CHAPTER 5

Syntax: the larger patterns of

language

LEARNING OBJECTIVES
◾ Define the term syntax. ◾ Explain what phrase structure rules
and phrase markers are.
◾ Analyze the statement: “Syntax is
basically subconscious knowledge.” ◾ Discuss what is meant by saying
that language has a hierarchical
◾ List the names of the units that are larger
structure.
than words and that make up sentences.
◾ Explain what is meant by the
◾ List the names of different sentence
recursive property of language.
types based on the types of clauses that
construct each sentence type. ◾ Define transformational rules. List
and explain the four basic types of
◾ Explain what types of sentences there are
transformations.
based on their meaning, function, or voice.
◾ Define grammaticality judgment.
◾ Language is rule-governed. Discuss some
of the general syntactic rules that a native ◾ List the three types of ambiguity
speaker of a language knows. discussed in this chapter and
provide at least one example of
◾ Word order is very important in some
each.
languages and less important in others.
Explain why this is so. ◾ Explain how ambiguous and
synonymous utterances can be
◾ Report on who Noam Chomsky is and
seen in terms of deep and surface
include what some of his contributions to
structure.
linguistics are.

The word syntax is derived from the Greek elements syn, meaning together, and tax, which
Syntax is a level of grammar that means arranging. Syntax is a level of grammar that specifically refers to the arrangement of
specifically refers to the arrangement words and morphemes (the lexicon) in the construction of structures such as phrases, clauses,
of words and morphemes in the
and sentences. Syntax also deals with how these combined structures interface with external
construction of sentences.
behaviors such as speech (sound), sign language (gestures), and writing to make the combined
structures useful in communication. Lexical categories discussed in Chapter 4 are syntactic
categories for elements of language at the level of words.
Syntax can also be seen as the way in which the basically subconscious rules (tacit rules
or knowledge) and categories that are part of each person’s linguistic competence are used
to construct sentences. Syntax deals with the interrelationship of the elements that make up
sentences, and how different rules of arrangement are used to construct statements, questions,
commands, and other types of utterances. In English, a native speaker will know without hav-
ing to consciously think about it that “*A to going minutes I be few in will store the” is not a
102 grammatical sentence. However, “I will be going to the store in a few minutes” is a grammatical
 C H A PTER 5 ▸ Syntax: the larger patterns of language 103

sentence and would be recognized as such by a native speaker of English. Words are not put
together randomly to create phrases, clauses, and sentences.
When we say that syntactic rules are basically subconscious, we mean several things. First,
people apply the rules of their language automatically and without noticing that they are doing
anything special. Second, using the syntax of language is usually obligatory. Unless you make
the grammar explicit (that is, you are consciously aware of it), you can’t change it. Of course,
under certain circumstances you might do just that. For example, if you are trying to imitate
a dialect different from your own, you might study the grammar of your way of speaking and
compare it to another.
When linguists and anthropologists study syntax, they are interested in describing the
subconscious knowledge that people possess about the syntax of their language, not prescrib-
ing how they should construct sentences. What linguists and anthropologists are discovering
is descriptive syntax or descriptive grammar. They listen to what people actually say and Descriptive syntax or descriptive
then attempt to discover the rules used. What a language teacher does in a grammar class by grammar refers to the mostly
telling you that there is a correct or incorrect way to write or speak is prescriptive syntax or subconscious rules of a language that
speakers use to combine smaller units
prescriptive grammar.
into sentences. The term also refers to
There are many approaches to the study of syntax. Some are mostly descriptive and the study of these rules.
attempt to discover the rules of the syntax of a language and describe them; some are based on Prescriptive syntax or prescriptive
the analysis of the function of syntactic forms, while others are based on complex mathematical grammar (as the term implies) refers
models. We will deal mostly with a model of syntax called transformational or generative to the concept that there is a correct
grammar that incorporates descriptive and mathematical concepts but primarily is based on and an incorrect way to speak, write,
or sign.
the assumption that many elements of syntax cannot be discovered just by studying linguistic
performance. They are instead a reflection of how the human mind (the brain) works to form Transformational or generative
syntactic structures such as sentences. grammar is a model of syntax that
Generative grammar (discussed further in the “Phrase structure rules” section later in this includes a finite set of rules that could
chapter) assumes that the general similarities found in all languages are a result of the prewired hypothetically produce (generate) an
way in which the human brain must process linguistic input. What a person says, writes, or infinite number of utterances.

