2ND YEAR MINOR SYNTAX 1

COURSE INSTRUCTOR: ROXANA-CRISTINA PETCU, PhD

LECTURE I
THE NATURE OF UNIVERSAL GRAMMAR
This course of lectures aims to look into the structure of the simple finite sentence, namely sentences that
contain one single predication relation, the verb of which carries a Tense marker. The theoretical perspective is
the one offered by the Theory of Government and Binding, first synthesized by Chomsky in Lectures on
Government and Binding (1981).
UG was defined by Chomsky (1976) as follows: the system of principles, conditions and rules that are elements
or properties of all human languages. the essence of human language. The goal of UG is to provide a theory of
grammar that should be able to offer a number of principles, a number of generalized statements which are valid
cross-linguistically. The differences between languages are accounted for in terms of parameters, namely the
different values that the principles have in different languages.
Principles
The Principle of Structure Dependency
Definition: language relies on structural relationships rather than on the linear sequence of items. Operations
on sentences such as movement require knowledge of the structural relationships of the words rather than their
linear sequence.
Evidence : Question formation
1. The letter will arrive tomorrow.
2. This is a dagger which I see before me.
3. The man who is tall is John.

Will the letter arrive tomorrow?

*A this a dagger which I see before me?
*Is the man who tall is John?
Is the man who is tall John?

What moves in order to form a question in English is not the third or the fourth word in a sentence, but the
auxiliary in the main clause, irrespective of whether it comes first or second in the sentence. In fact, what moves is
the constituent which carries Tense, be it an auxiliary (be, have), a modal verb (can, could, may, might, must,
shall, should, will, would, ought to) or DO when used in question formation for the Simple Past Tense and the
Simple Present tense. Movement of the auxiliary depends on the knowledge of the structure of the language.
English, like all human languages is structure-dependent.
The Projection Principle
The theory emphasizes the Lexicon and the fact that speakers know what each word in the language means, how
it is pronounced and how it behaves syntactically. The syntactic description of the sentence and the lexical
properties of each lexical item are integrated by the theory via the Projection Principle, which requires that syntax
should accommodate the lexical specification of each lexical item.
4. Helen likes the French paintings.
*Helen likes.
5. Peter is working.
*Peter is working a chair.
Each lexical item has a lexical entry in the Lexicon which provides information about the phonological form of the
item, its categorical status, and also about the theta roles (Agent, Patient, Theme, Experiencer) that item can
assign.
6. like category information [+V, -N]
thematic structure [Experiencer, Theme]
[ ___NP]
7. work category information [+V, -N]
thematic structure [Agent]

[ ____ ]
Two types of selectional restrcitions operate on the lexical item so as to define the subcategorization properties of
the respective item c-slection (categorial selection) and s-selection (semantic selection), which in fact are
predictable from the thematic properties of the item. C-selection refers to the type of categorical phrase that is
subcategorized by the item, while s-selection refers to the sematic properties of the phrase subcategorized by the
respective item.
8. He brought a book to me. Bring [+V, -N]
thematic structure [Agent, Theme, Goal]
9. The earthquake brought disaster to Japan. Bring [+V, -N]
Thematic structure [Cause, Theme, Location]
So, the lexical entry is said to project onto syntax. The Projection Principle states that the lexical features of each
item stored in the Lexicon are projected to the other levels. It is a universal of human language, as all languages
integrate their syntactic features with their lexical entries.
The Principle of Endocentricity
One other important aspect of our study of the language is the way in which the elements are ordered in a
language. The main assumption is that sentences may be broken up into constituent phrases that are in fact
words grouped together round a head. The head is that word without which the respective phrase has no
meaning. The phrase is in fact a projection round a head, it is endocentric. One important criterion to identify a
phrase is the fact that the phrase and its head have the same distribution (appear in the same contexts). The head
gives the category of the phrase.
10. [The London train NP] [arrived [at [platform five.NP]PP]VP]
No
Vo
P o N0
One important parameter is the position occupied by the head in each language, because in all types of phrases in
a language the head always occupies the same position, either on the left (first) or on the right (last). For instance,
English is a head-left (head-initial) language, whereas Japanese is a head-right (head-last) language. The GB
theory incorporates a particular theory of the structure of phrases, called X-bar syntax which expresses
generalizations about the phrase structure of all human languages rather than features that are idiosyncratic to
one language.
The Extended Projection Principle
It is another principle of UG that requires all sentences to have a subject. The problem is that the subject is not
always overt even in the finite sentences. This is a variation between languages, a parameter called the Pro-drop
Parameter. For instance, English is a non-pro-drop language, whereas Romanian is a pro-drop language.
11. pro este acas.
*pro is at home.
We can now say that the grammar of a language can be seen as a particular set of values for the parameters, while
the overall system of rules, principles and parameters is UG, which we may take as to be one element of the
human biological endowment, namely the language facility.
The Components of the Grammar
LEXICON
D-STRUCTURE
MOVE
S-STRUCTURE

