week 2. clauses and trees and c-command, oh my. cas lx 522 syntax i

Week 2. Clauses and TreesWeek 2. Clauses and Treesand c-command, oh my.and c-command, oh my.

CAS LX 522CAS LX 522Syntax ISyntax I

Previously, in LX 522…Previously, in LX 522… Sentences have Sentences have structurestructure, and are made up , and are made up

of of constituentsconstituents.. The constituents are The constituents are phrasesphrases.. A phrase consists of a A phrase consists of a headhead and and modifiersmodifiers.. The categorial type of the head determines The categorial type of the head determines

the categorial type of the phrase (e.g., a the categorial type of the phrase (e.g., a phrase headed by a noun is a noun phrase).phrase headed by a noun is a noun phrase).

There are several categories, we looked at There are several categories, we looked at some of them and determined some of them and determined phrase phrase structure rulesstructure rules or templates for what each or templates for what each kind of phrase can contain.kind of phrase can contain.

Previously, in LX 522…Previously, in LX 522…

We looked at NP, VP, PP, AdvP, and We looked at NP, VP, PP, AdvP, and AdjP.AdjP. NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+) PP: P (NP)PP: P (NP) VP: (AdvP+) V (NP) (PP+) (AdvP+)VP: (AdvP+) V (NP) (PP+) (AdvP+) AdjP: (AdvP) AdjAdjP: (AdvP) Adj AdvP: (AdvP) AdvAdvP: (AdvP) Adv

Trees and constituencyTrees and constituency A sentence has a hierarchical structureA sentence has a hierarchical structure Constituents can have constituents of their own.Constituents can have constituents of their own. The simplest way to draw this is with a The simplest way to draw this is with a treetree..

on

the

N

PP

NPP

D

table

TreesTrees

The The tree diagramtree diagram is the most is the most important analytical notation we important analytical notation we will work with, and we will use a will work with, and we will use a lotlot of trees through the semester, of trees through the semester, so it is important to be able to so it is important to be able to understand and draw trees.understand and draw trees.

Drawing treesDrawing trees

Suppose the task is to draw the tree Suppose the task is to draw the tree structure of a simple sentence.structure of a simple sentence. The student put the book on the table.The student put the book on the table.

Step 1: Identify Step 1: Identify categoriescategories

The first step is to The first step is to identify the category of identify the category of each of the words in the sentenceeach of the words in the sentence..

The student put the book on the table

Step 1: Identify Step 1: Identify categoriescategories

The first step is to The first step is to identify the category of identify the category of each of the words in the sentenceeach of the words in the sentence..

The student put the book on the tableD N V D DN NP

Step 2: Locate Step 2: Locate modificationmodification

The second step is to The second step is to figure out the figure out the modification relations between modification relations between wordswords. What modifies what?. What modifies what?

Here, we have several Here, we have several thethes and each s and each modifies the noun to its right.modifies the noun to its right.


Step 3: Apply rulesStep 3: Apply rules

The third step is to The third step is to apply our rulesapply our rules, , remembering the remembering the Golden Rule of Golden Rule of Modifiers: Modifiers: Modifiers are always Modifiers are always attached within the phrase they attached within the phrase they modifymodify..

So we look at the things being So we look at the things being modified, and consult the rule for modified, and consult the rule for things of that category. things of that category.



We have several N’s being modified.We have several N’s being modified.

So we consult our rule about NPs:So we consult our rule about NPs: NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+)

Starting at the right edge, we see Starting at the right edge, we see that that the tablethe table can form an NP. can form an NP.



So, we draw an NP above So, we draw an NP above the tablethe table..Now, consider Now, consider onon. It is a P, and there is . It is a P, and there is

only one kind of phrase which can contain only one kind of phrase which can contain a P:a P: PP: P NPPP: P NP

Can we build a PP with what we have?Can we build a PP with what we have?


NP


Sure, we can draw in a PP for Sure, we can draw in a PP for on the tableon the table..Next, look at Next, look at bookbook. It is an N and the only . It is an N and the only

rule we have that contains an N is NP:rule we have that contains an N is NP: NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+)

Can we build an NP?Can we build an NP?


NP

PP


Here, we have two choices.Here, we have two choices. NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+)

An NP An NP maymay but but need notneed not contain a PP. contain a PP. We have D N PP at our disposal. We We have D N PP at our disposal. We could put them all in an NP, or we could put them all in an NP, or we could leave the PP out of the NP.could leave the PP out of the NP.


NP

PP


Only one choice is the right choice. Only one choice is the right choice. How do we know which one it is?How do we know which one it is?

Answer: The Golden Rule of Answer: The Golden Rule of Modifiers.Modifiers.


NP

PP

NP

?


In In The student put the book on the The student put the book on the tabletable, does , does on the tableon the table modify modify bookbook? If so, it needs to be in the NP ? If so, it needs to be in the NP headed by headed by bookbook..


NP

PP

NP

?


Compare this sentence toCompare this sentence toThe student saw the book on the tableThe student saw the book on the table

What is the difference them with What is the difference them with respect to respect to on the tableon the table??


NP

PP

NP

?


On the tableOn the table in our sentence modifies in our sentence modifies putput (it specifies the goal location of the (it specifies the goal location of the putting); it does putting); it does notnot modify modify bookbook, and , and so it should so it should notnot be included in the same be included in the same NP as NP as bookbook (it (it shouldshould be in the same be in the same phrase as phrase as putput).).


NP

PP

NP

Step 3: Apply rulesStep 3: Apply rulesOnly one of our phrase structure rules has Only one of our phrase structure rules has

a V, the VP rule, so we can build a VP.a V, the VP rule, so we can build a VP. VP: (AdvP+) V (NP) (PP+) (AdvP+)VP: (AdvP+) V (NP) (PP+) (AdvP+)

We just determined that We just determined that on the tableon the table modifies the verb, so the VP must modifies the verb, so the VP must contain the NP and the PP following the contain the NP and the PP following the V.V.


NP

PP

NP


The last step we can do with the rules The last step we can do with the rules we have so far is to build the NP we have so far is to build the NP over over the studentthe student. .


