ANALYSING SENTENCES

An Introduction to English Syntax

CHAPTERS
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

Sentence structure: constituents

Sentence structure: functions
Sentence structure: categories
The basic Verb Phrase
Adverbials and other matters
More on verbs: auxiliary VPs (Part 2)
The structure of Noun Phrases
Sentences within sentences
Wh-clauses
Non-finite clauses (Part 2)

1. SENTENCE STRUCTURE:
CONSTITUENTS

STRUCTURE

When something has structure it is said to be

complex. We can say that:
It

is divisible into parts (constituents)

There are different kinds (categories) of parts
The parts are arranged in a specific way
Each part has a specific function in the structure of the
whole thing

Structure is very important:

A

bicycle consists not just of its components (metals tubes,

spokes, chain etc.) but the structure of the pieces arranged
in a certain way.

In linguistics, the syntax of a language aims to

explain why some strings of words are acceptable and
others not.

We use tree diagrams to describe the relationship

between the constituents and the whole structure
Immediate constituents are directly linked in a tree
diagram
[1] Old Sam sunbathed beside a stream

If

each word is an individual constituent of this sentence,

then words should be able to be cut from the end to leave a
valid sentence.
As this isn't true, this sentence has a hierarchal structure
The words are immediate constituents of groups of words,
phrases, which in turn are the immediate constituents of
the sentence.

While sentences contain words, they dont consist of

words. They consist of phrases.

ESTABLISHING CONSTITUENTS

[2] Martha smiled invitingly.

can be removed from this sentence to form

another valid sentence.
Martha and smiled however can not.
It is said that invitingly is an optional part of this sentence
(and a constituent), and Martha and smiled are obligatory.
Invitingly

In [1], the sequence of words beside a stream can be

removed together, and therefore is also an optional
constituent (although the individual words are not
optional).
A phrase is a sequence of words which can function as
constituents in a sentence, sometimes of other phrases.
Tree diagrams are also called phrase markers as they
mark the constituent phrases in a sentence.

If a sequence of words can be omitted from a sentence (or moved) to

leave another valid sentence, that is evidence the sequence is a
phrase.
Not all phrases are omissible however.
If a sequence of words can be moved it also indicates a phrase.

If you can replace a sequence of words with a single word without

changing the overall structure of the sentence, the sequence is a
phrase.

This can be done by replacing the sequence with a question word (who, what,
how etc.). The sequence can be used as the answer to the question. Thus:

Answers to wh questions are phrases.

In the phrase beside a stream, if we replace stream with streams, an
ungrammatical sequence forms unless a is omitted. This suggests that
a is dependent on stream and that a stream is a further phrase.
Phrases not only form syntactic units (units of structure) but also
semantic units (units of meaning).

PHRASE AND CONSTITUENT

If a sequence of words is said to be a phrase, this does not

mean it can be a constituent in every sentence.
[3]

A stream which had dried up is a constituent, yet beside a stream is not. It is

impossible to draw a phrase marker showing both as phrases.

[4]

Sam sunbathed beside a stream which had dried up.

I asked how old Sam was.

This is a structurally ambiguous sentence as in one interpretation old Sam

is a constituent and in another it is not.

Triangles can be used to show a constituent when not

concerned with the internal structure.
Nodes are points in a phrase marker which can branch out.
Nodes dominate everything which branches below it. Nodes
immediately dominate an element if there is nothing in
between.
A sequence of elements is a constituent if there is a node
which dominates all the elements and nothing else.

2. SENTENCE STRUCTURE:
FUNCTIONS

SUBJECT AND PREDICATE

The simplest sentences always have two parts:

E.g.

Ducks paddle, Max coughed, etc.

[1] The ducks are paddling away.

This

more complex sentence is still divisible into two constituents of the

same category.
They also have the same function: the relation between them is the same.

These parts are the subject and predicate, the immediate

constituents of sentences.
The

subject is used to mention something and the predicate says

something about the subject.

To test for the subject, turn the sentence into a yes/no question and
the phrase which moves is the subject.
This

is important for sentences with an empty subject (expletive) such as

There is nothing to eat.
It is also important to avoid the temptation of taking the first string of
words in a sentence as the subject.
Sometimes the verb do must be introduced to form questions.

NOUN PHRASE AND VERB PHRASE

All subjects are Noun Phrases (NP) and can be replaced
by a single noun (N) or pronoun (pronoun).
All predicated are Verb Phrases (VP) and can be replaced
by a single verb (V).
Subject and predicate describe the function, whereas
Noun Phrase and Verb Phrase describe the category.

Most

categories have a variety of different functions.

Categories are indicated on phrase markers by labelling

the appropriate nodes (introduced in grey). However
function need not be indicated.
The subject of a sentence (S) is the NP immediately
dominated by S.
The predicate of a sentence is the VP immediately
dominated by S

DEPENDENCY AND FUNCTION

Sisters are two constituents immediately dominated by a single
node. The node which dominates them is their mother, and to
their mother they are daughters.
The functions of constituents are in respect to their sister
constituents.

The

subject is sister to the predicate. As neither the subject or predicate

can be removed, they are dependent on each other and said to be
obligatory in the structure of sentences. They show a two-way
function/dependency.

The three other main functions are the head, modifier and
complement.
HEAD
The head of a phrase is the element that the phrase is centred on.
It is the one obligatory element in that phrase.

It

is the category of the head that determines the category of the phrase.
There can only be one head in a phrase.

THE MODIFIER~HEAD RELATION

[2] their rather dubious jokes
In

this phrase there are three sister relationships.

Rather is dependent on dubious, as we can omit rather but
not dubious. This is called a one-way function/dependency.
This function is called modification, as rather modifies
dubious. Rather is the modifier and dubious is the head.
This is a modifier~head relation.
Phrases can also function as heads and modifiers: rather
dubious is the modifier of jokes.

In the structure of a phrase, modifiers are optional

and heads are obligatory.
We can picture functional relations using arrows.

THE HEAD~COMPLEMENT RELATION

[3] beside a stream
In

this phrase there are two sister relationships.

Neither beside nor a stream can be omitted. They show a
two-way dependency.
Beside is the head of the phrase, as it gives the phrase its
locational character.
When a head demands a further expression, that obligatory
expression complements the head.
This function is called complementation. A stream is the
complement of beside. This is a head~complement relation.

Complements typically follow their heads, whereas

modifiers can precede or follow.
Complementation is represented by a double arrow.

3. SENTENCE STRUCTURE:
CATEGORIES

The category of a word or phrase defines their

range of functions and how they can be combined
to form phrases.
Elements with the same distribution are ones
which have the same range of functions, can
combine with the same other elements and can
occupy the same positions. They belong to the
same category.
Lexical categories are categories of single words.

E.g.

noun, verb etc.

E.g.

Noun Phrase, Verb Phrase etc.

Phrasal categories are categories of phrases.

NOUNS

The traditional definition of a noun: a noun is a person, place or

thing.
Checking

if words have the same distribution as other nouns will test

for nouns not covered by this definition.

Every category has its own range of possible word forms

(morphological possibilities)
E.g.

Some features are only shared by some nouns. This gives rise to
different sub-categories.
E.g.

the possessive (genitive) form: Johns

proper vs common, count vs mass

Proper nouns (name) are names and spelt with an initial

capital.
They

generally constitute Noun Phrases on their own.

Common nouns are all other nouns.

They

can combine with the (the definite article) to form Noun Phrases.