Phonological Form
PF-Representations

Logical Form
LF-Representations

GB requires two levels of representation, namely d-structure and s-structure. At d-structure all the elements in
the sentence are in their initial location, while at s-structure they have moved. Move is the one single basic
operation on a sentence. Deletion and insertion may also operate on the sntence. Move operates on d-structure
and is a general rule that says that anything can be moved leaving behind a trace coindexed with the moved
element. Traces are empty categories (they have no phonological form and no meaning). Traces are indicated by t
and they mark the original place in the sentence of the elements that have moved. They are symbolized at the
level of s-structure as a means of preserving the initial syntactic relations existing between the constituents of the
sentence so as not to alter the meaning of the sentence. The PF and the LF components operate on the sstructure, not on the d-structure.
12. You are seeing what at the cinema?
Whatj arei you t i seeing t j at the cinema?

The Structure of Phrases

As we have stated, phrases are endocentric, they are projections round a head according to a general format that
can be synthesized as follows and can be represented as a tree (a phrase marker -PM).
XP

Spec - X

X0

-(YP)

XP
Spec

X0

YP

- the notions of node, branch, sister branches, mother node, maximal and intermediate projection
- the idea that the X level is recursive.
- the notions of complement and adjunct

Noun Phrases (NP)

13. the investigation of the murder (after lunch)
DP
D

Do

NP
PP
P

The

N
No
investigation

P0
after

NP
N

PP
P

N0
lunch

P0

DP

of

D
Do
the

NP
N
No

Adjectival Phrases (AP)

14. (rather) envious of Mary
AP
Spec

AdvP
A0
Rather

PP

envious

of Mary

Prepositional Phrases (PP)

15. (right) across the bridge
PP
Spec

AdvP
P0
Right

across

DP
the bridge

Verb Phrases (VP)

16. walk; (always)clean the bike; offer flowers to mother
(a)

VP
V

V0
Walk
(b)
VP

Spec

AvdP
V0

DP

clean

the bike

always

(c)

VP
V
V

PP
to mother

V0
offer

NP
flowers

Lexical and Functional Categories

Lexical categories open classes of words that have descriptive content (N, A, Adv, P, V).
- They contain an infinite number of members, new ones can always be added to
such classes.
- project structure according to the X-bar schemata
- both c-selection and s-selection operate on lexical categories
- are assigned theta-roles (N) or are theta-role assigners (V,P)
- are assigned case (N) or are case assigners (V,P)
- can license an argument (V) or can be licensed as an argument (N)
Functional categories closed sets; no new members can be added
-

do not have descriptive content, they are semantically abstract. They serve to
express certain morpho-syntactic features that are not expressed by the lexical category they
combine with.
they always select the same type of argument (only c-selection. Eg. I0 always selects a
VP)
project structure according to the X-bar schemata.
They are the locus of grammatical information. Parametric variation affects only functional
categories
Do not assign theta-roles.
Determiners (definite and indefinite articles, demonstratives, the possessive marker s, cardinal
numbers, possessives, pronouns), degree, tense, aspect, agreement, inflection, mood,
complementizers (that, whether, for-to)

The Structure of the Simple Sentence

17. *He buy a book. (He bought a book / He buys a book every week)
The simple finite sentence is a projection of the INFL node that carries Tense and Agreement. INFL is a zerolevel category, it is a functional category which dominates all verbal inflection. I 0 is a functional head, it projects
structure, its maximal projection is IP, its complement is always a VP.
Depending on whether I0 carries markers for Tense or not sentences are divided into two main classes finite
and non-finite. Finite sentences carry Tense markers, while non-finite ones are [-Tense]. We include infinitives,
gerunds, present and past participles and also small clauses under the category of non-finite sentences.