NP

PP

NP

VP


Using the idea that the sentence has Using the idea that the sentence has an NP and a VP (which we will soon an NP and a VP (which we will soon add to our rules), we can complete add to our rules), we can complete the tree.the tree.


NP

PP

NP

VPNP


And that’s our tree for And that’s our tree for The student The student put the book on the tableput the book on the table..


NP

PP

NP

VPNP

S

The S nodeThe S node

At the end of our tree, we had to At the end of our tree, we had to posit a rule which we hadn’t yet posit a rule which we hadn’t yet formalized:formalized: S: NP VPS: NP VP

This is a good first approximation, This is a good first approximation, but there are a couple of problems but there are a couple of problems with this formulationwith this formulation


The first problem is that it is not The first problem is that it is not complete as it stands. Consider:complete as it stands. Consider: The students will eat the sandwiches.The students will eat the sandwiches.

We have an NP We have an NP the studentsthe students, which , which is the subject of the sentence.is the subject of the sentence.

We have an NP We have an NP the sandwiches the sandwiches and and a VP a VP eat the sandwicheseat the sandwiches..

But what is But what is willwill??

The S nodeThe S node There are a number of things which can There are a number of things which can

go in this position. One group of these are go in this position. One group of these are called called modalsmodals:: Pat Pat couldcould leave. leave. Pat Pat shouldshould leave. leave. Pat Pat mightmight leave. leave. Pat Pat willwill leave. leave. Pat Pat wouldwould leave. leave.

Modals appear between the subject NP Modals appear between the subject NP ((PatPat) and the VP () and the VP (leaveleave). So, we need to ). So, we need to allow for this in our S rule.allow for this in our S rule.


S: NP (Modal) VPS: NP (Modal) VP We also need to allow for the We also need to allow for the notnot in in

negative sentences like:negative sentences like: Pat might Pat might notnot leave. leave. Pat should Pat should notnot leave. leave.

So, we now haveSo, we now have S: NP (Modal) (Neg) VPS: NP (Modal) (Neg) VP

DoDo-support-support

Pat left.Pat left. Pat did not leave.Pat did not leave. *Pat not left.*Pat not left.

When you negate a sentence like When you negate a sentence like this in English, you need to use this in English, you need to use dodo..

DoDo looks like it is in the same place looks like it is in the same place that modals are.that modals are.

When you use When you use dodo like this, like this, dodo gets gets marked for tense, not the verb.marked for tense, not the verb.


In fact, when you have something in the In fact, when you have something in the “Modal” slot, the verb never shows past “Modal” slot, the verb never shows past tense marking.tense marking. Pat left.Pat left. Pat will (not) leave.Pat will (not) leave. Pat did not leave.Pat did not leave. Pat should not leave.Pat should not leave.

Hypothesis: Hypothesis: The “modal” slot is where The “modal” slot is where the tense marking (past, present, the tense marking (past, present, future) goes.future) goes.


For this reason, we will call the For this reason, we will call the “modal” slot “T” (for “tense”).“modal” slot “T” (for “tense”). S: NP (T) (Neg) VPS: NP (T) (Neg) VP

Terminology note: This position has Terminology note: This position has gone by several names in linguistic gone by several names in linguistic history.history. 60’s: Aux (auxiliary, for 60’s: Aux (auxiliary, for have have and and bebe)) 80’s: Infl or I (inflection, including tense)80’s: Infl or I (inflection, including tense) 90’s: Tns or T (sort of, to be clarified later)90’s: Tns or T (sort of, to be clarified later)


Now, consider Now, consider Pat leftPat left. The verb is . The verb is marked with past tense, but we marked with past tense, but we wanted to make T be where the wanted to make T be where the tense information goes.tense information goes.

The common view is that T holds The common view is that T holds something that is something that is smaller than a smaller than a wordword, a , a tense affixtense affix..

The tense affixThe tense affix

If you look at verbs, many of them If you look at verbs, many of them can be distinguished in the present can be distinguished in the present and the past tense by the presence of and the past tense by the presence of -ed-ed at the end. at the end. WalkWalk vs. vs. walkedwalked (walk+ed)(walk+ed) WaitWait vs. vs. waitedwaited (wait+ed) (wait+ed) SleepSleep vs. vs. sleptslept (sleep+ed) (sleep+ed)

The idea is that the past tense of the The idea is that the past tense of the verb is made of the verb stem plus verb is made of the verb stem plus something else, the past tense suffix.something else, the past tense suffix.


If we suppose that the past tense affix If we suppose that the past tense affix --eded is of category T, we could write is of category T, we could write Pat leftPat left this this way:way: Pat -ed leavePat -ed leave

Part of being a verbal affix (in this case a Part of being a verbal affix (in this case a verbal suffix) is that it is required to be verbal suffix) is that it is required to be attached to a verb.attached to a verb.

So So --eded must “hop” onto must “hop” onto leaveleave (because (because verbal affixes need to be attached to verbal affixes need to be attached to verbs), yielding verbs), yielding leftleft..


Now, since every sentence needs Now, since every sentence needs tense, we can suppose that the T in tense, we can suppose that the T in our S rule isn’t optional—there is our S rule isn’t optional—there is always a T there, but it can be an always a T there, but it can be an affix which will hop onto the verb affix which will hop onto the verb and be pronounced as one word with and be pronounced as one word with the verb.the verb.

S: NP T (Neg) VPS: NP T (Neg) VP


This also gives us an explanation for This also gives us an explanation for why when you negate a sentence you why when you negate a sentence you need to use need to use dodo:: Pat did not leave.Pat did not leave.

The past tense affix needs to be The past tense affix needs to be attached to a verb, but it can’t attached to a verb, but it can’t because because notnot is in the way.is in the way.

The way out is to insert a “dummy The way out is to insert a “dummy verb”, a verb that has no semantic verb”, a verb that has no semantic content, that content, that -ed-ed can attach to.can attach to.


The idea is that we insert the The idea is that we insert the “dummy verb” “dummy verb” dodo as a “last resort” if as a “last resort” if the sentence has a “stranded affix” the sentence has a “stranded affix” that can’t hop onto an adjacent verb. that can’t hop onto an adjacent verb. This is called This is called dodo-support-support..


