, see above); – as a nom wh-cl: They asked me, ‘What do you know?’ (asking for unknown information, see next test)
■ Check the meaning of the clause! Does it ask for unknown information? Yes: She asked me who would look after the baby. →
→
No: I took what was on the kitchen table.
the speaker does not know the → answer and had to phrase a (di‐ rect) question (CGEL 1051, 15.5) → it must be a nom wh-cl!
the information may be known to both speaker and hearer it must be a nom rel cl!
The most important difference between a wh-cl and a nom rel cl is a semantic one. The CGEL (1060, 15.9) explains: The [nom wh-interrogative]-clause contains a gap of unknown information, expressed by the wh-element, and its superordinate clause expresses some concern with the closing of that gap, with supplying the missing information. The nominal relative clause does not contain a gap in information, and therefore the superordinate clause is not concerned with the closing of that gap.
6.6 Sentential Relative Clauses This section considers the internal make-up of sentences like Things then improved, which surprises me. (CGEL 1118, 15.57). They consist of two separate clauses in one sentence: a main clause and a subordinate clause, the latter being a sentential relative clause (sent rel cl) functioning as an A. Do not confuse them with nominal relative clause constructions like What surprises me is that things then improved. in which the nom rel cl acts as
6.6 Sentential Relative Clauses
157
a S (see Section 6.5)! When looking for antecedents in a sent rel cl, we do not find a noun because the “sentential relative clause does not function as a modifier of a noun phrase [head]” (CGEL 1048, 15.2). Instead, this finite clause refers to “a unit larger than a phrase, usually to a clause but sometimes even to a series of sentences” (ibid.)33 as summarized in Table 9: example sentences
antecedent
(42)
Things then improved, which surprises me. a whole (independent) clause
(43)
Colin married my sister and I married his a whole sentence (here: two brother, which makes Colin and me double conjoined clauses) in-laws.
(44)
… — which is how the kangaroo came to have a pouch.
the entire story previously told
Table 9: Examples for sentential relative clauses and their antecedents (CGEL 1118, 15.57)
As all these examples show, sent rel cl are usually found in sentence-final position.34 Quirk et al. note the similarity between the sent rel cl and the non-defining attributive relative clause in that both are separated from their antecedent by intonation or punctuation and introduced by the “relative word” which (1118, 15.57). Other relative words introducing a sent rel cl, which are actually analyzed as rel prons on the last formal level, are whereupon or whence in formal contexts like At the annual meeting, the parishioners severely criticized the minister, whereupon he resigned. There are also combinations such as since when, until when, from when and by when, which are used as sentential relatives as well, e.g. She joined the editorial staff of a local newspaper, since when she has contributed to various monthlies. (CGEL 1119–1120, 15.57). As can be seen in examples (42) to (44) in Table 33
34
For this reason, Quirk et al. attest “its resemblance in certain respects to adverbial clauses” (ibid) and Ungerer et al. even go as far as calling them adverbial relative clauses (1984: 203). The CGEL (630, 8.133, Note) also points to the fact that semantically, sentential relative clauses correspond to certain types of adverbials (so-called content disjuncts) and compares Obviously, Mrs Macdonald didn’t want to have anything to do with them. and Mrs Macdonald didn't want to have anything to do with them, which was obvious. In informal conversation, sentential relative clauses can also be found in medial position: Marvin and Terry – which is something I’ll never understand – were quarrelling within a month of their marriage and were separated within three months. (CGEL 1120, 15.57, Note [c]).
158
6 Finite Clauses
9, which as a relative pronoun normally functions as a S. The analysis of sentence (42) bears witness to that: (42) s
S: NP A: AdvP V: VP
Things
h: n h: adv
then improved,
mv: fv
A: sent rel cl
S: NP
h: rel pron
which
V: VP
mv: fv
surprises
Od : NP
h: pron
me.
Which can, however, also be classified as a relative determiner preceding “general abstract nouns such as fact, case, event, or situation, or more specific verbal nouns such as failure or claim. The noun phrases […] may be prepositional complements […]” (CGEL 1118, 15.57) as in sentence (45) The plane may be several hours late, in 35 which case there is no point in our waiting. (ibid.):36
35
36
Quirk et al. (1119, 15.57) remark that the “determiner which may be found with prepositions other than in,” illustrating their point with the sentences They were under water for several hours, from which experience they emerged unharmed. and The last speaker assured the audience that the party would win the election, on which optimistic note the meeting ended. A comment on the analysis: Existential constructions and their analyses are dealt with in detail in Chapter 10.5. 1
6.6 Sentential Relative Clauses
159
(45) s
S: NP
V: VP
dtm: det
The
h: n
plane
aux v: mod aux
may
mv: pv
be
CS : AdjP
premod: NP
dtm: det
several
h: n
hours
h: adj A: sent rel cl
A: PP
late, prep: prep
in
prepC: NP
Sgr : NP V: VP Snot : NP
rel det
which
h: n
case
h: pron
there
mv: pv
is
dtm: det
no
h: n
point
postmod: PP
prep: prep prepC: NP
in dtm: det
our
h: n
waiting.
Another sentential relative clause can be found in the sentence (46) They are said to have taught chimpanzees to use human language, which claim has been disputed by some scholars. (CGEL 1118, 15.57). This rather formal sentence can be recast as (46a) They are said to have taught chimpanzees to use human language, a claim which has been disputed by some scholars. with a NP head (claim) postmodified by a relative clause (which has…, CGEL 1119, 15.57). While the modified version in (46a) can be analyzed with the help of an
1
160
6 Finite Clauses
apposition (see Chapter 8), the original sentence (46)37 should be analyzed as follows: (46) s
S: NP
h: pron
They
V: VP
aux v: mod id
are said to
aux v: pv
have
mv: fv
taught
Oi : NP
chimpanzees
h: n
Od : nom to-inf cl
V: VP
inf mark: inf mark
to
mv: fv
use
Od : NP
A: sent rel cl
S: NP
V: VP
A: PP
premod: adj
human
h: n
language,
dtm: rel det
which
h: n
claim
aux v: pv
has
aux v: pv
been
mv: fv
disputed
prep: prep
by
prepC: NP
dtm: det
some
h: n
scholars.
A special type of sent rel cl is introduced by as (CGEL 1115, 15.55). Sentences like (47) She is extremely popular among students, as is common knowledge. show two things:
37
A comment on the analysis: There is no explanation for the status of the expression “to be said to” in the CGEL. It is seen here as analogous to “to be supposed to,” which Merriam Webster online (s.v. be supposed to, idiom) categorizes as an idiom. Both expressions convey tentativeness and show resemblance to other modal auxiliaries like might (see Chapter 4.1.2). For this reason, we decided to analyze “are said to” as a modal idiom (mod id). 1
6.6 Sentential Relative Clauses
161
1. as can also be used as a relative word just like which (comparable to …, which is common knowledge.) 2. this kind of sent rel cl can also precede its antecedent, i.e. the sentence it comments on (As is common knowledge, she… students.). However, this kind of as should not be confused with the subordinate conjunction as that can be found in adverbial clauses proper (see Section 6.1) such as (48) He is the best candidate, as it seems. Here, “the sentential antecedent [= He is the best candidate] is replaced by it” (ibid.) in the following adverbial clause proper. Table 10 lists more constructions with as belonging to both word classes (CGEL 1116, 15.55) and summarizes relevant features for telling both constructions apart. as = relative pronoun in sent rel cl
as = subordinating conjunction in adv cl (proper)
as everybody knows, as you may remem‐ as it appears, as it happens, as it tran‐ ber, as you say, as I can see, as I have said, spired, as it may interest you to know, as as I’m told, as you may have heard I see it, as I interpret it characteristic features:
characteristic features:
■ as can be substituted by which ■ no pronoun it
■ as cannot be substituted by which ■ it as a pronoun for the antecedent
Table 10: as as a relative pronoun and a subordinating conjunction
Despite the rather clear classification in Table 10, Quirk et al. (ibid.) are the first to admit that these two constructions “often merge, providing a choice whether or not to insert it.” The it is thus optional in some of the examples in which as is still a subordinator: as (it) seems likely, as (it) often happens, as (it) was pointed out, as (it) was said earlier, as I remember (it), as I understand (it) (ibid.). To conclude this section, two sample sentences will be analyzed and juxtaposed.
162
6 Finite Clauses
(47) s
S: NP
h: pron
She
V: VP
mv: pv
is
CS : AdjP
premod: adv
extremely
h: adj
popular
postmod: PP
A: sent rel cl
prep: prep
among
prepC: n
students,
S: NP
h: rel pron
as
V: VP
mv: pv
is
CS : NP
premod: adj
common
h: n
knowledge.
(48) s
S: NP
h: pron
He
V: VP
mv: pv
is
CS : NP
A: adv cl
dtm: det
the
premod: adj
best
h: n
candidate,
sub: sub conj
as
S: NP
h: pron
it
V: VP
mv: fv
seems.
As can be learned from these analyses, both types of as appear in the A slot; though they are part of different subordinate clauses, a sent rel cl and an adv cl, respectively. While the first as in (47) functions as a S in the sent rel cl and is a rel pron, the second as in (48) does not fulfill a syntactic function of its own, but is merely a linking element, viz. a subordinator.
1
6.7 Comparative Clauses
163
Note: Even though it seems like there are numerous types of relative clauses, each of the three has a unique scope that helps to distinguish them (see Chapter 5): ■ attributive relative clause = embedded clause (in a NP) ■ nominal relative clause = subordinate, nominal clause ■ sentential relative clause = subordinate, adverbial clause
6.7 Comparative Clauses The last type of the finite clauses to be discussed in this chapter is the comparative clause (comp cl) found in sentences like Jane is healthier than her sister (is)., expressing nonequivalence, or Jane is as healthy as her sister (is)., which expresses equivalence (CGEL 1127–1128, 15.63). In both examples, “a proposition expressed in the [main] clause is compared with a proposition expressed in the subordinate clause” (ibid.). Accordingly, such sentences comprise two parts: a comparative element (comp-element) and a comparative clause: Jane is
healthier / more healthy / less healthy
than her sister (is). (= nonequivalence)
as healthy
as her sister (is).
= comp-element
= comp cl
(= equivalence)
When it comes to analyzing sentences with a comp cl of nonequivalence or of equivalence, the CGEL (1144–1146, 15.75) provides two options. In the first, less preferred option, the comp-element and the comp cl are treated as two separate units (see (49a)).
164
6 Finite Clauses
(49a) s
S: NP
h: pn
John
V: VP
mv: pv
is
CS : AdjP
premod: adv
more
h: adj
intelligent
A: comp cl
sub: sub conj
than
S: NP
h: pn
Bill
V: VP
mv: pv
is.
The second analytical option (49b) is preferred by the CGEL (1144, 15.75) and will thus be pursued in this section. As is illustrated in (49b), the comp cl than Bill is provides complementation for the discontinuous premodifier and is thus directly linked to more.38 For this reason, the term postmodifier needs to be replaced by the term complementation (compl) (see also Chapter 2.6.3 for more on complementation). Also note that the status of the comp cl changes from a subordinate clause, as in the analysis in (49a), to that of an embedded clause in (49b). (49b) s
S: NP
h: pn
John
V: VP
mv: pv
is
CS : AdjP
premod: adv
more
h: adj
intelligent
compl: comp cl
38
sub: sub conj
than
S: NP
h: pn
Bill
V: VP
mv: pv
is.
The same relation holds in sentences in which the comparative is expressed by inflection. In Mary is younger than Tom1is. (CGEL 1145, 15.75), the comp cl than Tom is functions as the complementation of the -er suffix.
Dokumentvorlage • Narr Verlage | A 3.3 Dokumentvorlage • Narr Verlage | A 3.3
6.7 Comparative Clauses
Dokumentvorlage • Narr Verlage | A 3.3 (nonequivalence)
165
of more
| has | more books her brother dtm the comp cl AsIsabelle the analysis in (49b)than shows, the 4comp-element and Dokumentvorlage •both Narr(has). Verlage | A 3.3 S V O (det) are put in the CS. But(nonequivalence) this is just one of several possible functions of the d of more 4 here. More (of| my | arecomp |than in New York | than (are) NP comp-element and the cl in nonequivalence. Dokumentvorlage •constructions Narr Verlage | Aexpressing 3.3 Isabelle has friends) | more books her brother (has). dtmhead SV V Ssummarizes (contd.) (pron) Table on CGEL 1130, S 11 (based OdA 15.65) (det) (nonequivalence) of more all their • Narr Verlage | A 3.3 and illustrates Dokumentvorlage IMore | agree | with you | more than ((I agree) with) Robert. AdvP possible functions. It also shows the range of syntactic functions and forms 4 • Narr Verlage | A 3.3 (of| my | are |than in New | than (are) here. NP Dokumentvorlage Isabelle has friends) | more books her York brother (has). dtmhead S V A A head of more (CGEL 1134, V15.69) OindA cases where it is not represented by the SV (pron) S (det) (nonequivalence) S (contd.) of more (adv) inflectional suffix -er: IMore | agree | with you | more than ((I agree) with) Robert. AdvP 4 here. (of my friends) | are | in New York | than (are) NP head Isabelle | has | more books than her brother (has). dtm The than I expected (it would be). premod S S article V SV| was A | more objective A head V A S (contd.) (pron) O (det) d of more possible functions of(nonequivalence) comp-element + comp cl FUAdjP (FO) S V C of S (adv) IIsabelle | agree | with you | more than ((I agree) with) Robert. AdvP 4 More (of| my | are |than in New | than (are) here. NP head has friends) | more books her York brother (has). dtm of more (nonequivalence) of more (nonequivalence) of more head The than I expected (it would be). premod S S article V SV| was A | more objective A head 4 39 V than her S (contd.) (pron) (nonequivalence) of more OdAbrother (det) dtm (det) (nonequivalence) of more Isabelle | has dtm Isabelle | more books brother (has). (has). dtm (adv) S V C of AdjP S (adv) 44 IMore | agree | with you | more than ((I agree) with) Robert. AdvP Isabelle | has | more books than her brother (has). dtm (of|| amy friends) | are |than in New | than (are)ithere. NP head Isabelle has | more books her brother (has). dtm (det) V Othan (det) dYork It |Swas more heated discussion we thought would be. premod head The objective than I expected (it would be). premod SMore V(of my A | more A head S article V| was O (det) ddA S V S (contd.) (pron) S V O (det) More York | than (are) here. NP head friends) | are | in New NP head S VS C of pre(adv) V CS York | than (are) here. of (adv) NPAdjP head More (of|my my || are || in NP head IMore | agree with you | more ((I Sagree) Robert. AdvP A S (contd.) (pron) (of friends) are in New New York | with) than (are) here. NP head S friends) V than (pron) modifyIt | was | a Smore heated discussion thanI expected we thought would be. premod head (pron) V AAthan (contd.) article | more objective (it it would be). premod (pron) SThe V | with A you head S| was V than ((I A SS(contd.) (pron) II || agree | more agree) with) Robert. AdvP AdvP ing adj S VS C of pre(adv) Vyou | more than ((I CASSagree) with) Robert. of AdjPhead AdvP ISS| agree (adv) V | withA head AdvP AdvP head (adv) modifyIt | was discussionA than we thought it would be. premod head SThe V | a more A heated (adv) (adv) article | was | |more objective than (it I expected (it would be). premod head (adv) The time | passed more quickly than passed) last year. premod ing adj S V CS of pre(adv) S of AdjP of premod (adv) S premod TheS article | was than I expected (it would be). premod VV | more objectiveCA of (adv) modifyIt | was we thought would be. The article was more discussion objective (it would be). premod head of AdjP The article || was || more objectiveCthan than expected (it it would be). premod SSthanII expected AdjP head S | a more V heated of AdjP AdvP The time | passed | more quickly than (it passed) last year. premod ingAdjP adj S VSS preV C of (adv) head (adv) V CSS of AdjP head head S V A of (adv) modifyhead It | was | a more heated discussion than we thought it would be. (adv) premod of premod head (adv) (adv) AdvP The time | passed | more quickly than (it passed) last year. premod ing adj (adv) SItIt || was V C premodifying was| more more heated discussionSthan premod of pre(adv) || aa more heated discussion than we thought it would would be. be. premod I | am severely handicapped thanwe youthought (are). it premod head S V A of (adv) adj (adv) It | was | a more heated discussion than we thought it would be. premod V | a more heated discussion CSSthan we thought it would be. of premodifypremod SIt C of preSS | was VV C of preS (adv) AdvP premod (it passed) last year. premod S time V | passed | more quickly C of preSS modifying adj of SThe V Cthan of premodifymodifyI | am | more severely handicapped than you (are). premod head AdvP head S V A of modifying (adv) modifying adj adj ing adv S V CS of pre(adv) (adv) AdvP ing (adv) The time | passed | more quickly than (it passed) last year. premod ing adj adj (adv) (adv) modifyI | am | more severely handicapped than you (are). premod premod of head (adv) The time | passed | more quickly than (it passed) last year. premod S V A of (adv) The time | passed | more quickly than (it passed) last year. premod She | thinks | her children | moreCobedient than (they were) last premod ing adv STheV premodifying of pre(adv) time || passed passed premod V || more AS (it AdvP TheSStime more quickly quickly than than (it passed) passed) last last year. year. year. of premod V A of of (adv) adv (adv) modifyI | am you (are). premod Vseverely handicapped A of AdvP head SS | Vmore V A than of AdvP S O C AdjP d O premod She | thinks | her children | more obedient than (they were) last year. AdvP premod ing adv of S V CS of prehead (adv) AdvP head head AdjP head of CO Od (adv) V S modifyhead (adv) I | am | more severely handicapped than you (are). premod head (adv) (adv) (adv) AdjP She | thinks | her children | more obedient than (they were) last premod ing adv (adv) IShe | am | more severely handicapped than you (are). premod SI | am V CS than of pre(adv) more severely handicapped premod | ’s| applied | for more jobs than Joyceyou (has(are). (applied for)). dtm dtm (det) head year. of (adv) ISIS|| am am | more severely handicapped than you (are). premod V C of preSS than you (are). modifypremod V | more CA of preV severely handicapped as part of (det) (adv) SS V V | her children Od CO than (they were) last AdjP of preShe | thinks | moreC premod modifySS ing adv S V Cobedient of premodifyprepC She | ’s applied | for more jobs than Joyce (has (applied for)).year. ing dtm head modifyof (adv) modifying adv adv 4 We toVinclude functions and analyze(and the parenthetical portions of these sentences in constructions a proper syntacSS suggest A (det) (adv) Table 11:VSyntactic forms) in nonequivalent comp cl ing adv Od CO than (they were) last AdjP (adv) She thinks | her children | more obedient premod tic| analysis. ing adv (adv) She ’s applied more jobs than Joyce (has (applied for)). dtm (adv) head She ||| thinks thinks her| for children more obedient than year. premod of (adv) She || her children || more obedient than (they (they were) were) last last premod 4 We toVinclude and analyze the parenthetical portions of these sentences in a proper syntacSShesuggest A (det) (adv) | thinks | her children | more obedient than (they were) last premod year. of SShe V O C AdjP d O | thinks | her children | more obedient than (they were) last premod year. of analysis. 39 tic We suggest to include and analyze the parenthetical portions of these sentences in a year. of S V O C AdjP She | ’s applied | for more jobs than Joyce (has (applied for)). dtm year. head of S proper V syntactic Oddanalysis. COO AdjP 4 We V toVinclude and Odd analyze the parenthetical AdjP head SS suggest A C (det) (adv) V O COO portions of these sentences in a proper AdjPsyntachead tic analysis. (adv) head She | ’s applied | for more jobs than Joyce (has (applied for)). dtm head (adv) 4 4 She | ’s applied | for more jobs than Joyce (has (applied for)). (adv) dtm We suggest to include and analyze the parenthetical portions of these sentences in a proper S | ’s applied V | for more jobs than A Joyce (has (applied for)). (det) (adv)syntacShe dtm tic|analysis. S V A (det) She ’s applied | for more jobs than Joyce (has (applied for)). dtm dtm SShe | ’s applied V | for more jobs than A Joyce (has (applied for)). (det) 4 Vinclude and analyze the parenthetical A (det) 4 S S suggest toV A (det) syntacWe portions of these sentences in a proper 4 4
4 4
analysis. Weticsuggest to include and analyze the parenthetical portions of these sentences in a proper syntacWe suggest to include and analyze the parenthetical portions of these sentences in a proper syntactic analysis. 4 portions of these sentences in a proper syntacanalysis. Wetic suggest to include and analyze the parenthetical
Dokumentvorlage •• Narr Verlage || A 3.3 Dokumentvorlage Narr Verlage 3.3 Dokumentvorlage Narr Verlage || A A 3.3 Dokumentvorlage•••Narr NarrVerlage Verlage| A A3.3 3.3 Dokumentvorlage 166
6 Finite Clauses
as as part part
part part as part Constructions of equivalence expressed by as… as areasas “grammatically of prepC of prepC of prepC of prepC of prepC parallel to the more … than construction” (CGEL 1137, 15.71), which is why Table 11: Syntactic functions (and forms) in nonequivalent comp cl construcTable 11: Syntactic functions (and forms) in nonequivalent comp cl construcwe can some of the (and sentences in Table 11 for comp Table Syntactic functions Table 11: Syntactic functions (and forms) in nonequivalent comp cl construcTable 11:reuse Syntactic functions (andforms) forms)in innonequivalent nonequivalent compcl12: clconstrucconstructions tions tions tions possible functions of comp-element + comp cl possible functions of comp-element + comp (equivalence) possible functions of comp-element +comp compclcl cl possible functions of functions of comp-element possible functions ofcomp-element comp-element++ + comp comp cl cl (equivalence) (equivalence) (equivalence) (equivalence) (equivalence) The article || was || as objective as II expected (it would be). The was as objective as expected would be). The article article ||| was ||| as (it(it would be). The article was as objective as expected (it would be). The article was as objective objectiveas asIIICexpected expected (it would be). SS V S V C S V C SS SSS V C V C S It | was as it would be. It was ||| as as lively lively aa discussion discussion as as we we thought thought would be. It || was thoughtititit itwould wouldbe. be. | as lively lively aa discussion discussion as as we wethought thought would be. SS V C S V C S C S S V CS
FU (FO) FU (FO) of the first FU (FO) FU FU (FO) FU(FO) (FO) of the first as as the first ofof asas of the first as ofthe thefirst first as of premod premod of premod of premod of premod of premod of head AdjP AdjP head (adv) AdjP head (adv) AdjP head (adv) AdjP head (adv) AdjP head (adv) (adv) premod of prepremod prepremod ofof prepremod of premod of premod of prepremodifying adj modifying adj modifying adj modifying adj premodifying modifying adj (adv) (adv) (adv) (adv) adj (adv) (adv) II || am | as severely handicapped as you (are). premod of pream severely handicapped as you (are). premod of pre| as severely handicapped as you (are). premod ofpremod preII || am | as severely handicapped as you (are). of premod of pream | as severely handicapped as you (are). premod of preV CSS modifyingadv adv SSS V C modifying adv C modifying SS premodifying V C modifying adv S V CS modifying adv (adv) (adv) (adv) adv (adv) (adv) (adv) The time | passed || as as quicklyas as(it (it passed)last last year. premod The time premod ofof premod of premod of The | passed | as quickly quickly as (it passed) passed) lastyear. year. The passed) premod of TheStime time || passed passed | as quickly quickly as as (it (it passed) last last year. year. premod of V A AdvP head V AA AdvP head SS AdvP head AdvP head V A AdvP head S V A AdvP head (adv) (adv) (adv) (adv) (adv) (adv) She | thinks | her children | as obedient as (they were) last premod of premod of of She | thinks | her children | as obedient as (they were) last year. She || thinks || her children || as obedient as (they were) last premod of She as premod of She | thinks thinks | her children | as as obedient obedient as (they (they were) were) last last AdjP premod of head year. head (adv) S V O C d O AdjP (adv) year. AdjP head (adv) year. AdjP year. AdjP head head (adv) (adv) SS V O C (adv) d O V O C d O SS V O C d O V Od CO 12: ininin equivalent comp clclconstructions Table Table 12:Syntactic Syntacticfunctions functions(and (andforms) forms) equivalent comp clconstructions constructions Syntactic functions (and forms) equivalent comp Table Table 12: 12: Syntactic Syntactic functions functions (and (and forms) forms) in in equivalent equivalent comp comp cl cl constructions constructions Table 12: Syntactic functions (and forms) in equivalent comp cl constructions
12 shows that the firstexample as in each sentence should be classified as an Table construction example sentence section construction sentence section construction example sentence section construction example sentence section construction example sentence section adv. The second as, however, is the analog form to than in the--nonequivalent unmarked, “nor“original” sentence: --“nor“original” sentence: unmarked, “nor“original” sentence: --unmarked, “nor“original” sentence: unmarked, “nor“original” sentence: ---should thus comp cl andorder therefore a subordinator (sub conj). The analysis--I shall ignore his callousness. mal” word order I shall ignore his callousness. mal” word order I shall ignore his callousness. mal” word order mal”like word order shall ignore his his callousness. callousness. look (50) below:SIIS shall VVignore OOd d fronting fronting fronting fronting sentence cleft sentence cleft sentence cleft sentence cleft sentence proper proper proper proper proper pseudo-cleft senpseudo-cleft senpseudo-cleft senpseudo-cleft senpseudo-cleft sentence tence tence tence tence
SS V O d V O SHis callousness V Odd ignore. His I Ishall callousness shall ignore. His callousness I shall ignore. His callousness His shall ignore. O SSII shall VV ignore. dd callousness O O S V d S V d ItItO is his callousness that ignore. Oisd his callousness S V I Ishall It is his callousness that that II shall shall ignore. ignore. It It is is his his callousness callousness that that I shall shall ignore. ignore. SS VV CCS S SS V C S V C SS callousness. What ignore isishis SWhat V IIshall C ignore his callousness. What II shall shall ignore is his callousness. What shall ignore is What I shall ignore is his his callousness. callousness. SS VV CCS S SS V C S V C S V CSS
5 55 55
10.2 10.2 10.2 10.2 10.2 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3
6.7 Comparative Clauses
167
(50) s
S: NP
V: VP CS : AdjP
dtm: det
The
h: n
article
mv: pv
was
premod: adv
as
h: adj
objective
compl: comp cl
as
sub: sub conj S: NP
h: pron
I
V: VP
mv: fv
expected
Od : nom that-cl (ellipt.)
S: NP
h: pron
it
V: VP
aux v: mod aux
would
mv: pv
be.
When turning constructions of nonequivalence (Table 11) into constructions of equivalence (Table 12), the simple replacement of more … than by as … as is not always possible. Instead, modifications involving as many (count) and as much (noncount) are needed. The CGEL notes: “We can therefore parallel the functions of more […], substituting as many and as much where necessary” (1137, 15.71). This is illustrated in Table 13, which also lists the functions (and forms) of as many and as much analogous to the functions in more constructions. Consequently, as many and as much are treated as one (!) entity, viz. dtm (det), NP head (pron) and AdvP head (adv), respectively: possible functions of comp-element + comp cl (nonequivalence / equivalence)
SVOd Isabelle | has | more books than her brother (has). = nonequiv. *Isabelle | has | as books as her brother (has). Isabelle | has | as many books as her brother (has). = equivalence
1
FU (FO) of as many / as much
dtm (det)
168
6 Finite Clauses
SVAS (contd.)40 More (of my friends) | are | in New York | than (are) = nonequiv. here. *As (of my friends) | are | in New York | as (are) here. As many (of my friends) | are | in New York | as = equivalence (are) here.
NP head (pron)
SVAA I | agree | with you | more than ((I agree) with) Robert. *I | agree | with you | as ((I agree) with) Robert. I | agree | with you | as much as ((I agree) with) Robert.
AdvP head (adv)41
= nonequiv. = equivalence
Table 13: as many and as much in constructions of equivalence
Accordingly, this is what the analyses of the three sentences in Table 13 look like (51–53): (51) s
S: NP
h: pn
Isabelle
V: VP
mv: pv
has
Od : NP
dtm: det
as many
h: n
books
compl: comp cl
sub: sub conj
as
S: NP
dtm: det
her
h: n
brother
mv: pv
has.
V: VP
40 41
Just as many has become far more common in constructions like these. Since this analysis was constructed by analogy to the construction of nonequivalence with more… than, it looks rather odd (cf. the analysis of (53)). Another far more likely solution for as much in the sentence-final AdvP could be: as (disc. premod: adv) + much (h: adv), with disc. being short for discontinuous.
6.7 Comparative Clauses
169
(52) s
S: NP
As many
h: pron postmod: PP
prep: prep
of
prepC: NP
dtm: det
my
h: n
friends
V: VP
mv: pv
are
A: PP
prep: prep
in
prepC: pn
New York
S: NP (cont.)
compl: comp cl
as
sub: sub conj V: VP
mv: pv
A: AdvP
are
h: adv
here.
(53) s
S: NP
h: pron
I
V: VP
mv: fv
agree
A: PP
prep: prep
with
prepC: pron
you
A: AdvP
as much
h: adv compl: comp cl
sub: sub conj
as
S: NP
h: pron
I
V: VP
mv: fv
agree
A: PP
prep: prep
with
prepC: pn
Robert.
The presence of a comp-element can also lead to deviations in the regular NP order (see Table 14), which is particularly striking in the gray boxes:
1
170
6 Finite Clauses
equivalence
nonequivalence
*It was an as lively discussion as we thought it would be.
It was a more heated discussion than we thought it would be.
It was as lively a discussion as we thought It was more heated a discussion than we it would be. thought it would be. = AdjP is “preposed” = AdjP is “preposed” It was a discussion as lively as we thought It was a discussion more heated than we it would be. thought it would be. = AdjP is “postposed” = AdjP is “postposed” Table 14: Changes in the regular NP order due to comparison
The AdjPs are placed either before the dtm of the NP head, i.e. they are “preposed,” or after the NP head in which cases they are “postposed” (CGEL 1135, 15.69; 1137, 15.71). Note that the “regular” order can only be upheld in sentences expressing nonequivalence. While AdjPs following NP heads can easily be dealt with using postmodifiers, AdjPs preceding even the dtm of a NP head are more complicated and call for thorough analysis (see (54)42) and an explicit comment on the unusual NP order.
42
A comment on the analysis: The preposed AdjP in a sentence containing a comp cl of equivalence leads to a rather unusual order of elements inside this NP as the premod precedes even the dtm.
6.7 Comparative Clauses
171
(54) s
S: NP
h: pron
It
V: VP
mv: pv
was
CS : NP
premod: AdjP
premod: adv
as
h: adj
lively
dtm: det
a
h: n
discussion
compl: comp cl
as
sub: sub conj S: NP
h: pron
we
V: VP
mv: fv
thought
Od : nom that-cl (ellipt.)
S: NP
h: pron
it
V: VP
aux v: mod aux
would
mv: pv
be.
The last type of comparative construction to be discussed here is called a “sufficiency and excess” construction as in Don is sensitive enough to understand your feelings. or Marilyn was too polite to say anything about my clothes. (CGEL 1127, 15.63). As these examples show, the comparison is most commonly43 introduced by enough or too. Quirk et al. explain that the “most common word for sufficiency is enough (as an adverb, a determiner, or a pronoun) and the most common word for excess is the adverb too” (1140, 15.73). These are complemented by an attributive to-infinitive clause (see Chapter 7.3.2 for more) instead of a comp cl. Here are three sample analyses for these comparisons, also showcasing the word class(es) of enough (55– 57)44 and too (58–59):
43 44
Other less common comp-elements can be found in the CGEL (1140, 15.73). 1 constructions like these are explained and A comment on the analysis: Existential analyzed in Chapter 10.5.
172
6 Finite Clauses
(55) s
S: NP
h: pn
Don
V: VP
mv: pv
is
CS : AdjP
h: adj postmod: AdvP
sensitive enough
h: adv compl: attr to-inf cl
V: VP
inf mark: inf mark
to
mv: fv
understand
Od : NP
dtm: det
your
h: n
feelings.
(56) s
S: NP
h: pron
She
V: VP
mv: fv
knows
Od : NP
enough
h: pron postmod: PP
prep: prep
about
prepC: NP
compl: attr to-inf cl
dtm: det
the
h: n
topic
V: VP
inf mark: inf mark
to
mv: fv
explain
h: pron
it
prep: prep
to
prepC: pron
you.
Od : NP A: PP
(57) s
Sgr : NP V: VP Snot : NP
h: pron mv: pv
There was
dtm: det
enough
h: n
food
compl: attr to-inf cl... 1
to feed an army.
6.7 Comparative Clauses
173
(58) s
S: NP
h: pn
Marilyn
V: VP
mv: pv
was
CS : AdjP
premod: adv
too
h: adj
polite
compl: attr to-inf cl...
to say anything about...
(59) s
S: NP
h: pron
I
V: VP
mv: pv
’m
CS : AdjP
premod: AdvP
premod: adv
much
h: adv
too
h: adj
tired
compl: attr to-inf cl...
to go out.