IP
Spec

DP
He
I0

VP

V0

DP

buy

a book

-ed

18. I will ask [whether [Poirot will abandon the investigation.]]

I will say [that [Poirot .]]
We suggest that the Complementizer is the head of the sentence. Complementizers are non-lexical (functional)
heads and their complement is always an IP. The choice of the IP is determined by the choice of the C 0.
19. I want [for [him to come.]]

IP
Spec

Det
I
-s will

I0
T M
Vo

VP
V

CP
C

say

C0
whether

IP
Poirot will abandon the investigation

The Auxiliary
- auxiliaries are a functional category.
- modal verbs, Progressive and passive BE; Perfective HAVE; Negative and Interrogative DO; emphatic DO
- auxiliaries are base-generated in a pre-verbal position, to the left of the verb, in a Specifier position which is
available for each of them.
- auxiliaries lack an event structure; do not assign a theta-role
- auxiliaries move(raise) to Inflection , while lexical verbs do not move in English, they remain inside the VP
- auxiliaries can be negated by NOT; they can invert with the Su in question formation
- auxiliaries occur in tag questions
-Modal verbs are base-generated under I0 together with Tense and Agreement
- BE and HAVE are V0 s; they are generated in a Spec VP position; their complement is always a VP
- DO is devoid of any meaning. It appears as a Last Resort. It is a support for the negative or the Tense affix; it is
inserted under I0.
20. (a) He might have been reading a book.
(b) She does not sing.
(c) Did Mary wash the dishes?
(a) He might have been reading a book.
IP
Spec
Det
He

I
I0

VP

-ed

V0

may

VP

have

V0

VP

be

V
V0
reading

DP
a book

(b) She does not sing.

IP
Spec
Det

I
I0

NegP

T DO
-s

Neg
Neg 0
Not

VP
V
V0
sing

Argument Structure
Theta Theory
The intuitive idea of participants in an activity has been formalized in terms of the general notion of argument
structure and of the notion of thematic structure.
Generally speaking, verbs have an argument structure, based on the structure of the event denoted by the verb.
The structure of this event determines the structure and the meaning of the sentence. The argument structure of a
verb determines which constituents of a sentence are obligatory. The obligatory constituents are called
complements, while the non-obligatory ones are called adjuncts.
21. This detective imitates Poirot. (Two arguments, Agent Patient/Theme)
We like John. (Experiencer Patient/Theme)
He gave the flowers to Mary. (Agent Theme Goal)
He bought the book for Mary. (Agent Theme Benefactive)
He is working. (Agent)
The house collapsed. (Theme)
Arguments are divided into external and internal arguments. Internal arguments are subcategorized by the verb.
Adjectives and prepositions also have an argument structure. (interested in art, between Mary and John).
The specific semantic relations between a verb and its arguments are referred to in terms of theta roles. The verbs
theta-marks its arguments by assigning a theta role to each of its arguments.
Theta-Criterion - each argument is assigned one and only one theta role, and each theta role is assigned to one
and only one argument. (very important for Move)
Theta roles
1. Agent/Actor an animate participant who is the initiator or does of the action, capable of volition (desire) or
deliberate action and usually responsible for the action
John made a table.

