Chapter 4 Chapter 4 Syntax Syntax

(From Word to (From Word to Text)Text)

Jabberwocky……

By Lewis Carroll ’ ’ Twas brillig, and the slithy tovTwas brillig, and the slithy tov

eses

Did gyre and gimble in the wabe;Did gyre and gimble in the wabe;

All mimsy were the borogoves,All mimsy were the borogoves,

And the mome raths outgrabe.And the mome raths outgrabe.

Many of the words in the poem are Many of the words in the poem are playful nonce words of Carroll's own playful nonce words of Carroll's own invention, without intended explicit invention, without intended explicit meaning.meaning.

When Alice has finished reading the When Alice has finished reading the poem she gives her impressions:poem she gives her impressions:

““It seems very prettyIt seems very pretty,”,” she she (Alice)(Alice) said when she said when she had finished ithad finished it,, “but it “but it’’s RATHER hard to unds RATHER hard to understand erstand !” (!” (You see she didnYou see she didn’’t like to confesst like to confess,, e even to herselfven to herself,, that she couldn that she couldn’’t make it out at t make it out at allall.).)

““Somehow it seems to fill my head with ideasSomehow it seems to fill my head with ideas——oonly I donnly I don’’t exactly know what they aret exactly know what they are!! Howev Howeverer,, SOMEBODY killed SOMETHING SOMEBODY killed SOMETHING: : thatthat’’s cs clearlear,, at any rate at any rate——””

——Lewis Carroll Lewis Carroll from Through the Looking-from Through the Looking-Glass and What Alice Found There, 1872Glass and What Alice Found There, 1872

Introduction In Lewis Carroll’s poem In Lewis Carroll’s poem

JabberwockyJabberwocky, there are many non , there are many non English words. But by reading the English words. But by reading the poem carefully, we soon find that poem carefully, we soon find that we can actually classify each word we can actually classify each word on the basis of its grammatical on the basis of its grammatical ending and its position in the ending and its position in the sentence.sentence.

For example, For example, borogovesborogoves is a noun bec is a noun because it ends in –ause it ends in –ss, and because it follo, and because it follows ws thethe ,and ,and slithyslithy is an adjective beca is an adjective because it comes between use it comes between thethe and the plur and the plural noun al noun tovestoves. .

What is Syntax?

The use of language ,like games, The use of language ,like games, has its own rules. To play the has its own rules. To play the games well, you should know the games well, you should know the rules. Words, word groups and rules. Words, word groups and phrases, and clauses cannot occur phrases, and clauses cannot occur at random, they have to follow at random, they have to follow certain rules of ordering.certain rules of ordering.

Such grammatical endings as Such grammatical endings as ––inging and and ––ss are studied in morphology as inflectio are studied in morphology as inflectional morphemes and the range of positional morphemes and the range of position in which a particular word occurs is stn in which a particular word occurs is studied in syntax, another subfield of lingudied in syntax, another subfield of linguistics.uistics.

SYNTAX is the study of the SYNTAX is the study of the rules rules governing the ways different governing the ways different constituents constituents are combined to are combined to form form sentencessentences in a language , or the in a language , or the study of the study of the interrelationshipsinterrelationships between between elementselements in sentence in sentence structures.structures.

In short, syntax is a branch of linguistics In short, syntax is a branch of linguistics that studies the that studies the rulesrules that govern the that govern the foformation of sentencesrmation of sentences, which is concern, which is concerned with the rules how words are put toged with the rules how words are put together in certain patterns to form differeether in certain patterns to form different clausesnt clauses

句法研究的是语言中不同成分组合句子的支配规则，或者句子结构中各要素间的相互关系。

In this chapter, we are concerned In this chapter, we are concerned with composition of sentences by with composition of sentences by introducing some of the most introducing some of the most categories of words in English as categories of words in English as well as some simple rules that well as some simple rules that govern the organization of these govern the organization of these categories into larger units.categories into larger units.

Categories

Category in some Category in some approaches refers to approaches refers to classes and functions classes and functions in its narrow in its narrow sense ,e.g., noun, sense ,e.g., noun, verb, subject, verb, subject, predicate, noun predicate, noun phrase, verb phrase, phrase, verb phrase, etc.etc.

More specifically, it refers to the defininMore specifically, it refers to the defining properties of these general units: the g properties of these general units: the categories of the noun, include number, categories of the noun, include number, gender, case and countability; and of thgender, case and countability; and of the verb, for example, tense, aspect, voice verb, for example, tense, aspect, voice, etc.e, etc.

范畴这一术语在一些学派中指的是狭义的词范畴这一术语在一些学派中指的是狭义的词类和词语的功能，例如名词、动词、主语、类和词语的功能，例如名词、动词、主语、谓语、名词短语、动词短语等。更具体一些，谓语、名词短语、动词短语等。更具体一些，范畴指的是这些一般性单位的甄别性特点：范畴指的是这些一般性单位的甄别性特点：例如名词的范畴包括数、性、格和可数性；例如名词的范畴包括数、性、格和可数性；而动词范畴则含有时、体、式等。而动词范畴则含有时、体、式等。

In our textbook, categories refers In our textbook, categories refers to a group of linguistic items to a group of linguistic items which fulfill the same or similar which fulfill the same or similar functions in a particular language functions in a particular language such as a sentence, a noun phrase such as a sentence, a noun phrase or a verb. In this section, we are or a verb. In this section, we are talking about the categories in the talking about the categories in the second sensesecond sense

范畴指的是某一种特定的语言中执行相同或范畴指的是某一种特定的语言中执行相同或相近功能的一组语言项目，如句子、名词短相近功能的一组语言项目，如句子、名词短语、或者动词。语、或者动词。

Word-level categoriesWord-level categories The most central categories to the syntaThe most central categories to the synta

ctic study are the word-level categories.ctic study are the word-level categories. 对于句法研究最核心的范畴是词层次范畴。对于句法研究最核心的范畴是词层次范畴。 Here word level categories are divided iHere word level categories are divided i

nto two kinds: major lexical categories anto two kinds: major lexical categories and minor lexical categories. Major lexicand minor lexical categories. Major lexical categories play a very important role in l categories play a very important role in the sentence formation.the sentence formation.

