Principles and ParametersGovernment and Binding
Principles and Parameters and Governmentand BindingSyntactic Theory
Winter Semester 2009/2010
Antske Fokkens
Department of Computational LinguisticsSaarland University
20 October 2009
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Principles and ParametersGovernment and Binding
Outline
1 Principles and Parameters
2 Government and BindingIntroductionX-bar theoryGovernment
Antske Fokkens Syntax — History 2 / 57
Principles and ParametersGovernment and Binding
Outline
1 Principles and Parameters
2 Government and BindingIntroductionX-bar theoryGovernment
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Principles and ParametersGovernment and Binding
Principles and Parameters
An approach to the question of how children acquirelanguage
Ideas started shaping since the early days of moderngenerative grammar
The version that is usually referred to was presented in the80s
Principles and Parameters is an approach, and not (meantto be) a specific theoretical system
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Principles and ParametersGovernment and Binding
Previous ideas and observations
Despite large variations, languages have many commonproperties on an abstract level
Children learn languages easily, despite the fact thatlanguage are highly complex
Idea: the common properties of languages are innate, onlyvariations need to be learned
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Principles and ParametersGovernment and Binding
Principles and Parameters
Universal Grammar can be defined as:
The set of Principles that are common to all languagesThe initial state of language knowledge for human beings
Principles may include parameters, which representsettings that may vary from language to language
Children ’simply’ need to learn the values of relevantparameters to acquire the grammar of their nativelanguage
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Principles and ParametersGovernment and Binding
Goals of syntactic research
In this setting, the research on syntax should answer thefollowing questions:
What are the Principles that are part of Universal Grammar
What parameters are there in Universal Grammar, andwhat are their possible values in individual languages?
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Principles and ParametersGovernment and Binding
General views on language acquisition
How children learn language is still an open question
The idea that language is a complex system (allsyntacticians working on English over the last 50 years stillhaven’t managed to describe it) and children learn thiseasily is not much disputed
Researchers do (very much) disagree on whether thisimplies that we are born with a universal grammar in ourmind, and if so, what this would look like
Antske Fokkens Syntax — History 8 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Outline
1 Principles and Parameters
2 Government and BindingIntroductionX-bar theoryGovernment
Antske Fokkens Syntax — History 9 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Introduction
Government and Binding refers to a specific approach tolinguistic theory
It followed from Extended Standard Theory intransformational grammarImportant differences with previous approach:
More modularity: it actually consists of a set of theories thatinteract (Government and Binding being two of them)Focus on principles rather than rules
Antske Fokkens Syntax — History 10 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
GB-theories (1/2)
X̄ Theory
θ Theory
Case Theory
Binding Theory
Bounding Theory
Control Theory
Government Theory
Chomsky (1982: p.6)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
GB-theories (2/2)
Each theory studies principles of rule and representationthat are a subsystem of UG
They may affect different levels of language (d-structure,s-structure or LF)
All have in common that they operate on syntacticstructures
This leads to interactions between the theories that can getquite complex, even if principles are kept simple
Hope: if interactions between simple principles may lead tocomplex properties, this may explain why language iscomplex but easily learned
Antske Fokkens Syntax — History 12 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
This Lecture
We will have a closer look at X̄ and Government Theory
X̄ Theory forms the basis of syntactic structure in thetransformational tradition
Government plays a central role in the theory, because itprovides the conditions for principles of other theories toapply (e.g. case and θ-assignment, binding)
They are the only two theories in GB that do not (directly)relate to specific phenomena
Antske Fokkens Syntax — History 13 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
X-bar theory: motivations
X-bar theory was developed in the seventies to designphrase structures in a more theoretically sound wayIt ended up addressing several issues:
1 stronger generalization than previously used PSG2 introducing a structural difference between complements
and modifiers3 removing a redundancy between lexical contribution and
the contribution of PS-rules (mentioned by Ouhalla 1994)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Redundancy
Redundancy: the items that may form a VP is determinedboth by the subcategorization properties of the verb, andby the Phrase-Structure rules.
