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Ling 110, Section 3 (Syntax II)

February 24, 2006.

Homework: 3.8 (p.146), 3.9 (p.162), 3.11 (pp.186-7) due at 9 am on Thursday

I. Phrase Structure Rules and the X-bar Theory

• A list of phrase structure rules in English (p. 175)

(1) Sentence -> DP VP

(2) PP -> P DP
(3) AP -> A (PP)
(4) NP -> N (PP)
(5) DP -> D NP
Name
Pronoun
(6) NP -> A NP
(7) VP -> V (DP) ( PP )
CP
(8) CP -> C Sentence

• X-bar theory: Every phrase XP has a head X.

(9) XP -> X YP (in English)

English exhibits consistent head-initial phrase structure while Japanese has consistent
head-final phrase structure [head-directionality parameter].

• Introducing TP and the Specifier

So called “X-bar theory” works for all of the structures we have considered thus
far...except for one. What about the very top level, “Sentence”? We also haven’t said
anything about where auxiliaries go. Consider the following:

(10) Sentence -> DP Aux VP

This doesn’t look anything like X-bar theory. But we may call a “sentence” an AuxP:

(11) AuxP -> DP Aux VP

Now, we have an XP on the left of the arrow, and an X on the right, which conforms to the
X-bar theory. What about simple sentences like “Ophelia swam” with no auxiliary verb in
it? We will posit for now that Aux hosts “Past Tense”. Auxiliary verbs and Tense
morphemes are generated in the same position. We will conclude by calling the category
that hosts Auxiliaries and Tense morphemes a TP (for Tense Phrase).
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(12) TP -> DP T VP
(13) CP -> C TP

But unlike the phrase structure rules given (2-8) above, the head X is not the first element
of the XP in (12). We call the DP in (12) a Specifier. Specifiers do not occur in every XP,
but when they do, they may precede the head. For now, the categories with specifiers we
will consider are TP, as above, and DP (when there is a possessor).

• A general template of X-bar structure:

(14) XP

Specifier X’

X … (where ‘…’ represents the complement(s) of X)

- A subject is a specifier of a TP.

- A possessor is a specifier of a DP.

• Finally, a comparison of tree diagrams for English and Japanese sentences:

(15) English Phrase Structure (Head-initial)

TP

DP T’

Chris T VP

PAST V PP

talked P DP

with Pat

(16) Japanese Phrase Structure (Head-final)

TP

DP T’

Chris-ga VP T
Nom
PP V -ta
DP P PAST
hanasi
Pat to ‘talk’
‘with’
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Exercise: Draw tree diagrams for the following sentences. If a sentence is structurally
ambiguous, distinguish the meaning and draw a tree for each meaning.

(17) Mary believes that her brother will pass the exam.

TP

DP T’

Mary T VP

[present] V CP

believes C TP

that DP T’

DP D’ T VP

her D NP will V DP

N pass D NP

brother the N

exam
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(18) John saw the man with the binoculars.

Interpretation A: John saw the man who was holding the binoculars.

A.
TP

DP T’

John T VP

[past] V DP

saw D NP

the N PP

man P DP

with D NP

the N

binoculars
Interpretation B: John used the binoculars to see the man.

B.
TP

DP T’

John T VP

[past] V DP PP

saw D NP P DP

the N with D NP

man the N

binoculars
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II. Constituency Tests

Syntactic trees encode constituency, that is, it encodes what sequence of words forms a
constituent.

(19) Definition of Constituent:

A set of nodes exhaustively dominated by a single node.

Constituency Tests: If a string X successfully passes following tests, X is a constituent.

ex.) The kid will eat his lunch at the party.

A. Movement tests
If you move string X and the sentence is not ill-formed, then X is a constituent.

(20) [At the party], the kid will eat his lunch ____ .

(21) * [At the], the kid will eat his lunch ____ party.

B. Substitution tests
If you substitute string X by an appropriate pro-form and the sentence is not ill-formed,
then X is a constituent.

(22) He will eat his lunch at the party.

(23) The kid will eat it at the party.
(24) The kid will eat his lunch there.
(25) Mary will [eat lunch at the party] and John will do so, too.
(26) * Mary will [eat] lunch at the party and John will do so dinner at the party.
(27) * The he his lunch at the party.
(*he = kid will eat)

Movement + Substitution

(28) Where will the kid eat his lunch?

(29) What will the kid eat at the party?

C. Coordination tests
Only constituents of the same category can be conjoined.
If string X can be coordinated in a new sentence with a similar string Y and the result
is not ill-formed, then X is likely to be a constituent (of the same category as Y).

(30) The kid and his sister will eat their lunch at the party.
(31) * Oberon lived in the and ruled over the forest.
(32) * The scribe wrote to his wife and a book.
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Exercise: Apply the constituency tests to the sentence in (18) and see if the test results
confirm the two different structures you provided for the two different meanings.

Interpretation A: John saw the man who was holding the binoculars. (Tree A in (18))
Interpretation B: John used the binoculars to see the man. (Tree B in (18))

Given the two tree diagrams A and B on p.4, we can make the following predictions in
terms of constituency.

Prediction1

The string the man with the binoculars is a constituent under interpretation A, but not
under interpretation in B.

• The movement test confirms our prediction. The man with the binoculars can be
moved as a unit only under interpretation A, but not under interpretation B.

(33) The man with the binoculars, John saw.

(But, the man with the telescope, John didn’t see.)

Æ (33) is no longer ambiguous. It has interpretation A only.

• The substitution test confirms our prediction. The man with the binoculars can be
replaced by a pronoun him only under interpretation A, but not under interpretation
B.

Prediction 2

The string the man is a constituent under interpretation B, but not under interpretation A.

• The movement test confirms our prediction. the man can be moved as a unit only
under interpretation B, but not under interpretation A.

(34) The man, John saw with the binoculars.

(But the woman, John saw with the telescope.)

Æ (34) is no longer ambiguous. It has interpretation B only.

• The substitution test confirms our prediction. The man can be replaced by a
pronoun him only under interpretation B, but not under interpretation A.

(35) John saw him with the binoculars1.

Æ (35) is no longer ambiguous. It has interpretation B only.

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(35) under interpretation A may be possible for some people under certain contexts.