They differ from minor lexical categories in thThey differ from minor lexical categories in that they are often assumed to be the heads aroat they are often assumed to be the heads around which phrases are built. Major lexical catund which phrases are built. Major lexical categories are Noun, Verb, Adjective, and proposegories are Noun, Verb, Adjective, and proposition. While determiners (Det), Degree words ition. While determiners (Det), Degree words (Deg), Qualifier (Qual), Auxiliary (Aux) and Co(Deg), Qualifier (Qual), Auxiliary (Aux) and Conjunction (con) belong to the Minor lexical catnjunction (con) belong to the Minor lexical categories egories

Word categories are not so clear-cut as Word categories are not so clear-cut as shown above because some words belong shown above because some words belong to more than one category.to more than one category.

For example, in English, the word book For example, in English, the word book have two word forms-the singular book have two word forms-the singular book and the plural books. Together they and the plural books. Together they constitute the category of NUMBER constitute the category of NUMBER indicated by the inflectional endings indicated by the inflectional endings -s-s. . Similarly, the present work and the past Similarly, the present work and the past worked of the word work form the worked of the word work form the category of TENSE indicated by the suffix category of TENSE indicated by the suffix –ed–ed. Apart from number and tense, they . Apart from number and tense, they are are CASECASE and and GENDER GENDER for nouns and for nouns and adjectives, and adjectives, and ASPECTASPECT,,VOICEVOICE and and MOOD MOOD for verbs.for verbs.

These grammatical categories are These grammatical categories are essential part of the inflectional essential part of the inflectional languages such as French and languages such as French and Russian.Russian.

The term GRAMMATICAL The term GRAMMATICAL CATEGORY ,in more general use, CATEGORY ,in more general use, refers to certain properties of word refers to certain properties of word classes often represented by classes often represented by inflectional endings.inflectional endings.

To determine a word’s category, three To determine a word’s category, three criteria are usually employed, namely, criteria are usually employed, namely, meaningmeaning, , inflectioninflection and and distributiondistribution..

MEANING

Word categories often bear some Word categories often bear some relationship with its meaning. For relationship with its meaning. For example, nouns typically denote example, nouns typically denote entities such as human beings and entities such as human beings and objects like objects like SallySally and and JennetJennet, , mobilemobile and and helicopterhelicopter. Verbs, . Verbs, characteristically designate action, characteristically designate action, sensations and states like sensations and states like runrun, , hatehate and and exist.exist.

To determine a word’s category To determine a word’s category by its meaning only is often not by its meaning only is often not reliable. Sometimes we resort to reliable. Sometimes we resort to other criteria .The second other criteria .The second criterion to determine a word’s criterion to determine a word’s category is inflection. Words of category is inflection. Words of different categories take different different categories take different inflections.inflections.

NounsNouns take the take the pluralplural affix affix –s–s VerbsVerbs take the take the pastpast tense affix tense affix –ed–ed and and progressprogress

iveive affix affix –ing–ing . . Adjectives Adjectives take take comparativecomparative affix affix –er–er and and supersuper

lativelative affix affix –est–est Although inflection is very helpful in determininAlthough inflection is very helpful in determinin

g a word’s category, it doesn’t suffice. Some g a word’s category, it doesn’t suffice. Some words don't take inflectionswords don't take inflections

DISTRIBUTION

The last and more reliable The last and more reliable criterion of determining a word’s criterion of determining a word’s category is its distribution. That is category is its distribution. That is what type of elements can co-what type of elements can co-occur with a certain word.occur with a certain word.

For example, noun can typically For example, noun can typically appear with a determiner like appear with a determiner like the the girlgirl and and a carda card, verbs with an , verbs with an auxiliary such as auxiliary such as should stayshould stay and and will gowill go ,and adjectives with a ,and adjectives with a degree word such as degree word such as very coolvery cool and and want desperatelywant desperately..

Thus, a word’s Thus, a word’s distributionaldistributional factors together with in formation factors together with in formation about its about its meaningmeaning and and inflectionalinflectional capacities help identify its capacities help identify its syntactic categorysyntactic category..

PHRASE PHRASE is a single element of PHRASE is a single element of

structure containing structure containing more thanmore than one one word, and word, and lackinglacking the the subject-subject-predicatepredicate structure typical of structure typical of clauses. Traditionally, it is seen as clauses. Traditionally, it is seen as part of structural hierarchy, part of structural hierarchy, positioned between positioned between clause clause and and wordword. .