The “sufficiency and excess” category can also be constructed with the “pairs of correlatives so … (that) and such … (that)” (CGEL 1142, 15.74; see also Chapter 3.6). As indicated by the parentheses, the subordinating conjunction that can be omitted in informal contexts.
1
174
6 Finite Clauses
(60) s
S: NP
h: pron
They
V: VP
mv: fv
walked
A: AdvP
premod: adv
so
h: adv
quickly
compl: comp cl
sub: sub conj
that
S: NP
h: pron
I
V: VP
aux v: mod aux
could
neg: neg part
n’t
mv: phr v (fv + prep adv)
catch up.
(61) s
S: NP
V: VP Od : NP
dtm: det
The
h: n
apartment
mv: pv
has
dtm: det
such
dtm: det
a
premod: adj
beautiful
h: n
view
compl: comp cl
sub: sub conj
that
S: NP
h: pron
I
V: VP
mv: fv
intend
Od : nom to-inf cl...
to rent it.
The CGEL barely addresses the question of the exact clause type in these constructions. In 1143, 15.74, they mention the term that-clause when discussing “sufficiency and excess” constructions, but that is not exactly precise. For this reason, we base our analysis on another section in the CGEL (1109, 15.49), which also discusses comparative clauses with the correlatives so … (that) and such 1 … (that) and examples similar to the ones presented in (60) and (61). These
6.8 Tricky Business: Is that Still a Problem?
175
sentences express result and count as yet another type of comparative clause, which is why we recommend the label comp cl (instead of that-cl). 6.8 Tricky Business: Is that Still a Problem? All the finite clause types presented in this chapter and those in particular which are introduced by that are notoriously hard to tell apart. Table 15 summarizes and contrasts typical features of each clause type in order to highlight the difference. clause type
example
antecedent?
function →
subordi‐ nate or embed‐ ded
word class of first ele‐ ment
adv cl (6.1)
It didn’t work out as we had hoped.
---
A
subordi‐ nate (adver‐ bial)
sub conj
attr wh-cl (6.2)
I was unsure what I should say.
✓ (unsure)
postmodifier embedded of NP or AdjP head
int pron int det int adv
He asked to --whom I gave my library card.
also: prepC
nom wh-cl (6.2)
He asked whom I met at the li‐ brary.
---
S, Od, CS = nominal slots
subordi‐ nate (nominal)
int pron int det int adv
attr that-cl (6.3)
I agree with the old saying that absence makes the heart grow fonder.
✓ (saying)
postmodifier embedded of NP or AdjP head
sub conj
nom that-cl (6.3)
I noticed that he --spoke English with an Austral‐ ian accent.
S, Od, CS = nominal slots
sub conj
subordi‐ nate (nominal)
176
6 Finite Clauses
attr rel cl The purse which ✓ (def / I bought last (purse) non-def) week was stolen. (6.4)
only post-modifier to a NP head
embedded
rel pron rel det rel adv
S, Oi, Od, CS, CO = nominal slots
subordi‐ nate (nominal)
pron det adv
I’m happy with what I am.
also: prepC
Excep‐ tion: em‐ bedded
sent rel cl (6.6)
Things then im‐ ✓ proved, which (the surprises me. main clause)
A
subordi‐ nate (adver‐ bial)
rel pron (rare: rel det)
comp cl (6.7)
Jane is as healthy as her sister (is).
compl in NP, AdjP, AdvP
embedded
sub conj
nom rel cl (6.5)
Whoever did that should ad‐ mit it frankly.
---
---
Table 15: Finite clauses in comparison
Despite the fact that Table 15 implies clear-cut boundaries between the various clause types, for some clauses there is, in fact, more than one correct solution. In section 6.5, the sentence They asked me what I knew. could be interpreted either as a nom rel cl or as a nom wh-cl. The same holds for the sentence A report that he stole was ultimately sent to the police. (CGEL 1262, 17.27), which can be read in two different ways: 1. as a def rel cl with report being the antecedent, similar in meaning to A report which he stole was ultimately sent to the police. In this case, the rel pron that can be substituted by which (and translated into German by ‘den’); 2. as an attr that-cl meaning ‘a report saying that he stole’ (with that being translated into German by dass), in which the substitution by a rel pron like which does not work. Fortunately, sentences like this are very rare.
6.8 Tricky Business: Is that Still a Problem?
177
The final part of this chapter discusses clusters of sentences which look similar at first glance. What might be confusing in sentences (62) to (65), for instance, is that the dependent clause is always introduced by when. Still, they clearly belong to one particular clause type, while when belongs to different word classes in the different examples. A first step is analyzing the function and position of the clauses and identifying antecedents where possible as outlined in Table 16: example sentence
broad analy‐ sis
additional clues clause type
word class of when
(62)
When dinner is ASVOd → ad‐ clause provides ready, I will call you. verbial cl additional infor‐ no antecedent mation about the point in time
adv cl
sub conj
(63)
When the next meet‐ SVA → nomi‐ clause expresses nal cl unknown infor‐ ing will take place has not yet been de‐ no antecedent mation cided.
nom wh-cl
int adv
(64)
They finally settled the issue when the product would be launched.
attr wh-cl
int adv
(65)
I will always remem‐ SVAOd → at‐ ber the time when we tributive cl in were all together. Od, postmod to NP head time (=antece‐ dent)
SAVOd → at‐ issue is a general tributive cl in abstract noun Od, postmod to NP head is‐ sue (=antece‐ dent) when can be re‐ placed by at which, a relative pronoun
attr def rel rel cl adv
Table 16: Analytical steps in determining the dependent clause type
We apply the same strategies to the last cluster of similar-looking sentences, which are all introduced by that (66–69, Table 17):
178
6 Finite Clauses
example sentence
broad analysis additional clues
clause type
word class of that
(66)
Judy hopes that she can enrol in one of Professor Smith’s courses.
SVOd → nomi‐ nal cl no antecedent
that cannot be replaced by which, but can be translated with dass in German
nom sub conj that-cl
(67)
She is such a good lecturer that all her courses are full.
SVCS → attrib‐ utive cl in CS, compl to dtm such no antecedent
that cannot be replaced by which, but can be translated with dass in German
comp cl
sub conj
attr def rel cl
rel pron
the clause com‐ pletes expecta‐ tions raised by such (68)
The literature that she analyses in her lectures is most of‐ ten contemporary.
SVACS → at‐ tributive cl in S, postmod to NP head literature (=antecedent)
that can be re‐ placed by which, a rela‐ tive pronoun
(69)
The fact that she is very likable con‐ tributes to her popularity among the students.
SVA → attribu‐ tive cl in S, post‐ mod to NP head fact (=antece‐ dent)
fact is a general attr sub conj abstract noun that-cl that cannot be replaced by which, but can be translated with dass in German
Table 17: Analytical steps in determining the dependent clause type (and the word class of the initial that)
7 Non-Finite Clauses and Verbless Clauses Lioba Arnoldi Following the finite clauses in Chapter 6, this chapter will now focus on the other two types of clauses: non-finite clauses and verbless clauses. The verb in a non-finite clause is – as its name suggests – non-finite. There is no indication for the specific tense, aspect, number and person, which makes this clause semantically ambiguous and understandable only when read in connection with the main clause. In a verbless clause, the verb is absent. Contrary to the many types of finite clauses that may look similar at first glance, the types of non-finite clauses are easier to distinguish. A first overview of the non-finite1 and verbless clauses to be discussed in this chapter is given in Table 1. clause type
example sentence
sec‐ tion
nominal -ing-participle clau‐ ses
Watching television keeps them out of mischief.
7.1.1
adverbial -ing-participle clau‐ Driving at high speed, one may well miss 7.1.1 ses direction signs. attributive -ing-participle clauses
The person writing reports is my collea‐ gue.
7.1.2
nominal -ed-participle clauses They found him worn out by travel and 7.2.1 exertion. adverbial -ed-participle clau‐ ses
The sentence is ambiguous, taken out of context.
attributive -ed-participle clau‐ Any coins found on this site must be handed to the police. ses
1
7.2.1 7.2.2
If you are looking for the terms gerund and gerundival (or gerundial) clauses in our list, please note that in the CGEL, the foundation for this book, they hardly play a role. The most elaborate passage on gerunds in connection with clauses can be found on page 1064 (15.12 Note [a]) where it says that “[n]ominal -ing clauses are sometimes called ‘gerundive’ or ‘gerundival clauses’. Their verb is commonly called a ‘gerund’.” There is no further elaboration. Two more passages (CGEL 1292, 17.54 including the following note and 1521, I.3) refer only to the word class of some words ending in -ing.
180
7 Non-Finite Clauses and Verbless Clauses
nominal -to-infinitive clauses
The best thing would be to tell everybody. 7.3.1
adverbial -to-infinitive clau‐ ses
She lived to be 100.
7.3.1
attributive -to-infinitive clau‐ I’m very eager to meet her. ses
7.3.2
nominal bare-infinitive clau‐ ses
7.4
All I did was hit him on the head.
adverbial bare-infinitive clau‐ He paid the fine rather than appeal to a 7.4 ses higher court. nominal verbless clauses
A friend in need is a friend indeed.
7.5
adverbial verbless clauses
She telephoned though obviously ill.
7.5
Table 1: Overview of non-finite and verbless clauses
7.1 -ing-Participle Clauses -ing-participle clauses (-ing-part cl) represent the first type of non-finite clauses to be introduced in this chapter. Take a look at the first example sentence (1) and its reformulated (finite) version in (1a) (CGEL 1121, 15.58): (1)
Driving home after work, I accidentally went through a red light.
(1a)
While I was driving home after work, I accidentally went through a red light.
The dependent -ing-part cl in (1) does not include any information about who drives, when that person was driving etc. In other words, the verb form is non-finite. What is demonstrated by (1a) is that we always assume that the subject of the superordinate clause (I) also performs the action described by the non-finite verb in the dependent clause (driving). In other words, the subject of the superordinate clause is the implied subject of the dependent clause (CGEL 725, 10.6). This is called the attachment rule (CGEL 1120, 15.58) and will become vitally important later on. In other cases, however, the action described by the non-finite verb in the de‐ pendent clause is not necessarily performed by the subject of the superordinate clause. This is particularly striking in We met you (when you?/we? were) leaving
7.1 -ing-Participle Clauses
the room. (CGEL 995, 14.8) where the absence of a subject in the dependent clause leads to semantic ambiguity. In these sentences, it is necessary to make explicit which subject we have in mind for the dependent clause. This is demonstrated by sentences (2) and (2a) taken from the CGEL (1064, 15.12): (2)
I didn’t know about the weather being so awful in this area.
(2a)
*I didn’t know about being so awful in this area.
In (2), the non-finite dependent clause includes a subject of its own, the weather. Adhering to the attachment rule would suggest that being so awful in this area is “carried out” by I, the subject of the superordinate clause (see 2a), but this simply does not make sense. It is clear that non-finite clauses in general and -ing-participle clauses in particular cannot always rely on an implied subject as in (1), and thus include what is called an overt subject (CGEL 1120, 15.58) or a notional subject (Ungerer et al. 1984: 171) as in (2). In the following, we will give preference to the term notional subject. The NP functioning as the notional subject will generally be in the genitive case if it is the first item in the sentence or a pronoun. If it has any personal reference or appears in a formal register, the NP will also be in the genitive case (CGEL 1063, 15.12). Pronouns may, however, also be in their objective case (if they have one). If these conditions are not met, the common case is preferred. Contrast: (2)
(3)
2
I didn’t know about the weather being so awful in this area. →
the weather = common case
→
NOT: *the weather’s being
I intend to voice my objections to their receiving an invitation to our meeting. →
their = genitive case2
→
NOT: *to they receiving
Since the pronoun they has the objective case them, them may also appear in a nominal -ing-part cl as a NP that functions as the subject and thus is equivalent to their. The sentence would then be I intend to voice my objections to them receiving an invitation to our meeting.
181
182
7 Non-Finite Clauses and Verbless Clauses
After this structural introduction, it is necessary to go one step back and look at words with the suffix -ing, or -ing-forms, because it can be difficult to determine whether a sentence element is actually an -ing-part cl or not. Table 2 offers a list of -ing-forms with example sentences (CGEL 414, 7.16; 660, 9.3). example
adjective
(4)
You are very frightening.
full verb (main verb in a VP)
(5)
You are frightening the children.
marginal preposition3
(6)
Considering his age, he has made excellent progress in his studies.
subordinating conjunction
(7)
Considering that he is rather young, his parents have advised him not to apply.
participial form
word class of -ing-form
full verb (main verb in a VP) in (8) an -ing-part cl
Considering the conditions in the office, she thought it wise not to apply for the job.
Table 2: List of -ing-forms with examples from the CGEL
As indicated in Table 2, -ing-forms are usually adjectives or participial forms.4 If the participial form is preceded by an auxiliary verb as in (5), it is part of a “normal,” finite VP governing the superordinate clause. If this is not the case, it can be a marginal preposition (6), a subordinating conjunction (7) or a non-finite verb in a dependent clause (CGEL 660, 9.3) – a distinction that can be quite tricky. When comparing example sentences (6), (7) and (8), we can see that the same participial form, considering, appears in different word classes. Yet we only speak of an -ing-part cl if the -ing-form is a non-finite verb form, meaning that it is used without any additional auxiliary verbs. Considering also functions as the main verb of the dependent clause as in (8). To avoid confusion and make it easier to decide between these three options, we have composed a list of clues decreasing in importance (Figure 1).
3 4
See Chapter 3.6 for more on marginal prepositions. Note that the difference between the -ing-form (and -ed-form) as an adjective and a verb participle in a clause has already been discussed in Chapter 3.2, which is why it will not be addressed here.
7.1 -ing-Participle Clauses
Preposition or subordinating conjunction or verb? Clue 1
Clue 2
Clue 3
Clue 4
The attachment rule if:
implied subject of -ing-part cl = subject of super‐ ordinate clause
then:
subordinate clause = -ing-part cl, -ing-form = V
Prepositions only introduce nominal elements if:
-ing-form is followed by NP
then:
-ing-form = preposition
Subordinating conjunctions introduce subordinate clauses if:
-ing-form is followed by a subordinate clause (e.g. that-clause)
then:
-ing-form = subordinator
Subordinators can be replaced by subordinators (that are semantically equal) if:
-ing-form replaceable by another subordinator
then:
-ing-form = subordinator
Figure 1: Clues to determine the word class of a participial -ing-form
If we look at our problematic example sentences (6) to (8) again, we can now be sure that in sentence (6), considering is a preposition; in sentence (7), it is a subordinating conjunction; and in sentence (8), it is a verb. Here is the proof: (6)
Considering his age, he has made excellent progress in his studies. →
implied subject ≠ subject of the main cl (Clue 1)
→
-ing-form introduces NP his age (Clue 2)
➔
preposition
183
184
7 Non-Finite Clauses and Verbless Clauses
(7)
(8)
Considering that he is rather young, his parents have advised him not to apply. →
implied subject ≠ subject of main cl (Clue 1)
→
-ing-form introduces a that-clause (Clue 3)
→
-ing-form is replaceable with because (Clue 4)
➔
subordinating conjunction
Considering the conditions in the office, she thought it wise not to apply for the job. →
implied subject = subject of main cl (‘When she considered…’) (Clue 1)
➔
verb in an -ing-part cl5
As stated earlier, only sentence (8) contains an -ing-part cl. This type of non-finite clause can be divided into two sub-categories, the subordinate -ing-part cl and the attributive -ing-part cl, which will be explained in the next two sections. 7.1.1 Subordinate -ing-Participle Clauses
Nominal -ing-participle clauses (nom -ing-part cl) may take on functions similar to NPs, whereas adverbial -ing-participle clauses (adv -ing-part cl) only function as adverbials in a complex sentence.6 Table 3 provides an overview of the syntactic functions of both nominal and adverbial subordinate -ing-part cl (with examples) (CGEL 1063, 15.12 and 1086, 15.30). function
type
example
S
nom
(9)
Watching television keeps them out of mischief.
Od
nom
(10)
He enjoys playing practical jokes.
5 6
Note, however, that the second clue also works for this sentence if we consider a less salient meaning in which the subject of the main clause is not the implied subject of the superordinate clause. In this rather unlikely scenario, considering is a preposition. For more information on nominal clauses, see Chapter 5.3.1 and for adverbial clauses, see Chapter 5.3.2.
7.1 -ing-Participle Clauses
185
CS
nom
(11)
Her first job had been selling computers.
CO
nom
(12)
She had us working day after day.
A
adv
(13)
(When) driving at high speed, one may well miss direction signs.
Table 3: The syntactic functions of subordinate -ing-participle clauses with examples from the CGEL
Since these functions of the -ing-part cl are quite transparent in most sentences, their analyses should not be a problem.7 Therefore, only sentence (9)8 will be analyzed completely. (9) s
S: nom -ing-part cl
V: VP Od : NP
V: VP
mv: fv
Watching
h: n
televison keeps
mv: fv
Od : NP
h: pron
them
A: AdvP
h: adv
out
postmod: PP
prep: prep
of
prepC: n
mischief.
What seems difficult in some cases is the distinction between the nom -ing-part cl and deverbal nouns ending in -ing. If an -ing-form appears on its own, it is syntactically ambiguous and can be analyzed as a nom -ing-part cl or a NP (CGEL 1065, 15.13). Compare the example analyses of (14) My hobby is swimming. and note that both are equally acceptable.
7 8
Complex-transitive constructions involving non-finite clauses as in sentence (12) are difficult and will be dealt with in more detail in Section 7.6.2. A comment on the analysis: Note that the verb in a participle clause is always a full verb on the formal level even though it is non-finite. It could also be argued that this A is realized by a PP that has another PP as its prepC. Both analyses are correct.
186
7 Non-Finite Clauses and Verbless Clauses
(14a) s
S: NP
V: VP
dtm: det
My
h: n
hobby
mv: pv
is
CS : nom -ing-part cl
V: VP
mv: fv
swimming.
(14b) s
S: NP
V: VP CS : NP
dtm: det
My
h: n
hobby
mv: pv
is
h: n
swimming.
A NP preceding the -ing-form, however, may hint at one particular option over the other. If the NP is in the common case or objective case, it must be the notional subject of the nom -ing-part cl (see (15)). In these instances, the -ing-form can never be a deverbal noun as in (14b). (15) s
S: NP
h: pron
They
V: VP
mv: fv
liked
Od : nom -ing-part cl
S: NP
h: pron
us
V: VP
mv: fv
singing.
But if the NP preceding the -ing-form is in the genitive case, we are still left with both possibilities. Let us take a look at sentence (16) in which the -ing-form is syntactically ambiguous: (16)
They liked our singing.
The CGEL (1065, 15.13) states that the genitive case “biases towards” an 1 interpretation as a simple NP with the determiner our functioning as the
7.1 -ing-Participle Clauses
187
determinative of the following deverbal noun. Nonetheless, both analyses (16a) and (16b) are correct. (16a) s
S: NP
h: pron
They
V: VP
mv: fv
liked
Od : nom -ing-part cl
S: NP
h: pron
our
V: VP
mv: fv
singing.
(16b) s
S: NP
h: pron
They
V: VP
mv: fv
liked
Od : NP
dtm: det
our
h: n
singing.
If other elements are present, the choice between the two options is much clearer: + NP as Od: They liked our singing folk songs. → nom -ing-part cl + PP as postmod: They liked our singing of folk songs. → NP with deverbal noun + AdjP as premod: They liked our loud singing. → NP with deverbal noun + AdvP as A: They liked our singing softly. → nom -ing-part cl We will now turn to the second subtype of subordinate -ing-part clauses: the adv -ing-part clause as in sentence (13) Driving at high speed, one may well miss directions signs. (CGEL 1086, 15.30). Adv -ing-part cl always function as adverbials in a sentence and are not elliptical finite clauses because the verb does not express the progressive aspect. They can be introduced by
1
188
7 Non-Finite Clauses and Verbless Clauses
a subordinator like once, if, since, with, 9 after or whether…or (CGEL 1005, 14.19).10 While some adv -ing-part cl require a subordinator, others do not. Compare the analysis of sentence (13)11 with the slightly altered sentence (13a). The fact that (13a) is introduced by a subordinator does not have any impact on the analysis. Both sentences feature an A that is an adv -ing-part cl. (13) s
A: adv -ing-part cl
V: VP
mv: fv
Driving
A: PP
prep: prep
at
prepC: NP
9 10 11
premod: adj
high
h: n
speed,
S: NP
h: pron
one
V: VP
aux v: mod aux
may
mv: fv
miss
A: AdvP
h: adv
well
Od : NP
h: comp n
direction signs.
Remember that in Chapter 3.7, we argued in favor of with being used as a subordinating conjunction in connection with participle and verbless clauses. More information about this aspect can be found in the CGEL (1078, 15.25; 1086, 15.30; 1090, 15.34; 1097, 15.39; 1100, 15.41; 1110, 15.50). A comment on the analysis: Note that the word order was changed for the purpose of the analysis.
1
7.1 -ing-Participle Clauses
189
(13a) s
A: adv -ing-part cl
sub: sub conj
When
V: VP
mv: fv
driving
A: PP
prep: prep
at
prepC: NP
premod: adj
high
h: n
speed,
S: NP
h: pron
one
V: VP
aux v: mod aux
may
mv: fv
miss
A: AdvP
h: adv
well
Od : NP
h: comp n
direction signs.
Just like nom -ing-part cl, adv -ing-part cl can also have a notional subject (CGEL 1120, 15.58). Take a look at (17) No further discussion arising, the meeting was brought to a close. (17) s
A: adv -ing-part cl
S: NP
V: VP S: NP
V: VP
A: PP
dtm: det
No
premod: adj
further
h: n
discussion
mv: fv
arising,
dtm: det
the
h: n
meeting
aux v: pv
was
mv: fv
brought
prep: prep
to
prepC: NP
dtm: det
a
h: n
close. 1
190
7 Non-Finite Clauses and Verbless Clauses
7.1.2 Attributive -ing-Participle Clauses
The last type of -ing-part cl is the embedded or attributive -ing-part clause (attr -ing-part cl). These can take on different functions, but cannot have notional subjects. Table 4 provides an overview (CGEL 1063, 15.12; 1263, 17.28). function
example
NP-head postmod (appos)12
(18)
His current research, investigating attitudes to racial stereotypes, takes up most of his time.
NP-head postmod
(19)
The person writing reports is my colleague.
AdjP-head post‐ mod13
(20)
They are busy preparing a barbecue.
prepC
(21)
I’m responsible for drawing up the budget.
Table 4: Syntactic functions of attributive -ing-participle clauses
When dealing with a non-finite clause such as the attr -ing-part cl, the loss of inflection (and possible absence of a notional subject) can lead to semantic and functional ambiguity. Without context, it is impossible to say which syntactic function the clause has, thus leaving us with more than one possible analysis. Take a look at example sentence (22) with its two readings (CGEL 1126, 15.62): (22)
I caught the boy waiting for my daughter.
a)
I caught the boy who was waiting for my daughter.
→
corresponding -ing-part cl is the postmodifier of a NP-head
b)
I caught the boy while I was waiting for my daughter.
→
corresponding -ing-part cl is an A on the sentence level
12
13
Do not worry if the term appositive as used in the abbreviation postmod (appos) is not yet familiar. Apposition and its relation to postmodification will be discussed in great detail in Chapter 8. For now, it is only important to know that the attr -ing-part cl may function as a special type of postmod, viz. as an appositive in a complex sentence. This is what the CGEL (1063, 15.12; 1230, 16.83) refers to as adjectival complementation.
7.1 -ing-Participle Clauses
191
In a), the interpretation of the -ing-part cl hints to its function as the postmodifier of a NP-head, marking it as an embedded, attributive clause. However, if we argue for the analysis of the -ing-part cl as an adverbial as in b), it is not an embedded but a subordinate clause, viz. an adverbial -ing-part cl (see Chapter 7.1.1). This leads to two quite different syntactic analyses: (22a) s
S: NP
h: pron
I
V: VP
mv: fv
caught
Od : NP
dtm: det
the
h: n
boy
postmod: attr -ing-part cl
V: VP
mv: fv
waiting
A: PP
prep: prep
for
prepC: NP
dtm: det
my
h: n
daughter.
(22b) s
S: NP
h: pron
I
V: VP
mv: fv
caught
Od : NP
dtm: det
the
h: n
boy
A: adv -ing-part cl
V: VP
mv: fv
waiting
A: PP
prep: prep
for
prepC: NP
dtm: det
my
h: n
daughter.
The attr -ing-part cl as a postmodifier of a NP-head is semantically equal to an (attributive) relative clause in which the relative pronoun functions as the subject (CGEL 1263, 17.28). Compare the following two sentences (23) and (24):
1
192
7 Non-Finite Clauses and Verbless Clauses
will write will be writing (23)
The person who
writes is writing
reports is my colleague.
wrote was writing
(24)
The person writing reports is my colleague.
The same way attributive relative clauses can be either restrictive or non-re‐ strictive, this also holds for other postmodifiers of NP-heads, including attr -ing-part cl (CGEL 1263, 17.28; 1270, 17.34). Whereas (24) would be an example of restrictive postmodification, example (25a) below displays non-restrictive postmodification. One problem arises when looking at attr -ing-part cl that are non-restric‐ tive postmodifications of NP-heads: They can also be interpreted as adv -ing-part cl functioning as A. This is because in a sentence, they can be moved freely without any change in meaning or reference, indicating an adverbial role. Compare these examples: (25a) The apple tree, swaying gently in the breeze, was a reminder of old times. (25b) Swaying gently in the breeze, the apple tree was a reminder of old times. (25c) The apple tree was a reminder of old times, swaying gently in the breeze.
Sentence (25a) is ambiguous since the -ing-part cl is preceded by a NP and can therefore be analyzed as an attr -ing-part cl; as such, it functions as a non-restrictive NP-head postmod. However, it can also be an adv -ing-part cl functioning as A (similar to example (22b)14). In sentences (25b) and (25c), we are clearly dealing with an adv -ing-part cl due to its detached position in the sentence.
14
In contrast to example (22b), the referent remains constant in examples (25a), (25b) and (25c): The implied subject in the subordinate clauses is always the apple tree.
7.2 -ed-Participle Clauses
193
7.2 -ed-Participle Clauses Just like -ing-part clauses (and other non-finite clauses, see below), -ed-par‐ ticiple clauses (-ed-part cl) can also have a notional subject of their own. If the subordinate -ed-part cl does not have one, the attachment rule applies again, meaning the subject of the superordinate clause also performs the action described by the non-finite verb in the subordinate clause. Compare example sentence (26) with its finite version (26a) (CGEL 15.58, 1121). (26)
Persuaded by our optimism, he gladly contributed time and money to the scheme.
(26a) Since he was persuaded by our optimism, he gladly contributed time and money to the scheme.
Before we take a look at the syntactic functions of this type of non-finite clause and their analyses, we have to determine the exact word class of the -ed-form under discussion. This is crucial information for calling a subordinate clause an -ed-part cl in the first place.15 Consider Table 5 (CGEL 414, 7.16; 660, 9.3): example
adjective
(27)
The man was very offended.
full verb (main verb in VP)
(28)
The man was offended by the po‐ liceman.
marginal preposition16
(29)
Given the present conditions, I think she’s done rather well.
subordinating conjunction
(30)
Given that this work was pro‐ duced under particularly difficult circumstances, the result is better than could be expected.
full verb (main verb in a VP) in (31) -ed-part cl
Given the chance, I’d do it again.
participial form
word class of -ed-form
Table 5: The distribution of -ed-forms with examples from the CGEL
15 16
The -ed-form of a verb, i.e. the past participle form, is sometimes formed without -ed. Keep in mind that irregular verbs will not actually have that ending (e.g. given, stood, drunk, etc.). See Chapter 3.6 for more on marginal prepositions.
194
7 Non-Finite Clauses and Verbless Clauses
Again, only the last three constructions, (29)–(31), are problematic.17 In order to distinguish between the -ed-form as a marginal preposition, a subordinating conjunction and a non-finite verb, let us take a look at the following examples with the participle given. We will make use of the same clues introduced in Section 7.1. (29)
(30)
(31)
Given the present conditions, I think she’s done rather well. →
-ed-form introduces NP the present conditions (Clue 2)
→
implied subject ≠ subject of the main cl (Clue 1)
➔
preposition
Given that this work was produced under particularly difficult circumstances, the result is better than could be expected. →
ed-form introduces a that-clause (Clue 3)
→
replaceable by although (Clue 4)
→
implied subject ≠ subject of the main cl (Clue 1)
➔
subordinating conjunction
Given the chance, I’d do it again. →
implied subject = subject of the main cl (‘If I were given…’) (Clue 1)
➔
verb in a -ed-part cl
Only sentence (31) contains an -ed-participle clause. As we will see in the following sections, an -ed-part cl can be a subordinate or an attributive clause. 7.2.1 Subordinate -ed-Participle Clauses
Just like -ing-part cl, -ed-part cl can be subordinate clauses, but only in passive constructions because “the [past] participle [is] firmly linked with the passive voice” (CGEL 1265, 17.29). -ed-part cl can also be nominal -ed-part cl (nom -ed-part cl) or adverbial -ed-part cl (adv -ed-part cl).18 While adv 17 18
To read up on the distinction between adjective and verb participles, see Chapter 3.2. The CGEL simply discusses -ed-participle clauses in general and does not propose the terms nominal/adverbial -ed-participle clause. But, for reasons of symmetry, we
7.2 -ed-Participle Clauses
195
-ed-part cl can have notional subjects, nom -ed-part cl cannot. Unfortunately, the CGEL is extremely vague when describing -ed-part cl, specifically, their syntactic functions. Table 6 summarizes the few clues scattered in the CGEL (1207, 16.54; 1086, 15.30). function
type
example
CO
nom
(32)
They found him worn out by travel and exertion.
A
adv
(33)
The sentence is ambiguous, (if) taken out of context.
19
Table 6: The syntactic functions of subordinate -ed-participle clauses with examples
Take a look at the analysis of a nom -ed-part cl in example (32). (32) s
S: NP
h: pron
They
V: VP
mv: fv
found
Od : NP
h: pron
CO : nom -ed -part cl
him V: VP
mv: phr v (fv + prep adv)
worn out
A: PP
prep: prep
by
prepC: NP
h: n conjoint
conj1 : n1
travel
coord: co conj
and
conj2 : n2
exertion.
When an -ed-part cl functions as an adverbial, it can be introduced by subordinators like once, until, if, although, while or when (CGEL 1004, 14.18).20 Just like some adv -ing-part cl, some adv -ed-part cl require a
19 20
do call them nominal and adverbial -ed-participle clauses. After all, the term nominal -ing-participle clause does exist. Though in most exam situations, the term -ed-part cl will suffice. We are again confronted with a complex-transitive construction in sentence (32). Detailed explanations about these constructions can be found in Section 7.6.2. For more on this, see also CGEL 1078, 15.25; 1086, 15.30; 1090, 15.34; 1097, 15.39; 1100, 15.41; 1110, 15.50.
196
7 Non-Finite Clauses and Verbless Clauses
subordinator, while others do not. Compare the following analyses of the two versions of sentence (33), (33a)21 and (33b) (CGEL 1086, 15.30): (33a) s
S: NP
V: VP CS : AdjP
dtm: det
The
h: n
sentence
mv: pv
is
h: adj
A: adv -ed -part cl
ambiguous, V: VP A: AdvP
mv: fv
taken out
h: adv postmod: PP
prep: prep
of
prepC: n
context.
(33b) s
S: NP
V: VP CS : AdjP
dtm: det
The
h: n
sentence
mv: pv
is
h: adj
A: adv -ed -part cl
ambiguous sub: sub conj
if
V: VP
taken
A: AdvP
mv: fv
out
h: adv postmod: PP
prep: prep
of
prepC: n
context.
In (33b), we are still dealing with an adv -ed-part cl; it is simply introduced by the subordinator if. It cannot be a finite adverbial clause, like other clauses introduced by if (see Chapter 6.1), since the verb in (33b) is still non-finite. As demonstrated by sentence (34) Lunch finished, the guests retired to the lounge.
21
A comment on the analysis: It could also be argued that this A is realized by a PP that has another PP as its prepC. Both analyses are correct. 1
7.2 -ed-Participle Clauses
197
and as mentioned earlier, adv -ed-part cl can also have notional subjects (CGEL 1120, 15.58). (34) s
A: adv -ed -part cl
S: NP
S: NP
h: n
Lunch
V: VP
mv: fv
finished,
dtm: det
the
h: n
guests
V: VP
mv: fv
retired
A: PP
prep: prep
to
prepC: NP
dtm: det
the
h: n
lounge.