Count nouns are common nouns which can be counted.

They

can combine with a/an (the indefinite article) to form NPs.

They can combine with numerals (one, two three) and
expressions like several, many, etc. to form NPs.
They can be marked for plural. The regular marking for plural
is the suffix -s, which singular nouns lack.

Mass nouns are common nouns which cannot be counted.

They

normally dont display the above features, but can follow

some and the.
They can be turned into count nouns however by modifying
them with the above features.

E.g. two beers

Many nouns are both mass and count.

E.g.

cake, charity

Proper nouns normally do not have any modifiers.

Sometimes

they can be modified and treated as

common nouns however.
E.g. the Ewings family

Pronouns stand in place of Noun Phrases.

We

can test if a phrase is an NP by substituting for a

pronoun.

Examples of pronouns:
Definite

pronouns: she/her, it, you

Reflexive (definite) pronouns: myself, itself
Indefinite pronouns: something, anyone
Interrogative pronouns: who, which
Possessive pronouns: mine, ours

LEXICAL AND PHRASAL

CATEGORIES
(NOUN AND NOUN PHRASE)

The head noun determines the category of the Noun

Phrase.
It

also determines what sort of thing the NP refers to.

The head noun determines the number (singular or

plural) and gender (masculine, feminine or neutral) of
the Noun Phrase.
This

can be seen my considering what pronoun could replace

the NP.

Only one noun in a Noun Phrase may function as its

head (with an exception at the end of this chapter).
A Noun Phrase can simply consist of a head noun.

Proper

nouns and pronouns stand as full NPs.

Simple verbs can also function as complete VPs and
predicates.

ADJECTIVES AND ADVERBS

Many adjectives have characteristic endings.

E.g. -able, -ate, -ish, -less

Colours and more common adjectives generally dont.

Many adjectives have comparative and superlative forms:

Some have the morphological possibility of taking the suffixes -er or -est.
Others can be modified by the degree adverbs (deg) more and most, less
and least.
Others have irregular forms.

Degree adverbs modify adjectives and specify the degree of the

attribute expressed.

E.g. very, quite, completely, somewhat

Gradable adjectives can be modified by degree adverbs (and

accept the -er/-est inflection) and non-gradable adjectives can not.
Examples of non-gradable: dead, main, medical, second, unique
Non-gradable adjectives can be graded as a metaphor.

ADJECTIVE PHRASES AND ADVERB

PHRASES
The head words of Adjective Phrases (AP) are
adjectives (A). They can consist of a single word.
General adverbs (Adv) can also appear in
Adjective Phrases.

E.g.

frankly, oddly, immediately

Most of these adverbs are formed from adjectives by
the addition of -ly.
Like degree adverbs, general adverbs modify
adjectives. But general adverbs specify a wider range
of concepts than just degree.

General adverbs can additionally be modified by

degree adverbs to form Adverb Phrases (AdvP).
These

phrases can consist of a single word.

PREPOSITIONS AND
PREPOSITIONAL PHRASES
The head words of Prepositional Phrases (PP) are
prepositions (P)
In a PP, the relation between a preposition and
the following NP is a head~complement relation.
Prepositions are generally short words which
usually express locational relations in space and
time.

Some

(e.g. Of) do not express locational concepts.

There are two basic forms of PP:

PPs

where the P is complemented by an NP

PPs consisting of just a P

E.g. there, upstairs, then

CO-ORDINATE PHRASES

[1] Max and Adrian are being melodramatic.

Both

Max and Adrian are the heads of the NP Max and Adrian.
This NP is called a co-ordinate Noun Phrase, with Max and Adrian coordinated by and.
Other co-ordinators are but and or.
Co-ordinate NPs are usually plural as they can often be replaced with they.
As Max and Adrian are also NPs, it means the subject NP is a coordination of NPs.

Any constituent can consist of a co-ordination of constituents of the

same category. Only constituents of the same category can be coordinated.
This

principle is a common test for constituency and category.

Co-ordination of lexical categories and sentences is also possible.

Co-ordination of different categories is ill-formed as the whole
phrase will lack any possible function.

Except

in circumstances when different categories have the same function,

such as in a pickle and very worried.

4. THE BASIC VERB PHRASE

A FIRST LOOK AT VERBS

The one constituent which Verb Phrases must contain is a verb. VPs
are centred on V.
There are two kinds of verbs in English:

Lexical verbs: These are most verbs.

E.g. run, eat, explain

Auxiliary verbs: This is a special, restricted set of verbs.

E.g. be, have and do (which can also be lexical), can/could, will/would, shall/should,
may/might, must and need.

A full VP must contain a lexical verb and may contain an auxiliary

verb.
Lexical verbs are identified by their morphological possibilities. They
are words which can take the verbal inflections -s, -ing, -ed, and -en.
In VPs containing only a lexical verb, that verb will carry a present
or past meaning.

s is the present tense inflection (although present tense is not usually

explicitly marked) and ed is the past tense inflection.

Words can belong to more than one category.

THE COMPLEMENTS OF LEXICAL

VERBS
Lexical verbs are sub-categorised according to what other
elements (complements) must appear with them in the VP.
All VPs can include optional modification by a PP.
There are six sub-categories of lexical verbs.
TRANSITIVE VERBS
A transitive verb is one which requires a single NP to
complement it.

E.g.

dread, make, throw

This NP functions as its direct object.
When the NP is a pronoun, it has a special form called the objective
(accusative) case, as opposed to the subjective (nominative) case. This
means the form of the NP is governed by the verb. The objective case
is also employed by NPs complementing prepositions in PPs.
The label [trans] can be added to the V node in the phrase marker.
This is a feature which sub-categorises the verb to specify the function
of the following NP as direct object.

INTRANSITIVE VERBS
An intransitive verb [intrans] is one which does not require
any further constituent as a sister in the VP.
E.g.

disappear, die, laugh

An intransitive verb counts as a complete VP on its own.

DITRANSITIVE VERBS
A ditransitive verb [ditrans] requires two NPs as compliments.
E.g.

give, send, buy

In these VPs with two NPs, the first complement functions as the
indirect object, which are usually the recipients of the action, and the
second complement functions as the direct object.
Both the NPs are governed by the V and appear in the objective case
if they were pronouns.
However, the indirect object NP can be replaced with a PP following
the direct object using to or for. This PP is part of the
complementation. The direct object is now the sole NP.

INTENSIVE VERBS
Intensive verbs [intens] require a single complement which can be
an AP, an NP or a PP.
E.g.

be (the copula), become, seem, remain, feel

The complement of an intensive verb functions as a predicative, or more
specifically, subject-predicative.
Intensive verbs are the only verbs which can just take an AP complement.
Predicatives are used to attribute properties to things referred to by other
expressions. Unlike direct/indirect objects, they dont themselves refer to
things or people.
Many intensive verbs are also transitive verbs with different meanings.

COMPLEX TRANSITIVE VERBS

Complex transitive verbs [complex] take two complements: a direct
object (NP) and an object-predicative which can be an AP, an NP or
PP.
The

predicative in a complex transitive VP attributes a property to the

direct object, not the subject.

PREPOSITIONAL VERBS
Prepositional verbs [prep] can only be complemented by a
PP.
E.g.

glance, reply, worry

Prepositional verbs generally demands that the head be one
particular preposition.