Is it possible to use only one of the two?
We can use only subcategorization, but then thisinformation must be present at all levels
Projection Principle:“Representations at each syntactic level (i.e., L.F., and D- andS-structure) are projected from the lexicon, in that the observethe subcategorization properties of lexical items.”
Chomsky (1981) p. 29
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IntroductionX-bar theoryGovernment
Generalization
Can we define phrase structure rules in a way thatcaptures cross-linguistic properties of syntactic structures?
Can we define phrase structure rules in a way that allowsto capture commonalities in structure within a language(e.g. subject of a sentence or an NP in English)?
Can we define phrase structure rules in a way thatdistinguishes complements from adjuncts?
Antske Fokkens Syntax — History 16 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
X-bar Theory: definitions
We can generalize PS-rules as follows:
XP → ...X...
We say that XP is the maximal projection of X
In X̄-theory X is an obligatory element on the right-handside of the rule. It is called the head of the maximalprojection.
The maximal projection XP and its head X are different barlevels of X
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
The X-bar Convention I
X̄ Convention: a “theory of syntactic categories”There are three major claims:
1 There is a set of syntactic features in UG defining possiblelexical categories. A language selects the lexical categoriesit uses from UG (in much the same way as it selectsphonemes)
2 Each lexical category X defines supercategoriesX’,X”,...,Xk . Xn and Xn−1 are related through the followingPS-rule:
X n→ ...X n−1...
The head of Xn may be defined as either Xn−1 or lexicalcategory X
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
The X-bar Convention II
3 Grammatical formatives are defined as feature complexesand a prime notation:
2
6
4
αF1
βF2
...
3
7
5
i
e.g. V’:2
6
6
6
4
+Subj+Object+Comp...
3
7
7
7
5
’ N’:2
6
6
6
4
+Subj−Object+Comp...
3
7
7
7
5
’
based on Jackendoff (1977)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Bar-levels and properties
How many bar-levels does each category have?This is an empirical question: how many are needed toaccurately describe language?For this overview, we follow Jackendoff (1977) and supposethree bar-levels for each category: X ′, X ′′ and X ′′′
Lexical categories are of type X , maximal projections X ′′′,for most categories this is XP (for V this is S)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
The PS-rule’s canonical form
We suppose that elements appearing left or right of X n−1
are either major categories or specified grammaticformatives (such as tense)
The canonical form of the X̄ PS-rule is then:
Xn→ (C1)...(Cj) – Xn−1 – (Cj+1)...(Ck ),
and for all Ci either Ci = Y′′′ for some lexical category Y, orCi is a specified grammatical formative.
Jackendoff (1977: p.36)
Language specific rules determine on what side of Xdifferent elements may appear
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Parallelism between structures (example)
Important idea in X̄ Theory: if there are parallel relationsacross categories, these categories must be syntacticallyparallel in respect to the relationFor instance: the subject of a sentence (V”’) and thesubject of an NP (N”’):
1 John has proved the theorem2 John’s proofs of the theorem
based on Jackendoff (1977)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Two (old) proposed structures
S
N”
N’
N
John
V”
Specv
T
Pres
have en
V’
V
prove
N”
the theorem
N”
SpecN
Preart
Several
of Poss
N”
N’
N
John
’s
N’
N
proofs
P”
of the theorem
Chomsky’s analysis presented by Jackendoff (1977: p. 38)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
A uniform structure for subjects: step 1
Assumption: several of is not the specifier, but part of ahigher NP: N”
N’
N or Q
Several
of N”
SpecN
Poss
N”
N’
N
John
’s
N’
N
proofs
P”
of the theorem
Adapted from Jackendoff (1977: p.40)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
A uniform structure for subjects: step 2
Assumption 2: note that the ’s always occurs with subjects of NPs, alsoin cases where the subject moved there (consider the city’s destructionby the enemy )→ ’s is inserted at the last moment: N”
SpecN
N”
N’
N
John
N’
N
proofs
P”
of the theorem
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
A uniform structure for subjects: step 3
There is no category ’Spec’: both SpecN and SpecV can be removed:
S
N”
N’
N
John
T
Pres
have en V’
V
prove
N”
the theorem
N”
N”
N’
N
John
N’
N
proofs
P”
of the theorem