短语短语 (PHRASE)(PHRASE) 是含有一个以上词语的单一是含有一个以上词语的单一结构要素，它没有分句所特有的主谓结构结构要素，它没有分句所特有的主谓结构 (s(subject-predicate structure)ubject-predicate structure) 。从传统上讲，。从传统上讲，短语被视为层级结构的一部分，位居分句和短语被视为层级结构的一部分，位居分句和词语之间。词语之间。

Therefore, first , a phrase must be a Therefore, first , a phrase must be a group of words which form a group of words which form a constituentconstituent. .

Second, a phrase is Second, a phrase is lowerlower on the on the grammatical hierarchy grammatical hierarchy than clausesthan clauses. .

More precisely, More precisely, simple clausessimple clauses may may (and usually do) contain (and usually do) contain phrasesphrases, , but simple phrases do not (in but simple phrases do not (in general) contain clauses.general) contain clauses. 因此，短语应该是构成一个成分因此，短语应该是构成一个成分 (constituen(constituent)t) 的一组短语。的一组短语。

其次，短语在语法层级上要低于分句。其次，短语在语法层级上要低于分句。 更精确地说，简单分句可以（通常的确）包含更精确地说，简单分句可以（通常的确）包含短语，但是简单短语（一般）不包含分句。短语，但是简单短语（一般）不包含分句。

So we can see that in a sentence words So we can see that in a sentence words are grouped together .These groups are are grouped together .These groups are grammatical unitsgrammatical units .Big units contain so .Big units contain some smaller ones and the smaller ones mme smaller ones and the smaller ones may in turn contain some still smaller oneay in turn contain some still smaller ones. These are units ,subunits and sub-subs. These are units ,subunits and sub-subunits, each corresponding to certain syunits, each corresponding to certain syntactical categories. These units can be ntactical categories. These units can be ordered in terms of five ordered in terms of five hierarchicalhierarchical ：： /,/,haiE‘ra:kiklhaiE‘ra:kikl// ranks: ranks:

1.sentences(each sentences(each consists of one or more consists of one or more clauses) clauses) →→

2.clauses(each consists clauses(each consists of one or more phrases) of one or more phrases) →→

3.phrases(each consists phrases(each consists of one or more words) of one or more words) →→

4.words(each consists of words(each consists of one or more one or more morphemes) morphemes) →→

5.morphemesmorphemes

Syntactic unitsSyntactic units that are built around that are built around a certain word category are called a certain word category are called PHRASEPHRASE, the , the categorycategory of which is of which is determineddetermined by the by the word categoryword category around which the phrase is built. If around which the phrase is built. If the word around which the phrase the word around which the phrase is built is a noun, then the phrase is is built is a noun, then the phrase is a noun phrase and so on.a noun phrase and so on.

围绕某一次范畴构成的句法单位称为短语。围绕某一次范畴构成的句法单位称为短语。它的范畴由该短语构成时所围绕的词的范畴它的范畴由该短语构成时所围绕的词的范畴决定。短语构成所围绕的词是名词，那么该决定。短语构成所围绕的词是名词，那么该

短语就是名词短语依此类推短语就是名词短语依此类推。。

In English syntactic analysis, the In English syntactic analysis, the most commonly recognized and most commonly recognized and discussed phrasal categories are discussed phrasal categories are noun phrasenoun phrase (NP), (NP), verb phraseverb phrase (VP) ,(VP) ,adjective phraseadjective phrase (AP) and (AP) and propositional phrasepropositional phrase (PP). (PP).

Phrase Categories and Their Phrase Categories and Their StructuresStructures

Phrases can consist of just one Phrases can consist of just one word ,but more often they contain word ,but more often they contain other elements as well. Whether other elements as well. Whether formed of one or more than one formed of one or more than one word, they consist of two levels, word, they consist of two levels, phrase level and word level.phrase level and word level.

N V A P ←word level

NP VP AP PP ←phrase level

Phrases that are formed of more than oPhrases that are formed of more than one word usually contain the following elne word usually contain the following elements: ements: headhead, , specifier specifier and and complemencomplementt. The word which a phrase is formed is . The word which a phrase is formed is termed termed headhead. The words on the . The words on the left sideleft side of the heads are said to function as of the heads are said to function as specspecifiersifiers. The words on the . The words on the right sideright side of the of the heads are heads are complementscomplements..

由多个单词构成的短语通常包括以下成分：由多个单词构成的短语通常包括以下成分：中心语中心语、、标志语标志语和和补语补语。短语围绕所构成的。短语围绕所构成的词叫做词叫做中心语中心语。出现在中心语。出现在中心语左边左边的词叫做的词叫做标志语标志语，出现在中心语，出现在中心语右边右边的词叫做的词叫做补语补语。。

By a closer observation of PS rules, one may find By a closer observation of PS rules, one may find that many of the PS rules have a similar formulathat many of the PS rules have a similar formulation.tion.

For example,NPs always contains an N,PPs a P aFor example,NPs always contains an N,PPs a P and VPs a V,ec.In another word,XPs always containd VPs a V,ec.In another word,XPs always contain an X,which stand for either N,or V,or A or P.n an X,which stand for either N,or V,or A or P.

The The XX is the head of the is the head of the XPXP,and other categories i,and other categories in the XP are there either for the n the XP are there either for the specificationspecification (( 限限定定 ) ) or or complmentationcomplmentation （补充）（补充） of the head X.of the head X.

Phrase Structure Rule As we have seen, a As we have seen, a certain wordcertain word can onl can onl

y y concurconcur with with certain other wordscertain other words. Ther. There must be certain e must be certain grammatical mechanigrammatical mechanismsm that ensures the that ensures the appropriate positioappropriate positionsns that specifiers, heads, and complem that specifiers, heads, and complements occupy in phrase structure.ents occupy in phrase structure.