7.2.2 Attributive -ed-Participle Clauses
Just like an -ing-part cl, -ed-part cl can also be attributive -ed-part cl (attr -ed-part cl). They only function as postmodifiers of a NP-head and cannot have notional subjects (CGEL 1265, 17.29) as demonstrated in Table 7: function
example
NP-head post‐ mod
(35)
Any coins found on this site must be handed to the police.
Table 7: The only syntactic function of the attributive -ed-participle clause with an example
An analysis of sentence (35) looks as follows:
1
198
7 Non-Finite Clauses and Verbless Clauses
(35) s
S: NP
dtm: det
Any
h: n
coins
postmod: attr -ed -part cl
V: VP
mv: fv
found
A: PP
prep: prep
on
prepC: NP
V: VP
A: PP
dtm: det
this
h: n
site
aux v: mod aux
must
aux v: pv
be
mv: fv
handed
prep: prep
to
prepC: NP
dtm: det
the
h: n
police.
The postmodification of NP-heads by attributive -ed-part cl can be restrictive or non-restrictive (CGEL 1264, 17.29; 1270, 17.34). The connection between attributive -ed-part cl and relative clauses is (again) restricted to the (attrib‐ utive) defining relative clauses in which the relative pronoun functions as the subject. Compare examples (36) and (37) below: will be repaired (36)
The car that
is being repaired
by that mechanic…
was being repaired
(37)
The car (being) repaired by that mechanic…
If we take a closer look at non-restrictive postmodifications of NP-heads by attributive -ed-part cl, we encounter the same problem as in Section 7.1.2 with example (22). Again, the non-restrictive attr -ed-part cl can be analyzed as a NP-head postmod or as an adv -ed-part cl functioning as A (it can be moved in the sentence). Compare these examples: 1
7.3 to-Infinitive Clauses
199
(38a) The substance, discovered almost by accident, has revolutionized medicine. (38b) Discovered almost by accident, the substance has revolutionized medicine. (38c) The substance has revolutionized medicine, discovered almost by accident.
In sentences (38b) and (38c), the -ed-part cl functions as an adverbial based on its position in the sentence, making it an adv -ed-part cl. When it comes to sentence (38a), we are left with the two possibilities of analyzing the -ed-part cl either as an adverbial or as a postmodifier. 7.3 to-Infinitive Clauses The to-infinitive clause (to-inf cl) is the third type of non-finite clauses. The non-finite verb in this clause is the to-infinitive form of a verb. Just like -ing-part cl and -ed-part cl, it may or may not have a notional subject. Compare examples (39) and (40) (CGEL 993, 14.6; 994, 14.7). (39)
The best thing would be to tell everybody.
→ without notional subject
(40)
I expect them to come.
→ with notional subject
In to-inf cl, it is possible to encounter a split infinitive construction. This construction involves an adverbial between the infinitive marker to and the actual infinitive verb form (CGEL 496, 8.21). The infinitive marker, noted as inf mark twice (once for its function, once for its form), and the main verb make up the VP. For an analysis of the split infinitive, we must simply change the word order and note why. Take a look at the analysis of example (41)22 To suddenly resign my job is unthinkable. (ibid.):
22
A comment on the analysis: The word order was changed for the purpose of the syntactic analysis, resolving the split infinitive issue in the process.
200
7 Non-Finite Clauses and Verbless Clauses
(41) s
S: nom to-inf cl
V: VP CS : AdjP
V: VP
inf mark: inf mark
To
mv: fv
resign
A: AdvP
h: adv
suddenly
Od : NP
dtm: det
my
h: n
job
mv: pv
is
h: adj
unthinkable.
On some occasions, you will come across an elliptical to-inf cl which only consists of to. If negated, it is accompanied by not as in example (42)23 She used my pen, although I told her not to. (CGEL 909, 12.64).24 In an analysis, explicitly note that the non-finite verb of the to-inf cl is elliptical, which is why the main verb is missing. (42) s
S: NP
h: pron
She
V: VP
mv: fv
used
Od : NP
A: adv cl
dtm: det
my
h: n
pen,
sub: sub conj S: NP
h: pron
I
V: VP
mv: fv
told
Oi : NP
h: pron
Od : nom to-inf cl
23 24
although
her neg: neg part
not
inf mark: inf mark
to.
A comment on the analysis: This is an elliptical to-inf clause in which the main verb of the non-finite VP is missing. Elliptical to-inf cl should not be confused with constructions involving the semi-auxi‐ 1 liaries have to or used to as in the example I won’t disturb you again unless I have to. (CGEL 908–909, 12.64). In these cases, to is part of the semi aux.
7.3 to-Infinitive Clauses
201
7.3.1 Subordinate to-Infinitive Clauses
Nominal to-infinitive clauses (nom to-inf cl) can take on functions similar to NPs, whereas adverbial to-infinitive clauses (adv to-inf cl) only function as adverbials in a complex sentence.25 Table 8 provides an overview of the syntactic functions with examples for these two types of subordinate to-inf cl (CGEL 1061, 15.10; 1079, 15.25; 1171, 16.20). function
type
example
S
nom
(43)
To be neutral in this conflict is out of the question.
Od
nom
(44)
He likes everyone to relax.
CS
nom
(45)
The best excuse is to say that you have an examination tomorrow morning.
CO26
nom
(46)
They knew him to be a spy.
A
adv
(47)
She lived to be 100.
Table 8: The syntactic functions of subordinate to-infinitive clauses with examples
Let us take a look at sentence (43)27 for a sample analysis:
25
26 27
The CGEL does not use the term adverbial to-infinitive clause. However, since to-inf cl can function as adverbials, they are discussed in the chapters about adverbial clauses (CGEL 1079, 15.25). Again, for reasons of symmetry and clarity, we will utilize the term adverbial to-infinitive clause. Again, we are confronted with a complex-transitive construction. See Section 7.6.2 for details. A comment on the analysis, which also holds for sentences (?48a) and (48b): After the copular verb form is, we can choose between a CS or an A function for out of the question. Although it can be replaced by e.g. unthinkable, thus pointing towards a CS, we still analyze this chunk as an A because only an A can be combined with an AdvP or with a PP. This also holds true for sentences (?48a) and (48b).
202
7 Non-Finite Clauses and Verbless Clauses
(43) s
S: nom to-inf cl
V: VP
CS : AdjP A: PP
inf mark: inf mark
To
mv: pv
be
h: adj prep: prep prepC: NP
V: VP A: AdvP
neutral in dtm: det
this
h: n
conflict
mv: pv
is out
h: adv postmod: PP
prep: prep prepC: NP
of dtm: det
the
h: n
question.
In a to-inf cl with a notional subject, the notional subject is introduced by the preposition for, unless the entire to-inf cl functions as the Od as in (44). In all other cases, including (48), for is obligatory (CGEL 993, 14.6; 1061, 15.10).28 (44)
He likes everyone to relax.
(48)
For your country to be neutral in this conflict is out of the question.
(44) s
S: NP
h: pron
He
V: VP
mv: fv
likes
Od : nom to-inf cl
28
S: NP
h: pron
everyone
V: VP
inf mark: inf mark
to
mv: fv
relax.
This is especially true when the to-inf cl functions as an extraposed subject involving the anticipatory it as in It was considered1impossible for anyone to escape. Extraposition is discussed in detail in Chapter 10.4 and in the CGEL (1391–1392, 18.33).
7.3 to-Infinitive Clauses
203
The preposition makes the syntactic analysis of sentences like (48) difficult. Let us take a look at this example in which the to-inf cl functions as the subject of the superordinate clause (CGEL 1061, 15.10). The NP your country is the notional subject of the to-inf cl since it performs the action of the subordinate verb be. However, since it is preceded by a preposition, the preposition and the following NP form a PP, technically speaking. This leads to the unusual pairing of S: PP (see Chapter 2.1). This logic is realized in the strongly disfavored analysis in (?48a). (?48a) s
S: nom to-inf cl
prep: prep
S: PP
prepC: NP
V: VP
CS : AdjP A: PP
A: AdvP
dtm: det
your
h: n
country
inf mark: inf mark
to
mv: pv
be
h: adj
neutral
prep: prep prepC: NP
V: VP
For
in dtm: det
this
h: n
conflict
mv: pv
is out
h: adv postmod: PP
prep: prep prepC: NP
of dtm: det
the
h: n
question.
We rather propose analyzing for as a subject marker (subj mark), a concept which does not exist in the CGEL. This way, we can still identify for your country as a NP, and not a PP, functioning as the S. Another option would be to stipulate yet another syntactic function before the S – something we should rule out right away. When discussing the internal structure of to-inf clauses, the CGEL (994, 14.7) considers for everybody to be here to have SVA structure and for you to give him a call SVOiOd structure. This shows that Quirk et al. see no room for yet another syntactic function before the S. So
204
7 Non-Finite Clauses and Verbless Clauses
for remains a part of the subject, analogous to the inf mark in a VP. The analysis of (48b) bears witness to that: (48b) s
S: nom to-inf cl
S: NP
V: VP
CS : AdjP A: PP
subj mark: subj mark
For
dtm: det
your
h: n
country
inf mark: inf mark
to
mv: pv
be
h: adj prep: prep prepC: NP
V: VP A: AdvP
neutral in dtm: det
this
h: n
conflict
mv: pv
is out
h: adv postmod: PP
prep: prep prepC: NP
of dtm: det
the
h: n
question.
Adverbial to-inf cl can be introduced by subordinators like as if, in order, whether, with or without (CGEL 1004, 14.17).29 For is also included as one of those subordinators for a to-inf cl with a notional subject, having a “clause-introducing function” (CGEL 705, 9.55). However, the CGEL con‐ cedes right away that for is “a device for introducing the subject rather than […] a true subordinator” (CGEL 1004, 14.17). This again supports our concept of a subj mark. Quirk et al. argue that for can also appear in combination with the (true) subordinator in order to as in example (49) In order for you to be eligible for a student grant, your parents must receive […] a stipulated […] income. (ibid., simplified). A full analysis of (49) appears below:
29
With and without may also appear as prepositions, but since they introduce clauses in these instances, they must be subordinators (CGEL 704–705, 9.55). 1
7.3 to-Infinitive Clauses
205
(49) s
A: adv to-inf cl
sub: sub conj S: NP
V: VP
CS : AdjP
In order
subj mark: subj mark
for
h: pron
you
inf mark: inf mark
to
mv: pv
be
h: adj
eligible
postmod: PP
prep: prep prepC: NP
S: NP
V: VP
Od : NP
for dtm: det
a
premod: n
student
h: n
grant,
dtm: det
your
h: n
parents
aux v: mod aux
must
mv: fv
receive
dtm: det
a
premod: adj
stipulated
h: n
income.
Therefore, it could be said that for on its own is a subordinator; it is a subj mark only when preceded by a “true” subordinator like in order. We propose simply sticking to the analysis of for as a subj mark in all to-inf cl, with or without a preceding subordinator. 7.3.2 Attributive to-Infinitive Clauses
There are also attributive to-infinitive clauses (attr to-inf cl), which can take on the following functions in Table 9 (CGEL 1061, 15.10; 1127, 15.63; 1226, 16.75; 1266, 17.30):
1
206
7 Non-Finite Clauses and Verbless Clauses
function
example
NP-head postmod (appos)30
(50)
Your ambition, to become a farmer, re‐ quires the energy and perseverance that you so obviously have.
NP-head postmod
(51)
The man for you to see is Mr Johnson.
AdjP-head postmod
(52)
I’m very eager to meet her.
compl
(53)
Don is sensitive enough to understand your feelings. 32
31
Table 9: The syntactic functions of attributive to-infinitive clauses with examples
Some attr to-inf cl can have a notional subject introduced by for, but others cannot. Compare (54) and (54a) for an example with and without a notional subject (CGEL 1266, 17.30): (54)
The man for you to see is Mr Johnson.
(54a) The man to see is Mr Johnson.
The analysis of a notional subject in an attr to-inf cl is the same as in nominal and adverbial subordinate to-inf cl (e.g. see the analysis for sentence (49)). To conclude this section, we fully analyze sentence (52) as well as its extended version with a notional subject (52a), I’m very eager for Jack to meet her.
30 31
32
Compare with Table 4. For further information on apposition, see Chapter 8. Despite the fact that the CGEL speaks of “adjective complementation” (1226, 16.75), we give preference to the term AdjP-head postmod. After all, the to-inf cl refers back to the head eager and not to the premodifier very. To review the difference between postmodifiers and complementation, see Chapter 2.6.3. A special function of attr to-inf clauses is complementation, as discussed in Chapter 6.7 in the context of comparative clauses.
7.4 Bare Infinitive Clauses
207
(52) s
S: NP
h: pron
I
V: VP
mv: pv
’m
CS : AdjP
premod: adv
very
h: adj
eager
postmod: attr to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
meet
h: pron
her.
(52a) s
S: NP
h: pron
I
V: VP
mv: pv
’m
CS : AdjP
premod: adv
very
h: adj
eager
postmod: attr to-inf cl
S: NP
V: VP
Od : NP
subj mark: subj mark
for
h: pn
Jack
inf mark: inf mark
to
mv: fv
meet
h: pron
her.
7.4 Bare Infinitive Clauses The bare infinitive clause (bare inf cl) is the fourth and last type of the non-finite clauses. It can be used as an adverbial bare infinitive clause (adv bare inf cl) as in (55) or as a nominal bare infinitive clause (nom bare inf cl) as in (56). In some cases, it can come with a notional subject as in (55), but in others, it is subjectless as in (56) (CGEL 993, 14.6): 1
208
7 Non-Finite Clauses and Verbless Clauses
(55)
Rather than you do the job, I’d prefer to finish it […].
(56)
All I did was hit him on the head.
Sentence (55) also shows that an adv bare inf cl is introduced by a subordi‐ nator, viz. either by rather than or sooner than (CGEL 1003, 14.16). Below is an analysis of sentence (55), containing an adv bare inf cl with a notional subject that is introduced by a subordinator: (55) s
A: adv bare inf cl
sub: sub conj
Rather than
S: NP
h: pron
you
V: VP
mv: pv
do
Od : NP
dtm: det
the
h: n
job,
S: NP
h: pron
I
V: VP
aux v: mod aux
’d
mv: fv
prefer
Od : nom to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
finish
h: pron
it.
According to the CGEL (993, 14.6), the nom bare inf (clause) appears in pseudo-cleft sentences (see Chapter 10.3) whenever to, which is not obligatory, is left out. This is shown in example (57) What they did was (to) dig a shallow channel around the tent., which is analyzed in full below:
7.4 Bare Infinitive Clauses
209
(57) s
S: nom rel cl
V: VP
Od : NP
h: pron
What
S: NP
h: pron
they
V: VP
mv: pv
did
mv: pv
CS : nom bare inf cl
was V: VP Od : NP
A: PP
dig
mv: fv dtm: det
a
premod: adj
shallow
h: n
channel
prep: prep prepC: NP
around dtm: det
the
h: n
tent.
As can be seen in Table 10, bare infinitive clauses are always subordinate and may only take on four functions in a complex sentence (CGEL 1067, 15.15), three of which occur in nominal slots and one in an adverbial (CGEL 1004, 14.16; 1202, 16.49). There are no attributive bare inf cl. function
type
example
S (in pseudo-cleft)
nom
(58)
Mow the lawn was what I did this afternoon.
CS
33
nom
(56)
All I did was hit him on the head.
CO34
nom
(59)
I heard someone slam the door.
A
adv
(60)
He paid the fine rather than appeal to a higher court.
Table 10: The syntactic functions of subordinate bare infinitive clauses with examples
33 34
The CS can also be part of a pseudo-cleft construction as shown in sentence (57). 1 Again, we are confronted with a complex-transitive construction. Detailed explanations about these constructions can be found in Section 7.6.2.
210
7 Non-Finite Clauses and Verbless Clauses
7.5 Verbless Clauses The verbless clause (vless cl) is neither a finite nor a non-finite clause but a third type. Verbless cl, which can be nominal or adverbial subordinate clauses, do not have a verb and can take on the following syntactic functions in Table 11 below (based on CGEL 1068, 15.16; 489, 8.13): function
type
example
S
nom
(61)
Wall-to-wall carpets in every room is their dream.
CS
nom
(62)
A friend in need is a friend indeed.
A
adv
(63)
She telephoned though obviously ill.
Table 11: The syntactic functions of verbless clauses with examples
There are no notional subjects in nom vless cl. Similar to all other adverbial non-finite clauses discussed in this chapter, adv vless cl can also be intro‐ duced by a subordinator like when, as soon as, though, with or without (CGEL 1079, 15.25; 1097, 15.39; 1003, 14.15) as in example (63). Sentences (64) and (66) feature an adv vless cl without a subordinator. When a notional subject is present, the internal structure of an adv vless cl is strictly limited to SCS and SA patterns as in (64) and (66). The adv vless cl in sentences (65) and (67) are skeletal, as they only consist of subordinators followed by a CS and an A, respectively (CGEL 996, 14.9):35 (64)
He looked remarkably well, his skin clear and smooth. →
(65)
Though somewhat edgy, she said she would stay a little longer. →
(66)
A: adv vless cl (sub + CS), with subordinator
Mavis sat in the front seat, her hands in her lap. →
35
A: adv vless cl (SCS), without subordinator
A: adv vless cl (SA), without subordinator
You are familiar with the SVCS- and SVA-structures of clauses and sentences. In verbless clauses, a verb is obviously missing and sometimes even a subject, which is why these structures only consist of (S)CS and (S)A.
7.5 Verbless Clauses
(67)
While at college, he was a prominent member of the dramatic society. →
A: adv vless cl (sub + A), with subordinator
The limited amount of syntactic functions and the absence of a verb makes vless cl look like NPs. Due to their semantics and structure, however, the CGEL insists on their interpretation as clauses. The explanations on why and how vless clauses are to be differentiated from NPs, however, are sometimes unconvincing. The CGEL provides the following examples for vless cl: (62)
A friend in need is a friend indeed.
(61)
Wall-to-wall carpets in every room is their dream.
(68)
Are bicycles wise in heavy traffic?
There are some features that make it clear that these clauses cannot be simple NPs. A first clue is that they can be paraphrased with a corresponding nominal non-finite clause. Compare: (62a) To be a friend in need is to be a friend indeed. → nom to-inf cl (61a) Having wall-to-wall carpets in every room is their dream. → nom -ing-part cl (68a) Is it wise to have bicycles in heavy traffic? 36 → nom to-inf cl
In (62), the PP in need does not really postmodify the NP-head due to its semantic properties. The proverb roughly means ‘Friendship in a time of need is indeed friendship’. If we were to analyze the PP as a NP-head postmod, the NP would then mean ‘a friend who is in need’. This does not semantically correspond with the sentence. The same is true for a friend indeed; therefore, a friend in need and a friend indeed are vless cl. If wall-to-wall carpets in every room in (61) was a simple NP, the plural head carpets would require the superordinate verb to also be in the plural form, are. However, the singular form is used. This indicates the presence of a vless cl instead of a simple NP. 36
As you will read in Chapter 10.4, this construction is a case of extraposition. We need a dummy it because the sentence Is to have bicycles in heavy traffic wise? is not possible. For this reason, the it belongs to the underlined construction.
211
212
7 Non-Finite Clauses and Verbless Clauses
In (68), “semantic restrictions […] make it anomalous to combine the noun-phrase head bicycles as subject with the […] adjective wise” since wise is not an adjective that can be attributed to bicycles. Bicycles are not wise. The adjective wise rather refers to the idea of having bicycles in heavy traffic and therefore points to the underlying clause to have bicycles in heavy traffic as in (68a). In some cases, it may be possible to find a phrasal solution after all. The CGEL (424, 7.27) states that “[a]djectives can function as the sole realization of a verbless clause […] or as the head of an adjective phrase realizing the clause.” In other words, AdjP can be seen as shortened versions of vless cl and what could be seen as a clause can be analyzed as a phrase. This is certainly true for sentence (69) Unhappy with the result, she returned to work. (ibid.), which contains a short clause that can therefore be treated either as a vless cl or as an AdjP. This is not possible in sentence (63) She telephoned though obviously ill. Here, we have to stick to the clausal solution because the underlined part is introduced by a subordinator, which only occurs in clauses and never in phrases.37 We conclude this section with a complete analysis of the adv vless cl from sentence (63)38 and contrast it with clausal (69a) and phrasal (69b) solutions of sentence (69): (63) s
S: NP
h: pron
She
V: VP
mv: fv
telephoned
A: adv vless cl
sub: sub conj CS : AdjP
37
38
though premod: adv
obviously
h: adj
ill.
Since there is such a fine line when deciding whether a phrasal solution is possible or not, it is very likely that in exam contexts both solutions will be valid. This is not the case if semantic ambiguities, problems related to verbal concord or the presence of a subordinator clearly point to a clausal solution. You might, however, earn some extra points by addressing the problem. A comment on the analysis: If you feel unsure about the CS function in this analysis, take a look at sentence (65) again.
7.5 Verbless Clauses
213
(69a) s
A: adv vless cl
CS : AdjP
h: adj
Unhappy
postmod: PP
prep: prep
with
prepC: NP
dtm: det
the
h: n
result,
h: pron
she
V: VP
mv: fv
returned
A: PP
prep: prep
to
prepC: n
work.
S: NP
(69b) s
A: AdjP
h: adj postmod: PP
Unhappy prep: prep prepC: NP
with dtm: det
the
h: n
result,
S: NP
h: pron
she
V: VP
mv: fv
returned
A: PP
prep: prep
to
prepC: n
work.
Table 12 offers a summary of all the non-finite clauses discussed in this chapter, focusing on the possibility (!) of a)
each clause type having a notional subject,
b)
the notional subject being introduced by a preposition,
c)
the subordinate non-finite clause being introduced by a sub conj.
1
7 Non-Finite Clauses and Verbless Clauses
214
clause type
a) with notional subject?
b) prep + notional subject?
c) sub conj in subordinate clause?
nom -ing-part cl
✓
They liked us singing.
✕
✕
adv -ing-part cl
✓
No further discussion arising, the meeting was brought to a close.
✕
✓
attr -ing-part cl
✕
---39
---
nom -ed-part cl
✕
---
---
adv -ed-part cl
✓
✕
✓
attr -ed-part cl
✕
---
---
nom to-inf cl
✓
✓
✕
adv to-inf ✓ cl
✓ For you to be eligible for a student grant, your parents must receive […] a stipulated annual in‐ come.
✓
attr to-inf cl
The man for you to see is Mr Johnson.
✓
✕
---
---
✕
✓
✓
Lunch finished, the guests retired to the lounge.
For your country to be neutral in this conflict is out of the question.
nom bare ✕ inf cl adv bare inf cl
39
✓
Rather than you do the job, I’d prefer to finish it […].
When driving at high speed, one may well miss direction signs.
The sentence is ambig‐ uous if taken out of context.
In order for you to be eligible for a stu‐ dent grant, your pa‐ rents must receive […] a stipulated annual in‐ come.
Rather than you do the job, I’d prefer to fin‐ ish it […].
We put a dash here rather than an X because a preposition is not even an option since there is no notional subject.
7.6 Tricky Business
nom vless cl
✕
adv vless cl
✓
215
He looked remarkably well, his skin clear and smooth.
---
---
✕
✓
Though somewhat edgy, she said she would stay a little lon‐ ger.
Table 12: A summary of the occurrence of notional subjects (partly introduced by a prep or sub conj) in non-finite clauses
7.6 Tricky Business In the final section of this chapter, we will take a look at tricky aspects of non-finite clauses and try to find answers to the following questions: 1. How do I analyze an -ing-, -ed- or to-infinitive form that follows a catenative verb? 2. How do I analyze a sentence like I caught Ann reading my diary.? Does this sentence have SVOd, SVOiOd, SVOdCO or SVOdA structure? 7.6.1 Catenative Verbs and Non-Finite Forms
In Chapter 4.1.3, we first talked about catenative verbs. These verbs can be found in combination with -ing- and -ed-participles or with to-infinitives.40 Compare: (70)
The girl kept (on) working.
(71)
Our team got beaten.
(72)
Sam appeared to realize the importance of the problem.
The syntactic analysis of sentences in which a participle or to-infinitive fol‐ lows a catenative verb can be rather complicated. Catenative verbs “resemble
40
These constructions should be distinguished from those with a full verb (function: main verb) complemented either by a nom -ing- or nom -ed-part cl (function: Od) as in The girl liked working. They should not be confused with constructions that have an -ingor -ed-form as an adjective (function: CS) as in Our team looked beaten. (CGEL 147, 3.49).
216
7 Non-Finite Clauses and Verbless Clauses
the auxiliary be in combining either with the -ing[-]participle in progressive constructions, or with the -ed[-]participle in passive constructions” (CGEL 146, 3.49). So we can analyze the combination of a catenative verb + a participle as a regular VP as shown in (70) below (corresponding to the analysis proposed in Chapter 4.1.3): (70) s
S: NP
V: VP
dtm: det
The
h: n
girl
aux v: cat v
kept (on)
mv: fv
working.
The same issue arises when coming across verbs which may “seem close to being […] catenatives” (CGEL 506, 8.28; 1126, 15.62) and describe a position or movement as in (73) He stood waiting. and (74) She came running. Catenative verbs in combination with to-infinitives as in sentence (72) also behave like auxiliaries (CGEL 146, 3.49), resulting in an analysis similar to (70) above. This analysis interprets the to as no longer belonging to the infinitive. To changes from an inf mark within a to-inf cl to part of the cat v. This also explains the underlined portions in (the not yet analyzed) sentence (72) above. (72) s
S: NP
h: pn
Sam
V: VP
aux v: cat v
appeared to
mv: fv
realize
Od : NP
dtm: det
the
h: n
importance
postmod: PP
prep: prep prepC: NP
1
of dtm: det
the
h: n
problem.
7.6 Tricky Business
217
7.6.2 Gradience in Non-Finite Clauses
One issue we have only mentioned briefly is the gradience in non-finite clauses (see Tables 3, 6, 8, and 10). Gradience refers to the degrees of semantic and syntactic ambiguity some sentences with non-finite clauses possess that lead to multiple analyses (CGEL 1216–1219, 16.64–66). This is due to the “superficially identical structures” of these sentences (ibid.)41 as illustrated below: (75)
(76)
Jack
hates
her
missing
the train.
NP1
VP1
NP2
VP2-ing
NP3
I
caught
Ann
reading
my diary.
The surface structures of (75) and (76) are the same, but their syntactic structures differ. In sentence (75), we are dealing with a monotransitive construction with NP2, her, the notional subject of the subordinate nom -ing-part cl. Therefore, her missing the train is one chunk, which functions as the Od of the sentence. This corresponds to structure (a) in Figure 2 below. In sentence (76), we are faced with a complex-transitive construction (CGEL 1195, 16.43) with NP2 by itself as the Od of the superordinate clause; the non-finite clause is a separate sentence constituent. This is portrayed in structure (b) in Figure 2. (a)
S
V
S S
NP1
(b)
VP1
NP2
V VP2-ing
V
O
O NP3
NP1
VP1
NP2
V
O
VP2-ing
NP3
Figure 2: Monotransitive (a) and complex-transitive (b) sentence structures with -ing-par‐ ticiple clauses (CGEL 1217, 16.64, slightly adapted)
41
These constructions are possible with all types of non-finite clauses. Since their analyses do not differ, we will only concentrate on -ing-part clauses in our explanation.
218
7 Non-Finite Clauses and Verbless Clauses
Let us take a closer look at the complex-transitive structure (b). Here, NP2 functions semantically as the notional subject of the subordinate clause, but “syntactically it is ‘raised’ from the non[-]finite clause to function as [the] object of the superordinate” clause, which is why it is termed a raised object (CGEL 1202, 16.49). Therefore, the non-finite clause in a complex-transitive construction is structurally “subjectless.” In (76), Ann is the raised object since it is the semantic subject of the non-finite clause Ann is reading my diary. Ann also functions as the Od of the superordinate clause I caught Ann. As outlined in Table 13, these complex-transitive constructions are possible with all four types of nominal (!) non-finite clauses (ibid.): clause type
example
nom -ing-part cl
(76)
I caught Ann reading my diary.
nom -ed-part cl
(77)
We saw him beaten by the World Heavyweight Cham‐ pion.
nom to-inf cl
(46)
They knew him to be a spy.
nom bare inf cl
(59)
I heard someone slam the door.
Table 13: Complex-transitive constructions with non-finite clauses (CGEL 1202, 16.49)
Unfortunately, there is no sharp boundary between monotransitive con‐ structions (a), i.e. those with notional subjects like (75), and complex-tran‐ sitive constructions (b), i.e. those with raised objects like (76). For this reason, a gradience exists between the two: NP2 and the following non-finite clause are somewhere in between being one sentence element and two sentence elements. In other words, one end of the gradience is a non-finite clause with a notional subject as one unit that functions as a Od, versus the opposite end where a Od is followed by an CO (CGEL 1216–1219, 16.64–16.66). Our vague phrasing is the direct consequence of the lack of specificity on this topic in the CGEL. Quirk et al. call these constructions complex-transitive – which is a major clue that rules out the SVOiOd pattern right away. Still, they never indicate which of the two complex-transitive types, SVOdCO or SVOdA, apply to such sentences. SVOdCO is the most likely option. The more unlikely option, SVOdA structure in a complex-transitive construction, will be discussed at the end of this section. Despite the gradience between monotransitive and complex-transitive constructions, there are a few tests (CGEL 1186, 16.36; 1203, 16.49; 1206,
7.6 Tricky Business
219
16.53) that can help you determine which analysis of NP2 (and the following non-finite clause) is the most plausible choice. These tests are listed in Figure 3. Test 6 can be remembered easily and yields rather clear results: NP2 is the notional subject of the non-finite clause if … test 1 … NP2 and the following clause can together be replaced by the pronoun it. ✓
Jack hates her missing the train.
→
Jack hates it.
✕
I caught Ann reading my di‐ ary.
→
*I caught it.
test 2 … NP2 and the following clause can be replaced by a NP that serves as their nominalization. ✓
He likes her visiting fre‐ quently.
→
He likes her frequent visits.
✕
I caught Ann reading my di‐ ary.
→
*I caught Ann’s reading of my diary.
test 3 … NP2 and the following clause can be made the focus of a pseudo-cleft clause. ✓
Jack hates her missing the train.
→
What Jack hates is her missing the train.
✕
I caught Ann reading my di‐ ary.
→
*What I caught was Ann read‐ ing my diary.
test 4 … NP2 has a genitive or possessive form or can be replaced by a genitive or possessive form. ✓
Jack hates her missing the train.
✕
I caught Ann reading my di‐ ary.
→
*I caught Ann’s reading my diary.
test 5 … NP2 CANNOT become the subject of the passive sentence.42 ✓
42
Jack hates her missing the train.
→
*Her was hated missing the train by Jack.
The passive test may fail when used on constructions with -ed-participles since there may not be a possible passive or “at best, the passive is dubious” (CGEL 1207, 16.54).
220
7 Non-Finite Clauses and Verbless Clauses
✕
I caught Ann reading my di‐ ary.
→
Ann was caught reading my diary by me.
test 6 … the following clause CANNOT be omitted without radically changing the meaning. ✓
Jack hates her missing the train.
≠
✕
I caught Ann reading my di‐ ary.
=
Jack hates her. I caught Ann.
Figure 3: Tests to determine the status of NP2
The final problem in connection with the complex-transitive construction is the choice between the two possible sentence patterns SVOdCo and SVOdA (CGEL 1195, 16.43). If we assume that an A is more flexible regarding its position in a sentence than an CO, we can apply the rearrangement-test (see Chapter 1.2) to see if an element is an adverbial. When comparing (76) and (76a), it becomes clear that the non-finite clause is probably not an A because the rearrangement leads to confusion as to who or what functions as the subject of the non-finite clause and may drastically change the meaning. Compare: (76)
I caught Ann reading my diary.
→ Ann is reading the diary.
≠ (76a) Reading my diary, I caught Ann.
→ I am reading my diary.
(attachment rule)
The information transmitted in the non-finite clause of (76) is also too central to be reduced to the status of an adverbial. A copular relationship between NP2 and the non-finite clause is clearly identifiable, which suggests an CO function. For these reasons, we recommend treating this kind of non-finite clause as an CO. Although we already presented this decision earlier in Tables 3, 6, 8 and 10, we are fully aware that we cannot provide any kind of explicit
7.6 Tricky Business
221
backup from the CGEL.43 Here is a complete syntactic analysis of example sentence (76). (76) s
S: NP
h: pron
I
V: VP
mv: fv
caught
Od : NP
h: pn
CO : nom -ing-part cl
Ann V: VP
mv: fv
Od : NP
reading
dtm: det
my
h: n
diary.
To sum up, we offer a graphic depiction of the thoughts and analytical steps presented in this section to guide your decision-making process. To illustrate this process, we will include two more sentences taken from the CGEL (1206, 16.53): (78)
I saw him lying on the beach.
(79)
I hate my friends leaving early.
1. monotransitive or complex-transitive constructions? I saw him lying on the beach. = I saw him. ≠ I saw it.