So given “affix hopping” and So given “affix hopping” and dodo--support, we can write our S rule support, we can write our S rule with three required elements:with three required elements: S: NP T (Neg) VPS: NP T (Neg) VP

There is something else which is There is something else which is unusual about the S rule in unusual about the S rule in comparison to our other rules.comparison to our other rules.


Compare Compare S: NP T (Neg) VPS: NP T (Neg) VP to to NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+) PP: P (NP)PP: P (NP) VP: (AdvP+) V (NP) (PP+) (AdvP+)VP: (AdvP+) V (NP) (PP+) (AdvP+)

Our other rules make phrases that Our other rules make phrases that are the same category as their head.are the same category as their head.

What is the head of S?What is the head of S?

The TP nodeThe TP node An obvious choice, now that T is a required An obvious choice, now that T is a required

part of S, is to assume that part of S, is to assume that T is the head of ST is the head of S.. Given this, we will rename our S node to “TP” Given this, we will rename our S node to “TP”

to be more in line with our other phrases.to be more in line with our other phrases. TP: NP T (Neg) VPTP: NP T (Neg) VP That is, the tense morpheme -That is, the tense morpheme -eded or a modal or a modal

like like mightmight is actually the is actually the headhead of the sentence. of the sentence.

Terminology reminder: In 80’s terminology this is Terminology reminder: In 80’s terminology this is called “IP” and is often referred to that way even called “IP” and is often referred to that way even today—it’s the same thing.today—it’s the same thing.

Embedded clausesEmbedded clauses

There is just one more kind of phrase There is just one more kind of phrase we should add to our set of structure we should add to our set of structure rules.rules.

It is possible to It is possible to embedembed one sentence one sentence inside another, like this:inside another, like this: Pat said that the students ate the Pat said that the students ate the

sandwiches.sandwiches. The whole thing is a sentence, but it The whole thing is a sentence, but it

has our familiar sentences as part of it.has our familiar sentences as part of it.

Embedded clausesEmbedded clauses

Pat said that the students ate the Pat said that the students ate the sandwiches.sandwiches.

We know that We know that the students ate the the students ate the sandwichessandwiches is a TP, so let’s abbreviate is a TP, so let’s abbreviate this:this: Pat said that TP.Pat said that TP.

When you embed a sentence, you When you embed a sentence, you generally need a word like generally need a word like thatthat, called a , called a complementizercomplementizer. We will assign it to . We will assign it to category C.category C.

The CPThe CP Pat said that TP.Pat said that TP.

We can write a rule for CP like this, We can write a rule for CP like this, where where thatthat (C) is the head, and TP is an (C) is the head, and TP is an obligatory “modifier.”obligatory “modifier.” CP: C TPCP: C TP

And we need to modify our VP rule to And we need to modify our VP rule to allow CP to be the object of a verb (like allow CP to be the object of a verb (like saysay):): VP: (AdvP+) V ({NP/CP}) (PP+) (AdvP+)VP: (AdvP+) V ({NP/CP}) (PP+) (AdvP+)

Rarely, you’ll see CP referred to as S’ (“S-Rarely, you’ll see CP referred to as S’ (“S-bar”); that is 70s terminology. If you see S’, bar”); that is 70s terminology. If you see S’, think CP.think CP.

The CPThe CP

In fact, a CP can not only be the In fact, a CP can not only be the objectobject of a verb, but it can also be of a verb, but it can also be the the subjectsubject of a verb: of a verb: That Pat left surprised me.That Pat left surprised me. The dog surprised me.The dog surprised me.

So, we need to allow for this in our So, we need to allow for this in our TP rule:TP rule: TP: {NP/CP} T (Neg) VPTP: {NP/CP} T (Neg) VP

Our phrase structure Our phrase structure rulesrules

We now have a fairly complete set We now have a fairly complete set of rules.of rules. NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+) PP: P (NP)PP: P (NP) VP: (AdvP+) V ({NP/CP}) (PP+) VP: (AdvP+) V ({NP/CP}) (PP+)

(AdvP+)(AdvP+) AdjP: (AdvP) AdjAdjP: (AdvP) Adj AdvP: (AdvP) AdvAdvP: (AdvP) Adv TP: {NP/CP} T (Neg) VPTP: {NP/CP} T (Neg) VP CP: C TPCP: C TP

RecursionRecursion

An important property of the rules we have is An important property of the rules we have is that they are that they are recursiverecursive. Inside a CP, you can . Inside a CP, you can have a CP. Inside an AdvP you can have an have a CP. Inside an AdvP you can have an AdvP. This means that there in principle an AdvP. This means that there in principle an infinite number of possible sentence infinite number of possible sentence structures.structures. John left.John left. Mary said that John left.Mary said that John left. Bill thinks that Mary said that John left.Bill thinks that Mary said that John left. I heard that Bill thinks that Mary said that John left.I heard that Bill thinks that Mary said that John left. Pat said that I heard that Bill thinks that Mary said Pat said that I heard that Bill thinks that Mary said

that John left.that John left.

Back to the treesBack to the trees

We now have the tools to draw trees We now have the tools to draw trees for a lot of English sentences. Let’s for a lot of English sentences. Let’s do another one—it will be very do another one—it will be very important to be comfortable with important to be comfortable with converting sentences into trees.converting sentences into trees.

Our sentence will be:Our sentence will be: John said that the dog barked very John said that the dog barked very

loudly.loudly.

Step 1:Identify Step 1:Identify categoriescategories

First, identify the categories.First, identify the categories.

John said that the dog barked very loudly.


First, identify the categories.First, identify the categories. Then, figure out what modifies what.Then, figure out what modifies what.

John said that the dog barked very loudly.N V C D AdvV AdvN


TheThe modifies modifies dogdog.. VeryVery modifies modifies loudlyloudly.. Very loudlyVery loudly modifies modifies barkedbarked..

Now, we start to apply our rules.Now, we start to apply our rules.



VeryVery modifies modifies loudlyloudly, so , so veryvery must be must be inside the phrase headed by inside the phrase headed by loudlyloudly, an , an AdvP. Our rule is:AdvP. Our rule is: AdvP: (AdvP) Adv.AdvP: (AdvP) Adv.