如我们所见，某一如我们所见，某一特定特定的的词词只能与只能与另一类另一类特定特定的的词组词组一起一起出现出现。这其中必定存在着。这其中必定存在着某种某种语法机制确保语法机制确保标志语、中心语和补语标志语、中心语和补语在短语结构中处于在短语结构中处于恰当位置恰当位置的。的。

Such special type of Such special type of grammatical mechgrammatical mechanismanism that that regulatesregulates the the arrangement arrangement oof elements that make up a phrase is callf elements that make up a phrase is called ed phrase structure rule phrase structure rule （（ PS rulePS rule ）） ..

这种这种规定构成规定构成一个一个短语短语的的成分成分的的排列排列的特殊的特殊

语法机制语法机制类型被称作是类型被称作是短语规则短语规则。。

NP → (Det) N (PP) …NP → (Det) N (PP) … VP → (Qual) V (NP) …VP → (Qual) V (NP) … AP → (Deg) A (PP) …AP → (Deg) A (PP) … PP → (Deg) P (NP) …PP → (Deg) P (NP) …

consists of ” consists of ” ““branches branches intointo

The The parenthesesparentheses the element in the element in them is optionalthem is optional

Other complement Other complement options are options are availableavailable

箭头箭头可以读作“可以读作“由…构成由…构成”或者“”或者“扩扩展为…展为…”，”，括号括号表明其中的成分可以表明其中的成分可以省略省略，每个规则后面的，每个规则后面的三点三点表示可以表示可以选择选择加入加入其他的补语。其他的补语。

NP → (Det) N (PP) …NP → (Det) N (PP) … VP → (Qual) V (NP) …VP → (Qual) V (NP) … AP → (Deg) A (PP) …AP → (Deg) A (PP) … PP → (Deg) P (NP) …PP → (Deg) P (NP) …

SpecifierSpecifier ComplementComplementHead

XPXP

XX

The XP rule: XP→ (The XP rule: XP→ (specifierspecifier) ) XX ( (complementcomplement))

[[NPNP the lady] the lady] oror [ [NP NP the tiger]the tiger]

[[VPVP go to the library] go to the library] andand [ [VPVP read a book] read a book]

[[PPPP down the stairs] down the stairs] oror [ [PP PP out the door]out the door]

[[AP AP quite expensive] quite expensive] andand [ [APAP very beautiful] very beautiful]

[[SS John loves Mary] John loves Mary] andand [ [SS Mary loves John Mary loves John too].too].

[[NP NP A man, a woman, a boy, a cat A man, a woman, a boy, a cat andand a dog] a dog] got into the car.got into the car.

The common syntactic patterns are formThe common syntactic patterns are formed by grouping together two or more cated by grouping together two or more categories of the same type with the help of egories of the same type with the help of conjunction such as “conjunction such as “andand”, “”, “oror” and ” and ““butbut”.”.

在英语中，有些结构是借助于象在英语中，有些结构是借助于象 andand 或者是或者是 oror这样的连词将同种类型的两个或者是多个成分这样的连词将同种类型的两个或者是多个成分连接起来而构成的。连接起来而构成的。

Coordination Rule Such phrases are called coordinate structures and this phSuch phrases are called coordinate structures and this ph

enomenon is called coordinationenomenon is called coordination. 这样的短语称为并列结构，这种现象叫做并列。这样的短语称为并列结构，这种现象叫做并列。 Such a structure is usually considered to be Such a structure is usually considered to be doubly headedoubly heade

dd, since both of the conjoined elements function as heads , since both of the conjoined elements function as heads of the larger unit. That is , in a coordinate sentence, two oof the larger unit. That is , in a coordinate sentence, two or more S constituents occur as r more S constituents occur as daughtersdaughters and and co-headsco-heads of of a higher S.a higher S.

人们通常认为这种结构有两个中心成分，因为两个连接成分都能人们通常认为这种结构有两个中心成分，因为两个连接成分都能作为更大的单位。这就是说，在一个并列句中，两个或者更多的作为更大的单位。这就是说，在一个并列句中，两个或者更多的句子成分是更高一级句子的姊妹和并列的中心成分。句子成分是更高一级句子的姊妹和并列的中心成分。

The four important properties of CoordinaThe four important properties of Coordination (P46)tion (P46)

Coordination occupies its own place in thCoordination occupies its own place in the creativity of language: i.e.recursiveness.e creativity of language: i.e.recursiveness.

Recursiveness

Recursiveness means that a phrasal conRecursiveness means that a phrasal constituent can be embedded within (i.e.,bstituent can be embedded within (i.e.,be dominated by) another constituent hae dominated by) another constituent having the same category –a means to extving the same category –a means to extend a sentence.end a sentence.

一种短语成分可以被镶嵌即被支配与另一个一种短语成分可以被镶嵌即被支配与另一个属于同一范畴的成分中。属于同一范畴的成分中。

I met a man who had a son whose I met a man who had a son whose wife sold cookies that she had wife sold cookies that she had baked in her kitchen that was fully baked in her kitchen that was fully equipped with electrical equipped with electrical appliances that were new.appliances that were new.

Coordination and Subordination

Endocentric constructions fall into two Endocentric constructions fall into two main types, depending in the relation bmain types, depending in the relation between constituents: Coordination and etween constituents: Coordination and SubordinationSubordination.