SUMMARY
Identifying the subcategory of verbs in sentences:
Complements
Categories Functions
None = [intrans]
One
NP dO = [trans]
One
PP PC = [prep]
One
AP/NP/PP sP = [intens]
Two NP + NP/PP iO + dO
= [ditrans]
Two NP + AP/NP/PP dO + oP = [complex]

5. ADVERBIALS AND OTHER

MATTERS

ADJUNCT ADVERBIALS (VP

ADVERBIALS)
When a PP function as a modifier in a VP, it is
said to function as an adjunct adverbial (or just
adjunct).
Adjuncts express a range of ideas, including
manner, means purpose, reason, place and time.
AdvPs can also function as adjunct adverbials.

Do

not confuse adverbial, which denotes a function,

and adverb, which denotes a category.
Many adverbs are not as easily identified by the -ly
suffix.

Certain NPs can also function as adverbials

E.g.

last year, tomorrow

LEVELS OF VERB PHRASE

Adjunct adverbials are modifiers of VPs. This means
that in VPs with adjuncts there are two VPs: the VP
sister to the complements and the VP sister to the
adjunct adverbial.
[1] *Bevin put his car in the garage and Max did so in the
garden.

The

expression did so replaces material that has already

appeared in the sentence. Expressions with this function are
called pro-forms.
Pronouns are pro-NPs as they replace NPs. Do so is a pro-VP
as it replaces VPs.
This sentence is ungrammatical as did so replaces put his car,
which is not a VP.
This is evidence for the distinction between complements and
adjuncts and the existence of two VPs in VPs with adjuncts.

THE MOBILITY OF ADVERBIALS

[2] Very quietly, she put it under the bed.
[3] She very quietly put it under the bed.
[4] She put it very quietly under the bed.
[5] She put it under the bed very quietly.

characteristic of adverbials is that they can appear in

different positions in a sentence.
Notice that it cannot come between the V and its direct object.
In [3] and [5], the adjunct is simply a preceding or following
sister of the VP it modifies.
In [2] however, the adjunct is completely removed from the VP
and in [5] it is within the VP. This poses a problem for the
analysis of adjuncts which will not be discussed here.
It is possible for a VP to contain multiple adjuncts in different
positions. In this case, each adjunct still modifies a single VP.

PHRASAL VERBS

[6] He called up the boss.

In this sentence up the boss is not a PP, as up belongs with call to

form the phrasal verb [phrasal] call up.
Phrasal verbs can belong to different sub-categories of verbs. In
this case, call up is transitive.
Up is not a preposition here, but a particle (Prt). Phrasal verbs
consist of a verb and a particle.

E.g. call off, hand over, put down, give in, run out, end up

VPs with phrasal verbs can be ambiguous.

A characteristic of particles as that they can appear after
(and only after) the direct object: He called the boss up.

When the direct object is a pronoun the particle must appear after
it.
Particle movement is a reliable test for identifying phrasal verbs.
Idiomaticity is independent of the phrasal/prepositional
distinction.

ELLIPSIS

[7] William gave some bleach.

Even

though complements are non-omissible, the indirect object

of the ditransitive verb gave has been removed.
This sentence seems incomplete when considered out of context.

When a sentence is spoken, almost anything can be omitted

provided the omitted element can be understood from the
context.
Ellipsis is the omission of obligatory elements capable of
being understood in the context of use.
The study of syntax is more concerned with grammatical
sentences than the effect of uttering sentences in context.
Ellipsis can be represented by E.
Ellipsis can lead to ambiguity with verbs belonging to
multiple sub-categories.

SENTENCE ADVERBIALS (SADVERBIALS)

All the adverbials looked at so far are adjunct adverbials. They
modify a VP within a higher VP, and so can also be called VPadverbials.
Disjunct and conjunct adverbials are two other kinds which can be
grouped together as sentence adverbials (S-adverbials).
Disjunct adverbials provide some comment by the speaker/writer
about what they are reporting or how they feel they are expressing
what they have to say.

They

are only loosely associated with the sentence. This feeling is borne
about by the use of a comma or distinct intonation.

Many AdvPs and PPs can function as both VP-adverbials and Sadverbials. When the adverbial occurs at the beginning of a
sentence however, the S-adverbial is the more natural
interpretation.
Some AdvPs and PPs can only function as one or the other:

VP-adverbial

only: sideways, daintily, with grace

S-adverbial only: admittedly, of course, possibly

Conjunct adverbials are AdvPs and PPs which

can only function as S-adverbials and indicate
the relation between the sentence they modify
and the preceding or following discourse.
E.g.

nevertheless, thus, by contrast, in short

They link grammatically unconnected sentences into
coherent and structured discourse.

Just as VP-adverbials modify a VP within a

higher VP, S-adverbials modify a S within a
higher S.
S-adverbials can also appear in a variety of
different positions in a sentence.

6. MORE ON VERBS:
AUXILIARY VPS
Part 1: Lexical and auxiliary verbs

Every full VP includes a lexical verb and it many

contain or more auxiliary verbs. There are two groups of
auxiliaries:
Primary

auxiliaries: be, have and do (these can be lexical but

with different senses)
Modal auxiliaries: can/could, will/would, shall/should, must
and need.

It is only the first verb (whether lexical or auxiliary)

that displays the distinction between past and present.
Auxiliary verbs (if present) always precede the lexical
verb.
The form of a verb is determined by the verb that
precedes it.
There can be up to four auxiliaries in a VP.

TENSE AND TIME

Verb forms that are tensed are called finite verb forms,
whereas other verb forms are non-finite.
Every sentence must contain a finite verb. In the absence of
any auxiliary, it is the lexical verb that is tensed.
The present tense form is the stem, V, plus the present tense
inflection, -s

However the verb is only inflected if the subject is a third person

singular NP (the pronouns he, she, it or any NP that could be
replaced by such pronouns).
This change of form in finite verb according to the number and
person of the subject NP is called subject-verb agreement.

The past tense form is the stem, V, plus the past tense
inflection, -ed

There are many irregular past tense forms and verbs which dont
have a distinct past tense form from their stem.

E.g. put, bet, read

To test whether a verb is finite and in the present form

or non-finite, change the subject to a third-person
singular NP. If the verb is finite, it will change to the -s
form.
Tense can be indicated in the phrase marker with a
tense feature, [pres] or [past].
English has two tenses, present and past. Future time
is expressible in a variety of different ways (for instance,
by means of the auxiliary verb will), but there is no
future tense.
There is no simple correlation between tense and time.
For example, both present and past tense can be used in
expressions of future time.

E.g.

The boat leaves tomorrow, If the boat left tomorrow

THE CONTRAST BETWEEN LEXICAL

AND AUXILIARY VERBS

In questions, auxiliary verbs can move in front of

the subject NP. A lexical verb cannot.
E.g.

The negative particle (not or nt) can attach to an

auxiliary verb but never to a lexical verb.
E.g.

Can he go? *Spoke he?

He cannot go. *He spokent.

Auxiliary verbs never take a NP-complement.

E.g.

*He neednt a drink.

E.g.

He forgot to go. *He can to go.

When a verb follows a lexical verb, it can be

introduced by the infinitive particle to but not
when it follows an auxiliary verb.

MODAL AUXILIARIES

Modal auxiliaries (MOD) are always tensed. They dont have

non-tensed forms.
Present:
Past:

can will shall may

could would should might

Will in the present tense is one way of referring to a future

point in time. The past tense, would, refers to what was a
future point in time.
The modal verbs must and need dont have a past tense form.
Modals never show subject-verb agreements.
As modals are always tensed, they always come first in any
sequence of verbs. Thus there can only be one modal verb in
a sequence of verbs.
The verb that follows a modal verb always appears in its
(non-finite) stem form.