Jackendoff (1977: p.40-41)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Final step: three bar-levels
There are only two bar levels so far: we add a bar-level one to N and V:
S
N”’
John
V”
T
Pres
have en V’
V
prove
N”’
the theorem
N”’
N”’
John
N”
N’
N
proofs
P”’
of the theorem
from Jackendoff (1977: p.41)
Antske Fokkens Syntax — History 27 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Uniform Subject Structures, Concluding remarks
In English, the grammatical relation ’subject-of’ can now bedefined as:
[N”’,[+ Subj]]
For motivation of why three bar levels would be preferable,see Jackendoff (1977)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Complements
There are three types of complements that may becombined with a head:
Functional ArgumentsRestrictive ModifiersNonrestrictive Modifiers
X̄ Theory assumes that each of these complements attachat a different bar level:
X’: Functional ArgumentsX”: Restrictive ModifiersX”’: Nonrestrictive Modifiers
Antske Fokkens Syntax — History 29 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Functional Arguments (1/3)
How can functional arguments be recognized? Someexamples:
Functional arguments are subcategorized by their headTests:
Can the element be omitted?1 I put the book on the table2 *I put the book
But,Sam told Kim a lie vs Sam told KimArguments of nouns and adjectives are typically optional
Certain Anaphoric processes (see next slide)
based on Jackendoff (1977)
Antske Fokkens Syntax — History 30 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Functional Arguments (2/3)
Anaphoric processes can be used to identify argumentsThe anaphor do so can be used to contrast betweenAdverbials, but not between functional arguments:
1 Kim went to the movies on Thursday, and Sam did so onFriday.
2 *Kim put the book on the table, and Sam did so on the chair.3 *Sam told Kim a lie, and Bill did so the truth.
Antske Fokkens Syntax — History 31 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Functional Arguments (3/3)
Similarly, the anaphor one in NPs cannot be used tocontrast between functional arguments:
1 John met the King from England, and I the one from France.2 *John met the King of England, and I the one of France.
Order can also be an indicator: In English functionalarguments immediately follow their head:*I met the King from France of England.
For more criteria see (among others) Jackendoff (1977)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
X’ vs X” complements: the King of England fromFrance
N”’
Det”’
the
N”
N’
N
King
P”’
of England
P”’
from France
based on Jackendoff (1977)
Antske Fokkens Syntax — History 33 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
V” versus V”’
V” complements are restrictive modifiers, they:1 are typical VP adverbials and express things such as
purpose, manner, instrument, or means2 contribute to the meaning of the main assertion3 can be in focus, clefted or fall under scope of negation
John hit the nail softly.It was with the hammer that John hit the nail.We didn’t buy this for your benefit.
Examples from Jackendoff (1977: p.61)
They contribute to the truth conditions of the assertion
Antske Fokkens Syntax — History 34 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
V” versus V”’
V”’ complements are nonrestrictive modifiers, they:1 are typical Sentential adverbials2 add some auxiliary assertion3 cannot be in focus, clefted or fall under scope of negation
*John hit the nail softly, of course.*It was in my opinion that John hit the nail.*John didn’t hit the nail, I think.
Similar distinctions apply to N”’ and N” complements
For English, word order supports the idea that N”’complements attach higher than N” complements
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
X”’ complements: Presumably, John has proven thetheorem
V”’
Adv”’
Presumably
N”’
John
V”
T
Pres
have en V’
V
prove
N”’
the theorem
(hypothesized)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Some remarks on X-bar Theory
X-bar theory is a module of grammar concerned with thePhrase Structure of grammar
It has been widely adopted in syntactic theory
X-bar structure is still used in (some versions of) GB andMinimalism
References to it are also found in purely computationallinguistic work that are not necessarily focusing onsyntactic analysis
Antske Fokkens Syntax — History 37 / 57
Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
PS Definitions: Dominance
Dominance“Node A dominates node B iff A is higher up in the treethan B and if you can trace a line from A to B going onlydownwards”
Haegeman (1991: p.75)
A
B
C
D
E
F
G
H
I
J
K
What are the dominance relations in the tree above?