2. Theme entity undergoing the effect of some action; it can occur with verbs of motion or location (obviously,
both location and motion can be concrete or abstract); with a verb of motion, Theme is what moves, with a verb of
Location, Theme is the entity whose location is being describes
The ball rolled towards him.
The ball is on the stand.
The glass case stood against the wall.
3. Patient an entity which suffers an action, undergoes a change
The arrow hit the apple.
Jane crumbled to the floor.
The president fires the treasurer.
4. Experiencer an animate being affected by the state of action identified by the verb, the locus of a
psychological process, the individual who feels or perceives the event, who experiences some psychological state
Students hate linguistics.
5. Benefactive / Beneficiary entity benefiting from some action.
John did the job for me.
6. Goal the entity towards which something moves
He offered the flowers to Jane. / He went to London.
7. Instrument means by which something comes about; the object with which an action is performed
He opened the door with the key.
8.Location place in which something is situated or takes place
He put the book on the shelf.
9. Source entity from which something moves.
He came from Venice.
10. Path the trajectory that an pbject covers
The ball rolled down the slope
11. Cause the entity which causes something to happen
The wind broke the window.
2ND YEAR MINOR SYNTAX 1
COURSE INSTRUCTOR: ROXANA-CRISTINA PETCU, PhD
LECTURE II - CASE THEORY
Case Theory accounts for some of the formal properties of overt NPs and integrates the traditional notion of case
into the grammar. Case theory deals with a special property that all noun phrases are assumed to have. If they
lack this feature, the sentence which contains the phrase is rendered ungrammatical. A distinction has to be
made between the notion of abstract case and morphological case. Abstract case is a universal property, while the
overt realization of abstract case by means of morphological case varies with the language. Many languages have
case systems in which every NP in a sentence bears a particular phonological form that denotes its grammatical
or thematic function in the sentence. In generative grammar, case is considered to be a phenomenon of
language that is not reducible to some smaller, more fundamental notions. Case is often visible in the form of
case morphology, e.g., inflection and particles. However, an essential assumption is that abstract case exists
without overt morphology. Thus, when we mention case, we are referring to abstract case and not case
morphology. Another important assumption is that an overt NP must have abstract case. This principle is
known as Case Filter (Chomsky 1981). Abstract case is either structural or inherent. Structural case has
some connection with structural positions and inherent case is associated with theta- roles (Chomsky 1981).
MORPHOLOGICAL CASE AND ABSTRACT CASE
In English the overt realization of case in full lexical NPs is restricted to the Genitive case (eg. The butlers coat is
too big).Nominative and Accusative are not realized overtly in modern English full NPs, although they were
overtly marked in earlier stages of the language. The overt distinction between Nominative and Accusative forms
in modern English is still to be found in the pronoun system (eg. He[Nominative] attacked him[Accusative].)

Nevertheless, all NPs are marked for case in comparable syntactic configurations whether or not they display case
overtly in their phonological and morphological forms. This marking for case is called Abstract Case. The
assumption is that the system of Abstract Case is universal and hence it must not be learned. What is learned is
the mapping between Abstract Case and overt morphological case, which takes different forms in different
languages. Morphological Case, where it appears, may be used as a clue as to how Abstract case is assigned.
There are two kinds of Case - structural Case and inherent Case. In the standard theory only two nodes may
assign Case: V and P. V assigns the accusative (objective) Case to the item it governs, and P assigns the accusative
or oblique Case to the item it governs. English does not appear to differentiate between the accusative and the
oblique Cases, hence we will call it the accusative Case. There are languages that do differentiate between them.
STRUCTURAL CASE ASSIGNMENT
In English the lexical categories assigning case (case assigners) are verbs and prepositions, but there also
functional categories that assign case, namely Inflection (more precisely Tense) and the s marker of the
Genitive. Prepositions and verbs, which assign Case, cannot be assigned Case. In a structural case assignment
configuration, we generally speak about two heads one head which assigns the theta role and another head
which assigns case. Generally speaking, structural case assignment presupposes the existence of two heads one
head which assigns theta-role and another head which assigns case.
ACCUSATIVE CASE ASSIGNMENT
In a strictly syntactic theory of Case assignment, the conditions under which case is assigned must be syntactic,
and in the GB approach configurational. The classical intuition is that the verb governs the direct object, and
thereby assigns Accusative case to it. We assume that there is a well-defined relation of government. Case is
assigned under terms of government, or at least the nominative and the accusative Cases are assigned this way.
The accusative Case is assigned to the complement of a verb, unless the verb is marked to assign (or check for)
another Case. The complement of a head is governed by the head. Accusative is assigned by the verb to the direct
object in the following configuration:

VP
V
V0

NP
ACCUSATIVE

Several syntactic relations have to be defined as as to uniquely identify the NP in this configuration:
a. in the linear ordering of the constituents, the NP is strictly adjacent to the V (they are sister branches)
b. the NP is dominated by the node in the tree that immediately dominates the Case assigner ( in this case
the V, the category which assigns case to the NP)
c. the NP is immediately dominated by the node in the tree that immediately dominates the case assigner
(the V and NP are sisters)
d. the NP is dominated by the lowest maximal projection that dominates the Case assigners
This is in fact the relation of c-command (c = constituent command).
c-commands iff the lowest branching node which immediately dominates also dominates
.