THE PERFECT AUXILIARY HAVE

There are two verbs have, lexical and auxiliary. The auxiliary have
is called the perfect auxiliary (PERF) and is always followed by
another verb.
If this auxiliary is the first verb in a VP, it has to appear in the
present tense form (has if the subject is third-person singular) or
past tense form (had).
The perfect auxiliary refers to past time independently of past
tense.

In

the present tense it references a present state resulting from a past

event.
In the past tense it references a past state resulting from a past event.

The verb (lexical or auxiliary) that follows the perfect auxiliary is

always in its (non-finite) perfect participle form.
Usually the perfect participle form is identical to the past tense
form but there are exceptions.

The

past tense form will always appear first, so if it is preceded by have it

must be the perfect participle form.

THE PROGRESSIVE AUXILIARY BE

There are two verbs be, lexical and auxiliary. The auxiliary
be is called the progressive auxiliary (PROG) and is always
followed by another verb. The lexical verb be is an intensive
verb, the copula.
The progressive auxiliary demands that the following verb
has the (non-finite) progressive participle form -ing.

The

progressive participle form is completely regular.

[1] This turn of events is worrying.

It

might seem like this includes the progressive be followed by a

lexical verb, but worry is a transitive verb and requires a direct
object. Thus, worrying is an AP complementing the copula be.

As with all auxiliaries, PROG will only be tensed if it is the

first verb in the sequence.
The progressive auxiliary always follows the perfect
auxiliary.

THE PASSIVE AUXILIARY BE

(PASS)
Sentences that include the passive auxiliary (PASS)
verb be are said to be in the passive voice (as opposed
to the active voice).
The choice of passive be affects the form of the
sentence as a whole.
Following the passive auxiliary, a verb adopts the
passive participle form. This is the same as the perfect
participle form. Both these participles are traditionally
not distinguished and called the past participle.
As with all auxiliaries, the passive auxiliary will only
be tensed if it is the first verb in the sequence.
The order of verbs in the VP is systematic:

MOD

PERF PROG PASS Lexical V

WHERE AUXILIARIES FIT IN THE

STRUCTURE OF VP
Complements are sisters to the lexical verb V and
form a VP constituent, regardless of any
auxiliaries present.
Each auxiliary verb is the head of its VP and
takes a VP complement.

The

complements can be confirmed as VPs by

replacing with do so or omitting through ellipsis.

If a constituent that is a sister of a VP and

daughter of a VP is not an auxiliary verb, it is an
adverbial.

AUXILIARY VPS AND ADVERBIALS

Adverbials can appear between verbs.

A

favoured position for adverbials is just following the

first auxiliary, particularly for S-adverbials.

We can make two assumptions to simplify things:

Assumption

1: If an adverbial precedes a verb, assume it

modifies the following VP.
Assumption 2: Assume that sentence-final adverbials
modify (and form a VP constituent with) the lexical VP.

[2] Kim and Peter are going to India next week now.
There

is one exception to Assumption 2 here which

concerns certain time adverbials.
Next week modifies going to India. Now is to do with their
present intentions. As it is the PROG be that expresses
their intentions, now modifies the PROG VP.

6. MORE ON VERBS:
AUXILIARY VPS
Part 2: Constructions that depend of auxiliaries

PASSIVE SENTENCES

The object in an active sentence becomes the

subject of the corresponding passive sentence.
The

subject identifies what the sentence is about.

The subject of the active sentence can be

introduced to the passive sentence by means of a
PP with by as its head an adverbial. It modifies
the lexical VP.
Steps to making an active sentence passive:

1.

Introduce passive be in the appropriate tensed form

2. Put the lexical V in the passive participle form
3. Move the subject into a sentence-final by-phrase
4. Shift the object into subject position

Only lexical verbs that take objects (direct or indirect)

can figure in passive sentences.
In passive sentences, a gap is created in the object
position when the object moves to the subject
position.

This

gap can be represented by a dot in the phrase marker.

This allows us to keep the subcategorisation of verbs the
same even when their objects are missing
It also allows us to keep the name of object-predicatives in
complex transitive verbs. The presence of the passive be
indicates that the object has moved to the subject position.

With ditransitive verbs, it is always the first object

that becomes the subject in the passive, leaving the
other object in position.

NEGATIVE SENTENCES AND

AUXILIARY DO

The negative particle not is placed immediately after

the tensed auxiliary.
The

negative auxiliary can contract onto that auxiliary.

In its phrase marker, not is simply attached to the
auxiliary.

Lexical verbs never accept a following negative

particle. Auxiliary do (TENSE) is required to carry
the tense in the absence of any auxiliary.
When

this occurs, the lexical verb has to appear in its stem

form.
This is the sole function of auxiliary do here.

Do as an auxiliary can also be used for emphasis in

positive sentences, and can also function as a
transitive lexical verb.

QUESTIONS FRONTING THE

TENSED AUXILIARY
To form questions, the tensed auxiliary moves in
front of the subject, leaving a gap in the original
position.
The structural position that the tensed auxiliary
moves to is called the Complementiser (C). The
Complementiser is the sister of S and daughter of
S-bar (S).
Lexical verbs never move in front of the subject.
The auxiliary do is required to carry the tense in
the absence of any auxiliary.
[1] Hasnt Oleg been arrested?

This

is both a question and a passive. It exhibits both

movements and creates two different gaps.

MORE AND HAVE AND BE

When have and be function as auxiliaries, they
behave as auxiliaries. Auxiliary do is not
required in questions and accepting the negative
particle.
However when have is functioning as a lexical
verb it can also behave like an auxiliary.

E.g.

Do we have any garlic? Have we any garlic?

Be always behaves as an auxiliary verb, whether

functioning as auxiliary or lexical.
E.g.

*Did John be extravagant? Was John

extravagant?

7. THE STRUCTURE OF
NOUN PHRASES

Pronouns and names are NPs consisting of single

words. Their NP nodes are non-branching.
These

NPs are the only non-branching NPs allowed

within this presentation. All others have two
immediate constituents.

In the basic case, the two immediate constituents

of NP are Determiner (DET) and Nominal
(NOM).
DET

always has NOM as its sister.

DET determines NOM.
NOM is a level of NP structure intermediate between
phrasal (NP) level and the lexical (N) level.
All modifiers of the head noun fall under NOM.

DETERMINERS
Determiners are a fixed set of words which give
information relating to definiteness (whether the thing is
familiar to the speaker/hearer or not) and information
about quantity and proportion.
The basic determiners are the articles (ART): the definite
article the and the indefinite article a(n).

Any

expression that occupies the same position in NP structure

as an article counts as a determiner.
Thus, if a word can co-occur with an article in an NP it cannot
be a determiner.

There are a small set of words which have the same

function as the articles:
Demonstratives

(DEM): this, that, these, those

Some Quantifiers (Q): some, any, no, each, every, either, neither
Possessives (POSS): my, your, its, her, his, our, their, Johns

[1] Essays should be word-processed.

The

determiner position may not always be filled by an actual word.

This sentence should still be analysed as having a [DET + NOM]
structure by introducing an empty determiner.

The reasons for this empty determiner analysis are:

The

NP could take a determiner and we need to allow for this.