I hate my friends leaving early. ≠ I hate my friends. = I hate it.
→ two separate constituents → complex-transitive construction (him = raised object)
→ one constituent → monotransitive construction (my friends = notional subject)
2. for complex-transitive constructions: SVOdCO or SVOdA? ✕
43
I saw him lying on the beach.
SVOdA
Whether you decide on the CO as we suggest or the A, a brief comment on the vague portrayal of these constructions in the CGEL could be an asset on an exam. 1
222
7 Non-Finite Clauses and Verbless Clauses
≠ Lying on the beach, I saw him. ✓
I saw him lying on the beach. = I saw him when he was lying on the beach.
SVOdCO
Figure 4: Tests to distinguish monotransitive and complex-transitive constructions
8 Appositions Franziska Kirchhoff This chapter aims at explaining the concept of apposition, which is found mostly within noun phrases. It furthermore gives detailed instructions on how to spot appositions and deal with them in an analysis. 8.1 Definition and Terminology An apposition is most typically a construction within a noun phrase (NP)1 which is composed of a head and a2 modifier (most often the postmodifier) signifying the same referent. This modifier is in apposition with the head (= in a copular relation) (CGEL 1300–1302, 17.65)3 and should be labeled as a special type of modifier on the functional level of analysis: such modifiers can always be labeled pre- or postmodifier, but sometimes it is even more precise to call them appositives or appositive modifiers in which case we recommend labeling them as an appositive premodifier, abbreviated premod (appos), or appositive postmodifier, postmod (appos) for short. Modifiers are analyzed as appositive modifiers whenever there is a copular relation between them and the head as in example (1). (1)
Anna, my best friend, was here.
To be in a copular and therefore appositive relation means that the two constituents (a head and a modifier) must either have an identical referent or “the reference of one must be included in the reference of the other” (CGEL 1301, 17.65). The simplest way of deciding whether such a copular relation exists is to check whether be can be used to connect the constituents in 1 2 3
One of the rare examples for apposition within other phrases – illustrated in an AdjP – can be seen in 8.2.1, example (5). Multiple modifiers are also possible, but rare – see example (24) in 8.4.2. The CGEL is not clear about whether an apposition is a type of modification or whether it is sometimes used instead of modification (compare 1238–1239, 17.2 and 1282, 17.44). We define it as a special type of modification.
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question (CGEL 1261, 17.26) in a sense of is equal to, or in less clear cases, is part of. In the case of example (1), this test results in (1a), clearly showing that Anna and my best friend must be in apposition. (1a)
Anna is (equal to) my best friend.
In contrast to other cases of modification, in an apposition it is not always clear which of the constituents is the head and which is the modifier. For this reason, we need to determine which of the two elements is ‘the defined’ and which is ‘the defining’. In most cases, this question can be answered by finding out which of the two potential appositives can be omitted without creating either syntactic or semantic problems (CGEL 1305, 17.69). In example (1), both Anna was here. and My best friend was here. work syntactically and semantically. The punctuation (two commas), however, shows us that this is a non-restrictive4 apposition, meaning that my best friend is only added information to the head Anna without further restricting it. Generally, in a nonrestrictive apposition, the first appositive is the defined (and thus labeled head) and the second is the defining (labeled appositive postmodifier) (CGEL 1304, 17.68). Thus, Anna must be considered the head of the NP Anna, my best friend, and my best friend is only postmodifying this head in an appositive way, resulting in the following complete analysis of sentence (1): (1) s
S: NP
h: pn postmod (appos): NP
V: VP A: AdvP
4
mv: pv h: adv
Anna, dtm: det
my
premod: adj
best
h: n
friend, was here.
We have already used the distinction between restrictive/non-restrictive (or defining/ non-defining) in our discussion of attributive relative clauses (see Chapter 6.4). Since the concept is absolutely parallel when applied to appositives, it will not be discussed any further here. After all, it is not even necessary for your analysis. This also holds for the distinction between strict/weak, full/partial apposition also detailed in the CGEL (1320–1304, 17.66–17.68).
8.2 Different Forms of Apposition
The steps you need to keep in mind to successfully analyze a case of apposition are summarized in this checklist: Checklist: Is it a case of apposition? ■
First, check whether the two constituents are in a copular relation by trying to connect them with be. ■ Then, find out which of these constituents is the defined, i.e. the head, and label the other one pre- or postmod (appos).
8.2 Different Forms of Apposition Appositive modifiers can occur in many different forms, which is why memorizing all the forms that could possibly fulfill their function is not helpful when trying to spot a case of apposition in a sentence. The following lists are therefore not meant to be exhaustive but instead mention the most common forms of apposition with their respective indicators. This should help you spot an apposition in classical cases. The less obvious cases will be dealt with in the Tricky Business Section (8.4). 8.2.1 Phrasal Apposition
When the defining element in an apposition is a phrase, it is almost always a NP. This is called phrasal apposition. In contrast, clausal apposition is far less common (see 8.2.2). Thus, NP constructions will take center stage in this section. Further examples of phrasal apposition other than NPs are also shown in Table 1.5 In order to highlight the apposition, we underlined the head of the phrase and the appositive modifier within it.
5
The apposition in form of an AdjP will be analyzed at the end of this section, while the PP example can be found again in 8.4.1.
225
226
8 Appositions
form of the appositive
example
NP
(2) (3)
Theseus, a Greek hero, killed the Minotaur. My friend Anna was here last night.
PP
(4)
The question (,) of student grants (,) was discussed yesterday.
AdjP
(5)
He was exceedingly inebriated – hopelessly drunk, in other words.
Table 1: Some examples of phrases functioning as appositive postmodifiers taken from the CGEL
When you come across a NP that postmodifies the head of a superordinate NP, this postmodifying NP is most likely a case of apposition and must then be labeled postmod (appos). NPs that appear as premodifiers of a NP head, however, can either be a regular premodifier (then labeled premod) as in his life story (CGEL 1330, 17.104) or an appositive premodifier (then labeled premod (appos)) as in FBI Chief J. Edgar Hoover (CGEL 276, 5.42).6 Either way – with postmodifiers as well as premodifiers –, you can be certain about their appositive nature by checking for a copular relation. Ambiguity can arise when it comes to proper nouns. The CGEL uses the term appositives both for geographical names and names of specific individuals – as soon as they contain two constituents that are in a copular relation, like “President Kennedy” (CGEL 1319, 17.91) or “Mount Everest” (CGEL 1317, 17.89). Although we do not deny the appropriateness of such labeling, we suggest analyzing these as proper nouns for reasons of simplicity. This seems particularly reasonable when both words are spelled with capital letters as in the two examples given. As touched upon before, the only difficulty with appositive modifiers in the form of a NP arises when deciding which of the two nouns is the head of the superordinate NP and which is the head of the modifying NP. For this distinction you can use the explanation from 8.1. Still, very often, both options are possible. Compare examples (2) and (3) from Table 1:
6
For more details on nouns as premodifiers see Chapter 2.6.1.
8.2 Different Forms of Apposition
227
(2)
Theseus, a Greek hero, killed the Minotaur.
(3)
My friend Anna was here last night.
Example (2) clearly demonstrates an appositive postmodifier, as the punc‐ tuation points to a nonrestrictive apposition (CGEL 290, 5.64). Example (3), however, is less obvious. While the fact that Anna was here last night. can stand on its own shows that My friend can be analyzed as the appositive premodifier, the sentence is as equally acceptable as My friend was here last night, so that an analysis of Anna as the appositive postmodifier is also just as acceptable. Table 2 summarizes the options of analysis for sentences (2) and (3), thus foreshadowing the complete analyses of the two basic options, i.e. involving a premod (appos) or a postmod (appos). S: NP premod (appos): NP (2) (3) (3a)
My friend
V: VP
rest
h: (p)n
postmod (appos): NP
…
…
Theseus
, a Greek hero,
killed
the Mino‐ taur.
was
here last night.
was
here last night.
Anna (My) 7 friend
Anna
Table 2: Overview of premodifying and postmodifying appositive NPs
Here are the complete analyses for sentences (2) and (3):8
7 8
The parentheses point to the fact that My is not part of the head, but would be labeled dtm: det before the head in this analysis. A comment on the analysis: As visible in Table 2, sentence (3) can also be analyzed with a postmod (appos). The analysis then follows the same structure as the analysis of sentence (2).
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8 Appositions
(2) s
S: NP
h: pn
Theseus,
postmod (appos): NP
V: VP Od : NP
dtm: det
a
premod: adj
Greek
h: n
hero,
mv: fv
killed
dtm: det
the
h: pn
Minotaur.
(3) s
S: NP
V: VP A: AdvP A: NP
premod (appos): NP
dtm: det
My
head: n
friend
h: pn
Anna
mv: pv
was
h: adv
here
dtm: det
last
h: n
night.
Finally, one rare example of an apposition within an AdjP will be shown. Example (5) from Table 1 above shows a structure in which an AdjP (hopelessly drunk …words) postmodifies the head of the superordinate AdjP (inebriated). (5)
He was exceedingly inebriated – hopelessly drunk, in other words.
Our standard test for a copular relation clearly shows that inebriated is (equal to) hopelessly drunk. Furthermore, in other words is one of the clearest
1
8.2 Different Forms of Apposition
229
indicators of apposition (ind appos for short), as will be elaborated on in Section 8.3. We suggest9 the following analysis: (5) s
S: NP
h: pron
He
V: VP
mv: pv
was
CS : AdjP
premod: adv
exceedingly
h: adj
inebriated -
postmod (appos): AdjP
premod: adv
hopelessly
h: adj
drunk,
ind appos: ind appos
in other words.
8.2.2 Clausal Apposition
An appositive modifier does not have to be a phrase (e.g. NP), as shown in 8.2.1, but can also be a clause. Example (6) shows an attributive that-clause functioning as an appositive postmodifier. (6)
Your criticism, that no account has been taken of psychological factors, is fully justified.
This calls for some elaborations on the term appositive clause as introduced by the CGEL (1260–1262, 17.26–27). Even though the CGEL only describes a certain type of that-clause in its ‘Appositive clauses’ section, many embed‐ ded clauses can, in fact, function as appositive modifiers (e.g. that-clauses, wh-clauses, to-infinitive clauses, etc., see Chapters 6 and 7). In order to avoid confusion, we deviate from the CGEL in this case and do not use the term appositive clause the way they do: Whenever the form of a clause in apposi‐ tion is described, the precise clause names as introduced in previous chapters (e.g. attributive that-clause, attributive wh-clause, attributive to-infinitive clause, etc.) are used. The term appositive clause, which never actually shows up in any of our analyses, only comes in handy to point to the fact that 9
The CGEL calls this structure “close to the appositive,” as it reformulates instead of adding information (CGEL 638, 8.141). 1
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the appositive postmodifier is a clause and not a phrase. This strategy is mirrored in the analysis of sentence (7) below. As an apposition just about always occurs within noun phrases, the clause which realizes the function of an appositive modifier is then always embedded within that NP. This also means that only those clause types which can be used in embedding qualify as appositive clauses. Table 3 shows some of the more common examples of appositive clauses. finite clauses
nonfinite clauses
attributive that-clauses
(7)
The belief that no one is infallible is well-founded.
attributive wh-clauses
(8)
Your original question, why he did not report it to the police earlier, has not yet been answered.
(nominal) relative clau‐ ses (in rare cases)
(9)
I’ll pay you the whole debt: what I originally borrowed and what I owe you in interest.
attributive to-infinitive clauses
(10)
This appeal, to visit him, was sent.
attributive -ing-partici‐ ple clauses
(11)
I’m looking for a job driving cars.
Table 3: Examples of different forms of appositive clauses taken from the CGEL
Clausal appositives are most commonly attributive that-clauses. Also note that an attributive that-clause is always appositive. Just as with any apposi‐ tion, a clause beginning with that within a NP can be checked on apposition by testing a potential copular relation with be. Take a look at examples (7), (12) and (13) of which only two contain appositives: (7)
The belief that no one is infallible is well-founded.
(12)
There’s a table that stands in the corner.
(13)
He heard the news that his team had won.
Testing all three examples on a copular relation with be leads to:
8.2 Different Forms of Apposition
(7a)
231
the belief is that no one is infallible
(12a) *a table is that stands in the corner (13a) the news was that his team had won
Thus, it is apparent that examples (7) and (13) but not (12) contain attributive that-clauses which function as appositive postmodifiers. In addition to this copular link, these clauses also follow a special type of NP head which “must be a general abstract noun such as fact, idea, proposition, reply, remark, answer, and the like” (CGEL 1260, 17.26, see Chapter 6.3). Thus, it can help to look out for such nouns when trying to correctly identify an apposition. The NP heads in examples (7) and (13), belief and news, respectively, clearly belong to this type. Consequently, the full analysis of (7) is as follows: (7) s
S: NP
dtm: det
The
h: n
belief
postmod (appos): attr that-cl
sub: sub conj S: NP
h: pron
no one
V: VP
mv: pv
is
CS : AdjP V: VP CS : AdjP
mv: pv h: adj
that
h: adj
infallible is well-founded.
Example (12), on the other hand, is not a case of apposition, as it is not even an attributive that-clause but a defining relative clause, despite resembling the attributive that-clause (see Chapter 6.3 and 6.4). So ruling out that an embedded clause starting with that is an attributive relative clause (by trying to replace that with a rel pron) may also prove helpful. If that test fails, you are clearly dealing with an attributive that-clause that functions as an appositive postmodifier.
232
8 Appositions
Note: Indicators for attributive that-clauses: ■ The head of the NP is an abstract noun such as fact, idea, belief, news, question, etc. ■ The head is followed by that as a subordinating conjunction (sub conj), which cannot be replaced by a relative pronoun such as which or who. As example (9) I’ll pay you the whole debt: what I originally borrowed and what I owe you in interest. (see Table 3) shows, nominal relative clauses can sometimes be used as appositives, although the CGEL usually refrains from calling relative clauses appositive. Indeed, example (9) with the NP head debt is the only example in which the CGEL clearly labels a (nominal!) relative clause appositive. The CGEL instead usually draws a clear line between sentences like (1) Anna, my best friend, was here. (CGEL 1301, 17.65, simplified) and sentences with attributive relative clauses like (1b) Anna, who is my best friend, was here. (CGEL 1301, 17.65, simplified). Thus, you are on the safe side by labeling attributive relative clauses like (1b) as simple postmodifiers. Other kinds of clauses functioning as appositive modifiers can be identi‐ fied and analyzed similarly, so that only one further sample analysis will be given: (10) s
S: NP
dtm: det
This
h: n
appeal,
postmod (appos): attr to-inf cl
V: VP
Od : NP V: VP
inf mark: inf mark
to
mv: fv
visit
h: pron
him,
aux v: pv
was
mv: fv
sent.
It should be emphasized again that not all examples presented here have to be analyzed as appositive modifiers in every exam context. The CGEL sets the ground for doing so in all the above examples, but in cases of doubt, it
8.3 Indicators of Apposition
233
is usually better to label a modifier as a regular one and only add a footnote pointing towards its appositive nature. 8.3 Indicators of Apposition There are a number of expressions that can function as indicators of apposition (ind appos).10 These indicators may occur at the beginning or the end of the appositive modifier. This section therefore aims to make you aware of these indicators and demonstrates how to analyze them. Some of the most common indicators of apposition are shown in Table 4 (adapted from CGEL 1307–1308, 17.73–17.74): ‘most appositive’
equivalence
that is to say, that is, ie., namely, viz in other words or, or rather, or better and
‘least appositive’
for example, for instance, eg., including, included inclusion
especially, particularly, in particular, mainly
Table 4: Examples of indicators of apposition
As indicated in Table 4, the CGEL arranges these indicators on a scale of how appositive certain constructions are. Thus, it should be questioned whether examples with indicators like especially or including should really be labeled as an apposition to begin with, or whether regular modification is more appropriate in such cases. Compare: (14)
My best friend, in other words Anna, was here last night.
(15)
Many people, including my sister, won’t forgive him.
In both examples, the indicator of apposition comes at the beginning of the (appositive) postmodifier. While example (14) clearly shows a copular
10
Note that the abbreviation ind appos is used both for function and form.
234
8 Appositions
relation (My best friend is Anna), this seems questionable for (15): *Many people is my sister. Therefore, we do not classify (15) as a case of apposition and suggest the corresponding analyses for these two sentences. Also note how to handle the indicator of apposition, which is, of course, only necessary in (14): (14) s
S: NP
dtm: det
My
premod: adj
best
h: n
friend,
postmod (appos): NP
V: VP A: AdvP A: NP
ind appos: ind appos
in other words
h: pn
Anna,
mv: pv
was
h: adv
here
dtm: det
last
h: n
night.
(15) s
S: NP
dtm: det
Many
h: n
people,
postmod: PP
prep: prep prepC: NP
V: VP
Od : NP
including dtm: det
my
h: n
sister,
aux v: mod aux
will
neg: neg part
not
mv: fv
forgive
h: pron
him.
An example for an indicator of apposition placed at the end of the appositive modifier can be seen in sentence (16) Dickens’s most productive period, the 1840s, that is, was a special time. and in the corresponding analysis.
1
8.4 Tricky Business
235
(16) s
S: NP
dtm: n premod: AdjP
Dickens’s premod: adv
most
h: adj
productive period,
h: n postmod (appos): NP
V: VP CS : NP
mv: pv
dtm: det
the
h: num
1840s,
ind appos: ind appos
that is, was
dtm: det
a
premod: adj
special
h: n
time.
But note that even the most typical indicators of apposition are no guarantee for the presence of an apposition, as can be seen in example (17) where in other words is used to indicate the reformulation of the whole sentence and rather not to introduce a case of apposition. (17)
She has applied for a transfer – she is tired of her present job, in other words.
8.4 Tricky Business This section takes a look at slightly more complicated cases of apposition and sentences roughly resembling apposition. 8.4.1 will help you figure out what to do with of-constructions like the city of Rome (CGEL 1284, 17.47). 8.4.2 sets out to distinguish coordination from apposition in constructions like (21) His aged servant and subsequent editor. (CGEL 761, 10.39, shortened). 8.4.1 The Appositive of-Phrase
There is an entire section in the CGEL about “Apposition with of-phrases” 1 (1284 f., 17.47), discussing examples like the city of Rome. This construction
236
8 Appositions
clearly differs from similar structures like the people of Rome (CGEL 1284, 17.47) because of the copular relation between the city and Rome. Our standard test for apposition (“The city (that I mean) is Rome.”) clearly supports an analysis of such of-phrases as an apposition. However, it remains unclear which of the two nouns functions as the head and which as its appositive modifier. Ideally, the of-PP realizes the appositive postmodifier, as in example (18). The question of student grants was discussed yesterday.
(18)
The concord of the verb was with the noun question, as opposed to student grants, which would call for a plural verb, makes it relatively clear that question must be the head of the NP. Consequently, of student grants must be the appositive postmodifier, as can be seen in the analysis of sentence (18).11 (18) s
S: NP
dtm: det
The
h: n
question
postmod (appos): PP
prep: prep prepC: NP
V: VP
A: AdvP
of premod: n
student
h: n
grants
aux v: pv
was
mv: fv
discussed
h: adv
yesterday.
However, in some cases, it would make much more sense to analyze the NP head of the prepositional complement (i.e. Rome in the city of Rome) as the head of the entire NP with the first noun (i.e. city) being an appositive premodifier. For some of the examples mentioned in the CGEL, like the fool of a policeman or her brute of a brother (1285, 17.47), the CGEL labels the second noun (policeman and brother, respectively) N1 and the first N2, which also hints at the fact that we are actually describing a policeman and
11
A comment on the analysis: student grants can alternatively be analyzed as a compound noun (see Chapter 2.6.1).
8.4 Tricky Business
237
a brother, respectively. Furthermore, the copular test in the CGEL results in “The policeman is a fool.” (1285, 17.47), as opposed to the original order in which fool comes first (the fool is a policeman), which does not seem to acknowledge the copular relation between the nouns correctly. These two points in addition to the fact that “the possessive determiner actually notionally determines N1, not N2: her brute of a brother [‘Her brother was a brute.’]” (CGEL 1285, 17.47), are reason enough to consider the prepositional complement as the head and the first noun as the appositive. However, there is a catch: This logic cannot be illustrated in a proper syntactic analysis, as sentence (19) Her brute of a brother came home. (CGEL 1285, 17.47, expanded) nicely shows. The analysis in (*19), which tries to mirror the semantic structure of the sentence, is seriously flawed. After all, a NP cannot possibly end on of a. (*19) s
S: NP
dtm: det premod (appos): NP
V: VP A: AdvP
Her h: n
brute
?: ?
of a
h: n
brother
mv: fv
came
h: adv
home.
Thus, whenever both nouns can be treated – at least syntactically – as the head of the NP, as in the city of Rome, an analysis similar to example (18) is preferred, resulting in the analysis in (19). You might want to add a footnote, though, pointing to the underlying semantic structure that cannot be shown by means of syntax.
238
8 Appositions
(19) s
S: NP
dtm: det
Her
h: n
brute
postmod (appos): PP
prep: prep prepC: NP
V: VP A: AdvP
of dtm: det
a
h: n
brother came
mv: fv h: adv
home.
8.4.2 Distinguishing Apposition from Coordination
As mentioned in Table 4 (Section 8.3), the coordinating conjunctions and and or can be indicative of an apposition in some cases. In fact, “[a]pposition resembles coordination” (CGEL 1301, 17.65), but luckily, whether multiple constituents connected by and or or really are in apposition can be deter‐ mined easily. Remember: Just check whether the constituents describe the same referent, e.g. by linking them with be. This works, for example, in sentence (20). (20)
This temple of ugliness and memorial to Victorian bad taste was erected.
Here, the temple is simultaneously the memorial. Also, a singular verb (was) is used, which points to the fact that there can only be one referent and not two. For this reason, we can rule out coordination (see Chapter 9) and analyze the sentence as follows:
1
8.4 Tricky Business
239
(20) s
S: NP
dtm: det
This
h: n
temple
postmod: PP
prep: prep
of
prepC: n
ugliness
postmod (appos): NP
ind appos: ind appos
and
h: n
memorial
postmod: PP
prep: prep prepC: NP
V: VP
to premod: adj
Victorian
premod: adj
bad
h: n
taste
aux v: pv
was
mv: fv
errected.
In some cases, however, it is not directly apparent whether the two constit‐ uents describe the same referent and, in such examples, it may help to analyze the verb. If a singular verb is used, then multiple constituents usually refer to one single person (or thing). Like in (20), those constituents are therefore in apposition. Compare the following: (21)
His aged servant and the subsequent editor of his collected papers was with him at his deathbed.
(22)
His aged servant and the subsequent editor of his collected papers were with him at his deathbed.
In (21), the use of the singular verb was indicates that his aged servant and the subsequent editor of his collected papers must be one and the same person. Thus, they are in apposition and one of them must be labeled an appositive modifier. In this example, either NP could be the modifier; so we can resort to the unproblematic and more common postmod (appos) solution. The word and as used in an apposition must thus be labeled ind appos. The same test reveals that in (22), we have a case of coordination with his aged servant and the subsequent editor of his collected papers being two different people. Note that checking the verb concord does not always help in determining whether an apposition is involved. 1This is especially the case when the
240
8 Appositions
verb already is in plural because of the existence of even more coordinated constituents, as can be seen in example (23) where my cousin and the housekeeper may or may not be in apposition. Only my cousin, the housekeeper, and Mrs Baldwin were in the house at the time of the burglary.
(23)
At last, a somewhat more complex example of apposition resembling coordination can be seen in (24) Anne Martin, star of the TV series and author of a well-known book, has resigned. where two postmodifiers are in apposition with the head Anne Martin. (24) s
S: NP
h: pn postmod (appos): NP
Anne Martin, star
h: n postmod: PP
prep: prep prepC: NP
postmod (appos): NP
dtm: det
the
premod: n
TV
h: n
series
ind appos: ind appos
and
h: n
author
postmod: PP
prep: prep prepC: NP
V: VP
of
of dtm: det
a
premod: adj
well-known
h: n
book,
aux v: pv
has
mv: fv
resigned.
With and only being an indicator of apposition of medium strength (see Table 4), sentence (24) can also be seen as containing only one appositive postmodifier (star of the TV series and author of a well-known book) which then contains coordination, which you can learn more about in the following Chapter 9.
9 Coordination Jenny Arendholz This chapter deals with various forms of coordination. First, we will intro‐ duce the underlying structure of coordination and the necessary terminol‐ ogy. Then, one central element, the coordinating conjunctions, will take center stage before all the possible types of coordination are listed. After that, two ways of analyzing coordination will be demonstrated, offering a basic blueprint for how to handle this structure. Coordination “has many variations and complications” and there is a lot of flexibility when it comes to the elements that can be coordinated, involving clauses, phrases and words. For this reason, only the most important, i.e. the most frequent cases can be discussed here in more detail. 9.1 Terminology and Basic Structures Let us consider the first example, sentence (1), in which the sentence-initial adverbial features a case of coordination: (1)
Slowly and stealthily, he crept towards his victim.
In (1), the coordination consists of three elements: the two coordinated items, called conjoins (conj), and the linking word and, called a coordinator 1 or coordinating conjunction (co conj). We can thus say that two (or more)2 conjoins (mostly) linked by a co conj form the larger construction that is known as a conjoint (CGEL 46, 2.10). It is also important to note that “conjoins of each construction are parallel to one another in meaning, function, and also (generally) in form” (CGEL 942, 13.43). This is summarized in Figure 1 and will be essential for analyses to come:
1 2
In the following, we will give preference to the term coordinator for brevity. Here is a rare and rather extreme example of a conjoint that has more than two immediate constituents (for a complete analysis see also Chapter 9.4): The colours of the rainbow are blue, green, yellow, orange, red, indigo, and violet. (CGEL 47, 2.10).
242
9 Coordination
slowly
conjoin 1
conj 1
and
coordinator
co conj
stealthily
conjoin 2
conj 2
}
conjoint
Figure 1: Basic structure and terminology of coordination
In coordination, units of the same rank are linked. In (1), slowly and stealthily are both adverbs and – taken together as a conjoint – function as one adverbial in the sentence. This underscores that in coordination, “the units are constituents at the same level of constituent structure, whereas in subordination they form a hierarchy, the subordinate unit being a constituent of the superordinate unit” (CGEL 918, 13.2). For this reason, coordination belongs to the syntactic arrangement of parataxis (“equal arrangement”), while subordination belongs to hypotaxis (“underneath arrangement”) (ibid.). Quirk et al. illustrate these two arrangements with the noun phrases reproduced (and slightly altered) in (2) and (3) (919, 13.2): (2)
his best and longest novel (= coordination, parataxis)
(3)
his hugely successful novel (= subordination, hypotaxis)
In (2), the coordinate adjective phrase best and longest functions as a premodifier of the NP head novel and in that NP, best and longest are equal constituents. Both are adjectives on the same level (parataxis) and both refer to the following head novel. In (3), however, the adverb hugely does not modify novel. First it modifies successful, then hugely and successful together modify novel. Thus, hugely and successful are not on the same level. Instead, there is a hierarchy in their relationship (hypotaxis) because the subordinate unit, the adverb hugely, is a constituent of the superordinate unit, the AdjP headed by successful (ibid.). These relations can be depicted visually in a partial syntactic analysis (Figure 2):
9.1 Terminology and Basic Structures
243
(2) [his [best and longest]coor AdjP novel]NP (3) [his [hugely successful]AdjP novel]NP (3)
(2) NP
dtm: det
his
premod: AdjP conjoint
best and longest
h: n
novel
NP
dtm: det premod: AdjP
his premod: adv
hugely
h: adj
successful
h: n
best and longest = paratactic relation
novel
hugely successful = hypotactic relation
Figure 2: Paratactic vs. hypotactic relations on a phrasal level
To illustrate the same difference on a clausal level, consider sentences (4) and (5): (4)
He has quarrelled with the chairman and has resigned. (= coordination, parataxis)
(4a)
He has quarrelled with the chairman and he has resigned.
(4b)
He has quarrelled with the chairman. He has resigned.
(5)
Since he quarrelled with the chairman, he has resigned. (= subordination, hypotaxis)
(5a)
*Since he quarrelled with the chairman. He has resigned.
(5b)
He quarrelled with the chairman. He has resigned.
In (4), the co conj and links two clausal conjoins, which is why the entire sentence is a conjoint. Both clauses are on the same syntactic level and could also be used independently as illustrated in (4b). In the intermediate step (4a), the subject is repeated, making (4) its elliptical version (see Section 9.4). (5) is a case of subordination in which the subordinate adverbial clause 1 introduced by the sub conj since is not on the same level as the main1 clause but is subordinate to it. Simply separating them as in (5a) is therefore impossible. Leaving out the sub conj, thus deleting the marker of the causal relationship between the two clauses, however, results in two acceptable sentences in (5b). It is interesting to note that the causal relationship is still expressed in (5b). It is also graspable in (4) and (4b), where the causal relationship is expressed by the co conj and and the linear arrangement of the
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sentence, respectively. If we look close enough, we see that there is actually only a fine line between (causal) meaning expressed by coordination or by subordination (CGEL 919, 13.3). It is thus logically consistent for the CGEL to talk about a “gradient between ‘pure’ coordinators and ‘pure’ subordinators” (920, 13.5), a train of thought which will be picked up again in Section 9.2. To conclude this section, Figure 3 offers rough, schematic analyses of sentences (4)3 and (5): (5) (4) He has quarrelled with the chairman and Since he quarrelled with the chairman, has resigned. he has resigned. (4) scomp
(5)
conj1 : cl1
S: NP... V: VP... A: PP...
s
sub: sub conj
Since
has quarreled
S: NP...
he
with the chairman
V: VP...
quarreled
A: PP...
with the chairman,
He
coord: co conj
and
conj2 : cl2
has resigned.
V: VP...
A: adv cl
S: NP...
he
V: VP...
has resigned.
two clauses in paratactic relation (same two clauses in hypotactic relation (one level) clause is part of the other, i.e. the entire sentence) Figure 3: Paratactic vs. hypotactic relations on a clausal level
9.2 Coordinators Coordination comes in two forms:4 syndetic and asyndetic coordination. In the former, coordination is “marked by overt signals of coordination (and, or, but), whereas asyndetic coordination is not overtly marked” (CGEL 918, 13.1). This is quite obvious in sentences (6) and (7) (ibid.): (6)
3 4
Slowly and stealthily, he crept towards his victim.
1
Note that we use the abbreviation Scomp to indicate a compound sentence. For explanations on polysyndetic coordination as in The wind roared, and the lightning flashed, and the sky was suddenly as dark as night., see CGEL 926–927, 13.17. 1
9.2 Coordinators
(7)
245
Slowly, stealthily, he crept towards his victim.
While we only see a comma in (7), coordination is explicitly marked in (6) with the coordinator and. However, (7) could easily be turned into syndetic coordination by inserting and, proving that (7) is, in fact, also a case of coordination. Since asyndetic coordination is “usually stylistically marked” (ibid.), we will deal with the more frequent type of syndetic coordination here and focus on the coordinators. There are three conjunctions that the CGEL clearly regards as coordina‐ tors: and, or and but, the first two being central coordinators (920, 13.5). There are also others which need to be placed on the aforementioned “gradient between ‘pure’ coordinators and ‘pure’ subordinators” (ibid.). The shortened version of the respective table in the CGEL (927, 13.18), which is a summary of the syntactic features of coordinators (CGEL 921–926, 13.6–13.16), is reproduced in Table 1: in between
coordinators and or = central coordinators
but
yet so nor
however therefore
subordinators for so that
if because
Table 1: The coordinator-subordinator gradient
Although Table 1 “demonstrates the absence of a clear divide between coordinators and other linking items” (CGEL 928, 13.19), we can still be sure that and and or always mark coordination, just as if and because always mark subordination. But is special insofar as it does not fulfill all the same criteria as the two central coordinators, such as linking more than two clauses. Still, but can be expected to be used in coordination frequently. However and therefore are less coordinator-like than yet, so and nor, which “in some respects resemble coordinators” (ibid.). For and so that “are shown to be subordinators rather than coordinators; and yet they are more coordinator-like than the more typical subordinators if and because” (ibid.) on the right end of the table. Words which “share some of the
246
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distinguishing features of coordinators” are called semi-coordinators5 (ibid.). In Table 1, this is true for the words in the two columns in the middle. Now that we have clarified the nature of coordinators, we can focus our attention on the special case of correlative coordinators or correlatives (CGEL 935–941, 13.33–13.42), which come in pairs and have already been mentioned in Chapter 3.6. We start with the reproduction of Table 7 from that section (called Table 2 in this chapter), which lists said pairs of correlative coordinators6 and gives one typical example for each (ibid.): (both) … and
(8) He has met (both) her mother and her father.