Notice: The AdvP headed by Notice: The AdvP headed by loudlyloudly can optionally take an AdvP—not an can optionally take an AdvP—not an Adv. So, first we need to make Adv. So, first we need to make veryvery an an AdvP.AdvP.



Now, we can apply our rule to make Now, we can apply our rule to make the AdvP the AdvP very loudlyvery loudly.. AdvP: (AdvP) Adv.AdvP: (AdvP) Adv.


AdvP


Next, we have the V. Our rule isNext, we have the V. Our rule is VP: (AdvP+) V (NP/CP) (PP+) VP: (AdvP+) V (NP/CP) (PP+)

(AdvP+)(AdvP+) So we can build a VP containing the So we can build a VP containing the

verb and the AdvP verb and the AdvP very loudlyvery loudly..


AdvP

AdvP


Moving on to Moving on to dogdog, it is modified by , it is modified by thethe, together constituting the , together constituting the subject NP of the embedded subject NP of the embedded sentence. Our rule allows us to build sentence. Our rule allows us to build an NP here.an NP here. NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+)


AdvP

AdvP

VP


Now we want to complete the Now we want to complete the embedded sentence. Our rule is:embedded sentence. Our rule is: TP: {NP/CP} T (Neg) VP.TP: {NP/CP} T (Neg) VP.

We can’t build that with what we We can’t build that with what we have right now.have right now.


AdvP

AdvP

VP

NP


Remember that Remember that barkedbarked, the past tense , the past tense of of barkbark, comes from a past tense , comes from a past tense morpheme (-morpheme (-eded) and the verb stem ) and the verb stem ((barkbark).).

So, the word So, the word barkedbarked is really is really structurally -structurally -ed ed barked. We need to add barked. We need to add this to the tree.this to the tree.

Same for Same for saidsaid ( (saysay + - + -eded))


AdvP

AdvP

VP

NP


Now, we can apply our TP rule to do Now, we can apply our TP rule to do the embedded clause.the embedded clause. TP: {NP/CP} T (Neg) VP.TP: {NP/CP} T (Neg) VP.

John -ed say that the dog -ed bark very loudly.N V C D AdvV AdvN

AdvP

AdvP

VP

NP

TT


And then we can use the CP to build And then we can use the CP to build the phrase headed by the phrase headed by thatthat.. CP: C TPCP: C TP


AdvP

AdvP

VP

NP

TT

TP


Next, the VP rule to combine Next, the VP rule to combine saysay and and the CP.the CP. VP: (AdvP+) V ({NP/CP}) (PP+) VP: (AdvP+) V ({NP/CP}) (PP+)

(AdvP+)(AdvP+)


AdvP

AdvP

VP

NP

TT

TP

CP

Step 3: Apply rulesStep 3: Apply rules And then the TP rule: And then the TP rule: TP: {NP/CP} T (Neg) VP.TP: {NP/CP} T (Neg) VP. This needs an NP, so we need to build that first.This needs an NP, so we need to build that first.


AdvP

AdvP

VP

NP

TT

TP

CP

VP

Step 3: Apply rulesStep 3: Apply rules Now we can use the TP Now we can use the TP

rule:rule: TP: {NP/CP} T (Neg) TP: {NP/CP} T (Neg)

VP.VP.


AdvP

AdvP

VP

NP

TT

TP

CP

VP

NP


And we’re done.And we’re done.


AdvP

AdvP

VP

NP

TT

TP

CP

VP

NP

TP

That vs. ØThat vs. Ø What if the sentence wereWhat if the sentence were

John said the dog barked very John said the dog barked very loudly?loudly?

John -ed say Ø the dog -ed bark very loudly.N V C D AdvV AdvN

AdvP

AdvP

VP

NP

TT

TP

CP

VP

NP

TP

One to try…One to try…

NP: (D) (AdjP+) N (PP+)NP: (D) (AdjP+) N (PP+) PP: P (NP)PP: P (NP) VP: (AdvP+) V ({NP/CP}) (PP+) (AdvP+)VP: (AdvP+) V ({NP/CP}) (PP+) (AdvP+) AdjP: (AdvP) AdjAdjP: (AdvP) Adj AdvP: (AdvP) AdvAdvP: (AdvP) Adv TP: {NP/CP} T (Neg) VPTP: {NP/CP} T (Neg) VP CP: C TPCP: C TP

The young consumers walked to the new The young consumers walked to the new store.store.

The young consumers…The young consumers…

Is this what you ended up with?Is this what you ended up with?

The young consumers -ed walk to the new storeD DV P NAdjN T

NP

NPPP

VP

TP

Adj

AdjP AdjP

TreesTrees

We will be working with trees a lot, We will be working with trees a lot, and the and the geometrygeometry of trees will be of trees will be quite important. We need some quite important. We need some terminology to talk about the parts terminology to talk about the parts of trees.of trees.

TreesTrees

An abstract tree An abstract tree structure…structure…

A

B C

D E F

TreesTrees

The “joints” of the tree The “joints” of the tree are are nodesnodes. The nodes . The nodes here are labeled (with here are labeled (with node labelsnode labels).).

A

B C

D E F

TreesTrees


Nodes are connected by Nodes are connected by branchesbranches..

A

B C

D E F

TreesTrees


Nodes are connected by Nodes are connected by branchesbranches..

The node at the top of the The node at the top of the tree (with no branches tree (with no branches above it) is called the above it) is called the root root nodenode. A is the root node.. A is the root node.

A

B C

D E F

TreesTrees

Nodes with no branches Nodes with no branches beneath them are called beneath them are called terminal nodesterminal nodes..

B, D, E, F are terminal B, D, E, F are terminal nodes.nodes.

A

B C

D E F

TreesTrees

Nodes with no branches Nodes with no branches beneath them are called beneath them are called terminal nodesterminal nodes..

B, D, E, F are terminal nodes.B, D, E, F are terminal nodes.

Nodes with branches beneath Nodes with branches beneath them are called them are called nonterminal nonterminal nodesnodes..