The empty determiner gives the NP an indefinite and/or more general
interpretation.

There are only two types of nouns that can take an empty
determiner: plural count nouns and mass nouns.
The

empty determiner analysis distinguishes these nouns from names

and pronouns, whose definiteness is independent from any
determiner (names are inherently definite and pronouns inherently
definite or indefinite).

A possessive determiner can be simple (my, your, etc.) or consist

of any full NP + -s. This is called the possessive, or genitive, -s.

PRE-DETERMINERS

Pre-determiners (PRE-DET) are words that resemble

determiners, but can co-occur with and precede
determiners.
E.g.

all, both, half, double

E.g.

all men, both men

Pre-determiners (pre-)determine NPs.

It is possible for a NP to contain a pre-determiner and an
empty determiner.

The majority of determiners and all the pre-determiners

can function as if they were pronouns.
Among

those that cant, there are some that correspond to forms

that can.

E.g. no and none, and the possessives:

Determiner: my your his her our their

Pronoun: mine yours hers his ours

theirs

PRE-MODIFIERS IN NOM
The most obvious pre-modifiers of the noun within NOM are adjective
phrases. It is not the A which modifies the noun, but the AP.
QUANTIFYING ADJECTIVES
Much, many, few, and little are quantifying adjectives (QA). As
adjectives they come under the NOM in NPs.
They are treated as adjectives (rather than determiners) because of
these similarities:

They

can co-occur with and follow determiners, including an empty determiner

They may occur in the VP, functioning as subject-predicatives.
They are gradable: they can be modified by degree adverbs and have
comparative and superlative forms (more and most, less and least, fewer and
fewest).

Numerals (the cardinal numbers one, two, three and the ordinal
numbers first, second, third ) should be treated as quantifying
adjectives within NOM.
Quantifying adjectives are heads of APs. Such APs always precede
other APs in NOM.

PARTICIPLE PHRASES (PARTP)

The non-finite progressive, perfect, and passive
participles (V-part) may also appear as pre-modifiers
within NOM as heads of Participle Phrases (PartP).
The perfect and passive participles can only be
distinguished by appealing to the meaning
Since these forms are verbal rather than adjectival,
they are not gradable. They can be modified by
general adverbs however.
Certain true adjectives look like verb participles.
E.g.

charming, worrying, unexpected

True adjectives are gradable however.

NOUNS
Nouns may themselves act as pre-modifiers of nouns.
E.g.

chess piece, roof maintenance

The head noun has a much closer relation to a pre-modifying
noun than any other pre-modifier. The noun modifier always
appears last when it is present and cannot be separated from
the head noun.
Some noun-noun combinations are compound nouns. They are
not treated as phrasal, but as compound words.

MORE ON THE STRUCTURE OF NOM

NOM is a recursive category. This means NOM can have
NOM as an immediate constituent.
Every modifier must be immediately dominated by a NOM.
This analysis will be refined at the end of this chapter.

POST-MODIFIERS
PREPOSITIONAL PHRASES
[1] an expedition to the pub in the village
The

head noun expedition is modified by the PP to the pub in the

village, which follows the noun in the NOM.
Pub is further modified by in the village.
The NPs all have a regular right-branching structure.

[2] an expedition to the pub for more cherry brandy

This

does not have the same structure. For more cherry brandy
modifies the NOM expedition to the pub, creating a NOM within a
NOM.

Some sentences can be ambiguous.

E.g.

an agreement between workers on overtime

When a NOM contains both a pre-modifying AP and postmodifying PP there are two analyses:
A.

The PP will be sister to a NOM containing the AP and N

B. The AP will be sister to a NOM containing the PP and N.

Sometimes it does not matter which analysis is given,

other times it does: that tall student in the heat, that
nuclear scientist from Italy
[3] Larrys neat summary of the argument.

When

this NP is given the analysis B, its structural

configuration parallels that of the sentence:

[4] Larry neatly summarised the argument.

Only

the categories have changed: NOMs in the NP correspond

to VPs in the sentence.
This parallelism suggests a refinement which will be discussed
at the end of this chapter.

When either analysis can be given, the analysis that

associates the more permanent and/or intrinsic property
more closely with the head noun is more natural.

MORE ON ADJECTIVE PHRASES

A few adjectives (including present, responsible, visible) can premodify or post-modify the head noun in NOM.
E.g.

the responsible men, the men responsible.

A difference in meaning is associated with this change of position.

As post-modifiers, they occupy the same position in the structure

of NOM as post-modifying PPs.
However there is also an ellipted element: the complement of the
adjective.
In a NP, when a modifying AP includes a complement, it always
post-modifies the head noun.
Within NOM, the head of a modifying phrase wants to be as close
as possible to the head noun. This also explains why PPs with an
NP complement always most-modify the head noun as well.

It

also explains why, if a modifying AP could include pre-modification by

DEG, it pre-modifies the head noun.

MODIFICATION OF PRONOUNS
Although pronouns replace full NPs, they can be combined
with APs or PPs within the structure of an NP.
In the case of indefinite pronouns like something/one,
anything/one, nothing/no-one/none, a determiner (some,
any, no) and a head noun (thing/one) have coalesced into a
single word. This is why pronouns can only be post modified.
[4] Some of the animals

As some is often categorised as a pronoun, it may seem like it is

post-modified by of the animals.
However pronouns can only be post-modified if they can also
function as determiners or pre-determiners.
It is argued that some is not a pronoun at all, but a determiner
which has been changed into a pronoun. It is only functioning as
the head of the NP because the real head has been ellipted. This is
elliptical head analysis.

NOM AND THE PRO-FORM ONE

This is a refinement of the analysis provided in this
chapter.
[3] Larrys neat summary of the argument.
[4] Larry neatly summarised the argument.

[4]

contains two VPs, one within the other. This can be

demonstrated by replacing them with the Pro-VP do so.
Each VP in [4] corresponds to a NOM in [3]. There also is a ProNOM, one.
Just as do cannot replace just the V summarised, one cannot
replace just the N summary.

[5] The sad clowns.

However

in this NP, clowns can be replaced by one. This

suggests that clowns is a NOM as well as a N.

of the argument is sister of the N summary and sad is

sister of NOM clowns.

In VP, there is a distinction between the sister of

VP (adjunct) and the sister of V (complement).
This is paralleled in NP. Sad is sister of NOM,
and an adjunct, and of the argument is sister of
N, and a complement.
If an expression can co-occur with the pro-NOM
one, it must be sister of NOM and an adjunct.
When an adjunct and a complement both follow
an N, the complement has to appear first as it is
the sister of N.
One is a Pro-NOM and can co-occur with DET
and empty DET.

8. SENTENCES WITHIN
SENTENCES

The next three chapters are concerned with sentences that

contain sentences as constituents sentential recursion.
[1] Georgette said she burned the fritters.

The

verb say is transitive and its direct object is she burned the
fritters, which is itself analysable as a sentence.
This is a complex sentence: it contains a sentential structure as a
constituent.

[2] He hired the acrobats and you hired the clowns.

This

however is a co-ordinate compound sentence. The two sentential

structures contained are independent of each other and at the same
level of structure and said to be co-ordinate.

The two sentential structures in [1] are not at the same level of
structure. S2 is part of the structure of S1.
S2 is said to be subordinate to S1 because it is lower in
structure. S1 is superordinate as it is higher than and includes
S2.