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
PS Definitions: Immediate Dominance
Dominance (repeated)“Node A dominates node B iff A is higher up in the treethan B and if you can trace a line from A to B going onlydownwards”
Haegeman (1991: p.75)
Node A immediately dominates B iff B is a daughter of A
The immediate constituents of A are the nodes A immediatelydominates
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IntroductionX-bar theoryGovernment
PS Definitions: Precedence
Precedence“Node A precedes node B iff A is to the left of B and Adoes not dominate B and B does not dominate A”
Haegeman (1991: p.76)
A
B
C
D
E
F
G
H
I
J
K
What are the precedence relations in the tree above?
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Principles and ParametersGovernment and Binding
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Other definitions related to structure?
Are there other structural relations that are relevant forsyntax?
Let’s look at some data...
How does a specific phenomenon behave in relation withstructure?
Can we observe generalities?
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Agreement
Agreement can be seen as cross-reference between wordsthat are part of a sentence or phrase
When agreement occurs, the form of one (or more) wordsin the sentence depends on grammatical properties ofsome other wordSome examples:
Subject agreement: the form of the verb changesdepending on (e.g.) person, number, gender, or noun classof the subjectObject agreement: the form of the verb changes dependingon (e.g.) person, number, gender, or noun class of theobjectAgreement within NPs: determiner, adjectives and nounthat form an NP must occur in a form the reflects the samenumber, gender, case, or noun class
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Agreement, examples
Subject-verb Agreement (French)(1) je
Iparle,talk-1sg,
nouswe
parlons,talk-1pl,
vousyou
parleztalk-2pl
(2) *jeI
parlons,talk-1pl,
*nouswe
parlez,talk-2pl
*vous,
parleyou talk-1/3sg
Article, Adjective Noun agreement (French)(3) une
a-Fbellebeautiful-Fsg
maison,house-sg,
una-Msg
beaubeautiful-Msg
chapeauhat-Sg
(4) *unea-F
beaubeautiful-Msg
maison,house-sg,
*una-M
bellebeautiful-Fsg
maison,house-sg,
*unea-Fsg
bellebeautiful-Fsg
chapeauhat-Sg
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Agreement and Structures (1/4)
In the following examples, we use examples and trees asproposed in Haegeman (1991: p 97–136)
Verb-subject agreement in French:
IP
NPi
Poirot
I’
Ii
-e
VP
abandonn- l’affaire
Haegeman (1991: p.120)
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Agreement and Structures (2/4)
Determiner-Noun agreement in French:
NP
Speci
le
N’
Ni
livre
PP
sur Chomsky
Haegeman (1991: p.120)
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IntroductionX-bar theoryGovernment
Agreement and Structure (3/4)
In West Flemish complement sentences, complementizer,subject and verb agree
Consider the following examples:
(5) ...da...that-sg
denthe
inspekteurinspector
dathat
boekbook
gelezenread
eet.has
"...that the inspector has read that book"
(6) ...dan...that-pl
d’inspekteursthe inspectors
dathat
boekbook
gelezenread
een.have
"...that the inspectors have read that book"
Taken from Haegeman (1991: p.119)
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frametitleAgreement and Structures (4/4)
Complementizer-Subject-Verb Agreement in West Flemish
CP
Spec C’
Ci
da
IP
NPi
den inspekteur
I’
VP
da boek gelezen
Ii
eet
Haegeman (1991: p.121)
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Common structure of agreement
Subject-verb agreement and determiner noun agreementin French are cases where specifier and head agreeThis cannot be said of the agreement of thecomplementizer with subject and verb in West FlemishBut there is always an hierarchical difference between theelements, i.e. when two elements agree, one of them ishigher up in the tree than the other: X
Ai
Bi
In all trees, the node that immediately dominates the firstagreeing element (Ai ), also dominates the secondagreeing element (Bi ): we say that A c-commands B
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
PS Definitions: c-command
c-commandNode A c-commands node B iff