A, C are nonterminal nodes.A, C are nonterminal nodes.

A

B C

D E F

Tree relationsTree relations

A node X A node X dominatesdominates nodes below it on the nodes below it on the tree; these are the nodes tree; these are the nodes which would be pulled which would be pulled along if you grabbed the along if you grabbed the node X and pulled it off node X and pulled it off of the page.of the page.

A

B C

D E F


A node X A node X dominatesdominates nodes below it on the nodes below it on the tree; these are the nodes tree; these are the nodes which would be pulled which would be pulled along if you grabbed the along if you grabbed the node X and pulled it off node X and pulled it off of the page.of the page.

C dominates D, E, and F.C dominates D, E, and F.

A

B C

D E F

C

D E F


A node X A node X immediately immediately dominatesdominates a node Y if X a node Y if X dominates Y and is dominates Y and is connected by only one connected by only one branch.branch.

A immediately dominatesA immediately dominatesB and C.B and C.

A

B C

D E F


A node X A node X immediately immediately dominatesdominates a node Y if X a node Y if X dominates Y and is dominates Y and is connected by only one connected by only one branch.branch.

A immediately dominatesA immediately dominatesB and C.B and C.

A is also sometimes called A is also sometimes called the the mother mother of B and C. of B and C.

A

B C

D E F


A node which shares the A node which shares the same mother as a node X same mother as a node X is sometimes called the is sometimes called the sister sister of X.of X.

B is the sister of C.B is the sister of C. C is the sister of B.C is the sister of B. D, E are the sisters of F.D, E are the sisters of F.

A

B C

D E F


A node X A node X c-commandsc-commands its sisters and the nodes its sisters and the nodes dominated by its sisters.dominated by its sisters.

A

B C

D E F



B c-commands C, D, E, B c-commands C, D, E, and F.and F.

A

B C

D E F




D c-commands E and F.D c-commands E and F.

A

B C

D E F




D c-commands E and F.D c-commands E and F. C c-commands B.C c-commands B.

A

B C

D E F




D c-commands E and F.D c-commands E and F. C c-commands B.C c-commands B.

A

B C

D E F

C-commandis very importantto understand!


What does PP dominate?What does PP dominate?


NP

NPPP

VP

TP

Adj

AdjP AdjP


What does PP dominate?What does PP dominate? P, NP, D, AdjP, Adj, N.P, NP, D, AdjP, Adj, N.


NP

NPPP

VP

TP

Adj

AdjP AdjP


What is/are the sister(s) of V?What is/are the sister(s) of V?


NP

NPPP

VP

TP

Adj

AdjP AdjP


What is/are the sister(s) of V?What is/are the sister(s) of V? PP.PP.


NP

NPPP

VP

TP

Adj

AdjP AdjP


What is/are the sister(s) of the N What is/are the sister(s) of the N storestore??


NP

NPPP

VP

TP

Adj

AdjP AdjP


What is/are the sister(s) of the N What is/are the sister(s) of the N storestore??

D, AdjP.D, AdjP.


NP

NPPP

VP

TP

Adj

AdjP AdjP


What does P c-command?What does P c-command?


NP

NPPP

VP

TP

Adj

AdjP AdjP


What does P c-command?What does P c-command? NP, D, AdjP, Adj, N.NP, D, AdjP, Adj, N.


NP

NPPP

VP

TP

Adj

AdjP AdjP


What does VP c-command?What does VP c-command?


NP

NPPP

VP

TP

Adj

AdjP AdjP


What does VP c-command?What does VP c-command? NP, D, AdjP, Adj, N, T.NP, D, AdjP, Adj, N, T.


NP

NPPP

VP

TP

Adj

AdjP AdjP

Grammatical relationsGrammatical relations What is the subject of this sentence?What is the subject of this sentence? The NP The NP The young consumersThe young consumers.. Notice that this is the daughter of TP.Notice that this is the daughter of TP.


NP

NPPP

VP

TP

Adj

AdjP AdjP

Grammatical relationsGrammatical relations

In fact, the subject is In fact, the subject is in generalin general, , the NP which is the daughter of TP.the NP which is the daughter of TP.

Subject Subject = NP daughter of TP= NP daughter of TP


NP

NPPP

VP

TP

Adj

AdjP AdjP

Grammatical relationsGrammatical relations Similarly the (direct) object is generally Similarly the (direct) object is generally

the NP which is the daughter of VPthe NP which is the daughter of VP Direct object Direct object = NP daughter of VP.= NP daughter of VP.


NP

NPPP

VP

TP

Adj

AdjP AdjP

Grammatical relationsGrammatical relations And the object of a preposition is the NP which And the object of a preposition is the NP which

is the daughter of PP.is the daughter of PP. Object of a preposition Object of a preposition = NP daughter of PP.= NP daughter of PP.


NP

NPPP

VP

TP

Adj

AdjP AdjP

PrecedencePrecedence

The tree also encodes the The tree also encodes the linear linear order order of the terminal nodes.of the terminal nodes.



TheThe is pronounced before is pronounced before studentsstudents..

NP

D Nthe students



TheThe is pronounced before is pronounced before studentsstudents.. SawSaw is pronounced before is pronounced before thethe and and

studentsstudents..

NP

D Nthe students

Vsaw

VP


That is, V is pronounced before NP, That is, V is pronounced before NP, meaning V is pronounced before all meaning V is pronounced before all of the terminal nodes dominated by of the terminal nodes dominated by NP.NP.

NP

D Nthe students

Vsaw

VP


Even if the tree is drawn sloppily, Even if the tree is drawn sloppily, nothing changes—(everything nothing changes—(everything dominated by) V is pronounced dominated by) V is pronounced before (everything dominated by) before (everything dominated by) NP. This is still “saw the students”.NP. This is still “saw the students”.

NP

D Nthe students

Vsaw

VP

No line crossingNo line crossing

One of the One of the implications of this implications of this is that you cannot is that you cannot draw a well-formed draw a well-formed tree with lines that tree with lines that cross.cross.

Adv can’t be Adv can’t be pronounced before V pronounced before V because Adv is part because Adv is part of NP and V has to of NP and V has to be pronounced be pronounced before all of NP. before all of NP.