(either) … or
(9) He has met (either) her mother or her father.
neither … nor
(10) He has met neither her mother nor her father. 7
Table 2: Most typical correlative coordinating conjunctions
The first item in a correlative is called endorsing item and is sometimes op‐ tionally inserted for reinforcement (see parentheses in Table 2). The second one is the coordinator. Correlatives are also useful in distinguishing between segregatory and combinatory meaning (CGEL 953–957, 13.59–13.63). These terms point to semantic nuances which can impact the syntactic analysis, as we will show later in this chapter. The difference becomes obvious when comparing sentence (11) David and Joan got divorced., meaning ‘from each other’ (combinatory meaning), to (11a) Both David and Joan got divorced., meaning ‘not from each other’ (segregatory meaning) (CGEL 936, 13.35). Sentence (9) He has met (either) her mother or her father. is analyzed below, effectively as a first blueprint for sentences to come – regardless of whether they feature correlative pairs or not (see also Chapter 3.6, analysis (26)). If we only have a central co conj like or, we simply leave out the line with the endorsing item, here either.
5 6 7
Closely related to semi-coordinators are so-called quasi-coordinators, e.g. as well as, as much as, rather than, more than, which “behave sometimes like coordinators, and at other times like subordinators or prepositions” (CGEL 982, 13.103). A less typical correlative is not… but / not only… but as in He didn’t come to help, but to hinder us. (CGEL 940–941, 13.42). This construction is equivalent to He hasn’t met either her mother or her father. where the negation is already marked on the verb (CGEL 936, 13.33).
9.3 Types of Coordination
247
(9) s
S: NP
h: pron
He
V: VP
aux v: pv
has
mv: fv
met
Od : NP conjoint
coord: endorsing item
either
conj1 : NP1
dtm: det
her
h: n
mother or
coord: co conj conj2 : NP2
dtm: det
her
h: n
father.
For the time being, the analysis in (9) is supposed to show two things: where to put the terms introduced in 9.1 and how to deal with a correlative pair. The bold print in (9) indicates our suggested notational conventions. We can also see that the endorsing item is placed before and on the same level as the first conjoin and that the co conj is in between and also on the same level as both conjoins. To uphold the bipartite function/form structure for each level, we suggest including the function marker coord (for coordination) before the colon that precedes the endorsing item and the co conj (see also 9.4). 9.3 Types of Coordination Coordinators can be used to link complete independent clauses, such as (12) [The winter had come at last](,) and [snow lay thick on the ground]. (CGEL 946, 13.50). This is what sentence (12) looks like when analyzed completely:
1
248
9 Coordination
(12) scomp
conj1 : sentence1
S: NP
V: VP
A: PP
dtm: det
The
h: n
winter
aux v: pv
had
mv: fv
come
prep: prep
at
prepC: n
last
coord: co conj conj2 : sentence2
and S: NP
h: n
snow
V: VP
mv: fv
lay
CS : AdjP A: PP
h: adj
thick
prep: prep prepC: NP
on dtm: det
the
h: n
ground.
Of course, this is only the simplest case of coordination because all we actually do is analyze two sentences consecutively, putting markers of (the parts of) coordination first, including and. This also includes marking the compound sentence as such with Scomp to make explicit that (12) is, in fact, a type of coordination. We can complicate matters further by adding an A as in sentence (13) Yesterday [the sun was very warm] and [the ice melted]. (CGEL 950, 13.54). Quirk et al. state that this example “can reasonably be called coordination of clauses.” As indicated by the brackets, the sentence-initial A “stands outside the two conjoins, and its meaning applies simultaneously to both of them” (ibid.). Therefore, the structure is A [S V C] + [S V] – a pattern which corresponds to the most salient reading of sentences like this, but which is not applicable to (13a) or (13b): (13a) [Yesterday the sun was very warm] and [during the morning the ice melted]. (13b) [Yesterday the sun was very warm] and [the ice has melted]. 1
9.3 Types of Coordination
249
The analysis of (13a) differs from (13) because of “an adverbial of the same semantic class” in the second conjoin, which “limits the scope of the first adverbial” (ibid.). In (13b), the perfect aspect in the second conjoin indicates that yesterday can only belong to the first conjoin. Therefore, the analyses are [A S V C] + [A S V] for (13a) and [A S V C] + [S V] for (13b) (ibid.). In the following, we will present a number of tables. They will demon‐ strate that all kinds of elements that are parts of sentences can be linked and called coordination as well. The aim of this section is thus to give you an overview of all types of coordination so that you can master the first step of the analysis: correctly identifying the type of coordination. Section 9.4 will be dedicated to proposing analyses for selected sample sentences taken from this section. coordination of dependent clauses (CGEL 946, 13.50) examples
coordinated items FU: FO
a) finite clauses (14)
[If you pass the examination] and [(if) no one else applies,] you are bound to get the job.
A: adv cl conjoint
(15)
The Minister believes [that the economy is Od: nom that-cl conjoint improving,] and [(that) unemployment will soon decrease].
(16)
I didn’t know [who she was,] or [what she Od: nom wh-cl conjoint wanted].
(17)
Someone [who knows the area,] but [whose home is outside it,] is more likely to be a successful representative.
postmod: def rel cl conjoint
b) non-finite clauses (18)
I’ve asked him [to come this evening] or [(to) phone us tomorrow].
Od: nom to-inf cl conjoint
(19)
Samantha is fond of [working at night] and [getting up late in the morning].
prepC: attr -ing-part cl con‐ joint
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9 Coordination
(20)
All the villagers helped to rebuild the houses postmod: attr -ed-part cl con‐ [damaged by the storm] or [waded away joint by the floods].
c) verbless clauses (21)
[With George ill] and [(with) the chil‐ dren at home,] Jenny is finding life very difficult.
A: verbless cl conjoint
Table 3: Coordination of dependent clauses
As indicated in the right column of Table 3, the functions of the coordinated items can be found on the first level of analysis (e.g. Od, A, etc.) but also on lower levels (e.g. postmod, prepC, etc.). Table 4 presents the next type: coordination of predicates. Note that in contrast to Table 3, we cannot give a straightforward name to the type of conjoint in the righthand column of Table 4 (and, for that matter, other tables to come). The reason for this will become clear in Section 9.4. coordination of predicates (CGEL 948, 13.52) examples
coordinated items FU
(22)
Peter [ate the fruit] and [drank the beer]. [VO] and [VO]
(23)
I [send you my very best wishes], and [look forward to our next meeting].
[VOiOd], and [VAA]
(24)
Margaret [is ill], but [will soon recover].
[VCS], but [VA]
Table 4: Coordination of predicates
According to the CGEL (78–79, 2.47), a predicate is that part of a sentence that remains when you exclude the subject, e.g. (25) Julie (S) buys her vegetables in the market. Predicates “may, of course, have varied structures in terms of clause elements” (CGEL 948, 13.52), which becomes obvious when considering the righthand column of Table 4. Coordination is possible because a) both conjoins share the same subject and b) brevity of expression is always preferred (CGEL 949, 13.53). So to avoid repetition, the second conjoin lacks the subject. But be very careful: The sentence (26) Two young men ate the fruit and (also) drank the beer.
9.3 Types of Coordination
251
(CGEL 948, 13.52) is not the same in meaning as (26a) Two young men ate the fruit, and two young men drank the beer. In this case, they is necessary in the second clause to appropriately express co-referentiality, resulting in (26b) Two young men ate the fruit, and they drank the beer. Unfortunately, this impacts our syntactic analysis, as we are now faced with another type of coordination, viz. coordination of independent clauses/sentences in (26b). coordination of predications (CGEL 949, 13.53) examples
coordinated items FU
(27)
Most people will have [read the book] or [seen the film].
(28)
They should have [washed the dishes], [V(mv)Od], [V(mv)Od], and [dried them], and [put them in the cup‐ [V(mv)OdA] board].
(29)
You must [take the course] and [pass the examination].
[V(mv)Od] and [V(mv)Od]
(30)
They were [married in 1960], but [di‐ vorced in 1970].
[V(mv)A], but [V(mv)A]
[V(mv)Od] or [V(mv) Od]
Table 5: Coordination of predications
As can be seen from the example sentences in Table 5, predications can also be coordinated. The predication is that part of a sentence that remains when you exclude the subject as well as the operator(s) of a VP, e.g. (31) He (S) had (operator) given the girl an apple. (CGEL 79, 2.48). Predicates are thus incomplete VPs and consecutive sentence elements such as objects and/or adverbials (see the righthand column of Table 5).
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coordination of NPs (CGEL 951–952, 13.56) examples
coordinated items FU: FO
(32)
[Some of the staff], and [all of the stu‐ dents], have voted for these changes. 8
S: NP conjoint
(33)
On this farm, they keep [cows], [sheep], [pigs], and [a few chickens].
Od: NP conjoint
(34)
Lucy Godwin is [a well-known broad‐ caster] and [winner of the Novelist of the Year Award for 1978].
CS: NP conjoint
(35)
The plan was opposed by [Frederick], [Mary], and [me].
prepC: NP conjoint
(36)
Jane plays three instruments: [the piano], [the viola], and [the French horn].
postmod (appos): NP con‐ joint
Table 6: Coordination of NPs
Table 6 shows a very common type of coordination, which can be found on the first functional level (e.g. as the realization of a S, Od or CS) and also on lower levels of an analysis as part of other phrases such as NPs or PPs. Table 7 focuses on coordination that happens inside NPs and concerns its various parts, such as premodifiers as in (37) They sell [manual] and [electric] typewriters. or heads as in (38) Your [son] and [daughter] look so much alike. (CGEL 957, 13.64). Since these “may be expanded” to (37a) They sell [manual typewriters] and [electric typewriters]. and (38a) [Your son] and [your daughter] look so much alike., it is “often possible to postulate ellipsis from a full form in which coordination takes place between noun phrases” (ibid.). In (37a), that would result in a NP conjoint in the Od slot, whereas in (38a), we would have a NP conjoint in the S slot. What used to be NP-internal coordination is thus turned into phrasal coordination (see Table 6).
8
But is seldom used as a NP coordinator: Not only [the students,] but [some of the staff] have voted for these changes. (CGEL 952: 13.57).
9.3 Types of Coordination
253
coordination of parts of NPs (CGEL 957–966, 13.64–76) examples
coordinated items FU and FO9
(39) (40)
His [wife] and [child] were there. 10 NP heads conjoint Old [men] and [women] were left to organ‐ ize the community.
(41)
He specializes in selling [old] and [valua‐ ble] books.
(42)
postmodifier conjoint The bus [for the Houses of Parliament] and [(for) Westminster Abbey] leaves from this point.
(43) (44)
[A few] or [many] students were there. I am inviting [one] or [two] students to a party.
(45)
[John’s] and [Mary’s] children were there. determiner (as genitive)11 conjoint (rare!)
(46) (47)
I know about [your] and [my] problems. I know [their] and [our] students.
premodifier conjoint
determiner conjoint (rare!)
determiner (as possessive) conjoint
Table 7: Coordination of parts of NPs
If you carefully read through Table 7, you may realize that a lot of sentences can have two or even more readings. As we have seen in sentence (11) in Section 9.2, the difference in semantics (see combinatory vs. segregatory meaning) affects our syntactic analysis, which is why a few semantic elaborations on Table 7 are necessary here.
9
10 11
Note that this heterogeneous list provided by the CGEL is actually a mixture of functional and formal conjoints: While the first three types are positioned on a functional level, the last three variants of determiner conjoints are found on a formal level. So technically speaking, grouping both clusters of sentences as “parts of NPs” is wrong because only heads and modifiers are actually parts of NPs. For that reason, we divided Table 7 in two parts. In some cases, the CGEL refrains from formulating full sentences. For the sake of homogeneity, we decided to complete phrasal examples, turning them into very simple but full-fledged sentences throughout this chapter. For information on the rare and also “awkward” (CGEL 965, 13.74) case of coordination of genitives with possessive pronouns, e.g., my husband’s and mine or your bank account and your husband’s, see CGEL (964–965, 13.74).
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9 Coordination
The NP heads conjoints in (39) and (40) are equal in meaning to the constructions (39a) His wife and his child were there. and (40a) Old men and old women were left to organize the community., respectively. What distinguishes (40a) from (39a) is the fact that there is also a second meaning of (40), namely (40b) [Old men] and [women] were left to organize the community. If we assume that the premodifier old really only refers to the first NP head men, the resulting type of coordination would change from NP head conjoints to NP conjoints, combining NP1, old men, with NP2, women (CGEL 960, 13.67).12 Sentence (41) is also ambiguous because it “may mean ‘books which are old and valuable’ (combinatory meaning) or ‘old books and valuable books’ (segregatory meaning)” (CGEL 960, 13.68). The same holds for sentence (45), which can mean ‘John’s child and Mary’s child’ or ‘John’s children and Mary’s child’ or ‘John’s child and Mary’s children’ etc. (segregatory reading) or ‘the children who are joint offspring of John and Mary’ (combinatory meaning) (CGEL 963: 13.72). If, however, the apostrophe was only placed behind Mary, viz. [John] and [Mary]’s children, the combinatory meaning would take precedence since ’s “is outside the coordinate construction, and is added to the whole conjoint noun phrase John and Mary” (964, 13.72). We conclude this discussion by taking a look at sentences (46) and (47), also from Table 7. Note that the slightly altered versions (46a) I know about your problems and mine. as well as (47a) I know their students and ours. both contain possessive pronouns as the second conjoins, thus resulting in conjoined NPs again (CGEL 964, 13.73). The CGEL states that “[a]ll the main variations of construction we have noted in connection with clauses and noun phrases are also found in verb phrases, adjective phrases, adverb phrases, and prepositional phrases” (967, 13.77). Listing all of these types of coordination is therefore impossible. What we can do, however, is reproduce those types the CGEL also chose to elaborate on in more detail (967–970, 13.77–13.84). A summary of Quirk et al.’s writing can be found in Table 8.
12
In contrast to that, “the [boys] and [girls] staying at the hostel” is less ambiguous. After all, if “the determiner is not repeated in the noninitial [conjoin], an ellipsis of the determiner is normally assumed” (CGEL 960, 13.67). The less salient meaning of this phrase would imply ‘boys who do not stay at the hostel’.
9.3 Types of Coordination
255
coordination of other constituents (CGEL 967–970, 13.77–84) examples
coordinated items
(48)
Yesterday we [bought] and [sold] ten paintings.
VP conjoint
(49)
I have [washed] and [dried] the dishes.
mv conjoint (with shared aux v)
(50)
The country [can] and [must] recover aux v conjoint (less common, formal) from its present crisis. He [may], or (certainly) [should], resign.
(51) (52)
The journey was [long] and [extremely arduous].
AdjP conjoint
(53)
I’m feeling [younger] and [healthier] than I have felt for years.
AdjP heads conjoint
(54)
She made the announcement [quietly] but [quite confidently].
AdvP conjoint
(55)
PP conjoint
(56)
He spoke [for the first motion] but [against the second motion]. 13 They are going [to France], [(to) Ger‐ many], or [(to) Switzerland]. 14
(57)
He climbed [up] and [over] the wall. 15
prep conjoint
(58)
The enemy attacked [quickly] and [with [AdvP] and [PP] great force].
(59)
They can call [this week] or [whenever they wish].
13 14 15
[NP] or [adv clause] = mixed coordination of As
In constructions like these, parts of the prepositional complement can be ellipted either in the first or in the second conjoin: (55a) He spoke [for the first] but [against the second motion]. or (55b) He spoke [for the first motion] but [against the second]. (CGEL 969, 13.81). “If the two or more prepositions are identical, all but the first preposition can be ellipted.” (CGEL 969, 13.81). In this construction, the prepC is partly ellipted.
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9 Coordination
(60)
I am prepared to meet them [when] and [where] they like.
subordinator conjoint
(61)
I am determined to find out [who] or [what] caused this uproar.
interrogative pronoun conjoint
Table 8: Coordination of other constituents
Table 8 really is a mixed bag and we cannot even specify in advance whether coordination happens on a formal plane (see Tables 3 and 6) or on a functional plane (see Tables 4, 5 and partly 7) as we did before. Here are a few more remarks about the content of Table 8 and related cases: With regard to AdjPs, yet again there might be some ambiguity. Consider sentence (62) The souvenirs they bought were very cheap and gaudy. (CGEL 968, 13.79). Does the premodifier very refer only to the first adjective cheap or also to the second one, gaudy? There are two possibilities for structuring this sentence and thus two types of coordination. Note that the second reading is preferred: 1)
[very cheap] and [gaudy] → premodifier applies only to the first conjoin
→
AdjP conjoint
2)
very [cheap] and [gaudy] → premodifier applies to both conjoins
→
AdjP head conjoint
This ambiguity vanishes as soon as we change the order of the words: (62a) The souvenirs they bought were gaudy and very cheap. (ibid.). An interesting detail about the coordination in sentences (58) and (59) will not go unmentioned: although the “general principle governing the coordination of phrases and words is that the conjoins must belong to the same category, formally, functionally, and semantically, [sometimes] the normal formal parallelism is not maintained” (CGEL 969, 13.82). The result is the coordination of different adverbial categories, or, as the CGEL also calls it, the mixed coordination of adverbials (ibid.). This can be seen in sentence (58), in which an AdvP is coordinated with a PP, and also in sentence (59), where we find a NP coordinated with an adv cl. This works because in “each case, […] a close semantic parallel between the conjoins is maintained” (ibid.). The coordination in sentence (60) is possible because the “two subordinate clauses are identical except for their conjunctions [so that] one of the clauses
9.3 Types of Coordination
257
can be omitted, normally the first” (CGEL 969, 13.83). The same reason also holds for the interrogative pronoun conjoint in sentence (61). complex coordination (CGEL 973–974, 13.91) examples
coordinated items FU
(63)
We gave [William a book on stamps], and [Oi and Od] and [Oi and Od] [Mary a book on painting].
(64)
Jack painted [the kitchen white] and [the [Od and CO] and [Od and CO] living room blue].
(65)
You should serve [the coffee in a mug] and [Od and A] and [Od and A] [the lemonade in a glass].
(66)
Paula is flying [to Madrid tonight] and [to [A and A] and [A and A] Athens next week].
Table 9: Complex coordination
Table 9 is rather straightforward again because it is very clear that the conjoint is placed on a functional level. The example sentences in this table still differ from all the other sentences in previous tables since we are no longer dealing with “the coordination of single grammatical constituents such as clauses, predications, phrases, and words,” but are now turning to a less regular and less common type of coordination called complex coordination.16 Here, “the conjoins are combinations of units, rather than single units” (ibid.), which is indicated by the brackets in the righthand column of Table 9. The sentences (63) to (66) also show their relation, by ellipsis, to the coordination of clauses (CGEL 973, 13.90).
16
In fact, the CGEL introduces two other less common types, namely appended coordina‐ tion and interpolated coordination. Since the first of the two is “characteristic of informal speech” (CGEL 975, 13.94) and the second one considered “[s]tylistically […] often awkward [and] best avoided” (CGEL 977, 13.96), a reference to their respective chapters in the CGEL will suffice here.
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9 Coordination
9.4 The Analysis of Coordination As mentioned earlier, we cannot provide complete analyses for all the sentences presented throughout this chapter. What we can and did do, however, is closely examine all 47 example sentences from Tables 3 to 9 in Section 9.3. In doing so, we identified three strategies for analyzing such sentences. We will outline these strategies in the following portion, discuss their advantages and limitations, and suggest which of the 47 sentences can be analyzed using which strategy. When weighing our analytical options, we based our decision on two simple guiding principles:17 1. Preserving the bipartite structure: Each level should consist of a func‐ tion followed by a form. 2. Labeling the type of coordination: The conjoint should be written down first before explicitly naming and analyzing its constituents. 9.4.1 The Ellipsis Strategy
Let us go back to the analysis of sentence (12) at the beginning of Section 9.3. We have seen that compound sentences, in which – by their very nature – two clauses are always coordinated, can be analyzed quite easily. All we have to do is deal with each clause and mark the two of them as conjoins using the abbreviations mentioned earlier (see 9.1). For this reason, it makes our lives as analysts much easier if we construe sentences with coordination (that are not compound sentences per se) as instances of incomplete or ellipted compound sentences whenever possible. Here are two examples to illustrate this thought (CGEL 929, 13.21): (67)
Sam has [trimmed the hedge] and [mowed the lawn]. = elliptical version of:
(67a) [Sam has trimmed the hedge], and [Sam has mowed the lawn]. (68)
I [washed] and [ironed] the clothes. = elliptical version of:
(68a) [I washed the clothes] and [I ironed the clothes].
17
In a lot of model solutions, these principles, the first one in particular, are noticeably neglected. We want to avoid these inaccuracies and are aware that our analyses thus increase complexity, but we see this as the lesser of two evils.
9.4 The Analysis of Coordination
259
So instead of going through a full-fledged analysis of a predication conjoint in (67) or a VP conjoint in (68), we can present both sentences as elliptical compound sentences. We will call this the ellipsis strategy. The analysis of sentence (68) bears witness to it and also illustrates the notational conventions we propose: (68) scomp
conj1 : sentence1
S: NP
h: pron
I
V: VP
mv: fv
washed
Od : NP
dtm: det
(the)
h: n
(clothes)
coord: co conj conj2 : sentence2
and S: NP
h: pron
(I)
V: VP
mv: fv
ironed
Od : NP
dtm: det
the
h: n
clothes.
In terms of coordination, the analysis of sentence (68) is an exact reproduction of the analysis of sentence (12) and therefore rather unproblematic. For the sake of completeness, we put parentheses around elements that were not part of the original, elliptical sentence (68). We suggest you do the same and comment on that and the reasons behind it in a footnote. We also noted down the analyses of the elliptical elements although this is not absolutely necessary. This is something that you do not have to do. After all, you are only asked to analyze the sentence constituents that are actually there, i.e. sentence (68), and not any elements you added to aid the analysis, i.e. sentence (68a). The first step in analyzing coordination is thus to find out if a sentence can be treated as an elliptical version of a compound sentence. If so, you can apply the ellipsis strategy. Unfortunately, this is not always the case: out of our 47 sentences, 18 sentences18 can be analyzed with the help of the ellipsis strategy, among them (15) The Minister believes [that the economy 18
The sentences in Tables 3 to 9 for which the ellipsis strategy works are (15), (22), (23), (24), (27), (28), (29), (30), (32), (34), (52), (55), (58), (59), (63), (64), (65) and (66).
1
260
9 Coordination
is improving,] and [(that) unemployment will soon decrease]., which can be expanded to (15a) [The Minister believes that the economy is improving,] and [the Minister believes (that) unemployment will soon decrease]. and analyzed as a compound sentence like (12). There are three main reasons why not every sentence can be expanded to a full compound sentence. In some of our remaining 29 sentences, we come across semantic or structural limitations. In other cases, we would have to expand the sentence extensively for it to become a full-fledged compound sentence. Here we will discuss all three reasons accordingly using example sentences from this chapter. The two sentences in Table 10 (CGEL 942, 13.45) fall into the category of semantic limitations,19 as the meaning of the altered versions is either different from the original or simply nonsensical: original sentence
ellipsis strategy
(69)
I have never grown [apples] or [pears].
(69a) *[I have never grown apples] or [I have never grown pears].
(70)
The national flag of Japan is [red] (70a) *[The national flag of Japan is and [white]. red] and [the national flag of Japan is white].
Table 10: Coordination without ellipsis strategy
So according to the CGEL, (69) can only be analyzed as a NP conjoint and (70) as an AdjP conjoint (see 9.4.2). Below are examples from our 47 sample sentences that illustrate the structural limitations of the ellipsis strategy. In these (and other) cases, expanding a sentence creates syntactic problems: (36)
Jane plays three instruments: [the piano,] [the viola,] and [the French horn].
≠ (36a)
*[Jane plays three instruments: the piano,] [Jane plays three instruments: the viola,] and [Jane plays three instruments: the French horn].
→
nonsensical syntax
19
Far more detailed information concerning the reasons why the ellipsis strategy does not work in sentences (69a)–(71a) can be found in the CGEL (942–943, 13.45–46).
9.4 The Analysis of Coordination
261
(39)
His [wife] and [child] were there.
≠ (39a)
*[His wife were there] and [his child were there].
→
wrong concord between verbs and singular nouns
The third reason for discarding the ellipsis strategy is that too many elements would have to be added to transform the sentence into a compound sentence: (21)
[With George ill] and [(with) the children at home,] Jenny is finding life very difficult.
≠ (21a)
*[With George ill, Jenny is finding life very difficult] and [(with) the children at home, Jenny is finding life very difficult].
(33)
On this farm, they keep [cows,] [sheep,] [pigs,] and [a few chickens].
≠ (33a)
*[On this farm, they keep cows,] [on this farm, they keep sheep,] [on this farm, they keep pigs,] and [on this farm, they keep a few chickens].
When considering the type of coordination, introduced in the Tables 3 to 9, a certain trend can be observed with regard to the applicability of the ellipsis strategy. This trend is portrayed in Table 11, but should be treated with caution. After all, these results are solely based on the analysis of the 47 sentences in the aforementioned tables. rather applicable
ellipsis strategy
predicate conjoints predication conjoints complex coord.
other constituents
rather not applicable dependent cl
parts of NPs
NPs
Table 11: Gradient of applicability (by mere tendency) of the ellipsis strategy with regard to type of coordination
9.4.2 The Conjoint Strategy
For those sentences in which the ellipsis strategy is not an option, we have to “examine the construction in terms of the conjoins themselves – viz the elements which are left intact” (CGEL 942, 13.44). This is exemplified with
262
9 Coordination
sentences (69)20 and (70), which had previously been excluded from the ellipsis strategy in 9.4.1, but can be analyzed successfully as a NP conjoint and an AdjP conjoint, respectively: (69) s
S: NP
h: pron
I
V: VP
aux v: pv
have
mv: fv
grown
A: AdvP
never
h: adv
Od : NP conjoint
conj1 : NP1
h: n
or
coord: co conj conj2 : NP2
apples
h: n
pears.
(70) s
S: NP
dtm: det
The
premod: adj
national
h: n
flag
postmod: PP
V: VP
prep: prep
of
prepC: pn
Japan
mv: pv
CS : AdjP conjoint
is conj1 : AdjP1
h: adj
coord: co conj conj2 : AdjP2
red and
h: adj
white.
Admittedly, these two analyses look a bit bloated, particularly with regard to the bold parts. They also deviate from model solutions proposed in other publications. But as previously stated (see the two guiding principles outlined in 9.4), we want to preserve the function/form pattern and explicitly label the type
20
A comment on the analysis: Remember that we recommend moving As that interrupt VPs.
1
9.4 The Analysis of Coordination
263
of coordination and its parts. If we left out the bold parts, one of the questions to arise would be how and where to note down the co conj. These two analyses also hint at the fact that a syntactic analysis is unproblematic if the name of the conjoint refers to a formal level, i.e. NP conjoint in (69) and AdjP conjoint in (70). For this reason, the following types of coordination can be analyzed with the second strategy, which we call the conjoint strategy: conjoint strategy applicable
sometimes applicable
not applicable
applicable parts of NPs other constituents
predicate conjoints predication conjoints complex coord. Table 12: Types of coordination that can be analyzed with the conjoint strategy dependent cl NPs
With dependent clauses as well as (noun) phrases being formal categories, analyzing them like sentence (69) is no problem. This is not the case for half of the category parts of NPs, as it refers to functions, e.g. coordinated heads or premodifiers. We will have to deal with those separately (see Section 9.4.3). The same holds true for the category other constituents, which is a mixed bag and therefore cannot be treated as a whole. The column on the right lists the types of conjoints whose names neither point to a formal nor a functional level. Do predicates and predications belong on the formal or functional level? The conjoint strategy is impossible to use for sentences with predicate conjoints, predication conjoints and complex coordination – at least in our sample. Fortunately, these are exactly the sentences that can be analyzed using the ellipsis strategy (compare Table 11). So out of our 47 sentences, 2621 can successfully be analyzed by applying the conjoint strategy. As a matter of fact, there are some example sentences in our sample22 that can be analyzed either with the ellipsis strategy or the conjoint strategy, among them (15): (15)
21 22
The Minister believes that the economy is improving, and (that) unemploy‐ ment will soon decrease.
The sentences in Tables 3 to 9 for which the conjoint strategy works are (14), (15), (16), (17), (18), (19), (20), (21), (32), (33), (34), (35), (36), (43), (44), (45), (46), (47), (48), (52), (54), (55), (56), (57), (60) and (61). This is true for the sentences (15), (32), (34), (52) and (55).
264
9 Coordination
(15a) The Minister believes [that the economy is improving,] and [(that) unemploy‐ ment will soon decrease]. = conjoint strategy with nom that cl conjoint (15b) [The Minister believes that the economy is improving,] and [the Minister believes (that) unemployment will soon decrease]. = ellipsis strategy
Here are two analyses (15a) and (15b), equally effective and correct, which you can choose from: (15a) s
S: NP
V: VP
dtm: det
The
h: pn
Minister
mv: fv
believes
Od : nom that-cl conjoint
conj1 : nom that-cl1
sub: sub conj
that
S: NP
dtm: det
the
h: n
economy
aux v: pv
is
mv: fv
improving,
V: VP
coord: co conj conj2 : nom that-cl2
and sub: sub conj
that
S: NP
h: n
unemployment
V: VP
aux v: mod aux
will
mv: fv
decrease
A: AdvP
h: adv
soon.
9.4 The Analysis of Coordination
265
(15b) scomp
conj1 : sentence1
S: NP
V: VP
dtm: det
The
h: pn
Minister
mv: fv
believes
Od : nom that-cl
sub: sub conj
that
S: NP
dtm: det
the
h: n
economy
aux v: pv
is
mv: fv
improving,
V: VP
coord: co conj conj2 : sentence2
and S: NP
V: VP
dtm: det
(the)
h: pn
(Minister)
mv: fv
(believes)
Od : nom that-cl
sub: sub conj
that
S: NP
h: n
unemployment
V: VP
aux v: mod aux
will
mv: fv
decrease
A: AdvP
h: adv
soon.
To conclude this section, we will analyze yet another sentence (taken from the CGEL 47, 2.10) with the help of the conjoint strategy; the twist, however, is that there are more than two conjoins: (71)
The colours of the rainbow are blue, green, yellow, orange, red, indigo, and violet.
1
266
9 Coordination
(71) s
S: NP
dtm: det
The
h: n
colors
postmod: PP
prep: prep prepC: NP
V: VP
of dtm: det
the
h: n
rainbow
mv: pv
CS : AdjP conjoint
are conj1 : AdjP1
h: adj
blue,
conj2 : AdjP2
h: adj
green,
conj3 : AdjP3
h: adj
yellow,
conj4 : AdjP4
h: adj
orange,
conj5 : AdjP5
h: adj
red,
conj6 : AdjP6
h: adj
indigo,
coord: co conj conj7 : AdjP7
and h: adj
violet.
9.4.3 The Shift Strategy
As we stated earlier (see Section 9.4.2), we cannot use the conjoint strategy for conjoints that the CGEL locates on a functional plane. This problem, which concerns four sentences in Table 7, “Coordination of parts of NPs,” and four sentences in Table 8, “Coordination of other constituents,” will be uncovered and solved in this section. Let us (re)consider sentence (39) His [wife] and [child] were there., which the CGEL labels as NP heads conjoint (960, 13.67), and (49) I have [washed] and [dried] the dishes., which features a mv conjoint. First, we will try to apply the conjoint strategy, as this will reveal the underlying structural problem:
1
9.4 The Analysis of Coordination
267
(*39) s
S: NP
dtm: det h conjoint: ??
V: VP A: AdvP
His h1 : n
wife
coord: co conj
and
h2 : n
child
mv: pv
were
h: adv
there.
(*49) s
S: NP
h: pron
I
V: VP
aux v: pv
have
mv conjoint: ??
Od : NP
mv1 : fv
washed
coord: co conj
and
mv2 : fv
dried
dtm: det
the
h: n
dishes.
Every time we try to analyze a sentence with a conjoint placed on a functional level, as illustrated in the flawed analyses of (*39) and (*49), we encounter the same problem indicated by the question marks: What should we call this formal slot? If we just leave it out and move the next element to the left, right behind the name of the conjoint, we would get two functional levels next to each other. In (*39), that would mean that the h conjoint would be directly followed by a head, and in (*49), the mv conjoint would be followed by a mv – with each of these abbreviations representing functions! With an eye on our notational conventions, that would mean abandoning the linking of two units (function and form) with a colon and having two consecutive dashes. Note that this is precisely what some model solutions simply do. We, however, would still like to try to preserve the bipartite structure of function and form, and therefore propose a third strategy: the shift strategy. What this strategy entails is shifting what used to be on a 1 functional level to a formal level in order to be able to apply the conjoint
268
9 Coordination
strategy without further problems. Based on the two flawed sample analyses (*39) and (*49), we will now apply the shift strategy to (39) and (49), marking the shift with a black arrow: (39) s
S: NP
dtm: det h: n conjoint
→
V: VP A: AdvP
His conj1 : n1
wife
coord: co conj
and
conj2 : n2
child
mv: pv
were
h: adv
there.