(i) A does not dominate B and B does not dominate A; and(ii) the first branching node dominating A also dominates B
Haegeman (1991: p.122)
The set of nodes that A c-commands is called the c-command domainof A
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
PS Definitions: m-command
m-commandNode A m-commands node B iff
(i) A does not dominate B and B does not dominate A; and(ii) every maximal projection dominating A also dominates B
Based on Haegeman (1991: p.135)
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Principles and ParametersGovernment and Binding
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PS Definitions: government
Government
Node A governs node B iff A m-commands B, A is a headand no maximal projections intervenes between A and B
VP
V’
V’
V
quit
NP
his job
PP
P’
P
in
NP
the autumn
VP
V’
V’
V
leave
PP
P’
P
in
NP
the autumn
Based on Haegeman (1991: p.123-124)
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
The role of Government across GB
Government plays a role in several other theories in GB:
Case theory: structural case is assigned by a governor
Binding: in anaphoric binding presence of a governor canplay a role
As an illustration, we’ll look at case assignment in English
Antske Fokkens Syntax — History 52 / 57
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Case assignment by governors
In English, transitive verbs and preposition assign anaccusative case to their object.Subjects bear a nominative case: GB assumes it isassigned by INFLWhich items are case assigners in the following examples?
IP
NP
He
I’
I
-ed
VP
V’
V
attack
NP
him
IP
NP
Spec
the
N’
N
dog PP
in the garden
I’
I
-ed
VP
V’
V
attack
NP
him
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Government and Binding: remarks (1/2)
Government and Binding has dominated syntacticresearch from the 80s till (approx) 2000
It is still widely used in linguistic research
This lecture gave a ***very limited*** overview of the theory
The theory has been successful in describing variouscross-linguistic phenomena, i.e. hypotheses have lead toprediction that were confirmed by data
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Principles and ParametersGovernment and Binding
IntroductionX-bar theoryGovernment
Government and Binding, remarks (2/2)
For computational purposes, it has the same drawbacks asearlier versions of transformational grammar
Again, this is mostly due to the aim of the approach
As Standard Theory, it struggles between descriptiveadequacy and explanatory adequacy: when all data isaccounted for, the analysis is (implausibly) complex
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Remarks on Syntactic research
Often, it is not straight-forward to see whether an analysisis really ’proven’ to be correctNotably, it can be hard to see what is proven by the data,and what is proven by the data given the theoryThis becomes increasingly difficult when more phenomenaare incorporated in the theory:
In many cases, an analysis is only been shown to be moreplausible than an alternative, but this analysis may have animpact on analyses of (seemingly) unrelated phenomenalater onWhen parts of the theory change, this may have an impacton analyses or allow for alternatives, which may not benoticed
These challenges (and problems that follow from it) exist inall syntactic theories
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Bibliography I
Chomsky, Noam (1981). Lectures on Government and Binding. Berlin:Mouton.
Chomsky, Noam (1982). Some Concepts and Consequences of theTheory of Government and Binding
Chomsky, N. and Lasnik, H. (1993) Principles and Parameters Theory,in Syntax: An International Handbook of Contemporary Research,Berlin: de Gruyter.
Haegeman, Liliane (1991). Introduction to Government and BindingTheory. Oxford: Blackwell Publishers.
Jackendoff, Ray (1977). X̄ Syntax: A Study of Phrase Structure.Cambridge Massachusetts: MIT Press.
Ouhalla, Jamal (1994). Introducing Transformational Grammar. NewYork: Oxford University Press.
Sag, Ivan A., Thomas Wasow and Emily M. Bender (2003). SyntacticTheory. A Formal Introduction. Palo Alto: CSLI Publications.
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