NAdjVAdv

AdvP

AdjP

NP

VP

Back to c-commandBack to c-command

To reiterate, To reiterate, c-commandc-command is a is a very important concept of very important concept of tree geometry. It’s not tree geometry. It’s not fundamentally complicated, fundamentally complicated, but it turns out to be very but it turns out to be very useful in characterizing useful in characterizing natural language syntax.natural language syntax.

A node A node X X c-commandsc-commands its its sisters and the nodes sisters and the nodes dominated by its sisters.dominated by its sisters.

A

B C

D E F

Back to c-commandBack to c-command

C-command can be C-command can be symmetricsymmetric or or asymmetricasymmetric..

A node A node asymmetrically c- asymmetrically c-commands a node commands a node iff iff c- c-commands commands but but doesn’t c- doesn’t c-command command ..

Two nodes Two nodes and and symmetrically c-command symmetrically c-command each other iff each other iff c-commands c-commands and and c-commands c-commands ..

Examples?Examples?

A

B C

D E F

Bracketed diagramsBracketed diagrams

Another way of conveying Another way of conveying the information in a tree is the information in a tree is with a with a bracketed diagrambracketed diagram..

[[AA B [ B [CC D E F] ] D E F] ]

Constituents are marked by Constituents are marked by matching brackets, the left matching brackets, the left bracket (generally) is bracket (generally) is marked with the label of the marked with the label of the constituent as a whole.constituent as a whole.

A

B C

D E F

Negative Polarity ItemsNegative Polarity Items

Certain words in English seem to only be Certain words in English seem to only be available in “negative” contexts. available in “negative” contexts. Pat didPat didn’tn’t invite invite anyoneanyone to the party. to the party. Pat does Pat does notnot know know anythinganything about syntax. about syntax. Pat hasPat hasn’tn’t everever been to London. been to London. Pat hasPat hasn’tn’t seen seen Forrest GumpForrest Gump yetyet.. *Pat invited *Pat invited anyoneanyone to the party. to the party. *Pat knows *Pat knows anythinganything about syntax. about syntax. *Pat has *Pat has everever been to London. been to London. *Pat has seen *Pat has seen Forrest GumpForrest Gump yetyet..


These are called These are called negative polarity itemsnegative polarity items.. They include They include everever, , yetyet, , anyoneanyone, , anythinganything, ,

any Nany N, as well as some idiomatic ones , as well as some idiomatic ones like like lift a fingerlift a finger and and a red centa red cent.. Pat didn’t lift a finger to help.Pat didn’t lift a finger to help. Pat didn’t have a red cent.Pat didn’t have a red cent. *Pat lifted a finger to help.*Pat lifted a finger to help. *Pat had a red cent.*Pat had a red cent.

AnyAny Just to introduce a complication right away, Just to introduce a complication right away,

there there isis a positive-polarity version of a positive-polarity version of anyany that has a different meaning, known as the that has a different meaning, known as the “free choice “free choice anyany” meaning. This meaning is ” meaning. This meaning is distinguishable (intuitively) from the NPI distinguishable (intuitively) from the NPI anyany meaning, and we are concentrating meaning, and we are concentrating only on the NPI only on the NPI anyany meaning—for now, we meaning—for now, we will just consider will just consider anyany to be ambiguous, like to be ambiguous, like bankbank.. John read anything the professor gave him.John read anything the professor gave him. Anyone who can understand syntax is a genius.Anyone who can understand syntax is a genius. Pick any card.Pick any card.

LicensingLicensing

NPI’s are only allowed to appear if NPI’s are only allowed to appear if there’s a negative in the sentence.there’s a negative in the sentence.

We say that negation gives them We say that negation gives them “license to appear”: NPI’s are “license to appear”: NPI’s are licensedlicensed by negation by negation in a sentence. in a sentence.

Just like you need a driver’s license to Just like you need a driver’s license to drive a car (legally), you need negation drive a car (legally), you need negation to use a NPI (grammatically).to use a NPI (grammatically).


But it isn’t quite as simple as that. But it isn’t quite as simple as that. Consider:Consider: I didI didn’tn’t see see anyoneanyone.. *I saw *I saw anyoneanyone.. **AnyoneAnyone did didn’tn’t see me. see me. **AnyoneAnyone saw me. saw me.

It seems that simply having negation It seems that simply having negation in the sentence isn’t in the sentence isn’t by itselfby itself enough enough to license the use of an NPI.to license the use of an NPI.


As a first pass, we might say that As a first pass, we might say that negation has to negation has to precedeprecede the NPI. the NPI. I didI didn’tn’t see see anyoneanyone.. **AnyoneAnyone did didn’tn’t see me. see me.

But that’s not quite it either.But that’s not quite it either. *[That John did*[That John didn’tn’t stay] surprised stay] surprised anyoneanyone.. [That John did[That John didn’tn’t stay] did stay] didn’tn’t surprise surprise

anyoneanyone..

Negative Polarity ItemsNegative Polarity Items *[That John didn’t stay] surprised anyone.*[That John didn’t stay] surprised anyone. [That John didn’t stay] didn’t surprise anyone.[That John didn’t stay] didn’t surprise anyone.

TP

VP

not V NPI

T

TP

NP VP

not V

TJohn

CP

Cthat

stay

did

surprise

Structural ambiguityStructural ambiguity

John said that Bill slipped in the kitchen.John said that Bill slipped in the kitchen.

This sentence has two possible This sentence has two possible meanings; either John meanings; either John saidsaid it in the it in the kitchen, or Bill kitchen, or Bill slipped slipped in the kitchen in the kitchen (according to John).(according to John).

John said that Bill will leave yesterday.John said that Bill will leave yesterday. John said that Bill will leave tomorrow.John said that Bill will leave tomorrow.

Structural ambiguityStructural ambiguityTP

NP VP

V CP

TJohn -ed

say

Cthat TP

NP VP

V

TBill -ed

slipPP

in thekitchen

TP

NP VP

V CP

TJohn -ed

say

Cthat TP

NP VP

V

TBill -ed

slip

PPin thekitchen


John said that Bill didn’t slipJohn said that Bill didn’t slipin any room in the house.in any room in the house.