根据组成成分之间的关系，向心结构可分为并列与从属。

Subordination

SUBORDINATION refers to the process or resuSUBORDINATION refers to the process or result of linking linguistic units so that they have lt of linking linguistic units so that they have different syntactic status, one being dependedifferent syntactic status, one being dependent upon the other, and usually a constituent ont upon the other, and usually a constituent of the other.f the other.

从属指的是将语言单位连接以使各单位具备不同句从属指的是将语言单位连接以使各单位具备不同句法地位的过程和结果，其中一个单位依赖于另一个法地位的过程和结果，其中一个单位依赖于另一个单位，且通常是该单位的一个成分。单位，且通常是该单位的一个成分。

Endocentric and Exocentric Constructions

ENDOCENTRIC constructionENDOCENTRIC construction is one whos is one whose distribution is functionally equivalent e distribution is functionally equivalent to that of one or more of its constituentto that of one or more of its constituents,i.e.,a word or a group of words, which s,i.e.,a word or a group of words, which serves as a definable serves as a definable CENTRECENTRE or or HEADHEAD..

向心结构的分布和它的一个或多个成分的分向心结构的分布和它的一个或多个成分的分布在功能上相同，该成分是一个词或一组词，布在功能上相同，该成分是一个词或一组词，是整个结构的核心或中心。是整个结构的核心或中心。

Usually noun phrases, verb phrases and Usually noun phrases, verb phrases and adjective phrases belong to endocentric adjective phrases belong to endocentric types because the constituent items are types because the constituent items are subordinate to the Head.subordinate to the Head.

名词短语、动词短语和形容词通常都属于向名词短语、动词短语和形容词通常都属于向心结构，因为各成分从属于短语中心词。心结构，因为各成分从属于短语中心词。

These two oldest stone bridges Head

Will be leaving very late Head Head

Exocentric EXOCENTRIC construction is just the opposite EXOCENTRIC construction is just the opposite

of endocentric construction. It refers to a groof endocentric construction. It refers to a group of syntactically related words where none up of syntactically related words where none of the words is functionally equivalent to the of the words is functionally equivalent to the group as a whole, that is, there is no definablgroup as a whole, that is, there is no definable “Centre” or “Head” inside the group. Exe “Centre” or “Head” inside the group. Exocentric construction usually includes basic socentric construction usually includes basic sentence, prepositional phrase,predicate (verentence, prepositional phrase,predicate (verb+object) construction,and connective (be+cb+object) construction,and connective (be+complement) construction.omplement) construction.

离心结构恰好与向心结构相反。它指的是一离心结构恰好与向心结构相反。它指的是一组句法上相关的词中没有一个词在功能上与组句法上相关的词中没有一个词在功能上与整个词相同，也就是说，词组内没有“核整个词相同，也就是说，词组内没有“核心”或“中心词”。离心结构通常包括：基心”或“中心词”。离心结构通常包括：基本句，介词短语，谓语结构，和连词结构。本句，介词短语，谓语结构，和连词结构。

The boyThe boy s smiledmiled.. (Neither constituent can substitute for the sentence stru(Neither constituent can substitute for the sentence stru

cture as a whole.)cture as a whole.) 两个成分均不能替代整个句子结构两个成分均不能替代整个句子结构

He hid He hid behindbehind the doorthe door . . (Neither constituent can function as the adverbial.)(Neither constituent can function as the adverbial.) 两个成分均不能单独起到状语的功能两个成分均不能单独起到状语的功能

He He kickedkicked the ballthe ball..(Neither constituent stands for the verb-object sequence .)(Neither constituent stands for the verb-object sequence .) 两个成分均不能单独表示动两个成分均不能单独表示动 -- 宾排列。宾排列。

John John seemedseemed angryangry..(After division, the connective construction no longer exist(After division, the connective construction no longer exist

s.)s.)分开后，连词结构不复存在分开后，连词结构不复存在

Phrase ElementsSpecifiers

The syntactic category of the speicfier diffThe syntactic category of the speicfier differs depending on the category of the head.ers depending on the category of the head.

If the heads are Ns, the specifiers are deterIf the heads are Ns, the specifiers are determiners.miners.

If the heads are Vs, the specifiers are qualifIf the heads are Vs, the specifiers are qualifiers .iers .

If the heads are As and Ps, then the specifieIf the heads are As and Ps, then the specifiers are degree words.rs are degree words.

Specifier Heads determiner N the tree this book

no water Qualifier V always fail nev

er surrender seldom drink Degree A/P less interesting Almost in

标志语的句法范畴因中心语范畴的不同而不标志语的句法范畴因中心语范畴的不同而不同。限定语是作为名词的标志语，修饰语则同。限定语是作为名词的标志语，修饰语则是典型地作为动词的标志语，而程度词则作是典型地作为动词的标志语，而程度词则作为形容词（有时是介词）的标志词。为形容词（有时是介词）的标志词。

Complements

Complements are themselves phrases anComplements are themselves phrases and provide information about entities and d provide information about entities and locations whose existence is implied by tlocations whose existence is implied by the meaning of its head. They are attachehe meaning of its head. They are attached to the right of the head.6(P,48 4-1)d to the right of the head.6(P,48 4-1)

补语自身就是短语，它们为中心词意义中所必补语自身就是短语，它们为中心词意义中所必须包含的实体与位置提供了信息。在英语中，须包含的实体与位置提供了信息。在英语中，它们依附在中心词的右边。它们依附在中心词的右边。

Subcategorization The information about a word’s complemenThe information about a word’s complemen

t is included in the head and termed SUBCATEt is included in the head and termed SUBCATEGORIZATION.GORIZATION.