[3] I thought Georgette said she burned the fritters.

There

are two sub-ordinate clauses here, three clauses in total.

Every clause has a lexical verb, so we can identify clauses in

terms of their lexical verbs.
In

[3], the clauses can be referred to as the burn-clause, say-clause

and think-clause.

The clause that is not subordinate to any other clause is called

the main clause. The lexical verb of the main clause is the
main verb. The main clause is the highest in the phrase
marker.
In

[3], the main clause is the think-clause

An Abbreviated Clausal Analysis (ACA) is a phrase marker

stripped of all details apart from the clauses, which are
represented by triangles.
ACA

can also take the form of labelled bracketing:

S1[I thought S2[Georgette said S3[she burned the fritters]]]

The ACA of [3] shows that it is a right-branching

clausal structure: each subordinate clause branches
off regularly from the right of its superordinate clause.
Right-branching

is preferred in English, but some clauses

branch from the left or middle of the superordinate clause.

E.g. He reminded the men that he was in charge at every

opportunity.

[4] The fact that you received no greeting from Mars

doesnt mean that it is uninhabited.
This

sentence contains two subordinate clauses. The first

falls within the main clause subject and the second falls
within the main clause predicate. Neither is subordinate to
the other subordinate clause.
It is not a regularly right-branching structure either.

COMPLEMENTISERS: THAT AND

WHETHER
That is a marker of clausal subordination and
introduces subordinate clauses. When it functions in
this way (rather than as a determiner) it is a
complementiser.
That fills the same C position occupied by the tensed
auxiliary in questions. C is defined as daughter of S-bar
(S) and sister of a following S.
We assume that all subordinate clauses are introduced
by a complementiser and therefore dominated by S-bar.

However

the complentiser can often be ellipted. In these

cases, the complementiser position is left unfilled.

Clauses that can be introduced by that are called thatclauses. Another expression that can occupy C and
introduce a subordinate clause is whether.

The yes/no questions in Chapter 6 are interrogative

clauses. As main interrogative clauses they display
auxiliary-fronting and are used to ask a question.
Auxiliary-fronting is only possible in main clauses,
as in subordinated clauses the C position is already
occupied. Therefore, in order to indicate that a
subordinate clause is an interrogative clause, the
complementiser whether must be used.

The

interrogative complementiser can sometimes take

the form of if.

In addition to that-clauses and interrogative

whether-clauses, subordinate clauses can also be
introduced by subordinating conjunctions.

THE FUNCTIONS OF THAT- AND

WHETHER-CLAUSES
SUBJECT AND EXTRAPOSED SUBJECT
[5] That the king was in his counting house disconcerted
her.
A

subordinate that-clause is functioning as subject in this

sentence.
Because subjects are NPs, this clause has to be dominated by
NP. Note that the clause can be replaced by a pronoun.
Having a clause as a subject can feel unnatural to English
speakers and therefore it is preferred to defer such complexity
to the end of the sentence.

A characteristic of clausal subjects is that they can be

extraposed from under the subject NP node to the end of
the sentence, leaving behind the pronoun it.
E.g.

It disconcerted her that the king was in his counting

house.

The it is empty in meaning, it is a dummy

subject. It is called the expletive it.
This

is also the it of it is raining.

This it is directly dominated by NP and sister to

the main clause S.
There are some special verbs (including seem,
appear, transpire, and happen) that cannot have
clauses in the normal subject position.

The

clauses are still analysed as extrapolated

subjects, and so these verbs must be intransitive.
he extraposition of a clausal subject is obligatory
when the verb is intransitive, and optional otherwise.

COMPLEMENT OF V WITHIN VP
That-clauses can function as complements of transitive verbs, as seen
in [3].
Verbs that can take clausal direct objects include

Those that take a that-clause or a whether-clause, e.g. know, tell, worry

Those that can take only a that-clause, e.g. claim, remind
Those that can take only a whether-clause, e.g. ask, wonder

Although ditransitive verbs can have clausal direct objects, they

cannot have clausal indirect objects as indirect objects must be able to
refer to animate entities. Clauses only denote abstract propositions.
That- and whether-clauses can function as the complements of verbs
which also take NPs (including pronouns) as direct objects.

E.g. admitted, denied, though, claimed, believe

Clauses functioning as objects in active sentences can become subject NPs in
the passive.

Therefore these clauses are also analysed as being dominated by an

NP.

Some verbs that take clausal complements cant take an NP

complement.
E.g.

hope, insist

Some verbs that take NP complements cant take a clausal object.

Some object clauses cant appear as subject in passive sentences.

E.g.

*That his shirt was hanging out was told him.

The sub-categorisation label [transitive] is not useful here. There is

strong case for sub-categorisation verbs according to whether they
can take clausal objects, but the present system suffices for now.
That- and whether-clauses can also function as subjectpredicatives, but only to complement the copula be.

Although

appear and seem are intensive in one use, following clauses are
analysed as extraposed subjects, not subject-predicatives.

There is no motive for having clausal subject-predicatives

dominated by NP. We can allow that, in addition to NA, AP and PP,
S can function as subject-predicative as well.

COMPLEMENT OF A WITHIN AP
Like adjectives can be complemented by PPs, they can
be complemented by a that- or whether-clause.
An AP can consist of the head A plus a clausal (S)
complement.
These

APs have the usual range of functions: subjectpredicative, object predicative and modifier of N or NOM
within NP.

[6] It is certain that her hair is dyed.

[7] William is certain that her hair is dyed.

Notice

the distinction between these sentences.

[6] has the expletive it as subject and this means that her
hair is dyed is an extrapolated subject.
[7] contains an AP with a clausal complement.

COMPLEMENT OF N WITHIN NP
[8] The fact that you received no greetings from Mars.
In

this NP, a that-clause is complementing the noun fact.

Noun complement clauses can only complement abstract nouns

like fact, idea, news, claim, rule, indication, etc.
The clause is said to complement the noun because it is in the
same relation to the N within NP as clauses that complement the
V in VP and the A in AP.

The

clause is sister of the head N and dominated by NOM.

There is another type of clause that figures in the structure of NP,

relative clauses, which have a different relation to the head noun.
[9] It was a message that the party had been cancelled.

Here

there is possible confusion over whether the that-clause functions

as a noun-complement clause or extraposed subject.
As it cannot be replaced by the sub-ordinate clause, it is not expletive,
and therefore the clause is a noun-complement.

COMPLEMENT OF P WITHIN PP
An interrogative (whether-) clause can function as the
complement of a preposition within PP.
That-clauses cannot, not even with ellipted that.
However, the words after, until, before, and since can all
admit a following clause, but without that.
Some grammars explain this by categorising these words
as complementisers, filling in the C slot.
However

NPs.

they would still be prepositions when complemented by

It is simpler to say these four words are prepositions which

can either take a clause (S) or an NP as complement.
This

distinguishes them from words that only take a clausal

complement.

ADVERBIAL CLAUSES

Adverbial clauses are introduced by subordinating conjunctions

such as although, unless, if, because, once, as, now, so, while, since.
These

are not prepositions as they cannot introduce NPs.

Certain word-sequences (without further analysis) can function as
phrasal complementisers: now that, so that, except that, as if, in case, in
order that, as soon as.