(49) s
S: NP
h: pron
I
V: VP
aux v: pv
have
→
mv: fv conjoint
Od : NP
conj1 : fv1
washed
coord: co conj
and
conj2 : fv2
dried
dtm: det
the
h: n
dishes.
What used to be a (functional) NP head conjoint now appears as a (formal) n conjoint, leaving a simple, non-coordinated head in (39). In (49), the mv conjoint is now a (formal) fv conjoint, following a simple, non-coordinated mv. We can then proceed with our analyses as recommended by the conjoint strategy (see Section 9.4.2). To conclude this section, Table 13 lists the eight sentences from Tables 7 and 8 that require the help of the shift strategy, also showing the result of each shift.
1
9.4 The Analysis of Coordination
example
(39) (40)
269
conjoint
→
NP heads conjoint His [wife] and [child] were there. Old [men] and [women] were left to organize the community.
shifted conjoint FU: FO
h: n conjoint
(41)
He specializes in selling [old] and [valuable] books.
premodifier conjoint
premod: adj con‐ joint
(42)
The bus [for the Houses of Parliament] and [(for) Westminster Ab‐ bey] leaves from this point.
postmodifier conjoint
postmod: PP con‐ joint
(49)
I have [washed] and [dried] the dishes.
mv conjoint
mv: fv conjoint
(50)
The country [can] and [must] recover from its present crisis. He [may], or (certainly) [should], resign.
aux v conjoint
aux v: mod aux conjoint
(51) (53)
I’m feeling [younger] and AdjP heads conjoint [healthier] than I have felt for years.
h: adj conj
Table 13: Example sentences for and results of the shift strategy
9.4.4 Detection Rules
The steps of the analysis, including the three main strategies outlined in the previous sections, are summarized in Figure 4:
1
270
9 Coordination
How do I analyze coordination?
Can I apply the ellipsis strategy?
Yes! → Expand the sentence to a fullfledged compound sentence.
Yes! → Note down the conjoint on a formal level.
No! → Can I apply the conjoint strategy?
No! → Apply the shift strategy and move the conjoint from a functional to a formal level.
Figure 4: Steps of analysis for sentences with coordination
Dokumentvorlage • Narr Verlage | A 3.3 Dokumentvorlage •• Narr Dokumentvorlage Narr Verlage Verlage || A A 3.3 3.3
as part as part as prepC part of of prepC of prepC TableMeans 11: Syntactic functions (and forms) in nonequivalent comp clSentence construc10 of Emphasis and Other Deviating Table 11: Syntactic functions (and forms) in nonequivalent comp cl construcTable tions 11: Syntactic functions (and forms) in nonequivalent comp cl constructionsPatterns tions possible functions of comp-element + comp cl
FU (FO) FU FU (FO) (FO) of the first as (equivalence) of the first as (equivalence) of the first The article | was | as objective as I expected (it would be). premod ofas Although an English sentence can vary in its complexity, it is relatively (it premod of The || was || as The article article was as objective objective as as IICexpected expected (it would would be). be). premod of S V head (adv) S pattern that sentence AdjP it V comes to the basic constituents have fixed when SS C AdjP head (adv) S SS V C AdjP head (adv) It | was | as lively a discussion as we thought it would be. premod of preto follow: SVO (CGEL 50–51,as 2.14). Beingit an analytical language and in we thought be. premod of preIt | was || as aa discussion It as lively livelyto discussion we thoughtEnglish it would would cannot be. premod of preS | was V contrast C modifying adjword S marked inflected as languages, have a free C modifying adj SS V V CSSS is not expressed by an inflectional modifying (adv) adj order since the function of a word suffix. (adv) (adv) Therefore, fixed word order is necessary for the English language I | am | as this severely handicapped as you (are). premod of pre- to as you (are). of II || am | as severely handicapped handicapped as (are). the languagepremod premod of prepremake forseverely the loss of inflectional has suffered S am Vup| as CSyouendings modifying advover SS V V C modifying adv S SS C modifying adv time. Nevertheless, we do find sentences with a slightly marked word order, (adv) (adv) (adv) inThe newspaper articles as well as other texts. We automatically perceive time | passed | as quickly as (it passed) last year. premod of The time time || passed passed || as as quickly as passed) last year. premod of The quicklylargely as (it (it last of year. premod of these because the changedAdvP distribution of S sentences V differently A passed) head S V A AdvP head information within them. This chapter will outline the various possibilities S V A AdvP head (adv) (adv) ofShe structuring the elements in a sentence according to their importance (adv) | thinks | her children | as obedient as (they were) last premod of She | thinks | her childrensituation. | as obedient as (they were) forShe the communicative Table 1 gives an last overviewpremod of theof premod ofvarious year.| thinks | her children | as obedient as (they were) last AdjP head (adv) AdjP head (adv) year. constructions that deviate – sometimes for reasons of emphasis – from year. AdjP head (adv) S V Od CO 1 S V O C d O the SVOOddword order. Each S unmarked V COO of these constructions get a separate Table 12: Syntactic functions (andcolumn). forms) in The equivalent comp cl constructions section in this chapter (see third table also includes an example Table 12: 12: Syntactic Syntactic functions functions (and forms) Table (and forms) in in equivalent equivalent comp comp cl cl constructions constructions sentence and a preview of the analysis:
of possible functions possible functions of comp-element comp-element + + comp comp cl cl Jenny Arendholz (equivalence)
construction example sentence construction example sentence construction example construction example sentence unmarked, “nor- “original” sentence: sentence sentence: unmarked, “norunmarked, “nor‐ unmarked, “nor- “original” “original” sentence: mal” word order I shall ignore his callousness. mal” word order I shall ignore mal” order mal” word word order IS shallVignore his his callousness. callousness. Od SSS V O d V O d V O d ignore. fronting His callousness I shall fronting His callousness I shall fronting fronting His callousness callousness II shall shall ignore. ignore. fronting His Od S V ignore. O S V d O S V d S V that I shall ignore. cleft sentence ItOisd his callousness cleft cleft sentence sentence It It is is his his callousness callousness that that II shall shall ignore. ignore. cleft sentence cleft sentence proper S V C proper S proper proper proper V I shall ignore is C C SS callousness. SSWhat V his pseudo-cleft pseudo-cleft sen‐ sen- What III shall ignore is his callousness. What shall ignore is his callousness. pseudo-cleft senWhat shall ignore is his callousness. pseudo-cleft senpseudo-cleft sentence S V CS tence tence tence SSS V C tence V C V CSSS
1
section section section section ------10.2 10.2 10.2 10.2 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3 10.3
Note that in the first part of Table 1, the main focus in each sentence is marked in bold. In case of divided focus (see Section 10.3), the secondary focus is underlined.
5 55 5
Dokumentvorlage • Narr Verlage | A 3.3 272
10 Means of Emphasis and Other Deviating Sentence Patterns
extraposition (of (of extraposition clausal S or O) clausal
existential existential con‐ struction construction
It surprised me to hear him say that. ant V post Odd Spost Sant You must find it exciting working here. ant CO O post S V Oant Opost There is a car blocking my way. SSgr V Snot not V gr
10.4 10.4
10.5
Table of constructions deviating from unmarked SVO Table1:1:Overview Overview of constructions deviating from unmarked
Table 1: Overview of constructions deviating from unmarked SVO
10.1 Theme and Rheme Before digging deeper into the topic of information structure, we will look at how information is distributed in sentences in general. Sentences consist of two kinds of information: what is known to the reader/listener and what is new. The known theme (or topic) of the sentence is most frequently represented by the subject in an unmarked sentence (SVO); it is the beginning of the sentence and determines who or what the sentence is about (CGEL 1361–1362, 18.9). The other part, the rheme, contains new information and is the most important part of a sentence with normal word order. Consider sentence (1) (ibid.): (1)
She visited that very day an elderly and much beloved friend.
She is the theme of the sentence and as such is known information. The person referred to by she must have been introduced earlier in the text or conversation and therefore does not need to be specified any further. The rest of the sentence is the rheme, the new and newsworthy bit. Typically, this part is placed at the end of a sentence to create an end-focus. This is how the CGEL defines the principle of end-focus: “[I]t is common to process the information in a message so as to achieve a linear presentation from low to high information value” (1357, 18.3). In other words, the most important, most focused elements in a sentence are normally found at the end; in (1) that is the Od an elderly and much beloved friend. There is, however, another reason why this Od is put at the end of the sentence and even after the optional A that very day. In (1) the principle of end-weight also plays an important role because “the new information often needs to be stated more
6
10.2 Fronting and Inversion
fully than the given (that is, with a longer, ‘heavier’ structure)” (CGEL 1361, 18.9). That means that end-weight also applies here since the unknown Od needs a more complex structure and could not simply be exchanged for her in sentence (1). 10.2 Fronting and Inversion The first deviation from an unmarked word order is created by the process of fronting, which is “very common both in speech and in conventional written material” and defined as “moving into initial position an item which is otherwise unusual there” (CGEL 1377, 18.20), namely the Od, CS, CO, A or even parts of the VP. If, for instance, the Od is fronted, the rheme no longer appears at the end but at the beginning of the sentence. The unmarked word order SV(A)Od becomes marked OdSV(A), as can be seen in example (1a): (1a)
An elderly and much beloved friend she visited that very day.
Although the unmarked structure in sentence (1) already suggests that an elderly and much beloved friend is the most important information (via end-focus), fronting the Od stresses its importance even more. Also note that with fronting, the order of all the other elements in the sentence remains untouched. Here are two examples with fronted elements other than the Od (CGEL 1377–1379, 18.20–21): (2)
Relaxation you call it. (CO fronted, COSVOd)
(3)
Into the stifling smoke we plunged. (A fronted, ASV)
Example (3) shows the fronting of an adverbial. In an unmarked structure, the adverbial is simply added to the end of the sentence (SVA). To put special focus on the adverbial, it is fronted and thus perceived as far more stressed by the recipient. This is also called a scene-setting effect (CGEL 521, 8.47; 1384, 18.26 Note [b]). As visible in (2), analyzing a case of fronting is not too difficult:
273
10 Means of Emphasis and Other Deviating Sentence Patterns
274
(2) s
CO : NP
h: n
Relaxation
S: NP
h: pron
you
V: VP
mv: fv
call
Od : NP
h: pron
it.
Even though you do not have to mention that a certain constituent is fronted or that the sentence makes use of fronting, you should still be aware of this special means of emphasis. After all, a sentence like (2) clearly deviates from the seven basic sentence types introduced in Chapter 1.2. So knowing about fronting should give you confidence when analyzing a sentence as COSVOd as demonstrated in (2). So far, we have dealt with cases of “unproblematic” fronting, which only affect the dislocation of one element, while the rest of the sentence remains untouched. Other forms of fronting, however, automatically trigger a change in word order of the remaining constituents as well. For this reason, we will now look at inversion. Consider sentence (4) taken from the CGEL (1380, 18.23) and its slightly altered versions (4a) and (4b): (4)
The milkman is here. (SVA, unmarked order)
(4a)
*Here the milkman is. (ASV, only fronting)
(4b)
Here is the milkman. (AVS, fronting and inversion)
If we try fronting and thus emphasizing the A here without changing anything else, we get the ungrammatical sentence (4a). The only viable option is (4b), as it makes use of full inversion or subject-verb inversion (CGEL 1379, 18.23). We can see a complete change of the usual word order with SVA becoming AVS. The S of the SVA construction is shifted to end-position (i.e. after the main verb) and placed in end-focus, which is rather unusual for a S (see Section 10.1). The same mechanism is at play in sentence (5), which can easily be turned into the fronted and inverted version (5b) but not a fronted and uninverted (5a): (5)
The flowers she got were very beautiful. (SVCS, unmarked order) 1
10.2 Fronting and Inversion
(5a)
*Very beautiful the flowers she got were. (CSSV, only fronting)
(5b)
Very beautiful were the flowers she got. (CSVS, fronting and inversion)
Although this phenomenon is rather typical for literary speech, it does also appear in ordinary informal speech. The reason fronting triggers full inversion in sentences (4) and (5) lies in the verb to be. It is not strong enough – or in the words of the CGEL “[it is] lacking in communicative dynamism” (1379, 18.23) – to be isolated at the end of the sentence. Instead, the S moves behind the V and the CS or A is shifted to the front.2 This way, the S gets end-focus. Full inversion is also possible with a fronted Od, “but chiefly limited to the reporting clauses where the object represents direct speech” as in “Please go away” said one child. (1380, 18.23). There are, however, some limitations to subject-verb inversion (1381, 18.23, Footnotes [a] and [b]); it only works: ■
with simple present tense or simple past tense verbs, i.e. Here comes my brother. vs. *Here is coming my brother. ■ with certain verbs of stance (be, stand, lie, etc.) or very general verbs of motion (come, go, fall, etc.) ■ if the S is not a personal pronoun, i.e. Here he is. vs. *Here is he., Here he comes. vs. *Here comes he. or Away he ran. vs. *Away ran he.
What becomes obvious when looking at Here he is. vs. *Here is he. is that the “no personal pronoun in end position” rule supersedes the aforementioned rule prohibiting the verb to be in end position. The analysis of a sentence such as (5b) thus looks as follows:
2
But note that in their chapter about fronting (1377, 18.20), the CGEL permits sentences like Wilson his name is. with a form of to be in end position.
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10 Means of Emphasis and Other Deviating Sentence Patterns
276
(5b) s
CS : AdjP
premod: adv
Very
h: adj
beautiful
V: VP
mv: pv
were
S: NP
dtm: det
the
h: n
flowers
postmod: def rel cl
S: NP
h: pron
she
V: VP
mv: fv
got.
The second form of inversion triggered by fronting is called partial inversion or subject-operator inversion. In contrast to full inversion and true to its name, only the subject and the (first) auxiliary verb, i.e. the operator, swap positions. If there is no auxiliary verb to invert the subject with, the pro-form do is inserted. This is nicely illustrated in sentences (6) and (7) (Ungerer et al. 1984: 227): (6)
Not for anything in the world (A) would (Vaux1) John (S) have (Vaux2) entered (Vmv) that room (Od) again (A).
(7)
Not a single word (Od) did (Vaux) he (S) speak (Vmv) for the rest of the evening (A).
The CGEL (1381–1383, 18.24) lists four scenarios for partial inversion: a)
elliptical clauses with initial so or the corresponding negatives neither or nor: John saw the accident and so did Mary. She wasn’t angry and neither was I.
b)
where a phrase of negative form or meaning is fronted: At no time must this door be left unlocked. Not a single book had he read that month.
c)
in comparative clauses when the S is not a personal pronoun: Oil costs less than would atomic energy.
d)
in subordinate clauses of condition and concession (especially in more formal usage): 1 at the changes. Were she alive today, she would grieve
10.3 Cleft Sentences Proper and Pseudo-Cleft Sentences
277
The syntactic analysis in (6) demonstrates again that neither the term fronting nor inversion is actually needed as a label. It also shows that the S moves between the first auxiliary verb and the rest of the VP, thus segmenting the VP in two parts.3 (6) s
A: AdvP
h: adv postmod: PP
Not prep: prep prepC: NP
for h: pron postmod: PP
anything prep: prep prepC: NP
in dtm: det
the
h: n
world
V: VP
aux v: mod aux
would
S: NP
h: pn
John
V: VP (cont.)
Od : NP
A: AdvP
aux v: pv
have
mv: fv
entered
dtm: det
that
h: n
room
h: adv
again.
10.3 Cleft Sentences Proper and Pseudo-Cleft Sentences Another way of distributing information and deviating from the regular word order in a sentence is represented by so-called cleft sentences. We distinguish between cleft sentences proper and pseudo-cleft sentences. As the name cleft 4 indicates, the sentence is divided “into two clauses, each with its own verb” (CGEL 1383, 18.25), which results in divided focus. However, the context dictates exactly which of the focused elements is dominant. Consider the following mini-dialogues from the CGEL (1384, 18.26, slightly adapted) and pay special attention to the divided focus in B’s responses: 3 4
To avoid split VPs as in (6), you could also consider changing the order of the sentence constituents before conducting your analysis. Do not forget to comment on the necessity of that change, though, and mark it with an arrow. cleft per definition means “a space or opening made by or as if by splitting” (Merriam Webster online, s.v. cleft, n.).
1
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10 Means of Emphasis and Other Deviating Sentence Patterns
A:
You should criticize his CALlousness
B:
No, it is his CALlousness that I shall igNORE
→
in B, callousness is given, ignore is new → more stress on ignore vs.
A:
You should ignore his disHONesty
B:
No, it is his CALlousness that I shall igNORE
→
in B, callousness is new, ignore is given → more stress on callousness
Let us take a closer look at B’s (slightly shortened) responses from the mini-dialogues: (8)
It
is
his callousness that I shall ignore.
S
V
CS
In (8), the basic structure of a cleft sentence proper becomes perfectly clear: the sentence begins with the subject pronoun it,5 an empty theme, which is followed by a form of the verb to be. In this SVCS sentence, it is normal for the next (and last) part of the sentence to carry the focus (CGEL 1384, 18.26). As we have already stated when talking about divided focus, it is the context that governs whether callousness or ignore is more prominent, as both parts carry stress. “[W]hile very common in spoken English, the construction is particularly convenient in writing, since it provides unerring guidance to the reader in silently assigning appropriate prosody” (ibid.). Cleft sentences proper are flexible insofar as they highlight different parts of the sentence (CGEL 1385, 18.27), namely S, Od or A6 but never the V. This can be illustrated with various permutations of a classic Quirk et al. sentence, reproduced in (9): 5 6
For deviations from that pattern, e.g. (No,) that was the doctor I was speaking to., see CGEL (1384, 18.26, Note [c]). The CGEL (1385, 18.27) also mentions marginal (even doubtful) cases, in which sentence constituents other than S, Od or A are highlighted by means of a cleft-construction: Oi (e.g. ?It’s me (that) he gave the book.), Oi as PP (e.g. It’s me he gave the book to.), CO (e.g. It’s dark green that we’ve painted the kitchen.) and in particular CS (e.g. ?It’s a genius that he is.). When, however, the verb before the CS is not to be, a cleft-construction with a CS as a focused element can be acceptable: It was a doctor that he eventually became.
10.3 Cleft Sentences Proper and Pseudo-Cleft Sentences
(9)
John wore a white suit at the dance last night. (SVOdAA, unmarked order)
(9a)
It was John who wore a white suit at the dance last night. (focus on S)
(9b)
It was a white suit (that) John wore at the dance last night. (focus on Od)
(9c)
It was last night (that) John wore a white suit at the dance. (focus on Atime)
(9d)
It was at the dance that John wore a white suit last night. (focus on Aplace)
(9e)
*It’s wore that John a white suit at the dance.
The detailed analysis of the CS in all these cleft sentences is, however, problematic because cleft sentences always contain an embedded clause which also needs to be labeled. The CGEL (1386, 18.28) states that this clause “is obviously similar in structure to a restrictive relative clause; and yet […] there are considerable differences.” In the same paragraph, Quirk et al. go on outlining similarities as well as differences between defining relative clauses and what they vaguely call “the type of ‘annex’ clause that occurs in cleft sentences” (1387, 18.28 Note). They do not, however, bring up any other clause name for the embedded clause under discussion. For this reason, we decided to use the term defining relative clause anyway. Despite certain inadequacies that the usage of this term in this context involves, it still seems to be the only logical choice. After all, we are looking for a term for a finite, embedded clause that has an antecedent which is not an abstract noun like idea or remark (see Chapter 6.4), aspects all covered by the term defining relative clause. Hence, this is what the analysis of (9a) looks like.
279
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10 Means of Emphasis and Other Deviating Sentence Patterns
(9a) s
S: NP
h: pron
It
V: VP
mv: pv
was
CS : NP
h: pn postmod: def rel cl
John S: NP
h: rel pron
who
V: VP
mv: fv
wore
Od : NP
A: PP
dtm: det
a
premod: adj
white
h: n
suit
prep: prep prepC: NP
A: NP
at dtm: det
the
h: n
dance
dtm: det
last
h: n
night.
In the analysis of (9d), however, it is slightly less convincing to use the term defining relative clause because dance (as opposed to John in the previous analysis) does not work well as an antecedent to that. But if we imagine replacing that by on which, a relative pronoun preceded by a preposition, the relation to dance appears more plausible. Again, in the absence of a better alternative, we propose the same analysis for (9d) as for (9a):
1
10.3 Cleft Sentences Proper and Pseudo-Cleft Sentences
281
(9d) s
S: NP
h: pron
It
V: VP
mv: pv
was
A: PP
prep: prep
at
prepC: NP
dtm: det
the
h: n
dance
postmod: def rel cl
A: NP
h: rel pron
that
S: NP
h: pn
John
V: VP
mv: fv
wore
Od : NP
A: NP
dtm: det
a
premod: adj
white
h: n
suit
dtm: det
last
h: n
night.
(9d) also differs from (9a) in that it has a SVA-structure on the first level and not a SVCS-structure. But since the copular verb to be can be used for both constructions (see Chapter 1.2 and 4.2), this is not a problem. Pseudo-cleft sentences like What I shall ignore is his callousness. (CGEL 1383, 18.25) are similar to cleft sentences proper, as they also “make explicit the division between given and new parts of the communication” (CGEL 1387, 18.29). They always have the syntactic structure SVCS with a nominal relative clause subject usually starting with the pronoun what 7 (ibid., see also Chapter 6.5 on nominal relative clauses). This is illustrated in the analysis of (10) What you need most is a good rest. (CGEL 1388, 18.29).
7
1 pronouns in that position, such as who, where, For more details on other rather marginal when, etc., see CGEL (1388, 18.30).
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10 Means of Emphasis and Other Deviating Sentence Patterns
(10) s
S: nom rel cl
Od : NP
CS : NP
What
S: NP
h: pron
you
V: VP
mv: fv
need
A: AdvP V: VP
h: pron
h: adv
mv: pv
most is
dtm: det
a
premod: adj
good
h: n
rest.
The pseudo-cleft sentence is a bit more flexible than the cleft sentence proper in that it “permits marked focus to fall on the predication” by using the substitute verb do (ibid.): (11)
What he’s done is (to) spoil the whole thing.
(12)
What John did to his suit was (to) ruin it.
(13)
What I’m going to do to him is (to) teach him a lesson.
In terms of focus, the do item carries an anticipatory focus, while the main focus comes in the usual end-focus position (ibid.). 10.4 Extraposition of Clausal Subjects and Objects Another way of deviating from the normal word order is achieved by extraposition. This pattern is actually the odd one out in this chapter, since its aim is not to create special emphasis (as all the others above). Instead, it is used to reduce the complexity of a sentence, as will be demonstrated in this section. The term extraposition means the postponement of clausal elements within a sentence. These can be either clausal subjects or clausal objects,
1
10.4 Extraposition of Clausal Subjects and Objects
283
i.e. subjects or objects realized by nominal8 finite or non-finite clauses (see Chapters 6 and 7). The extraposition of the clausal object is, however, far less frequent (CGEL 1391, 18.33). Let us deal with the more common case first: the extraposition of a clausal subject. In order to reduce the complexity of the sentence, mainly in spoken language, the subject is moved to the end of the sentence. The original subject position is filled by the anticipatory pronoun it. The resulting, extraposed version of the sentence thus contains two subjects, which can be labeled as the postponed subject (the one which is notionally the subject of the sentence, Spost for short) and the anticipatory subject (it) (Sant for short) (ibid.). Example sentences (14) and (14a) (CGEL 1392, 18.33) illustrate this process: (14)
(14a)
To hear him say that
surprised
S (clausal)
V
It
surprised
Sant
V
me. Od (“original,” yet marked version)
me to hear him say that. Od Spost
(extraposed, unmarked version)
Table 2 is an exhaustive list of sentence types in which a clausal subject can be extraposed (CGEL 1392, 18.33): sentence type
“original” sentence
extraposed sentence
SVCS ~ SantVCSSpost
To teach her is a pleasure.
It is a pleasure to teach her.
SVA ~ SantVASpost
That income tax is to be lowered was on the news.
It was on the news that income tax is to be low‐ ered.
SV ~ SantVSpost
What you do doesn’t matter. It doesn’t matter what you do.
SVOd ~ SantVOdSpost
To hear him say that sur‐ prised me.
8
It surprised me to hear him say that.
The CGEL (1391, 18.33) actually states that these clauses are “almost exclusively subordinate nominal clauses,” yet fails to give a counterexample to account for their use of “almost.”
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10 Means of Emphasis and Other Deviating Sentence Patterns
SVOdCO ~ SantVOdCOSpost
It makes her happy to see To see others enjoying themselves makes her happy. others enjoying them‐ selves.
SVpass ~ SantVpassSpost
*That she slipped arsenic into his tea is said.
It is said that she slipped arsenic into his tea.
SVpassCS ~ SantVpassCSSpost
For anyone to escape was considered impossible.
It was considered impossi‐ ble for anyone to escape.
Table 2: Sentence types with extraposed clausal subjects
What Table 2 also demonstrates is the fact that the extraposed version of a sentence is far more usual than the “original” version (ibid.). After all, the latter is oftentimes highly marked due to the complexity of the S (see Section 10.1) and it is at times downright unacceptable (see SVpass). Some extraposed sentences are obligatory since a non-extraposed version does not exist, particularly with verbs such as seem and appear. Compare It seems that everything is fine. vs. *That everything is fine seems. (CGEL 1392, 18.33 Note [a]). With -ing participle clauses as S, the case is reversed: while Getting the equipment loaded was easy. is the unmarked sentence, the extraposed version It was easy getting the equipment loaded. is marked and “uncommon outside informal speech” (CGEL 1393, 18.34). Sample analyses of sentences (15) and (16), both taken from Table 2, illustrate how to deal with this first type of extraposition. Note again that the term extraposition itself is not used in the analysis. As with fronting (see 10.2), it is, however, useful to be actively aware of the extraposition in order to apply the abbreviations Sant and Spost correctly. (15) s
Sant : NP V: VP CS : NP
h: pron
It
mv: pv
is
dtm: det
a
h: n
pleasure
Spost : nom to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
teach
h: pron
her.
10.4 Extraposition of Clausal Subjects and Objects
285
(16) s
h: pron
Sant : NP
It
V: VP
mv: pv
was
A: PP
prep: prep
on
prepC: NP
Spost : nom that-cl
dtm: det
the
h: n
news
sub: sub conj
that
S: NP
h: comp n
income tax
V: VP
aux v: mod id
is to
aux v: pv
be
mv: fv
lowered.
The analyses of (15) and (16) also show that the (extraposed or postponed) S is in each case a nominal clause, namely a nominal to-inf cl (non-finite) in (15) and a nominal that-cl (finite) in (16). The extraposition of a clausal object works exactly the same way as that of the clausal subject: (17)
You must find S
(17a) You S
working here
V
exciting.
Od
must find V
it Oant
CO exciting CO
(“original,” yet marked version)
working here. Opost (extraposed, unmarked version)
There is, however, one additional rule: “When the object is an -ing clause in [SVOdCO] or [SVOdA] clause types, it can undergo extraposition; when it is a to-infinitive clause or a that-clause, it must do so” (CGEL 1393, 18.35). Table 3 provides evidence for that claim:
1
286
10 Means of Emphasis and Other Deviating Sentence Patterns
SVOdCO 1) Od = -ing-part cl → extraposition sometimes possible You must find working here exciting. You must find it exciting working here. I made settling the matter my prime objective. *I made it my prime objective settling the matter. 2) Od = to-inf cl → extraposition obligatory I made it my objective to settle the matter. *I made to settle the matter my objective. 3) Od = that-cl → extraposition obligatory I find it strange that you are here. *I find that you are here strange. SVOdA 1) Od = that-cl → extraposition obligatory I owe it to you that the jury acquitted me. *I owe that the jury acquitted me to you. Something put it into his head that she was a spy. *Something put that she was a spy into his head. Table 3: Options for extraposition in various clausal objects
As usual, this section ends with two sample analyses:
10.4 Extraposition of Clausal Subjects and Objects
287
(17) s
S: NP
h: pron
You
V: VP
aux v: mod aux
must
mv: fv
find
Oant : NP
h: pron
it
CO : AdjP
h: adj
exciting
Opost : nom -ing-part cl
V: VP
mv: fv
A: AdvP
h: adv
working here.
(18) s
S: NP
h: pron
I
V: VP
mv: fv
made
Oant : NP CO : NP
h: pron
it
dtm: det
my
h: n
objective
Opost : nom to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
settle
dtm: det
the
h: n
matter.
At first glance, some might notice superficial similarities between the extraposition of clausal subjects and cleft sentences proper. After all, both start with the empty theme it, but that would be it. To settle any doubts about these two constructions, Table 4 offers a comparison.
1
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10 Means of Emphasis and Other Deviating Sentence Patterns
extraposition of clausal subjects
cleft sentences proper
example
(To hear him say that sur‐ prised me.) It surprised me to hear him say that.
(I shall ignore his callousness.) It is his callousness that I shall ig‐ nore.
why?
reduction of the complexity special emphasis on a limited num‐ of the sentence by avoiding a ber of sentence constituents (S, Od or long S (the S is usually short A) because it is known)
how?
replacement of the S in its splitting of a sentence into two parts, normal position by it; shift of both with their own finite verb (the S to the end of the sentence first one being a form of to be)
what?
only a clausal subject can be affected by the change
result?
two subjects: Sant (underlined) divided focus: anticipatory focus and end-focus and Spost
other
the verb following it does not the first verb is a form of to be have to be to be
S, Od or A can be moved behind the it + to be-construction, thus forming the beginning of the CS in the new cleft sentence
Table 4: Extraposition of clausal subject vs. cleft sentences proper
10.5 Existential Constructions So far, we have assumed that each sentence can be divided into information that is given or known (the theme) and information that is new (the rheme). But what if everything in a sentence is new? What if “the recipient is expected to interpret [even] a theme as entirely new and unconnected with anything previously introduced” (CGEL 1402, 18.44)? In cases like these, “it is convenient to have devices for providing some kind of dummy theme which will enable the originator to indicate the ‘new’ status of a whole clause, including its subject” (ibid.). This is where the existential there comes into play: instead of saying A car is blocking my way., we use the existential construction There is a car blocking my way. (ibid.), which clearly signals that we have not talked about the car before. This also explains why an indefinite NP (a car not the car) occurs in both sentences. As the name already indicates,
10.5 Existential Constructions
289
existential constructions,9 which can be used for all seven basic clause types, serve “to bring the existence of an entire proposition […] to the attention of the hearer” (CGEL 1403, 18.44). In other words, existential constructions mark the entire content of a sentence as new. They are not to be taken as means of emphasis. This is the inner make-up of the construction: the unstressed dummy there is put in the theme of the sentence, i.e. in the beginning, thus moving everything else into the rheme and marking it as new. The existential there is accompanied by the simple present or past of to be,10 resulting in the pattern there + (auxiliaries) + be + subject + rest of the sentence (CGEL 1403, 18.45). When we want to analyze a sentence like (19) There is a car blocking my way., we need two new terms: grammatical subject (Sgr) for the empty dummy there and notional subject (Snot)11 for the real, semantically-loaded subject (ibid.): (19) s
Sgr : NP V: VP Snot : NP
h: pron
There
mv: pv
is
dtm: det
a
h: n
car
postmod: attr -ing-part cl
V: VP Od : NP
mv: fv
blocking
dtm: det
my
h: n
way.
Note that in (19), there is analyzed as a pronoun in a NP, namely as a placeholder for the content given in full in the Snot. Although the CGEL 9
10 11
For an overview of other less frequent existential constructions that are not formed with there but with have as in The porter has a taxi ready., see CGEL 1411–1414, 18.51–54. Although clearly different in meaning, the analysis of these sentences is absolutely unproblematic: The porter has a taxi ready. is actually analyzed as SVOd. For existential sentences constructed with verbs other than to be, e.g. There rose in his imagination grand visions of a world empire., see CGEL 1408–1409, 18.49. Please be careful not to confuse this notional subject with the same term used in Chapter 7! This is a case of unfortunate terminology, as the idea behind the notional subject used in the context of means of emphasis is absolutely unrelated to the notional subject found in non-finite clauses.
290
10 Means of Emphasis and Other Deviating Sentence Patterns
does not touch upon the word class of the structure word there, it explicitly warns about mistaking the existential there for the place adverb there. The existential there lacks stress and carries no locative meaning (1405, 18.46). Compare: (20)
There’s a ball on the roof!
(20a) *A ball on the roof is there! (21)
There’s our ball!
(21a) Our ball is (right) there!