Based on the assumptions above, we can also define the relation of m-command (m= maximal projection)
m-commands iff for all , being a maximal projection that dominates , dominates .
We shall adopt the definition of government in terms of m-command, as it is the only option giving
satisfactory results for Case assignment to the subject position as well.

Government can be defined as follows.

1. governs iff
a) is a head
b) m-commands
c) there is no barrier between and
d) is [+G] (a governing category)
NOMINATIVE CASE ASSIGNMENT
The nominative Case is assigned to the specifier of [+Tense]. The nominative Case is assigned to the subject NP of
a sentence if tense is [+Tense]. T (tense) governs the NP adjoined to TP.
IP
Spec
NP

I
I0
[+Tense]
[+AGR]

VP
V
V

NP

If we look at the example above, we notice that IP is a maximal projection that dominates I 0 and NP and there is
no maximal projection that dominates I 0 that does not dominate NP. Hence, I 0 m-commands NP, that is I 0 mcommands the subject, while V0 m-commands the direct object.
Chomsky considers the Nominative Case to be assigned by [+Tense]. [+Tense] assigns the nominative Case to the
right. The Nominative Case is assigned to the NP in the Spec position by T. What happens is a checking of the
case features when the Specifier and the Head agree, that is under the Specifier-Head agreement mechanism.
This is the mechanism that holds true for Nominative Case assignment.
Eg. John is proud of his results.

IP
Spec

I
I0
[+Tense]
[+AGR]
-s

VP
V
V0
BE

SC/AP
Spec
NP
John

A0
proud

PP
of his
results

John is raised from AP to the subject position. John is not a complement of V or any other head. It cannot receive
Case in the position where it was generated because BE is an unaccusative verb. It must move to a Case-marked
position. Now, according to the conventional theory of Case assignment, the nominative Case is assigned to John
by [+TENSE]. The original position, the trace of NP, is not Case marked. It is the position where the theta role is
assigned. Johni and the trace left behind by movement ti are co-indexed and they make up a chain.
The movement of the NP has to meet some requirements.

1. the moved element is an NP

2. movement is obligatory.
3. the landing-site of movement is an empty position
4. the landing site is an A (argument)- position
5. the landing site is an NP position
5. the landing-site of movement is a position to which no theta-role cab be assigned.
6. the landing-site of movement is a position to which case is assigned
7. the site from which the element is moved is an NP position to which no case is assigned
8. movement leaves behind a trace
9. the trace is co-indexed with the entecedent, with which it forms a chain. Because the head of the chain is an Aposition, it is called an A-chain.
10. the chain is assigned a theta-role
11. the theta-role is assigned to the lowest position of the chain, the foot of the chain
12. the chain is case-marked
13.case is assigned to the highest position of the chain, the head of the chain.
EXCEPTIONAL CASE MARKING
Eg. I believe her to speak French well.
In case the subordinate clause carries no tense marker, that is I 0 is [-Tense], the subject of the subordinate clause
is assigned Accusative by the Verb in the matrix clause, under government. It is a phenomenon known as
Exceptional Case Marking. In this case, government and case marking a re possible because the [-Tense]
Inflection is not a barrier, therefore both government and case marking are possible across the maximal
projection IP.

IP
Spec
I

I
I0
VP
[+T]
-s
V
V0
Believe

CP
Spec

C
C0

IP
Spec
I
NP
her
[Accusative] I 0
[-T]
to

VP
V
V 0 NP
speak French

SMALL CLAUSES
By analogy with the Exceptional Case Marking situation, the following configuration is suggested:
Eg. I consider [her intelligent] SC

VP
V
V0
consider

IP
NP
her

I
I0

AP
Spec

A
A0
intelligent

The subject of the Small Clause raises to [Spec IP] because in a Small Clause I 0 is null, therefore it cannot act as a
governor for the subject position so it cannot assign case, so the subject will be assigned case by the verb in the
matrix clause. The theta role of the subject of the small clause is assigned by the non-verbal predicate of the Small
Clause, in our case the adjective intelligent.