Subordinating conjunctions, as with that and whether, occupy

position C, but carry extra meaning. This allows the clause they
introduce to function as an adverbial. E.g:
makes for a conditional adverbial clause
Because makes for an adverbial clause of reason or result
So makes for an adverbial clause of purpose
If

Since can be a preposition, with temporal meaning, or a

subordinating conjunction, with a meaning akin to because or as.
Adverbials clauses can be VP-adverbials or S-adverbials. They
cannot modify N or NOM.

9. WH-CLAUSES

As noted in Chapter 1, sequences of words can be

replaced by the wh-words who, what, which,
whose, why, when, where and how if they are a
constiuent.
Clauses that include a wh-word are called whclauses. Wh-words can appear in main clauses
and subordinate clauses. The inclusion of a whword in a main clause makes it into a whquestion.
Wheras yes/no questions ask whether something
is the case or not, wh-questions question some
particular constituent. Hence wh-questions can
be called constituent questions.

WH-QUESTIONS
[1] Vince is taking what to Athens?
[2] What is Vince taking to Athens?

[1]

can be analysed just a NP with the wh-pronoun

what as the direct object of taking.
In [2], what is moved to the front of the sentence. The
tensed-auxiliary is is also fronted.

Fronted questions are formed by:

The

fronting of the wh-phrase (not just the wh-word,

but the full phrasal category).
The fronting of the tensed auxiliary.

The wh-phrase moves to a higher C position: the

daughter of S (S-double-bar) , and sister of S. A
gap is left in its original position.

There are now two C positions:

C1

(lower): filled in subordinate clauses by that, whether

and subordinating conjunctions. Filled in main clauses
by fronted tensed auxiliaries.
C2 (higher): filled in both main and subordinate clauses
by fronted wh-expressions.

That, whether, etc. are complementisers and belong

to no other syntactic category. However, whexpressions are always fronted and, in addition to
introduced the clause, have a function within the
clause, indicated by the gap they leave behind.
NPs,

APs, PPs, and AdvPs can be fronted. In some

sentences there may be a choice to front the PP or the NP
inside the PP.

Unfronted questions are commonly called echo-questions, as

they echo something said earlier.
[3] Who is taking Violettas icon to Athens?

This question does not sound particularly echoic, and has no

fronted form as the wh-phrase is already at the front as the
subject.

We assume that all wh-expressions appearing at the front of

clauses occupy the higher C2 position.
Auxiliary fronting also always occurs in non-echo questions.
Where, when, how, and why are often regarded as adverbs as
the head of AdvPs. But they can stand in place of AdvPs,
PPs, APs and clauses. In this analysis their category does
not need to be given.
A wh-phrase can also be fronted from a subordinate clause
to form a wh-question.

SUBORDINATE WH-INTERROGATIVE
CLAUSES
There are two types of subordinate wh-clauses,
interrogative clauses and relative clauses.
The distinction between main (wh-questions) and
subordinate wh-interrogative clauses is the same
between main and subordinate yes/no
interrogatives.

Subordinate

wh-interrogative clauses also cannot

display auxiliary-fronting, therefore the lower C1
position will be empty.
The wh-phrase is still moved to the higher C2
position in the subordinate clause.

RELATIVE CLAUSES

Relative clauses are non-interrogative wh-clauses.

They

can only be subordinate because they function as modifiers.

They can modify a range of categories but we will focus on their
function within the NP.

When wh-forms occur in relative clauses they are referred to as

relative pronouns, and in interrogative clauses as interrogative
pronouns.
Relative clauses have the same structure as subordinate whinterrogative clauses.
Relative clauses may be confused with noun-complement
clauses.
Noun-complement (that-) clauses give critical information about
the head noun. They tell us the actual content of the
conclusion, thought, or claim.

As

complements, they are sisters to the head N within NOM, just as

verb complements are sisters to V within VP.

Relative clauses however tell us something else

about the head noun.
They

are modifiers, and are sisters of NOM within a

higher NOM. They can be thought of as adjuncts in
the structure of NP.

As one replaces NOMs, [one + complement

clause] is ungrammatical but [one + relative
clause] is fine.
OMISSION OF THE WH-PHRASE
In many cases the wh-form can be ellipted, but
not under two circumstances for
comprehensibility:

When

it functions as a subject.

THAT AGAIN
[4] The fool that lent you a fiver
This

NP contains that, but is relative clause, not a

that-clause.
Relative clauses always include a gap, whereas thatclauses are complete.

To explain this, that is regarded as an alternative

form of the relative pronoun, and so occupies the
C2 position.
Another analysis is to say that that occupies the
C1 position and only appears in a relative clause
when the wh-phrase in C2 has been ellipted.

RESTRICTIVE VS. NON-RESTRICTIVE

All the relative clauses considered so far are restrictive. The
other kind is described as non-restrictive (or appositive).
The internal structure of these two kinds are identical, but they
differ in how they relate to the head noun within the NP.
Non-restrictives are distinguished in writing by being marked off
by commas.
Certain relative clauses, like, can only be used non-restrictively in
certain contexts.

Restrictive clauses specify what things picked out by the

head noun are mentioned. They restrict the set of these
things to a smaller sub-set.
Non-restrictive clauses add extra, parenthetical,
information, without restricting the set of things being
mentioned. They make an extra statement than restrictives.

The restrictive clause falls within the scope of the

determiner and modifies just NOM. The determiner refers
to a specific sub-set of things restricted by the restrictive
clause.
On the other hand, the non-restrictive clause refers to a
determined set of things. It modifies a complete NP within
a higher NP.
The wh-phrase in non-restrictives cannot be ellipted or
replaced by that.
There are three kinds of clauses that can appear within NP,
which correspond to the three different levels of NP
structure and become decreasingly peripheral:

1.

Noun-complement clauses: sister of N within NOM

2. Restrictive relative clauses: sister of NOM within NOM
3. Non-restrictive relative clause: sister of NP within NP

10. NON-FINITE CLAUSES

Part 1: The form of non-finite clauses

All the clauses considered so far have been finite: they include a
tensed verb. Non-finite clauses lack tensed verbs they are tenseless.

Only subordinate clauses can be non-finite.

Non-finite clauses may lack one or more major overt NPs, frequently
a subject.
When this happens, the relevant NP is said to be covert. Covert NPs
can occur in two different circumstances:

If the reference of the NP is general (indefinite, non-specific).

If its reference is identical to a constituent in a higher clause.

In the second case, the higher overt element is said to control the
overt NP. A covert constituent that is not controlled is described as
free.
Covert NPs are represented as gaps. We indicate controlled
constituents and what they are controlled by by giving the subject
NP and the dot a subscript called an index.

Co-indexing is also used in gaps created by movement.

THE FORM OF NON-FINITE VERBS

Non-finite verbs are divided into:

Bare

infinitive and to-infinitive verbs

Passive participle and -ing particle verbs.

BARE INFINITIVE VERBS

These are just the stem of a lexical verb. The lexical verb is not
preceded by any auxiliary verb. It is called bare because it lacks
the infinitive particle to.
This form is distinguished from tensed forms with the [-tense]
feature.
TO- INFINITIVE VERBS
When the infinitive particle to is present, PERF, PROG and PASS
can appear. However since modals are always tensed, modals dont
figure in non-finite clauses.
Like the verb that follows MOD, the verb following the infinitive
particle to has the basic stem form. Therefore to can be thought of
replacing MOD, and is analysed as a [-tense] auxiliary.