In (20), we find an existential there because it is unstressed and the locative meaning is conveyed by the A on the roof, not by the structure word there. Instead, there merely introduces the fact that a ball is on the roof (existential meaning), which also becomes obvious when looking at the indefinite determiner a with the noun ball. Turning the sentence around and pretending that there really is an A that can be moved around freely in the sentence does not work (20a). In contrast, (21) features a stressed there that does carry locative meaning. We can imagine someone pointing a finger to the exact spot where the ball is. Accordingly, the A there can be moved to the end of the sentence without difficulty in (21a). In (21), it is fronted for means of emphasis. Another reason there is an adverb in (21) and (21a) is that it can be premodified by another adverb, i.e. right (21a), which is not possible with an existential there. Last but not least, ball in (21) and (21a) is not introduced by an indefinite determiner but a possessive determiner, indicating a certain amount of familiarity with the object.
11 Practice Makes Perfect Britta van den Berg & Jenny Arendholz The last chapter of this book offers a comprehensive practice section for self-study. The training sentences were handpicked from a mini-corpus of 13 texts taken from three British online newspapers (BBC News, The Guardian and The Economist) and two American online newspapers (The New York Times and The Washington Post). Our selection of texts was guided by the corresponding topic – which we assumed would most likely be selected for use on an exam. The 52 partly adapted1 sentences are subdivided into three categories: easy, moderate and difficult. As grammatical structures are not isolated phenomena, each example contains a number of structures belonging to different parts of the book. To make the most of this chapter, we recommend that you try and analyze the easier examples first and gradually work your way through to the more complex ones. Should you be interested in particular syntactic structures or word classes, you can also look them up in the index provided in Table 1. The syntactic phenomena and their abbreviations used in the analyses are listed in the first column, and the second column refers you to the specific sentences in which these phenomena occur. Before you get to work, keep a few things in mind: ■ We included the solutions we deem most plausible. At times, alternative solutions can be found in the comments underneath the analysis. This does not mean, however, that these are the only valid solutions! ■ The comments also contain noteworthy additional information, e.g. about special kinds of word classes or constructions which do not appear in the actual analysis. ■ A change of the original word order is always indicated by an arrow and allows for discontinuous phrases to be reunited. 1
Note that due to copyright issues, some sentences had to be shortened by a few words or phrases that were syntactically “uneventful” anyway. For the same reason, nine sentences do not come with a source, two of which, (1.4) and (1.7), were deemed idiomatically fixed expressions of the English language that can exist and be understood without a particular context. The remaining seven sentences that are not linked to a source text in the reference section are also authentic in that they represent native speaker syntax.
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11 Practice Makes Perfect
■ ■
The function/form pairing is strictly obeyed on every level of analysis. We label dependent clauses exhaustively (e.g. nom to-inf cl and attr wh-cl) thus offering more detail than is probably necessary in most exam contexts. We do this to maintain consistency, but also in the hope that more clues about structure will further a deeper understanding of the types of dependent clauses.
syntactic phenomenon
sentence number
finite clauses adv cl
2.2; 2.8; 2.11; 2.17; 2.21; 3.2; 3.3; 3.4; 3.9
attr that-cl
1.7; 2.19
attr wh-cl
3.9
comp cl
2.4; 2.10; 3.15; 3.16
def rel cl
1.3; 1.9; 1.10; 1.11; 2.3; 2.14; 2.17; 3.2; 3.6
nom rel cl
2.12; 2.18; 3.11
nom that-cl
2.13; 3.6; 3.8; 3.9; 3.13; 3.14
nom wh-cl
2.8; 2.9; 2.18; 3.14; 3.18
non-def rel cl
1.8; 3.3; 3.11
sent rel cl
3.2; 3.12; 3.13
non-finite and verbless clauses adv bare inf cl
2.14
adv -ed-part cl
2.21
adv -ing-part cl
2.20; 2.21; 3.1
adv to-inf cl
1.2; 3.10
adv vless cl
2.15; 3.5
attr -ed-part cl
3.1; 3.9; 3.15
attr -ing-part cl
2.11; 3.12; 3.15
attr to-inf cl
1.8; 1.9; 2.16
nom bare inf cl
2.5; 3.11; 3.12; 3.18
11 Practice Makes Perfect
293
nom -ed-part cl
2.12
nom -ing-part cl
2.13; 3.18
nom to-inf cl
2.15; 2.19; 2.20; 3.2; 3.11; 3.16
coordination
2
Scomp
2.2; 2.5; 2.14; 3.4; 3.11; 3.14
clausal conjoint
adv -ing-part cl: 2.21 nom that-cl: 3.8
phrasal conjoint
NP: 2.11; 2.14; 2.21; 3.2; 3.6; 3.7; 3.8 AdjP: 2.3 VP: 3.16
adv conjoint
2.20
fv conjoint
3.8; 3.12
int adv conjoint
3.18
num conjoint
2.9
pn conjoint
3.1
deviating sentence patterns cleft sentence
1.11; 2.17
existential construction
1.12; 1.13
extraposition
2.19; 2.20; 3.14
fronting
1.10
pseudo-cleft sentence
2.18
word classes a-adverb
1.4
cat v
1.6; 3.2; 3.9
compl det
1.1; 2.1; 2.6; 2.21; 3.9; 3.15
compl prep
3.6; 3.14
int adv
2.8; 3.9; 3.18
2
Note that in contrast to the other sections of this table, types of coordination have been ordered from larger to smaller structures.
294
11 Practice Makes Perfect
int det
3.14
marg mod aux
2.10; 3.6
marg prep
3.1
neg part
1.5; 2.8; 2.9; 2.10; 2.18; 3.14
num (as dtm)
1.2; 1.3; 1.13; 2.1; 2.8; 2.9; 2.11; 2.14; 3.3; 3.4; 3.10
num (as h)
1.4; 2.4; 2.9; 3.3; 3.5; 3.14; 3.15
phr v
1.7; 3.9; 3.10; 3.15
phr-prep v
2.7
prep v
3.11
rel adv
1.8
rel det
3.13
semi aux
2.6; 3.7; 3.8; 3.12
others adv in VP
1.6; 1.8; 3.3; 3.4, 3.13
by-agent PP
2.1; 2.5; 3.1; 3.2
compl
1.9; 2.4; 2.10; 3.15; 3.16
complex dtm (dtm: NP)
1.4; 2.1; 2.4; 2.7; 3.3; 3.5; 3.9; 3.15
dtm: pn
2.11; 2.19; 3.2; 3.12
ind appos
3.17
Oi as PP (A)
1.2; 1.3; 3.7
postmod (appos)
2.11; 2.16; 2.17; 3.17
premod (appos)
3.14
premod: n
1.2; 2.2; 2.3; 2.5; 2.8; 2.12; 2.14; 2.16; 3.3; 3.5; 3.6; 3.7; 3.9; 3.14; 3.17
premod: pn
1.12; 2.6; 3.1; 3.4; 3.17
subj mark
2.20
with-construction
3.5
Table 1: Index of noteworthy syntactic structures
11.1 Easy Sentences
295
11.1 Easy Sentences (1.1) Avanti House in Stanmore, north London, is one of a new generation of religious schools. (Text 10) s
S: NP
h: pn postmod: PP
Avanti House prep: prep prepC: NP
in h: pn postmod: NP
V: VP CS : NP
mv: pv
Stanmore, premod: adj
north
h: pn
London, is
dtm: compl det
one of a
premod: adj
new
h: n
generation
postmod: PP
prep: prep
of
prepC: NP
premod: adj
religious
h: n
schools.
Notes one of a For complex determiners see Chapter 3.4 (but see also the alternative solution for (2.1)).
1
296
11 Practice Makes Perfect
(1.2) Mr. Brady appeared on one morning radio show to sell his ideas to the audience. s
S: NP
h: pn
Mr. Brady
V: VP
mv: fv
appeared
A: PP
prep: prep
on
prepC: NP
A: adv to-inf cl
dtm: det
one
premod: n
morning
premod: n
radio
h: n
show
V: VP
Od : NP
A: PP
inf mark: inf mark
to
mv: fv
sell
dtm: det
his
h: n
ideas
prep: prep prepC: NP
to dtm: det
the
h: n
audience.
Notes one Or dtm: num. to The indirect object occurs at the end of the sentence. In this position, it is preceded by the preposition to, and hence must be analyzed as an adverbial (see Chapter 1.3).
1
11.1 Easy Sentences
297
(1.3) Greece has awarded citizenship to three migrant fishermen who rescued Greeks from a devastating fire near Athens last July. (Text 3) s
S: NP
h: pn
Greece
V: VP
aux v: pv
has
mv: fv
awarded
Od : NP A: PP
citizenship
h: n prep: prep prepC: NP
to dtm: det
three
premod: adj
migrant
h: n
fisherman
postmod: def rel cl
S: NP
h: rel pron
who
V: VP
mv: fv
rescued
h: pn
Greeks
Od : NP A: PP
prep: prep prepC: NP
from dtm: det
a
premod: adj
devastating
h: n
fire
postmod: PP
A: NP
prep: prep
near
prepC: pn
Athens
dtm: det
last
h: n
July.
Notes three Or dtm: num. to The indirect object occurs at the end of the sentence. In this position, it is preceded by the preposition to, and hence must be analyzed as an adverbial (see Chapter 1.3). last Last belongs to the ‘general ordinals’, which resemble ordinal numerals (see Chapter 3.4).
298
11 Practice Makes Perfect
(1.4) It’s only two days away. s
S: NP
h: pron
It
V: VP
mv: pv
’s
A: AdvP
premod: NP
dtm: NP
premod: adv
only
h: num
two days
h: n
away.
h: adv
Notes away Away is a special type of adverb called ɑ-adverb (see Chapter 3.3). (1.5) But the self-defeating nature of populist policies will not blunt their appeal. (Text 6) s
coord: co conj
But
S: NP
dtm: det
the
premod: adj
self-defeating
h: n
nature
postmod: PP
prep: prep prepC: NP
V: VP
Od : NP
of premod: adj
populist
h: n
policies
aux v: mod aux
will
neg: neg part
not
mv: fv
blunt
dtm: det
their
h: n
appeal.
1
11.1 Easy Sentences
299
Notes But But can be analyzed as a co conj linking this sentence to the previous one, implying an underlying incomplete sentential conjoint. Alternatively, it may be regarded as an adverb and analyzed as follows: A: AdvP – h: adv. (1.6) Non-Christian faith schools, in particular, seem also to deepen ethnic segrega‐ tion. (Text 10) s
S: NP
A: PP
A: AdvP V: VP
Od : NP
premod: NP
premod: adj
Non-Christian
h: n
faith
h: n
schools,
prep: prep
in
prepC: n
particular,
h: adv
also
aux v: cat v
seem to
mv: fv
deepen
premod: adj
ethnic
h: n
segregation.
Notes also Also was moved outside the VP, so it no longer splits the VP in two. seem to With catenative verbs, to does not introduce a to-inf cl but is part of the auxiliary verb instead (see Chapter 4.1.3 and 7.6.1).
300
11 Practice Makes Perfect
(1.7) It’s time they make up their mind! s
S: NP
h: pron
It
V: VP
mv: pv
’s
CS : NP
time
h: n postmod: attr that-cl
sub: sub conj
(that)
S: NP
h: pron
they
V: VP
mv: phr v (fv + prep adv)
make up
Od : NP
dtm: det
their
h: n
mind!
Notes It Here, it is used as an ‘empty’ or ‘prop’ subject (CGEL 348, 6.17) in an expression denoting time. This type of it should not be confused with it as anticipatory subject found in extraposition (see Chapter 10.4). (that) In this attr that-cl, the subordinator that was omitted resulting in a zero that-clause. Knowing this helps to classify the clause correctly. However, there is no need to add the missing subordinator in the analysis. Here, it was done for the sake of clarity.
1
11.1 Easy Sentences
301
(1.8) Parents with very strong religious beliefs of any sort are likely to turn to the private sector, where schools are more lightly regulated. (Text 10) s
S: NP
h: n postmod: PP
Parents prep: prep prepC: NP
with premod: AdjP
premod: adv
very
h: adj
strong
premod: adj
religious beliefs
h: n postmod: PP
prep: prep prepC: NP
V: VP CS : AdjP
of dtm: det
any
h: n
sort
mv: pv
are
h: adj postmod: attr to-inf cl
likely V: VP
inf mark: inf mark
to
mv: fv
turn
A: PP
prep: prep prepC: NP
to dtm: det
the
premod: adj
private
h: n
sector,
postmod: non-def rel cl
A: AdvP
h: rel adv
where
S: NP
h: n
schools
V: VP
aux v: pv
are
mv: fv
regulated
A: AdvP
premod: adv
more
h: adv
lightly.
Notes lightly The AdvP was moved outside the VP, so it no longer splits the VP in two.
302
11 Practice Makes Perfect
(1.9) The Angel Project pays for those who are well enough to go home immediately. (Text 1) s
S: NP
dtm: det
The
h: pn
Angel Project
V: VP
mv: fv
pays
A: PP
prep: prep
for
prepC: NP
h: pron
those
postmod: def rel cl
S: NP
h: rel pron
who
V: VP
mv: pv
are
CS : AdjP
h: adj postmod: AdvP
well enough
h: adv compl: attr to-inf cl
V: VP
inf mark: inf mark
to
mv: fv
go
A: AdvP
h: adv
home
A: AdvP
h: adv
immediately.
(1.10) Rarely did Peter Pan display the kind of maturity that would please a teacher. s
A: AdvP V: VP
S: NP Od : NP
Rarely
h: adv aux v: pv
did
mv: fv
display
h: pn
Peter Pan
dtm: det
the
h: n postmod: PP
kind prep: prep prepC: NP
of maturity
h: n postmod: def rel cl
S: NP
h: rel pron
that
V: VP
aux v: mod aux
would
mv: fv
please
Od : NP
dtm: det
a
h: n
teacher.
11.1 Easy Sentences
303
Notes Rarely The adverb rarely is fronted, which causes the subject to move between the auxiliary verb and the main verb (see inversion in Chapter 10.2). Peter Pan The NP was moved outside the VP, so that the VP is no longer split in two. (1.11) And it was from the school that they fled. (Text 12) s
coord: co conj
And
S: NP
h: pron
it
V: VP
mv: pv
was
A: PP
prep: prep
from
prepC: NP
dtm: det
the
h: n
school
postmod: def rel cl
A: NP
h: rel pron
that
S: NP
h: pron
they
V: VP
mv: fv
fled.
Notes And Although the sentential conjoint itself is incomplete, and links this sentence to the previous one and is hence regarded as a co conj. Alternatively, and could also be interpreted as an adverb: A: AdvP – h: adv. it This it introduces a cleft sentence.
304
11 Practice Makes Perfect
(1.12) Last year there was fierce criticism of the Greek government over its response to the Attica wildfire. (Text 3) s
A: NP
Sgr : NP V: VP Snot : NP
dtm: det
Last
h: n
year
h: pron
there
mv: pv
was
premod: adj
fierce
h: n
criticism
postmod: PP
prep: prep prepC: NP
postmod: PP
of dtm: det
the
premod: adj
Greek
h: n
government
prep: prep prepC: NP
over dtm: det
its
h: n
response
postmod: PP
prep: prep prepC: NP
to dtm: det
the
premod: pn
Attica
h: n
wildfire.
Notes there This is an existential construction introduced by an existential there.
11.1 Easy Sentences
305
(1.13) There are now 101 non-Christian religious state schools in England. (Text 10) s
Sgr : NP V: VP
h: pron mv: pv
There are
A: AdvP
h: adv
now
Snot : NP
dtm: det
101
premod: adj
non-Christian
premod: adj
religious
h: comp n
state schools
A: PP
prep: prep
in
prepC: pn
England.
Notes 101 Or dtm: num. state schools Alternatively, it is also possible to analyze schools as h and state as premod: n.
1
306
11 Practice Makes Perfect
11.2 Moderate Sentences (2.1) The creed was embraced by many of the 19th century’s newly independent Latin American countries. (Text 9) s
S: NP
V: VP
A: PP
dtm: det
The
h: n
creed
aux v: pv
was
mv: fv
embraced
prep: prep
by
prepC: NP
dtm: compl det
many of the
dtm: NP
dtm: det
19th
h: n
century’s
premod: AdjP
premod: adv
newly
h: adj
independent
premod: adj
Latin American
h: n
countries.
Notes many of the In Chapter 3.4, much of the is cited as an example for a complex determiner. By analogy many of the is also analyzed as a complex determiner. Alterna‐ tively, you could analyze the noun phrase as follows:
1
11.2 Moderate Sentences
prepC: NP
307
many
h: pron postmod: PP
prep: prep prepC: NP
of dtm: NP
dtm: det
the
dtm: det
19th
h: n
century’s
premod: AdjP
premod: adv
newly
h: adj
independent
premod: adj
Latin American
h: n
countries.
19th Or dtm: num.
1
308
11 Practice Makes Perfect
(2.2) Identity politics is a valid response to discrimination but, as identities multiply, the politics of each group collides with the politics of all the rest. (Text 8) scomp
conj1 : sentence1
S: NP
V: VP CS : NP
premod: n
Identity
h: n
politics
mv: pv
is
dtm: det
a
premod: adj
valid
h: n
response
postmod: PP
prep: prep
to
prepC: n
discrimination
coord: co conj conj2 : sentence2
but, A: adv cl
S: NP
sub: sub conj
as
S: NP
h: n
identities
V: VP
mv: fv
multiply,
dtm: det
the
h: n
politics
postmod: PP
prep: prep prepC: NP
of dtm: det
each
h: n
group
V: VP
mv: fv
collides
A: PP
prep: prep
with
prepC: NP
dtm: det
the
h: n
politics
postmod: PP
prep: prep prepC: NP
of dtm: det
all
dtm: det
the
h: n
rest.
11.2 Moderate Sentences
309
(2.3) In both cases monopoly power distorts markets in ways that are economically significant, politically potent and ethically unjustifiable. (Text 9) s
A: PP
prep: prep prepC: NP
S: NP
V: VP Od : NP A: PP
In dtm: det
both
h: n
cases
premod: n
monopoly
h: n
power
mv: fv
distorts
h: n
markets
prep: prep
in
prepC: NP
ways
h: n postmod: def rel cl
S: NP
h: rel pron
V: VP
mv: pv
CS : AdjP conjoint
that are conj1 : AdjP1
conj2 : AdjP2
premod: adv
economically
h: adj
significant,
premod: adv
politically
h: adj
potent
coord: co conj conj3 : AdjP3
and premod: adv
ethically
h: adj
unjustifiable.
310
11 Practice Makes Perfect
(2.4) The world is now nearly one degree warmer than it was before widespread industrialisation. (Text 2) s
S: NP
V: VP A: AdvP CS : AdjP
dtm: det
The
h: n
world
mv: pv
is now
h: adv premod: NP
dtm: NP
premod: adv
nearly
h: num
one degree
h: n
warmer
h: adj comp: comp cl
sub: sub conj
than
S: NP
h: pron
it
V: VP
mv: pv
was
A: PP
prep: prep
before
prepC: NP
premod: adj
widespread
h: n
industrialisation.
Notes warmer The comparative form is marked by the inflectional suffix -er instead of the discontinuous premodifier more. But like more, warmer needs to be complemented by a comp cl (see Chapter 6.7, footnote 39).
1
11.2 Moderate Sentences
311
(2.5) His hospital philanthropy always makes him feel sad, and he is angered by the failure of government. (Text 1) scomp
conj1 : sentence1
S: NP
A: AdvP V: VP Od : NP
dtm: det
His
premod: n
hospital
h: n
philanthropy always
h: adv mv: fv
makes
h: pron
CO : nom bare inf cl
him V: VP CS : AdjP
feel
mv: fv h: adj
coord: co conj conj2 : sentence2
sad, and
S: NP
h: pron
he
V: VP
aux v: pv
is
mv: fv
angered
prep: prep
by
A: PP
prepC: NP
dtm: det
the
h: n
failure
postmod: PP
prep: prep
of
prepC: n
government.
Notes makes Make is one of the few verbs after which a bare infinitive clause functions as object complement (CGEL 1067, 15.15).
312
11 Practice Makes Perfect
(2.6) Just as many non-Christians are willing to send their children to Church of England schools. (Text 10) s
S: NP
V: VP
Od : NP
A: PP
dtm: compl det
Just as many
h: pn
non-Christians
aux v: semi aux
are willing to
mv: fv
send
dtm: det
their
h: n
children
prep: prep prepC: NP
to premod: pn
Church of England
h: n
schools.
(2.7) The constant complaints would chip away at the school’s reputation. s
S: NP
V: VP
Oprep : NP
dtm: det
The
premod: adj
constant
h: n
complaints
aux v: mod aux
would
mv: phr-prep v (fv + prep adv + prep)
chip away at
dtm: NP
dtm: det
the
h: n
school’s reputation.
h: n
1
11.2 Moderate Sentences
313
(2.8) When a city lawmaker asked the government why, four years later, the lights still had not been fixed, he received an interesting response. (Text 11) s
A: adv cl
sub: sub conj
When
S: NP
dtm: det
a
premod: n
city
h: n
lawmaker
mv: fv
asked
V: VP Oi : NP
dtm: det
the
h: n
government
Od : nom wh-cl
A: AdvP
h: int adv
A: AdvP
premod: NP
h: adv S: NP
A: AdvP V: VP
why, dtm: det
four
h: n
years later,
dtm: det
the
h: n
lights
h: adv
still
aux v: pv
had
neg: neg part
not
aux v: pv
been
mv: fv
fixed,
S: NP
h: pron
he
V: VP
mv: fv
received
Od : NP
dtm: det
an
premod: adj
interesting
h: n
response.
Notes four Or dtm: num.
1
314
11 Practice Makes Perfect
(2.9) She didn’t know what her two sons, 11 and 15, would do long term. (Text 12) s
S: NP
h: pron
She
V: VP
aux v: pv
did
neg: neg part
n’t
mv: fv
know
Od : nom wh-cl
Od : NP S: NP
h: int pron dtm: det
her
dtm: det
two
h: n
sons,
postmod: num conjoint
V: VP
A: NP
what
conj1 : num1
11
coord: co conj
and
conj2 : num2
15,
aux v: mod aux
would
mv: pv
do
premod: adj
long
h: n
term.
Notes two Or dtm: num.
1
11.2 Moderate Sentences
315
(2.10) (…) The terms of the agreement “were so bad that they didn’t dare put it to Parliament for a vote.”3 (…) (Text 5) s
S: NP
dtm: det
The
h: n
terms
postmod: PP
prep: prep prepC: NP
V: VP CS : AdjP
of dtm: det
the
h: n
agreement
mv: pv
“were
premod: adv
so
h: adj
bad
compl: comp cl
sub: sub conj S: NP
h: pron
they
V: VP
aux v: pv
did
neg: neg part
n’t
aux v: marg mod aux
dare
mv: fv
put
Od : NP A: PP
A: PP
h: pron
it
prep: prep
to
prepC: pn
Parliament
prep: prep
for
prepC: NP
3
that
dtm: det
a
h: n
vote.”
From The New York Times. © [2018] The New York Times Company. All rights reserved. Used under license.
1
316
11 Practice Makes Perfect
(2.11) Such common concerns, uniting America’s 573 recognised tribes, have prolifer‐ ated as Indian economic interests and cultural identity have deepened. (Text 7) s
S: NP
dtm: det
Such
premod: adj
common
h: n
concerns,
postmod (appos): attr -ing-part cl
V: VP
mv: fv
Od : NP
V: VP
A: adv cl
uniting
dtm: pn
America’s
dtm: det
573
premod: adj
recognised
h: n
tribes,
aux v: pv
have
mv: fv
proliferated as
sub: sub conj S: NP conjoint
conj1 : NP1
premod: adj
Indian
premod: adj
economic
h: n
interests
coord: co conj conj2 : NP2
V: VP
and premod: adj
(Indian)
premod: adj
cultural
h: n
identity
aux v: pv
have
mv: fv
deepened.
Notes 573 Or dtm: num. (Indian) Indian refers both to economic interests and cultural identity but was ellipted in the second part of the NP conjoint.
1
11.2 Moderate Sentences
317
(2.12) (…) And that’s why Matsumoto recently found himself armed with an ultra‐ sound wand.4 (…) (Text 13) s
coord: co conj
And
S: NP
h: pron
that
V: VP
mv: pv
’s
CS : nom rel cl
A: AdvP S: NP A: AdvP V: VP Od : NP
why
h: adv h: pn
Matsumoto recently
h: adv
found
mv: fv h: pron
CO : nom -ed-part cl
himself V: VP
mv: fv
armed
A: PP
prep: prep
with
prepC: NP
dtm: det
an
premod: n
ultrasound
h: n
wand.
Notes And Although the sentential conjoint itself is incomplete, and links this sentence to the previous one and is hence regarded as a co conj. Alternatively, and could also be interpreted as an adverb: A: AdvP – h: adv. why A similar example can be found in the CGEL (1058, 15.8): That’s why I don’t go there anymore. himself Himself is a reflexive pronoun.
4
From The Washington Post. © [2018] The Washington Post. All rights reserved. Used under license.
318
11 Practice Makes Perfect
(2.13) Assuaging the anger of the left-behind means realising that places matter, too. (Text 6) s
S: nom -ing-part cl
V: VP Od : NP
Assuaging
mv: fv dtm: det
the
h: n
anger
postmod: PP
prep: prep prepC: NP
V: VP
dtm: det
the
h: n
left-behind means
mv: fv
CS : nom -ing-part cl
of
V: VP
realising
mv: fv
Od : nom that-cl
sub: sub conj
that
S: NP
h: n
places
V: VP
mv: fv
matter,
A: AdvP
h: adv
too.
11.2 Moderate Sentences
319
(2.14) Yet rather than defend the system of alliances and liberal institutions it created after the second world war, America has been neglecting it – and even attacking it. (Text 8) scomp
conj1 : sentence1
A: AdvP
h: adv
A: adv bare inf cl
Yet sub: sub conj V: VP Od : NP
rather than defend
mv: fv dtm: det
the system
h: n postmod: PP
prep: prep
of
prepC: NP conjoint
postmod: def rel cl
Od : NP
conj1 : NP1
alliances
coord: coord conj
and
conj2 : NP2
premod: adj
liberal
h: n
institutions
h: rel pron
(that)
S: NP
h: pron
it
V: VP
mv: fv
created
A: PP
prep: prep prepC: NP
after dtm: det
the
dtm: det
second
h: comp n
world war,
S: NP
h: pn
America
V: VP
aux v: pv
has
aux v: pv
been
mv: fv
neglecting
Od : NP
h: pron
A: AdvP
h: adv
coord: coord conj conj2 : sentence2
h: n
it – and even
S: NP
h: pron
(it)
V: VP
aux v: pv
(has)
aux v: pv
(been)
mv: fv
attacking
Od : NP
h: pron
it.
Notes Scomp The sentence elements in the second conjoin which are not part of the original, elliptic sentence are bracketed here, and it is not necessary to
320
11 Practice Makes Perfect
analyze them. It is done here only for the sake of completeness. The ellipsis strategy has one drawback, though: The adverbial bare infinitve clause is analyzed as part of sentence1 although it refers to both sentence1 and sentence2. (that) In the def rel cl, the rel pron that was omitted in the original sentence. There is no need to analyze the missing, bracketed rel pron as we have done for the sake of clarity. second Or dtm: num. world war The analysis as a compound noun is the preferred option here, but you could also analyze world war as premod + h. If second world war were written in capital letters, an analysis as proper noun would be best.
11.2 Moderate Sentences
321
(2.15) Remote from power, most people are expected to be content with growing material prosperity instead. (Text 8) s
A: adv vless cl
CS : AdjP
h: adj postmod: PP
S: NP
V: VP
Remote prep: prep
from
prepC: n
power,
dtm: det
most
h: n
people
aux v: pv
are
mv: fv
expected
Od : nom to-inf cl
V: VP
CS : AdjP
inf mark: inf mark
to
mv: pv
be
h: adj postmod: PP
content prep: prep prepC: NP
A: AdvP
h: adv
with premod: adj
growing
premod: adj
material
h: n
prosperity instead.
322
11 Practice Makes Perfect
(2.16) But the boom in religiously selective schools sits oddly with another government aim, to deepen religious integration. (Text 10) s
coord: co conj
But
S: NP
dtm: det
the
h: n
boom
postmod: PP
prep: prep prepC: NP
in premod: AdjP
premod: adv
religiously
h: adj
selective
h: n V: VP A: AdvP A: PP
schools sits
mv: fv h: adv
oddly
prep: prep
with
prepC: NP
dtm: det
another
premod: n
government
h: n
aim,
postmod (appos): attr to-inf cl
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
deepen
premod: adj
religious
h: n
integration.
Notes But But can be analyzed as a co conj linking this sentence to the previous one, implying an underlying incomplete sentential conjoint. Alternatively, it may be regarded as an adverb: A: AdvP – h: adv.
11.2 Moderate Sentences
323
(2.17) It was he who gave Carrie her nickname, Pumpkin, when she was a toddler. s
S: NP
h: pron
It
V: VP
mv: pv
was
CS : NP
h: pron
he
postmod: def rel cl
A: adv cl
S: NP
h: rel pron
who
V: VP
mv: fv
gave
Oi : NP
h: pn
Carrie
Od : NP
dtm: det
her
h: n
nickname,
postmod (appos): pn
Pumpkin,
sub: sub conj
when
S: NP
h: pron
she
V: VP
mv: pv
was
CS : NP
dtm: det
a
h: n
toddler.
Notes It Although never explicitly mentioned in the analysis, this is a cleft sentence.
1
324
11 Practice Makes Perfect
(2.18) What isn’t so clear, though, is whether salt belongs in popcorn. s
S: nom rel cl
S: NP
h: pron
What
V: VP
mv: pv
is
neg: neg part
n’t
CS : AdjP
A: AdvP V: VP
premod: adv
so
h: adj
clear, though,
h: adv mv: pv
CS : nom wh-cl
is sub: sub conj
whether
S: NP
h: n
salt
V: VP
mv: fv
belongs
A: PP
prep: prep
in
prepC: n
popcorn.
Notes What This is a pseudo-cleft sentence, a term which is actually not needed in the analysis itself.
1
11.2 Moderate Sentences
325
(2.19) It is hard to escape the impression that Berlin’s government has a certain contempt for its citizens. (Text 11) s
Sant : NP V: VP CS : AdjP
h: pron
It
mv: pv
is
h: adj
Spost : nom to-inf cl
hard V: VP
Od : NP
inf mark: inf mark
to
mv: fv
escape
dtm: det
the impression
h: n postmod: attr that-cl
sub: sub conj S: NP
V: VP Od : NP
that
dtm: pn
Berlin’s
h: n
government
mv: pv
has
dtm: det
a
premod: adj
certain contempt
h: n prostmod: PP
prep: prep prepC: NP
for dtm: det
its
h: n
citizens.
Notes It In this sentence, the clausal subject is extraposed leading to what is called extraposition.
326
11 Practice Makes Perfect
(2.20) This makes it easy for officials to pass the blame for problems back and forth without doing anything about them. (Text 11) s
S: NP
h: pron
This
V: VP
mv: fv
makes
Oant : NP
h: pron
it
CO : AdjP
h: adj
easy
Opost : nom to-inf cl
S: NP
V: VP
Od : NP
subj mark: subj mark
for
h: n
officials
inf mark: inf mark
to
mv: fv
pass
dtm: det
the
h: n
blame
postmod: PP
A: AdvP
prep: prep
for
prepC: n
problems
h: adv conjoint
A: adv -ing-part cl
conj1 : adv1
back
coord: co conj
and
conj2 : adv2
forth
sub: sub conj V: VP Od : NP A: PP
mv: pv h: pron
without doing anything
prep: prep
about
prepC: pron
them.
Notes it/Oant In this sentence, the clausal object is extraposed leading to what is called extraposition.
1
11.2 Moderate Sentences
(2.21) Middle school and high school students will work in a hybrid learning model, doing most of their work online and meeting with teachers as needed in the local mall until a more permanent plan is announced in January. (Text 12)
327
328
11 Practice Makes Perfect
s
S: NP
premod: NP conjoint
conj1 : NP1
premod: adj
Middle
h: n
school
coord: co conj conj2 : NP2
and premod: adj
high
h: n
school
h: n
students
V: VP
aux v: mod aux
will
mv: fv
work
A: PP
prep: prep prepC: NP
in dtm: det
a
premod: adj
hybrid
premod: adj
learning model,
h: n A: adv -ing-part cl conjoint
conj1 : adv -ing-part cl1
V: VP Od : NP
A: AdvP
mv: pv
doing
dtm: compl det
most of their
h: n
work
h: adv
online
coord: co conj
and
conj2 : adv -ing-part cl2
V: VP
mv: fv
meeting
A: PP
prep: prep
with
prepC: n A: adv -ed-part cl
A: PP
sub: sub conj S: NP
V: VP
A: PP
needed
mv: fv
in dtm: det
the
premod: adj
local
h: n
mall until a
dtm: det premod: AdjP
as
V: VP prep: prep prepC: NP
A: adv cl
teachers sub: sub conj
premod: adv
more
h: adj
permanent
h: n
plan
aux v: pv
is
mv: fv
announced
prep: prep
in
prepC: pn
January.