Suddenly, it has only one meaning. Suddenly, it has only one meaning. Why?Why? John said: In no room did Bill slip.John said: In no room did Bill slip. *John said in any room: Bill didn’t slip.*John said in any room: Bill didn’t slip.

Negative Polarity ItemsNegative Polarity ItemsTP

NP VP

V CP

TJohn -ed

say

Cthat TP

NP VP

V

TBill did

slipPP

in anyroom

TP

NP VP

V CP

TJohn -ed

say

Cthat TP

NP VP

V

TBill did

slip

PPin anyroom

Negnot

Negnot

*


How about:How about: John didn’t say that Bill slipped in any John didn’t say that Bill slipped in any

room in the house.room in the house. What do we predict?What do we predict?

Negative Polarity ItemsNegative Polarity ItemsTP

NP VP

V CP

TJohn did

say

Cthat TP

NP VP

V

TMary -ed

slipPP

in anyroom

TP

NP VP

V CP

TJohn did

say

Cthat TP

NP VP

V

TMary -ed

slip

PPin anyroom

Negnot

Negnot

Negative Polarity ItemsNegative Polarity Items John didn’t say that Mary slipped in any John didn’t say that Mary slipped in any

room in the house.room in the house. ……He said that when he was out in the He said that when he was out in the

yard…yard… ……He said that she slipped on the sidewalk…He said that she slipped on the sidewalk…

Both meanings are good, because both Both meanings are good, because both possible structural positions for the NPI possible structural positions for the NPI are c-commanded (thus licensed) by the are c-commanded (thus licensed) by the negation.negation.

Binding TheoryBinding Theory

Binding TheoryBinding Theory is primarily is primarily concerned with explaining the concerned with explaining the distribution of three kinds of noun distribution of three kinds of noun phrases:phrases: AnaphorsAnaphors. Expressions like . Expressions like himselfhimself, ,

herselfherself, , myselfmyself, , eacheach otherother.. PronounsPronouns. Expressions like . Expressions like himhim, , herher.. R-expressionsR-expressions. Referring expressions . Referring expressions

like like PatPat, , Chris.Chris.

R-expressionsR-expressions

R-expressionsR-expressions are NPs like are NPs like PatPat, or , or the professorthe professor, or , or an unlucky farmeran unlucky farmer, , which get their meaning by referring which get their meaning by referring to something in the world. Most NPs to something in the world. Most NPs are like this.are like this.

AnaphorsAnaphors

An An anaphor anaphor does does notnot get its meaning get its meaning from something in the world—it from something in the world—it depends on something else in the depends on something else in the sentence.sentence. John saw John saw himselfhimself in the mirror. in the mirror. Mary bought Mary bought herselfherself a sandwich. a sandwich.

PronounsPronouns

A A pronoun pronoun is similar to an anaphor is similar to an anaphor in that it doesn’t refer to something in that it doesn’t refer to something in the world but gets its reference in the world but gets its reference from something else.from something else. John told Mary that John told Mary that hehe likes pizza. likes pizza. Mary wondered if Mary wondered if sheshe agreed. agreed. Mary concluded that Mary concluded that hehe was crazy. was crazy.

……but it doesn’t but it doesn’t needneed to be to be something in the sentence.something in the sentence.

Anaphors and pronounsAnaphors and pronouns

Anaphors and pronouns are Anaphors and pronouns are referentially dependentreferentially dependent, they do not , they do not have an intrinsic meaning.have an intrinsic meaning.

Anaphors: himself, herself, myself, Anaphors: himself, herself, myself, yourself, itself, themselves, yourself, itself, themselves, yourselves, ourselves. Very similar yourselves, ourselves. Very similar are reciprocals like each other.are reciprocals like each other.

Pronouns: he, him, she, her, I, me, Pronouns: he, him, she, her, I, me, you, them, it, we, us. you, them, it, we, us.

The problemThe problem

It turns out that there are very specific It turns out that there are very specific configurations in which pronouns, anaphors, and configurations in which pronouns, anaphors, and R-expressions can/must be used.R-expressions can/must be used.

Even though both Even though both hehe and and himselfhimself could refer to could refer to JohnJohn below, you can’t just choose freely between below, you can’t just choose freely between them.them. John saw himself.John saw himself. *John saw him.*John saw him. John thinks that Mary likes him.John thinks that Mary likes him. *John thinks that Mary likes himself.*John thinks that Mary likes himself. John thinks that he is a genius.John thinks that he is a genius. *John thinks that himself is a genius.*John thinks that himself is a genius.

The problemThe problem

The question Binding Theory strives The question Binding Theory strives to answer is:to answer is:

When do you use anaphors, When do you use anaphors, pronouns, and R-expressions?pronouns, and R-expressions?

Indices and antecedentsIndices and antecedents Anaphors and pronouns are referentially Anaphors and pronouns are referentially

dependent; they can (or must) be dependent; they can (or must) be co-co-referential referential with another NP in the with another NP in the sentence.sentence.

The way we indicate that two NPs are co-The way we indicate that two NPs are co-referential is by means of an referential is by means of an indexindex, , usually a subscripted letter. Two NPs that usually a subscripted letter. Two NPs that share the same index (that are share the same index (that are coindexedcoindexed) also share the same referent.) also share the same referent.

JohnJohnii saw himself saw himselfii in the mirror. in the mirror.

Indices and antecedentsIndices and antecedents


The NP from which an anaphor or The NP from which an anaphor or pronoun draws its reference is called pronoun draws its reference is called the the antecedentantecedent..

John John is the antecedent for is the antecedent for himselfhimself. . John John and and himself himself are co-referential.are co-referential.

Constraints on co-Constraints on co-referencereference

JohnJohnii saw himself saw himselfii..

HimselfHimselfii saw John saw Johnii..

*John*Johnii’s mother saw himself’s mother saw himselfii..

It is impossible to assign the same It is impossible to assign the same referent to referent to John John and and himself himself in the in the second and third sentences. What is second and third sentences. What is different between the good and bad different between the good and bad sentences?sentences?