有关词的信息是包括在中心语之中的，被称为次范有关词的信息是包括在中心语之中的，被称为次范畴化。畴化。

We may revise our earlier XP rule as follows, uWe may revise our earlier XP rule as follows, using an asterisk after the complement to indicsing an asterisk after the complement to indicate that one or more of these elements is perate that one or more of these elements is permitted.mitted.

A certain lexical item requires a certain type oA certain lexical item requires a certain type of complements. Therefore, we can revise our f complements. Therefore, we can revise our earlier XP rule, using an asterisk after the coearlier XP rule, using an asterisk after the complement to indicate that one or more of themplement to indicate that one or more of these elements is permitted.se elements is permitted.

一个特定的词汇项要求一种特定的补语。因此我们一个特定的词汇项要求一种特定的补语。因此我们可以对我们先前的可以对我们先前的 XPXP规则进行修订，用补语后面星规则进行修订，用补语后面星号表示多个这样的成分是被允许的号表示多个这样的成分是被允许的。

XPR1

The XP Rule (revised)The XP Rule (revised) XP→ (Specifier) X (Complement﹡)XP→ (Specifier) X (Complement﹡)

Complementizers

Miss Hebert believes Miss Hebert believes that she will that she will winwin..

The underlined part in the above The underlined part in the above sentence is the complement of the sentence is the complement of the verb believe. It is a sentence itself verb believe. It is a sentence itself but not an independent one since it but not an independent one since it is introduced by a conjunction is introduced by a conjunction function as a phrase.function as a phrase.

Miss Hebert believes Miss Hebert believes that she will winthat she will win.. Words like that which introduces the sentenWords like that which introduces the senten

ce complement are termed complementizerce complement are termed complementizers (Cs).s (Cs).

The sentence she will win introduced by comThe sentence she will win introduced by complementizer that is a complement clause.plementizer that is a complement clause.

The whole underlined part in the sentence is The whole underlined part in the sentence is called a complement phrase (CP)called a complement phrase (CP)

Modifiers

Modifiers which specifies optionally expModifiers which specifies optionally expressible properties of heads.ressible properties of heads.

修饰语详细地说明了中心语具有选择性的可修饰语详细地说明了中心语具有选择性的可表达特征。表达特征。

The most common modifiers of Ns The most common modifiers of Ns are adjective phrases and those of are adjective phrases and those of verbs are adverb phrases and verbs are adverb phrases and prepositional phrases which prepositional phrases which describe manner and timedescribe manner and time

XPR2

To make modifiers fit into the To make modifiers fit into the phrase structure ,the original XP phrase structure ,the original XP rule can be expanded as follows rule can be expanded as follows so that it allows the various so that it allows the various options.options. The Expanded XP Rule The Expanded XP Rule

XP→ (Specifier)(Mod) X (Complement﹡)XP→ (Specifier)(Mod) X (Complement﹡)(Mod)(Mod)

Many linguists nowadays believe that sMany linguists nowadays believe that sentences, like other phrase ,also have tentences, like other phrase ,also have their heads. They take an abstract categheir heads. They take an abstract category inflection (dubbed “infl”) as their ory inflection (dubbed “infl”) as their heads ,which indicates the sentence's theads ,which indicates the sentence's tense and agreement.ense and agreement.

Sentences (The S Rule)

Like other phrases, Infl takes an NP (the Like other phrases, Infl takes an NP (the subject) as its specifier and VP category subject) as its specifier and VP category as its complement.as its complement.

Transformation

We will explain some language phenomWe will explain some language phenomena such as yes-no question, wh-questiena such as yes-no question, wh-question and passive voice, which involve a syon and passive voice, which involve a syntactic movement and discuss the channtactic movement and discuss the changes that must be made to accommodatges that must be made to accommodate them.e them.

Auxiliary movement/Do insertionAuxiliary movement/Do insertion Deep structure and surface structureDeep structure and surface structure Wh-movementWh-movement Move and constraints on transformatioMove and constraints on transformatio

nsns

To form yes-no question To form yes-no question An overt infl form-auxiliary movementAn overt infl form-auxiliary movement An invert form-Do insertionAn invert form-Do insertion

Auxiliary movement/Do insertion

Auxiliary movement/Do insertion

According to the XP rule, the auxiliary is According to the XP rule, the auxiliary is the head of a sentence which takes a VP the head of a sentence which takes a VP category as its complement on the right category as its complement on the right and an NP, the subject ,as its specifier oand an NP, the subject ,as its specifier on the left.n the left.

The yes-no question structures being considered are The yes-no question structures being considered are built in two steps. In the first step, the usual XP rule is built in two steps. In the first step, the usual XP rule is used to form a structure in which the auxiliary occupiused to form a structure in which the auxiliary occupies its normal position in Infl, between the subject anes its normal position in Infl, between the subject and VP.d VP.

The second step is in forming yes-no question requireThe second step is in forming yes-no question requires a transformation, a special type of the rule that an es a transformation, a special type of the rule that an element from one position to another.lement from one position to another.

A transformation known as inversion moves from the A transformation known as inversion moves from the auxiliary from the infl position to the left of the subjeauxiliary from the infl position to the left of the subject.ct.