1
11.2 Moderate Sentences
Notes most of their Just like other examples given for complex determiners in Chapter 3.4, most of their also consists of more than one item that could be replaced by a simple determiner (but see also the alternative solution for (2.1)).
329
330
11 Practice Makes Perfect
11.3 Difficult Sentences (3.1) It may have proved decisive in several races won by Democrats by thin margins, including Senate races in Arizona and Montana. (Text 7) s
S: NP
h: pron
It
V: VP
aux v: mod aux
may
aux v: pv
have
mv: fv
proved
CS : AdjP A: PP
h: adj
decisive
prep: prep prepC: NP
in dtm: det
several
h: n
races
postmod: attr -ed-part cl
V: VP
mv: fv
won
A: PP
prep: prep
by
prepC: pn
Democrats
prep: prep
by
A: PP
prepC: NP
A: adv -ing-part cl
V: VP Od : NP
premod: adj
thin
h: n
margins, including
mv: fv premod: pn
Senate
h: n
races
postmod: PP
prep: prep prepC: pn conjoint
in conj1 : pn1
Arizona
coord: co conj
and
conj2 : pn2
Montana.
Notes including Alternatively, the A could be analyzed as a PP with including as marginal preposition (see Chapter 3.6 and 7.1). We could also argue that the -ing-part
11.3 Difficult Sentences
331
cl functions as a postmodifier to the head races. Note that in this positon, the -ing-part cl is an attr -ing-part cl. (3.2) (…) Britain’s Parliament is gripped by a mood of anxiety and suppressed excitement at the prospect of a grave political crisis that looms if, as analysts expect, Mrs. May fails to persuade lawmakers to support her (…) plan.5 (…) (Text 4) s
S: NP
dtm: pn
Britain’s
h: pn
Parliament
aux v: pv
is
V: VP
A: PP
mv: fv
gripped
prep: prep
by
prepC: NP
a
dtm: det h: n postmod: PP
mood prep: prep
of
prepC: NP conjoint
conj1 : NP1
anxiety
h: n
coord: co conj conj2 : NP2
and premod: adj
suppressed excitement
h: n postmod: PP
prep: prep prepC: NP
at dtm: det
the prospect
h: n postmod: PP
prep: prep prepC: NP
of dtm: det
a
premod: adj
grave
premod: adj
political crisis
h: n postmod: def rel cl
S: NP
h: rel pron
that
V: VP
mv: fv
looms
A: adv cl
sub: sub conj A: sent rel cl
if, h: rel pron
Od : NP S: NP
h: n
analysts
V: VP
mv: fv
expect,
S: NP
h: pn
Mrs. May
V: VP
aux v: cat v
fails to
mv: fv
persuade
Oi : NP
h: n
Od : nom to-inf cl
lawmakers V: VP
inf mark: inf mark mv: fv
Od : NP
5
as
to support
dtm: det
her
h: n
plan.
From The New York Times. © [2018] The New York Times Company. All rights reserved. Used under license.
332
11 Practice Makes Perfect
Notes at The PP postmodifies mood rather than excitement as it refers both to a feeling of excitement and a feeling of anxiety. persuade Persuade is a verb that takes an indirect object and a to-inf cl as direct object (CGEL 1215, 16.63). It should not be confused with the monotransitive and complex-transitive constructions described in Chapter 7.6.2.
11.3 Difficult Sentences
333
(3.3) The Camp fire, which grew to 250 square miles before it was fully contained this week, destroyed nearly 14,000 homes. (Text 12) s
S: NP
dtm: det
The
h: comp n
Camp fire,
postmod: non-def rel cl
S: NP
h: rel pron
which
V: VP
mv: fv
grew
A: PP
prep: prep
to
prepC: NP
A: adv cl
h: n
square miles before
h: pron
it
V: VP
aux v: pv
was
mv: fv
contained
h: adv
fully
dtm: det
this
h: n
week, destroyed
mv: fv dtm: NP
h: comp n
S: NP
A: NP
Od : NP
250
sub: sub conj
A: AdvP
V: VP
dtm: num
premod: adv
nearly
h: num
14,000 homes.
Notes Camp fire Camp could also be analyzed as a premodifying noun and fire as the head of the NP. 250 Or dtm: det.
334
11 Practice Makes Perfect
square miles Square could also be analyzed as premodifying noun and miles as the head of the NP. fully The AdvP was moved outside the VP, so it no longer splits the VP in two. (3.4) They have seen each other since then, but they will officially reunite on 3 December when Butte county schools reopen for the first time since the fire began. (Text 12)
11.3 Difficult Sentences
scomp
conj1 : sentence1
335
S: NP
h: pron
They
V: VP
aux v: pv
have
mv: fv
seen
Od : NP A: PP
h: pron
each other
prep: prep
since
prepC: adv
then,
coord: co conj conj2 : sentence2
but S: NP
h: pron
they
V: VP
aux v: mod aux
will
mv: fv
reunite
A: AdvP A: PP
prepC: NP
A: adv cl
officially
h: adv prep: prep
on dtm: det
3
h: n
December
sub: sub conj
when
premod: pn
Butte county
h: n
schools
V: VP
mv: fv
reopen
A: PP
prep: prep
for
S: NP
prepC: NP
A: adv cl
dtm: det
the
dtm: det
first
h: n
time
sub: sub conj
since
S: NP
dtm: det
the
h: n
fire
mv: fv
began.
V: VP
Notes officially The AdvP was moved outside the VP, so it no longer splits the VP in two. 1 3
336
11 Practice Makes Perfect
Or dtm: num. first Or dtm: num. since This adv cl could also refer to the first time, postmodifying the NP head time. The problem is, however, that adverbial clauses cannot serve as attributive subordinate clauses as necessary for postmodifiers. (3.5) (…) Whale sharks may be the most thick-skinned critters on the planet, with hides nearly 10 inches thick in places. 6 (…) (Text 13) s
S: NP
h: comp n
Whale sharks
V: VP
aux v: mod aux
may
mv: pv
be
CS : NP
dtm: det
the
premod: AdjP
premod: adv
most
h: adj
thick-skinned critters
h: n prep: prep
postmod: PP
prepC: NP
A: PP
on dtm: det
the
h: n
planet,
prep: prep prepC: NP
with h: n postmod: AdjP
hides premod: NP
dtm: NP
h: n h: adj postmod: PP
6
premod: adv
nearly
h: num
10 inches thick
prep: prep
in
prepC: n
places.
From The Washington Post. © [2018] The Washington Post. All rights reserved. Used under license.
11.3 Difficult Sentences
337
Notes Whale sharks Whale could also be analyzed as premodifying noun and sharks as head of the NP. the The is actually part of the superlative form the most. Lacking a better solution, it is, however, analyzed as a determiner of the head of the NP. with Assuming with hides nearly 10 inches thick in places is an elliptic version of with hides being nearly 10 inches thick in places, this structure could also be interpreted as a verbless clause (see Chapter 7.5) in which with functions as a sub conj (see Chapter 3.7): A: adv vless cl
sub conj: sub conj
with
S: NP
hides
CS : AdjP
h: n premod: NP
dtm: NP
h: n h: adj postmod: PP
premod: adv
nearly
h: num
10 inches thick
prep: prep
in
prepC: n
places
338
11 Practice Makes Perfect
(3.6) Scientists say we ought to eat less meat because of the carbon emissions the meat industry produces, as well as other negative environmental impacts. (Text 2) s
S: NP V: VP
h: n
Scientists
mv: fv
say
Od : nom that-cl
sub: sub conj S: NP
h: pron
we
V: VP
aux v: marg mod aux
ought to
mv: fv
eat
Od : NP
A: PP
(that)
premod: adj
less
h: n
meat
prep: compl prep prepC: NP conjoint
because of conj1 : NP1
dtm: det
the
premod: n
carbon
h: n
emissions
postmod: def rel cl
Od : NP S: NP
V: VP coord: co conj conj2 : NP2
h: rel pron
(that)
dtm: det
the
premod: n
meat
h: n
industry
mv: fv
produces, as well as
premod: adj
other
premod: adj
negative
premod: adj
environmental
h: n
impacts.
Notes (that) (after ‘say’) In the nom that-cl, the subordinator is omitted. However, you are not obliged to add the missing subordinator, let alone analyze it.
11.3 Difficult Sentences
339
(that) (after ‘emissions’) The defining relative clause is introduced by a zero rel pron which does not have to be analyzed and is added here only for the sake of completeness. (3.7) They were supposed to teach best practice to farmers and factory managers in small towns and rural areas. (Text 6) s
S: NP
h: pron
They
V: VP
aux v: semi aux
were supposed to
mv: fv
teach
Od : NP
A: PP
premod: adj
best
h: n
practice
prep: prep prepC: NP conjoint
to conj1 : NP1
h: n
coord: co conj conj2 : NP2 :
A: PP
and premod: n
factory
h: n
managers
prep: prep prepC: NP conjoint
farmers
in conj1 : NP1
premod: adj
small
h: n
towns
coord: co conj conj2 : NP2
and premod: adj
rural
h: n
areas.
Notes to The indirect object comes after the direct object. In this position, it is preceded by the preposition to and hence must be analyzed as an adverbial (see Chapter 1.3).
340
11 Practice Makes Perfect
(3.8) (…) This could mean that she and her fellow females were at the beginning of their reproductive cycles and about to go mate offshore. 7 (…) (Text 13) s
S: NP
h: pron
This
V: VP
aux v: mod aux
could
mv: fv
mean
Od : nom that-cl conjoint
conj1 : nom that-cl1
sub: sub conj S: NP conjoint
that conj1 : NP1
h: pron
she
coord: co conj conj2 : NP2
V: VP
mv: pv
A: PP
prep: prep prepC: NP
and dtm: det
her
premod: adj
fellow
h: n
females were at
dtm: det
the beginning
h: n postmod: PP
prep: prep prepC: NP
coord: co conj conj2 : nom that-cl2
their
premod: adj
reproductive
h: n
cycles and
sub: sub conj S: NP
h: pron
V: VP
aux v: semi aux mv: fv conjoint
A: AdvP
7
of dtm: det
h: adv
(that) (they) (were) about to conj1 : fv1
go
coord: co conj
(and)
conj2 : fv2
mate offshore.
From The Washington Post. © [2018] The Washington Post. All rights reserved. Used under license.
11.3 Difficult Sentences
341
(3.9) (…) So although scientists have learned recently that young whale sharks tend to hang out in just a handful of hot spots scattered across the world’s temperate zones, we know almost nothing about how whale sharks make baby whale sharks. 8 (…) (Text 13) s
coord: co conj A: adv cl
So
sub: sub conj
although
S: NP
h: n
scientists
V: VP
aux v: pv
have
mv: fv
learned
A: AdvP
recently
h: adv
Od : nom that-cl
sub: sub conj S: NP
V: VP
A: AdvP A: PP
that
premod: adj
young
h: comp n
whale sharks
aux v: cat v
tend to
mv: phr (fv + prep adv)
hang out just
h: adv prep: prep prepC: NP
in dtm: compl det
a handful of
h: comp n postmod: attr -ed-part cl
hot spots V: VP
mv: fv
A: PP
prep: prep prepC: NP
scattered across dtm: NP
dtm: det
the
h: n
world’s
premod: adj
temperate
h: n
zones,
S: NP
h: pron
we
V: VP
mv: fv
know
Od : NP
A: PP
premod: adj
almost
h: pron
nothing
prep: prep prepC: attr wh-cl
about A: AdvP
how
S: NP
h: comp n
whale sharks
V: VP
mv: fv
make
Od : NP
8
h: int adv
premod: n
baby
h: comp n
whale sharks.
From The Washington Post. © [2018] The Washington Post. All rights reserved. Used under license.
342
11 Practice Makes Perfect
Notes So The CGEL notes that so is best regarded as a linking adverbial. This also applies when so introduces a sentence and thus links two separate sentences. However, the authors also point out that so is more coordinator-like than other linking adverbials and sometimes even called a “semi-coordinator” (928, 13.19 and 642, 8.144). Hence, it could also be analyzed as coord: co conj. whale sharks Whale could also be analyzed as premodifying noun and sharks as head of the NP. just We decided to analyze just as a separate A in the nom that-cl since it is comparatively flexible with regard to position while maintaining pretty much the original meaning. Also, possible alternative solutions have to be discarded because they entail serious structural flaws: ■
making just part of the following PP (in a handful of…) still requires a change of position and would mean introducing a premod in a PP; ■ including just in the dtm would call for a premodifier inside some sort of “dtm phrase”.
Note that neither of the two constructions can be found in the regular CGEL phrase structures. a handful of A handful of is similar to a lot of and was interpreted as a complex determiner (see Chapter 3.4). about Alternatively, the PP could be classified as a postmod of nothing.
11.3 Difficult Sentences
343
(3.10) He heads out to the cashier to settle the bills of eight patients. (Text 1) s
S: NP
h: pron
He
V: VP
mv: phr v (fv + prep adv)
heads out
A: PP
prep: prep
to
prepC: NP
A: adv to-inf cl
dtm: det
the
h: n
cashier
V: VP
Od : NP
inf mark: inf mark
to
mv: fv
settle
dtm: det
the
h: n
bills
postmod: PP
prep: prep prepC: NP
Notes eight Or dtm: num.
1
of dtm: det
eight
h: n
patients.
344
11 Practice Makes Perfect
(3.11) The family, who lost their home in the fire, is looking at opportunities in Chico and letting the boys decide where they want to go to school. (Text 12) scomp
conj1 : sentence1
S: NP
dtm: det
The
h: n
family,
postmod: non-def rel cl
S: NP
h: rel pron
who
V: VP
mv: fv
lost
Od : NP
A: PP
dtm: det
their
h: n
home
prep: prep prepC: NP
V: VP
A: PP
in dtm: det
the
h: n
fire,
aux v: pv
is
mv: fv
looking
prep: prep prepC: NP
at opportunities
h: n postmod: PP
prep: prep
in
prepC: pn
Chico
coord: co conj conj2 : sentence2
and S: NP
h: pron
(they)
V: VP
aux v: pv
(are)
mv: fv
letting
Od : NP
dtm: det
the
h: n
boys
CO : nom bare inf cl
V: VP
mv: fv
Od : nom rel cl
decide A: AdvP
h: adv
S: NP
h: pron
V: VP
mv: fv
Od : nom to-inf cl
where they want V: VP
A: PP
inf mark: inf mark
to
mv: fv
go
prep: prep
to
prepC: n
school.
Notes letting Let is one of the few verbs after which a bare infinitive clause functions as object complement (CGEL 1205, 16.52).
11.3 Difficult Sentences
345
looking at To look at can also be analyzed as a prepositional verb. (3.12) Frank’s eccentricity manifests itself in having to watch, count, video and catalogue drones, which helps him control his anger. s
S: NP
V: VP Od : NP A: PP
dtm: n
Frank’s
h: n
eccentricity
mv: fv
manifests
h: pron
itself
prep: prep prepC: attr -ing-part cl
in V: VP
mv: fv conjoint
Od : NP
having to
aux v: semi aux conj1 : fv1
watch,
conj2 : fv2
count,
conj3 : fv3
video
coord: co conj
and
conj4 : fv4
catalogue drones,
h: n
A: sent rel cl
S: NP
h: rel pron
which
V: VP
mv: fv
helps
Od : NP
h: pron
CO : nom bare inf cl
him V: VP Od : NP
mv: fv
control
dtm: det
his
h: n
anger.
Notes itself Itself is a reflexive pronoun. helps Help can either be followed by a to-inf cl or, as is the case here, by a bare inf cl which functions as an object complement (CGEL 1205, 16.52).
346
11 Practice Makes Perfect
(3.13) (…) It could mean that they were at the end of the cycle, in which case mating would have already occurred. 9 (…) (Text 13) s
S: NP
h: pron
It
V: VP
aux v: mod aux
could
mv: fv
mean
Od : nom that-cl
sub: sub conj
that
S: NP
h: pron
they
V: VP
mv: pv
were
A: PP
prep: prep
at
prepC: NP
dtm: det
the
h: n
end
postmod: PP
prep: prep prepC: NP
A: sent rel cl
A: PP
prep: prep prepC: NP
of dtm: det
the
h: n
cycle, in
dtm: rel det
which
h: n
case
S: NP
h: n
mating
V: VP
aux v: mod aux
would
aux v: pv
have
mv: fv
occurred
A: AdvP
h: adv
already.
Notes already The AdvP was moved outside the VP, so it no longer splits the VP in two.
9
From The Washington Post. © [2018] The Washington Post. All rights reserved. Used under license.
11.3 Difficult Sentences
347
(3.14) It is not clear exactly how many people they saved from the fire, but Interior Minister Alexis Charitsis said the three, along with Greek colleagues, had rescued “dozens of our compatriots”. (Text 3) scomp
conj1 : sentence1
Sant : NP V: VP
CS : AdjP
h: pron
It
mv: pv
is
neg: neg part
not
h: adj
Spost : nom wh-cl
clear A: AdvP
h: adv
exactly
Od : NP
dtm: int det
how many
h: n
people
h: pron
they
V: VP
mv: fv
saved
A: PP
prep: prep
S: NP
from
prepC: NP
dtm: det
the
h: n
fire,
coord: co conj conj2 : sentence2
but S: NP
V: VP
premod (appos): comp n
Interior Minister
h: pn
Alexis Charitsis
mv: fv
said
Od : nom that-cl
sub: sub conj
(that)
S: NP
dtm: det
the
h: num
three,
prep: compl prep
along with
prepC: NP
premod: adj
Greek
h: n
colleagues,
A: PP
V: VP
Od : NP
aux v: pv
had
mv: fv
rescued
h: num postmod: PP
"dozens prep: prep prepC: NP
of dtm: det
our
h: n
compatriots".
348
11 Practice Makes Perfect
Notes It The actual subject of the sentence, viz. the nominal wh-clause, was post‐ poned by means of extraposition. Interior Minister Alternatively, Interior can be classified as nominal premodifier and Minister as head of the NP. (that) The subordinator is omitted in the original nominal that-clause and does not have to be analyzed.
11.3 Difficult Sentences
349
(3.15) A child born in the bottom 20 percent in wealthy San Francisco has twice as much chance as a similar child in Detroit of ending up in the top 20 percent as an adult. (Text 6) s
S: NP
dtm: det
A
h: n
child
postmod: attr -ed-part cl
V: VP
mv: fv
born
A: PP
prep: prep
in
prepC: NP
dtm: NP
dtm: det
the
premod: adj
bottom
h: num
20 percent
h: n A: PP
prep: prep prepC: NP
V: VP Od : NP
in premod: adj
wealthy
h: pn
San Francisco
mv: pv
has
dtm: compl det
twice as much
h: n compl: comp cl
chance sub: sub conj
as
S: NP
dtm: det
a
premod: adj
similar
h: n postmod: PP
postmod: PP
child prep: prep
in
prepC: pn
Detroit
prep: prep prepC: attr -ing-part cl
of V: VP
mv: phr v (fv + prep adv)
A: PP
prep: prep prepC: NP
in dtm: NP
h: n A: PP
prep: prep prepC: NP
ending up
dtm: det
the
premod: adj
top
h: num
20 percent as
dtm: det
an
h: n
adult.
350
11 Practice Makes Perfect
Notes of The PP of ending up […] postmodifies chance despite the fact that it was separated from the noun by the comp cl. (3.16) As long as I live, and can, I will be trying to do good for Greece. (Text 3) s
A: AdvP
premod: adv
As
h: adv
long
compl: comp cl
as
sub: sub conj S: NP
h: pron
V: VP conjoint
I conj1 : VP1
mv: fv
coord: co conj conj2 : VP2
live, and
aux v: mod aux
can,
S: NP
h: pron
I
V: VP
aux v: mod aux
will
aux v: pv
be
mv: fv
trying
Od : nom to-inf cl
V: VP
Od : NP A: PP
inf mark: inf mark
to
mv: fv
do
h: n
good
prep: prep
for
prepC: pn
Greece.
Notes can Can may only function as aux v, which means that the main verb itself is missing.
11.3 Difficult Sentences
351
(3.17) Ms Haaland, a veteran activist from New Mexico and member of the Laguna Pueblo tribe, will enter the House of Representatives alongside Sharice Davids, a lawyer, martial-arts specialist and member of the Ho-Chunk tribe from Kansas. (Text 7) s
S: NP
h: pn
Ms Haaland,
postmod (appos): NP
dtm: det
a
premod: n
veteran activist
h: n postmod: PP
postmod (appos): NP
prep: prep
from
prepC: pn
New Mexico
ind appos: ind appos
and
dtm: det
(a)
h: n postmod: PP
member prep: prep prepC: NP
V: VP
Od : NP
A: PP
of dtm: det
the
premod: pn
Laguna Pueblo
h: n
tribe,
aux v: mod aux
will
mv: fv
enter
dtm: det
the
h: pn
House of Representatives
prep: prep prepC: NP
alongside h: pn postmod (appos): NP
postmod (appos): NP
postmod (appos): NP
Sharice Davids, dtm: det
a
h: n
lawyer,
dtm: det
(a)
premod: n
martial-arts
h: n
specialist
ind appos: ind appos
and
dtm: det
(a)
h: n postmod: PP
member prep: prep prepC: NP
of dtm: det
the
premod: pn
Ho-Chunk
h: n postmod: PP
tribe prep: prep
from
prepC: pn
Kansas.
352
11 Practice Makes Perfect
Notes a (after ‘Ms Haaland,’) The indefinite article a does not only refer to veteran activist but also to member and is therefore inserted in parentheses. veteran Or premod: adj. and As a veteran activist from New Mexico and member of the Laguna Pueblo tribe have the same referent, namely Ms Haaland, and is not indicative of coordination but of apposition. a (after ‘Sharice Davids,’) The indefinite article a also refers to specialist and member and is therefore inserted in parentheses. (3.18) But knowing how, where and when criminals strike could help protect the neighborhood. s
coord: co conj S: nom -ing-part cl
But V: VP
Od : nom wh-cl
V: VP
knowing
mv: fv A: AdvP
h: int adv conjoint
conj1 : int adv1
how,
conj2 : int adv2
where
coord: co conj
and
conj3 : int adv3
when
S: NP
h: n
criminals
V: VP
mv: fv
strike
aux v: mod aux
could
mv: fv
help
CO : nom bare inf cl
V: VP Od : NP
mv: fv
protect
dtm: det
the
h: n
neighborhood.
11.3 Difficult Sentences
Notes But But can be analyzed as a co conj linking this sentence to the previous one, implying an underlying incomplete sentential conjoint. Alternatively, it may be regarded as an adverb: A: AdvP – h: adv. help Help can either be followed by a to-inf cl or, as in this case, by a nom bare inf cl (CGEL 1205, 16.52). However, nom bare inf cl cannot function as Od (as one might consider an option for this sentence) but only as S in pseudo-cleft sentences, CS or CO (see Chapter 7.4). Since the first two functions can be ruled out, the CO is the only viable option. Note, however, that we need to postulate an elliptic object to be complemented by the clause for this solution to work.
353
References Primary Sources Text 1: P RESSLY, Linda (2018) “The ‘Angel’ Who Secretly Pays Patients’ Hospital Bills” BBC News Dec. 21 (last accessed July 15, 2021). © BBC Text 2: S TYLIANOU, Nassos, G UIBOURG, Clara, D UNFORD, Daniel & R ODGERS, Lucy (2018) “Climate Change: Where We Are in Seven Charts and What You Can Do to Help” BBC News Dec. 2 (last accessed July 15, 2021). © BBC Text 3: “Greek Citizenship for Migrants Who Saved Lives in Wildfire” (2019) BBC News Jan. 2 (last accessed July 15, 2021). © BBC Text 4: C ASTLE, Stephen (2018a) “Facing Brexit Defeat, Theresa May Turns to Damage Control” The New York Times Dec. 3 (last accessed July 15, 2021). Text 5: C ASTLE, Stephen (2018b) “Facing Defeat, Theresa May Delays Brexit Vote in Parliament” The New York Times Dec. 10 (last accessed July 15, 2021). Text 6: “The Right Way to Help Declining Places” (2017) The Economist Oct. 21 (last accessed July 15, 2021). Text 7: “The Rise of Native American Politicians” (2018) The Economist Dec. 1 (last accessed July 15, 2021). Text 8: “A Manifesto for Renewing Liberalism” (2018) The Economist Sept. 13 (last accessed July 15, 2021). Text 9: “The Economist at 175” (2018) The Economist Sept. 13 (last accessed July 15, 2021). Text 10: “New Types of Religious State School Deepen Segregation” (2018) The Economist Dec. 1 (last accessed July 15, 2021).
356
References
Text 11: “Why Is Berlin so Dysfunctional?” (2017) The Economist Dec. 2 (last accessed July 15, 2021). Text 12: A NGUIANO, Dani (2018) “California: 32,000 Kids Return to Class on Monday after Wildfires Hit Schools” The Guardian Dec. 1 (last accessed July 15, 2021). Copyright Guardian News & Media Ltd 2021 Text 13: B ITTEL, Jason (2018) “Watch a Diver Perform the First Undersea Ultrasound on the World’s Biggest Shark” The Washington Post Nov. 6 (last accessed July 15, 2021).
Secondary Sources A ARTS, Florent G.A.M. & A ARTS, Jan (1988) English Syntactic Structures: Functions and Categories in Sentence Analysis. New York: Prentice Hall. H UDDLESTON, Rodney D. & P ULLUM, Geoffrey K. (2002) The Cambridge Grammar of the English Language. Cambridge: Cambridge University Press. K ORTMANN, Bernd (2009) English Linguistics: Essentials. Berlin: Cornelsen Verlag. Q UIRK, Randolph, G REENBAUM, Sidney, L EECH, Geoffrey & S VARTVIK, Jan (1985) [CGEL] A Comprehensive Grammar of the English Language. London: Longman. U NGERER, Friedrich, M EIER, Gerhard E. H., S CHÄFER, Klaus & L ECHLER, Shirley B. (1984) A Grammar of Present-Day English. Stuttgart: Klett.
Secondary Online Sources Cambridge Dictionary online: (last accessed June 9, 2021). Merriam Webster online: (last accessed June 9, 2021). Oxford Learner’s Dictionary online: (last accessed June 9, 2021). S IMPSON, Adam J. (2014) “How to help learners of English to understand prepo‐ sitions” British Council Aug. 26 (last accessed June 9, 2021).
Index a-adjective 65 a-adverb 65 absolute participle 78 adjective (adj) 60 adjective phrase (AdjP) 40 adnominal relative clause 139 adverb (adv) 63 adverbial (A) 25 adverbial bare infinitive clause (adv bare inf cl) 207 adverbial clause (adv cl) 114, 117, 124 adverbial -ed-participle clause (adv -ed-part cl) 194 adverbial -ing-participle clause (adv -ing-part cl) 184 adverbial relative clause 157 adverbial to-infinitive clause (adv to-inf cl) 201 adverbial verbless clause (adv vless cl) 210 adverb phrase (AdvP) 40 alternative interrogative clause 127 antecedent 130, 141 anticipatory focus 282 anticipatory object (Oant) 285 anticipatory pronoun 283 anticipatory subject (Sant) 283 appended coordination 257 apposition 223 appositive (that-)clause 136 appositive clause 229 appositive of-phrase 235 appositive postmodifier/postmod (appos) 223
appositive premodifier/premod (appos) 223 asyndetic coordination 244 attachment rule 180 attributive -ed-participle clause (attr -ed-part cl) 197 attributive -ing-participle clause (attr -ing-part cl) 190 attributive relative clause (attr rel cl) 139 attributive that-clause (attr that-cl) 135 attributive to-infinitive clause (attr to-inf cl) 205 attributive wh-clause (attr wh-cl) 129 auxiliary verb (aux v) 43 avalent 68 bare infinitive clause (bare inf cl) 207 catenative verb (cat v) 94 central adjective 61 central determiner 69 central modal 91 clausal apposition 229 clause 107 cleft sentence proper 278 combinatory meaning 246 common noun 58 comparative clause (comp cl) 120, 163 comparative element (comp-element) 163 complementation (compl) 50 complex coordination 257 complex determinative 52
358
Index
complex determiner (compl det) 70 complex preposition (compl prep) 72 complex sentence 110 complex subordinator/subordinating conjunction (compl sub conj) 75 compound noun (comp n) 47, 58 compound sentence (Scomp) 110, 248 conjoin (conj) 241 conjoint 241 conjoint strategy 263 coordination (coord) 241 coordinator/coordinating conjunction (co conj) 74, 241 copular verb 96 correlative coordinator/correlative 74, 246 correlative subordinator/subordinating conjunction (correl sub conj) 75 defining/restrictive relative clause (def rel cl) 139 dependent clause 111 determinative (dtm) 38 determiner (det) 69 direct object (Od) 25 discontinuous premodifier 164 divided focus 277 -ed-participle clause (-ed-part cl) 193 ellipsis strategy 259 embedded clause 111 embedding 48 end-focus 272 endocentric phrase 36 endorsing item 74, 246 end-weight 272 exclamative wh-clause 127 existential construction 288
existential there (exist. there) 288 exocentric phrase 37 extraposed object/postponed object (Opost) 283, 285 extraposed subject/postponed subject (Spost) 283 extraposition 282 finite clause 112, 123 fixed word order 271 free combination 99 fronting 273 full inversion/subject-verb inversion 274 full verb (fv) 43, 88 general abstract noun 136, 158, 231 genitive (noun, Gen.) 53 gerund/gerundival/gerundial clause 179 grammatical subject (Sgr) 289 head (h) 38 headed phrase 36 hypotaxis 242 independent clause 110 indicator of apposition (ind appos) 233 indirect object (Oi) 25 indirect question 127 infinitive marker (inf mark) 83, 199 -ing-participle clause (-ing-part cl) 180 interpolated coordination 257 interrogative adverb (int adv) 133 interrogative determiner (int det) 132 interrogative pronoun (int pron) 132 main verb (mv) 43
Index
marginal modal auxiliary (marg mod aux) 92 marginal preposition (marg prep) 73 modal auxiliary verb (mod aux) 43, 88 modal idiom (mod id) 93 multiple sentence 110 multi-word verb 99 negation (neg) 83 negative particle (neg part) 83 nominal bare infinitive clause (nom bare inf cl) 207 nominal clause 114 nominal -ed-participle clause (nom -ed-part cl) 194 nominal -ing-participle clause (nom -ing-part cl) 184 nominal relative clause (nom rel cl) 148 nominal that-clause (nom that-cl) 135 nominal to-infinitive clause (nom to-inf cl) 201 nominal verbless clause (nom vless cl) 210 nominal wh-clause (nom wh-cl) 129 non-defining/non-restrictive relative clause (non-def rel cl) 139 non-finite clause 112, 179 non-headed phrase 37 notional subject (Snot) 181, 289 noun phrase (NP) 37 numeral (num) 79 object complement (CO) 25 overt subject 181 parataxis 242 partial inversion/subject-operator inversion 276
359
participle 61 peripheral adjective 61 phrasal apposition 225 phrasal-prepositional verb (phr-prep v) 104 phrasal verb (phr v) 100 phrase 36, 107 postdeterminer 69 postmodifier (postmod) 39 postponed object (Opost) → extraposed object/postponed object (Opost) postponed subject (Spost) 283, → ex‐ traposed subject/postponed subject (Spost) postpositive/postposed adjective 62, 147, 170 predeterminer 69 premodifier (premod) 39 preposition (prep) 45, 72 prepositional adverb (prep adv) 100 prepositional complement (prepC) 45 prepositional object (Oprep) 32, 102 prepositional phrase (PP) 45 prepositional verb (prep v) 101 primary verb (pv) 43, 96 pronoun (pron) 66 prop/dummy it 68 proper noun (pn) 58 pseudo-cleft sentence 281 quasi-coordinator 246 raised object 218 relative adverb (rel adv) 79, 145 relative determiner (rel det) 146 relative pronoun (rel pron) 67, 140 rheme 272
360
Index
scene-setting effect 273 segregatory meaning 246 semi-auxiliary verb (semi aux) 93 semi-coordinator 246 sentence 110 sentential relative clause (sent rel cl) 156 seven basic sentence patterns 29 shift strategy 267 simple sentence 110 simple subordinator 75 stranded preposition 144 subject (S) 25 subject complement (CS) 25 subject marker (subj mark) 203 subject-operator inversion 276 subject-verb inversion 274 subordinate clause 111 subordination (sub) 113 subordinator/subordinating conjunction (sub conj) 74, 114 syndetic coordination 244
that-clause (that-cl) 135 theme 272 to-infinitive clause (to-inf cl) 199 transitivity 31 valency 31 verb (V) 25 verbal idiom 99 verbless clause (vless cl) 112, 210 verb phrase (VP) 42 wh-clause (wh-cl) 126 wh-element 132 wh-interrogative clause 126 word of unique function 83 yes-no interrogative clause 127 zero relative pronoun (zero rel pron) 143 zero-valency 68
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