THE SUBJECT OF INFINITIVAL CLAUSES

Eg. [For him to attack] would be surprising.
FOR is both a Preposition and a Complementizer, so him is governed by a governor which is also a Case assigner,
therefore it is assigned case under government. FOR occupies the C 0 position. I0 is non-finite [-Tense], so IP is not
a barrier for government or case assignment. The case assigned to the subject in this situation is Accusative.
Phrases such as VP,PP,CP do not receive case. They do not appear in positions where case can be assigned,
consequently a CP cannot occupy a case-marked position.
GENITIVE CASE ASSIGNMENT
The s Genitive can also be considered as an instance of Structural Case Assignment by the Specifier-Head
Agreement mechanism.
Eg. Susans blouse
DP
Spec
NP
Susan

D
D0
s

NP
blouse

The configuration is similar to the configuration in which Nominative is assigned, so we can presume the
existence of the same type of relation, therefore the same type of mechanism, namely the agreement between the
Head (s) and the Specifier.
THE CASE FILTER
Every NP must be assigned Abstract Case.
It is called a filter because it filters out any construction containing an overt NP which is not assigned case.
But not all NPs in a sentence are governed by a Case assigning V or P, because they are not arguments.

Eg. John, I want to see you!

This book, I think it will be made into a great movie one day.
The italicized NPs are not arguments, they are not governed by a case assigning V or P, so they are not assigned
Abstract Case, they are assigned default case. As they are not arguments, they need not be assigned a theta role,
so they need not be assigned Abstract Case.
So, the Case Filter may be redefined as follows:
(a) an argument NP must be assigned Case by the governor
(b) a non-argument NP is assigned default case

There is another condition imposed on Case assignment, namely adjacency:

Eg. (a) * I saw yesterday John.
(b)*I believe very deeply her to be a genius.
Therefore, Structural Case Assignment can be formulated as follows:
A Case Assigner assigns Case to if governs and and are adjacent.

INHERENT CASE
Inherent case can be considered the realization of a theta-role. The head does not assign structural case to the NP
that it governs, but, since it governs it, it assigns a theta role. The theta role is then overly realized through the
assignment of Inherent Case, presumably through a mapping that identifies certain Cases with certain theta roles.
Certain thematic relations, however, are required for inherent case assignment. Therefore no
inherent case can be assigned to a complement by a head when there exists no thematic relation
between them. When an NP is complement of a h e a d , t h i s a typical situation in which inherent case can
be assigned since the head normally theta-marks t h e N P .
( a) John's belief [of [the rumor]]
( b ) John believes [[the rumor] to be false].
In (2), the NP the rumor, which functions as the complement of the nominal head
belief, is theta-marked by the head and thus the condition for inherent case assignment is
met. It is widely argued that the head noun belief assigns its complement the rumor inherent
case, that is, genitive, which is assumed to be morphologically realized via the so-called ofinsertion (Chomsky 1981 and 1986). In (b), the matrix verb believes assigns accusative to the
subject of its complement IP, that is, the rumor. Note that there is no direct thematic
relation between the case assigner and the case assignee. Therefore thematic relations
between case assigners and case assignees have been considered as distinguishing
inherent case assignment from structural case assignment.
Or, in Romanian, for instance, adjectives such as util which assigns Dative case:

teorie utila studentilor[Dative]

Chomsky noted that there for inherent case assignment, what is requires is a strict thematic relation
between case assigners and case assignees, so ins 1986, he suggested the Uniformity Condition,
which is stated below.
Uniformity Condition on Case-Marking

If is an inherent Case-markers, then Case-marks the NP iff theta-marks the chain headed by the NP.
The Uniformity Condition states that two conditions must be satisfied for inherent case assignment, namely:
1. must be a category that cab assign inherent case
2. a thematic role must be assigned by the case assigner to the case assignee
Chomsky argued that [+N] categories are inherent case assigners, while [-N] categories are not. Under this
definition, N and A, which are [+N] categories, are inherent case assigners, whereas V and P, which are
[-N] categories, are not. In the meantime, Chomsky (1981 and 1986) identified structural case assigners as
heads of
[ -N] categories, that is, V, P, or finite INFL.