The X-bar Theory is extended to sentenceThe X-bar Theory is extended to sentences by introducing a category Complimentis by introducing a category Complimentizer (COMP) into the PS rules to indicate tzer (COMP) into the PS rules to indicate the subordinators of any dependent claushe subordinators of any dependent clauses, such a that,which,who,whether,what ,es, such a that,which,who,whether,what ,if for, etc., or the inverted auxiliaries in yif for, etc., or the inverted auxiliaries in yes-no questions.es-no questions.

X-barX-bar 理论还可以适用于句子，这是要在理论还可以适用于句子，这是要在 PSPS规则中引入标补语（规则中引入标补语（ COMPCOMP ）这个范畴，以）这个范畴，以表示表示 thatthat 、、 which which 、、 who who 、、 whetherwhether 、、 whatwhat 、 、 if if 、、 for for 等从句中的主从连词，等从句中的主从连词，或者或者 yes-no yes-no 问句中倒装的助动词问句中倒装的助动词

And a yes-no question, such as “Are you the new teacher”

像“ Are you the new teacher” 这样的 yes-no 问句可以表示为：

S-S-

COMP SCOMP S

are you t the new teacherare you t the new teacher

And to generate a sentence, we always And to generate a sentence, we always startstart with its with its deepdeep structures, and then structures, and then transformtransform it into its corresponding it into its corresponding surfacesurface structure. structure.

Deep structuresDeep structures is generated by phrase is generated by phrase structure rules (structure rules (PS rulesPS rules) )

while while surface structuressurface structures are derived from are derived from their deep structures by transformational their deep structures by transformational rules (rules (T-rulesT-rules).).

The whole process of the dynamic study The whole process of the dynamic study can be represented by the following can be represented by the following diagram:diagram:

PS rulesPS rules

Deep structuresDeep structures

T-rulesT-rules

Surface structuresSurface structures

Deep structure D1:The turkey itself is ready to eat something.D1:The turkey itself is ready to eat something.

(the turkey is the logical (the turkey is the logical subjectsubject of to eat) of to eat)

D2 :The turkey as a dish is ready for people to eat.D2 :The turkey as a dish is ready for people to eat.(the turkey is the logical (the turkey is the logical object object of to eat)of to eat)

Surface structureSurface structureThe turkey is ready to eat.The turkey is ready to eat.

The distinction between The distinction between deep deep and and surface surface structures enables us to explain structures enables us to explain the difference between the following the difference between the following pair of sentences, which appear to have pair of sentences, which appear to have the same surface structures the same surface structures syntactically:syntactically:

John is eager to please.John is eager to please. John is easy to please.John is easy to please.

We simply point out that they have two We simply point out that they have two distinct deepdistinct deep structures and the structures and the syntactisyntactic differencec difference is is obliteratedobliterated( removed ( removed 除除去去 ) by the application of certain ) by the application of certain T-rulesT-rules. . Their deep structures may be roughly prTheir deep structures may be roughly presented as:esented as:

SS

NP VPNP VP

S V S V A A

Someone please John is Someone please John is easyeasy

SS

NP VPNP VP

N V A SN V A S

John is eager John please John is eager John please someonesomeone

The two sentences have The two sentences have similar surfacesimilar surface structure. But in spite this similarity structure. But in spite this similarity the the grammargrammar of the two is quite of the two is quite different. “John” has a different. “John” has a different logical different logical relationshiprelationship to “ to “pleaseplease” in the two ” in the two sentences.sentences.

In the first sentence, though it is not In the first sentence, though it is not apparent from the surface order, “John” apparent from the surface order, “John” functions as the functions as the direct objectdirect object of the of the verb “to please” ;the sentence means :it verb “to please” ;the sentence means :it is easy for someone to please John. is easy for someone to please John.

Whereas in the second sentence “John” Whereas in the second sentence “John” functions as the functions as the subject subject of the of the verbverb “to “to please”;the sentence means :John is eagplease”;the sentence means :John is eager that he pleases someone.er that he pleases someone.

It cannot be paraphrased as “﹡It is eageIt cannot be paraphrased as “﹡It is eager to please John”or “﹡Pleasing John is r to please John”or “﹡Pleasing John is eager”.eager”.

Deep structure specifies these relationsDeep structure specifies these relationships:hips:

a.(Someone pleases John) is easy;a.(Someone pleases John) is easy; b.John is eager (John pleases someone)b.John is eager (John pleases someone)

John expects mother to bring a present.John expects mother to bring a present. John persuades mother to bring a preseJohn persuades mother to bring a prese

nt.nt. 这两个句子的表层结构（这两个句子的表层结构（ surface structursurface structur

ee ）是相同的，因为都包含）是相同的，因为都包含名词名词 ++ 动词动词 ++ 名名词词 ++ 带有标记 带有标记 to to 的动词不定式的动词不定式 ++ 冠词冠词 ++ 名名词词。。

但是两个句子的深层结构不同，但是两个句子的深层结构不同， 因为句（因为句（ 11 ）可转换成为：）可转换成为： (3) John expected that mother would bri(3) John expected that mother would bri

ng a present.ng a present. 但句（但句（ 22 ）却不能转换为：）却不能转换为： （（ 44 ）﹡）﹡ John persuaded that mother woJohn persuaded that mother wo

uld bring a present.uld bring a present.

两个句子的不同可以用下图表示：两个句子的不同可以用下图表示： （（ 1a1a ）） John expected mother to bring a preJohn expected mother to bring a pre

sent.sent.