PASSIVE PARTICIPLE VERBS

These consist of just a lexical verb in the passive participle form,
with a passive meaning, marked with [-tense].
There can be both an object gap (from the movement of the object)
and subject gap (from the covert subject) co-indexed with the main
clause subject.
-ING PARTICIPLE VERBS
As with to-infinitive clauses, auxiliaries can figure in -ing participle
clauses. The first verb takes the -ing affix and is marked with [tense].
-ing participles cannot be regarded as progressive:
There

are verbs called stative verbs, such as know and own, which cannot
appear in the progressive participle form following PROG be, but can
appear in -ing participle clauses.
Perfect have cannot assume the progressive participle form as it cannot
precede progressive be. Nevertheless, perfect have can assume the -ing
participle form in non-finite clauses.

COMPLEMENTISERS AND NONFINITE CLAUSES

The two C positions in non-finite clauses are:

C1, filled by unfronted for and whether
C2, filled by fronted wh-espressions.

All subordinate clauses are introduced by C1 and dominated

by S (unless complementing a preposition) but the C2 and
S position will be represented only when necessary.
C1: FOR AND WHETHER
Only to-infinitive clauses can be introduced by the C1
complementisers whether or for.
For appears overtly only in clauses with an overt subject.
Even then it is not always possible.
Whether-clauses only have a covert subject, generally
controlled by the subject of the superordinate clause. When
the whether-clause is that subject, the covert subject is free.

C2: FRONTED WH-PHRASES

Non-finite wh-clauses can be interrogative or
relative.
As with the yes/no interrogative whether-clauses
just looked at, non-finite wh-interrogative clauses
can only be to-infinitive and always have a covert
subject.
The expletive it cannot control the subject of the
subordinate clause. Objects however can, for
instance the object of tell.
The subject in the subordinate clause cannot be
fronted to the C2 position.

Non-finite relative clauses are less easily

identifiable as wh-clauses.
In these clauses the fronted wh-phrase is never
overt and all forms off non-finite verb (except the
bare infinitive) are permitted.
We can identify non-finite relative clauses
because:

1.

They function as modifiers of NOM within NP

2. They always have a further gap created by the
fronting of a covert wh-phrase to C2.

10. NON-FINITE CLAUSES

Part 2: The functions of non-finite clauses

SUBJECT AND EXTRAPOSED SUBJECT

Non-finite A non-finite clausal subject should be
dominated by NP.
The subject can be extraposed.
-ing

particle clauses with overt subjects cannot.

COMPLEMENT OF N IN NP
The covert subject of infinitive clauses can be
controlled by the determiner of the NP in which the
clause appears.
MODIFIER IN NP
Non-finite clausal modifiers in NPs are relative
clauses with a covert wh-phrase. They are restrictive
only and thus modifiers of NOM in NP.

COMPLEMENT OF A IN AP
We distinguish two types of adjectival complementation by
to-infinitive clauses depending on the head adjective;
1.

Reluctant, anxious, eager, hesitant, unwilling, liable, etc.

2. Impossible, easy, tough, tiresome, boring, delicious, etc.

With the first group, the higher subject controls the covert
subject of the adjective complement clause.
With the second group, the higher subject controls the
object of that clause. The lower subject can't be controlled
it must be free or overt.

These

sentences correspond to those in which the object figures

overtly, in a clause functioning as subject or extraposed subject.
It could be argued that this type of adjectival complementation is
actually extraposition of the clausal subject, but in the absence of
expletive it we will treat it as an A-complement.

COMPLEMENT OF P IN PP
Only -ing participle clauses can complement a
preposition within PP.
The PPs can function as noun-complements in NP,
adverbials, complements of [prep] verbs, and Acomplements
ADVERBIAL
-ing participle, to-infinitive and passive participle
clauses can function as adverbials.
The subject must be overt or controlled by the subject
of the superordinate clause.
Non-finite adverbial clauses can be made with a C1
subordinating conjunction.

COMPLEMENT OF V
The six-way sub-categorisation system introduced in
Chapter 4 is not entirely appropriate for
complementation by non-finite clause.
There

are [trans] verbs taking an NP as direct object that

can also take a non-finite clause as complement (e.g.
believe), but others that can take clause but not an NP (e.g.
hope, condescend).
There are [ditrans] verbs (e.g. promise, ask) taking two
object NPs that can also take one NP and one non-finite
clause, but others (e.g. force, dared) that can take on NP
and one non-finite clause but not two NPs.
Subcategorising kick, believe, say, and watch as [trans]
doesnt do justice to what types of complements they can
take.

A full explicit sub-categorisation system would need to categorise

each verb for at least the following:
Whether it can take a clause as complement
If so, whether that clause may or must be interrogative
Whether it can be finite or non-finite
If non-finite, which of the four types of non-finite clause are permitted
Whether an NP can intervene between the finite and the non-finite
verbs
If so, what the function of that NP is
What constituent, if any, controls the covert constituents (if any) in the
non-finite clause.

This however would be well beyond the scope of this chapter.

When a non-finite clause complements a verb, we will not assign
that clause one of the functions dO, iO, sP, or oP. The
subcategorisation feature of the verb will also be dispensed with.
Complement clauses do not need to be dominated by an NP node.

For verbs complemented by just a non-finite clause

with an overt subject, only to- and ing-particles are
admitted. The covert subject is always controlled by
the subject of the superordinate clause.
When an NP intervenes between the verb of the
superordinate clause and the non-finite verb of the
subordinate clause, there are two analyses:

1.

The NP is the subject of the lower verb and the higher

VP will consist of V and a non-finite clause (with overt
subject) as the one complement of V.
2. The NP is the object of the higher verb and must be
the sister of the higher V in the VP. The higher V will
have two complements: an NP and a non-finite clause
with covert subject.

Here are three reasons for this uncertainty:

1. When functioning as the complement of V, nonfinite clauses very rarely allow an overt
complementiser. Prefer is one of the few verbs to do so.

This

complementiser, when overt, marks the division

between the higher and lower clause. When not overt, there
is no such clue.

2. If the intervening NP is replaced with pronouns,

those pronouns must appear in the objective
(accusative) case: me, him, her, us, them.
This

suggests that the NP is functioning as object rather

than subject.
It can also been argued that not just objects take the
accusative case form but subjects of non-finite clauses.

3. The fact that the relevant NP may be understood as

the subject of the lower verb does not help either.
It

can be said that the NP is the object of the higher verb and
controls the covert subject of the lower verb.

Not all such structures can receive the same analysis: it

depends on the verb that heads the higher VP.
We divide the verbs taking non-finite clausal
complements into two types:

1.

Verbs that take just a single clausal complement with overt

subject e.g. believe, consider, expect, feel, hear, know, like,
prefer, regret, suppose, watch.
2. Verbs that take two complements, a direct object Np and a
clausal complement with a controlled covert subject e.g.
advise, ask, coax, compel, dare, encourage, force, promise,
persuade.

Type 1 verbs take a clause as their single complement.

Clauses denote propositions: things that can be true or false.
Type 2 verbs call for complements referring to things that
have volition i.e. agents (people or animals). These verbs
require an agentive NP as dO complement in addition to the
non-finite clause.
The vast majority of Type 1 verbs can be complemented just
by a finite that-clause, whereas Type 2 verbs generally
cannot.
In contrast to expletive it, expletive there can only function
as subject, and therefore only follow type 1 verbs.
With promise, the covert subject of the lower clause is
controlled, not by the overt object of the higher clause like
with other type 2 verbs, but by the subject.