BindingBinding

What is the difference between the What is the difference between the relationship between relationship between JohnJohn and and himselfhimself in the first case and in the second case?in the first case and in the second case?

see

himself

-edNP

N

TP

T

NPiV

VP

John see

himself

-edNPi

N

TP

T

NPiV

VP

N

motherN

John’s

NPi

N

*

BindingBinding

In the first case, the NP In the first case, the NP JohnJohn c-c-commandscommands the NP the NP himselfhimself. But not in . But not in the second case.the second case.

see

himself

-edNP

N

TP

T

NPiV

VP

John see

himself

-edNPi

N

TP

T

NPiV

VP

N

motherN

John’s

NPi

N

*

BindingBinding

When one NP c-commands and is When one NP c-commands and is coindexed with another NP, the first is coindexed with another NP, the first is said to said to bindbind the other.the other.

see

himself

-edNP

N

TP

T

NPiV

VP

John see

himself

-edNPi

N

TP

T

NPiV

VP

N

motherN

John’s

NPi

N

*

BindingBinding DefinitionDefinition: A : A bindsbinds B iffB iff

A c-commands BA c-commands B A is coindexed with BA is coindexed with B “if and only if” “if and only if”

see

himself

-edNP

N

TP

T

NPiV

VP

John see

himself

-edNPi

N

TP

T

NPiV

VP

N

motherN

John’s

NPi

N

*

Principle APrinciple A

Principle APrinciple A of the Binding Theory of the Binding Theory (preliminary)(preliminary)::An anaphor must be bound.An anaphor must be bound.

see

himself

-edNP

N

TP

T

NPiV

VP

John see

himself

-edNPi

N

TP

T

NPiV

VP

N

motherN

John’s

NPi

N

*

Principle APrinciple A

This also explains why the following This also explains why the following sentences are ungrammatical:sentences are ungrammatical: *Himself*Himselfii saw John saw Johnii in the mirror. in the mirror. *Herself*Herselfii likes Mary likes Maryii’s father.’s father. *Himself*Himselfii likes Mary’s father likes Mary’s fatherii..

There is nothing which c-commands There is nothing which c-commands and is coindexed with and is coindexed with himselfhimself and and herselfherself. The anaphors are not bound, . The anaphors are not bound, which violates Principle A.which violates Principle A.

Binding domainsBinding domains

But this is not the end of the story; But this is not the end of the story; considerconsider *John*Johnii said that himself said that himselfii likes pizza. likes pizza. *John*Johnii said that Mary called himself said that Mary called himselfii..

In these sentences the NP In these sentences the NP JohnJohn c- c-commands and is coindexed with commands and is coindexed with (=binds) (=binds) himselfhimself, satisfying our , satisfying our preliminary version of Principle A—but preliminary version of Principle A—but the sentences are ungrammatical.the sentences are ungrammatical. John didn’t say that anyone likes pizza.John didn’t say that anyone likes pizza. John didn’t say that Mary called anyone.John didn’t say that Mary called anyone.

Binding domainsBinding domains


JohnJohnii gave a book to himself gave a book to himselfii..

*John*Johnii said that himself said that himselfii is a genius. is a genius.

*John*Johnii said that Mary dislikes himself said that Mary dislikes himselfii..

What is wrong? What is wrong? John John binds binds himself himself in every case. What is different?in every case. What is different?

In the ungrammatical cases, In the ungrammatical cases, himselfhimself is in an embedded clause. is in an embedded clause.

Binding domainsBinding domains It seems that not only does an anaphor It seems that not only does an anaphor

need to be bound, it needs to be bound need to be bound, it needs to be bound nearby (or nearby (or locallylocally).).

Principle A Principle A (revised):(revised):An anaphor must be bound in its binding An anaphor must be bound in its binding domain.domain.

Binding DomainBinding Domain (preliminary): (preliminary):The binding domain of an anaphor is the The binding domain of an anaphor is the smallest clause containing it.smallest clause containing it.

PronounsPronouns

*John*Johnii saw him saw himii in the mirror. in the mirror.

JohnJohnii said that he said that heii is a genius. is a genius.

JohnJohnii said that Mary dislikes him said that Mary dislikes himii..

JohnJohnii saw him saw himjj in the mirror. in the mirror.

How does the distribution of How does the distribution of pronouns differ from the distribution pronouns differ from the distribution of anaphors?of anaphors?

It looks like it is just the It looks like it is just the oppositeopposite..

Principle BPrinciple B

Principle BPrinciple BA pronoun must be free in its binding A pronoun must be free in its binding domain.domain.

FreeFreeNot boundNot bound

*John*Johnii saw him saw himii..

JohnJohnii’s mother saw him’s mother saw himii..

Principle CPrinciple C

We now know where pronouns and We now know where pronouns and anaphors are allowed. So what’s anaphors are allowed. So what’s wrong with these sentences? The wrong with these sentences? The pronouns are unbound as needed for pronouns are unbound as needed for Principle B. What are the binding Principle B. What are the binding relations here?relations here?

*He*Heii likes John likes Johnii.. *She*Sheii said that Mary said that Maryii fears clowns. fears clowns. HisHisii mother likes John mother likes Johnii..

Principle CPrinciple C

Binding is a means of assigning Binding is a means of assigning reference.reference.

R-expressions have intrinsic R-expressions have intrinsic reference; they can’t be assigned reference; they can’t be assigned their reference from somewhere else.their reference from somewhere else.

R-expressions can’t be bound, at all.R-expressions can’t be bound, at all. Principle CPrinciple C

An r-expression must be free.An r-expression must be free.

Binding TheoryBinding Theory Principle APrinciple A

An anaphor must be bound in its binding An anaphor must be bound in its binding domain.domain.Principle BPrinciple BA pronoun must be free in its binding A pronoun must be free in its binding domain.domain.Principle CPrinciple CAn r-expression must be free.An r-expression must be free.

In several weeks, we will return to the In several weeks, we will return to the Binding Theory to revise the definition of Binding Theory to revise the definition of binding domain (it is more complicated binding domain (it is more complicated than “smallest clause”).than “smallest clause”).

week 2. clauses and trees and c-command, oh my. cas lx 522 syntax i

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