（（ 2a2a ）） John persuaded mother to bring a preJohn persuaded mother to bring a presentsent.

从上图可以看出，区别于动词从上图可以看出，区别于动词 expected expected 和和persuaded persuaded 与它们与它们后面成分的关系的性质后面成分的关系的性质。。（（ 2 a2 a ）中）中 persuaded persuaded 仅仅和仅仅和 mothermother 发发生了关系。生了关系。

A sentence with A sentence with structural ambiguitystructural ambiguity can can be also explained by giving two different be also explained by giving two different deep structures .deep structures .

For example, the ambiguous sentenceFor example, the ambiguous sentence John likes dogs more than MaryJohn likes dogs more than Mary.. has two distinct deep structure sentences:has two distinct deep structure sentences: John like dogs more than Mary likes dogs.John like dogs more than Mary likes dogs. John like dogs more than John likes MaryJohn like dogs more than John likes Mary.

When the affirmative sentence “Jack soWhen the affirmative sentence “Jack sold his linguistics textbooks to Jill after thld his linguistics textbooks to Jill after the final examination” is transformed inte final examination” is transformed into “o “When didWhen did Jack Jack sell his linguistics texsell his linguistics textbooks to Jill?” three transformational rtbooks to Jill?” three transformational rules are applied. They are ules are applied. They are Do-insertionDo-insertion, , Subject-auxSubject-aux InversionInversion and and wh-movemwh-movementent. .

(( 武汉大学武汉大学 20022002 年考研试题年考研试题 ))

Now the XP Rule is really a general rulNow the XP Rule is really a general rule that can cover all phrase structure rule that can cover all phrase structure rules. Likewise ,a general rule is given to es. Likewise ,a general rule is given to cover all the transformation rules. It is cover all the transformation rules. It is referred to as referred to as Move αMove α, in which , in which αα(alph(alpha) stands for any element that can be a) stands for any element that can be moved form one position to another in moved form one position to another in the deep structure.the deep structure.

XPXP 规则的确成了能够涵盖所有短语结构规则的规则的确成了能够涵盖所有短语结构规则的总规则。同样地，也提出了一条能够覆盖所有总规则。同样地，也提出了一条能够覆盖所有转换规则的总规则，称为转换规则的总规则，称为 αα移动移动，希腊字母，希腊字母 αα代表任何在深层结构中可移动的位置的成分。代表任何在深层结构中可移动的位置的成分。

After the application of Move After the application of Move αα , certain , certain constituents are moved from their original constituents are moved from their original positions. In order to present in the positions. In order to present in the surface structure the semantic surface structure the semantic information carried by these original information carried by these original positions in the deep structures ,an positions in the deep structures ,an ““emptyempty” category “” category “TraceTrace”, symbolized by ”, symbolized by t ,is introduced to indicate the “t ,is introduced to indicate the “tracetrace” left ” left behind in the place any constituent behind in the place any constituent formally occupied before the movement. formally occupied before the movement. This is already illustrated by the example This is already illustrated by the example “Are you the new teacher” in the previous “Are you the new teacher” in the previous discussion.discussion. 应用了应用了 αα 移动之后，有些成分就从原来的位置移走。移动之后，有些成分就从原来的位置移走。为了在表层结构中体现这些成分在深层结构中本来的为了在表层结构中体现这些成分在深层结构中本来的位置的语义信息，就引入了一个“空”范畴，叫做位置的语义信息，就引入了一个“空”范畴，叫做““移迹移迹”，写作”，写作 tt ，表示任何成分从原来占据的位置，表示任何成分从原来占据的位置移走后的留下的“痕迹”。移走后的留下的“痕迹”。

Transformational-generative grammar

In the 1950s,the school of linguistic thought In the 1950s,the school of linguistic thought known as transformational-generative grammar known as transformational-generative grammar received wide acclaim through the works of received wide acclaim through the works of Noam Chomsky. Chomsky postulated a Noam Chomsky. Chomsky postulated a syntactic base of language (called deep syntactic base of language (called deep structure), which consists of a series of phrase-structure), which consists of a series of phrase-structure rewrite rules, i.e., a series of (possibly structure rewrite rules, i.e., a series of (possibly universal) rules that generate the underlying universal) rules that generate the underlying phrase-structure of a sentence, and a series of phrase-structure of a sentence, and a series of rules (called transformations) that act upon the rules (called transformations) that act upon the phrase-structure to form complex sentences.phrase-structure to form complex sentences.

The end result of transformational-The end result of transformational-generative grammar is a surface generative grammar is a surface structure that, after the addition of structure that, after the addition of words and pronunciations, is identical words and pronunciations, is identical to an actual sentence of a language .to an actual sentence of a language .

All the languages have the same deep All the languages have the same deep structure, but they differ from each structure, but they differ from each other in surface structure because of other in surface structure because of the application of different rules for the application of different rules for transformations , pronunciation, and transformations , pronunciation, and word insertion.word insertion.

Another important distinction made in Another important distinction made in TG grammar is the difference between TG grammar is the difference between language competence (the language competence (the subconscious control of a linguistic subconscious control of a linguistic system) and language performance system) and language performance (the speaker’s actual use of language). (the speaker’s actual use of language).

Although the first work done on TG Although the first work done on TG grammar was syntactic, later studies grammar was syntactic, later studies have applied in the theory, to the have applied in the theory, to the phonological and semantic phonological and semantic components of language.components of language.