signs is the result of the complex processing of learned information in a partially innate way.
This processing system is the result of human and prehuman evolution. It is, in part, what
allows children to naturally, efficiently, and subconsciously learn language with relatively lim-
ited input from their social environment (see “poverty of the stimulus” in Chapter 10). In fact,
in recent years some researchers have hypothesized that the ability of the human mind to auto-
matically arrange certain types of information in a particular rule-governed way is also present
in some of our closest living nonhuman relatives; that is, other primates, as well as some other
animals, may have computational abilities.1
In this chapter we are going to analyze syntactic structures in terms of traditionally defined
units such as sentences. However, it should be pointed out that people often speak, sign, or
write in utterances or texts that a language teacher might say are incomplete or not grammat-
ical (see Chapter 3 for a definition of utterance). This is obvious in such written forms as text
messaging, tweets, and so on. When linguists analyze speech or sign language, they often also
find this clipped or otherwise informal form of communication (see “Situational dialects or
registers” in Chapter 8).

Syntactic construction
Types of syntactic structures
We will discuss syntax starting with larger syntactic structures, breaking them down into their
smaller constituents. So, we with start with sentences, proceed to clauses, move on to phrases,
and end up with words.

1
Sylvia Bongard and Andreas Nieder, “Basic Mathematical Rules Are Encoded by Primate Prefrontal Cortex Neurons,”
Proceedings of the National Academy of Sciences 107 (January 19, 2010), 2277–2282.
104 C HAP T E R 5 ▸ Syntax: the larger patterns of language

A sentence is a string of words that A sentence begins as a mental construction job. Sentences are not randomly combined
is grammatically complete with at morphemes but structures built on the basis of rules of combination. The units being combined
least two components, a subject and
a predicate.
are called constituents. In traditional approaches to grammar, a sentence is seen as having at
Constituents are the units being
least two main constituents; one is called a subject, and the other is called a predicate. In these
combined to create larger syntactic traditional approaches the subject is the topic of the sentence and the predicate is a comment
constructions. or assertion made about the topic.
The subject of a sentence is the topic In the sentence below, if analyzed by a traditional approach, The student is the subject of
of the sentence. the sentence and looked at a painting is the predicate.
The predicate of a sentence in
traditional grammar is a comment The student looked at a painting.
or assertion made about the topic.
In most modern grammars, the In most modern syntactic analyses, the predicate is seen as an element that assigns a prop-
predicate is seen as an element
that assigns a property to another
erty to another element or elements in a sentence, or helps to relate those other elements to
element in a sentence or helps to each other, thereby completing the meaning of the predicate. Using this rationale, the sentence
relate other elements to each other, above might be analyzed as: looked (the student, at a painting). Looked is the predicate and the
thereby completing the meaning of the expressions in parentheses—the student and at a painting—complete the meaning of the predi-
predicate. cate. The expressions the student and at a painting are called arguments. Arguments are neces-
sary to complete the meaning of the predicate. Looked by itself is not a complete thought; nor
Arguments are necessary elements
is the student looked, or looked at a painting. The predicate in this case needs two arguments to
of a sentence used to complete the
meaning of the predicate.
complete it, a subject argument and prepositional phrase argument. Depending on the type of
Adjuncts are optional elements of a verb, one or more argument might be needed (obligatory). In addition to arguments that are
sentence. They add information that obligatory, a predicate may be completed by elements, called adjuncts, which are optional. For
is not essential to the meaning of the instance, in the sentence The art student looked at a very beautiful painting, the elements art, very,
predicate. and beautiful are adjuncts. Adjuncts add information that is not essential to the meaning of the
predicate.

Types of sentences and clauses

Using a traditional approach, sentences can be classified on the basis of how many subjects
(topics) and how many predicates they contain and the types of clauses they possess. When
A simple sentence is a sentence with a sentence consists of only one subject and one predicate, it is called a simple sentence. An
one subject and one predicate. example of a simple sentence is:

The dog ran away.

A compound sentence is made up of Simple sentences can be combined to form compound sentences, such as: The dog and the cat
at least two simple sentences joined ran away.
by a coordinating conjunction; in
In this case, two sentences are combined using the coordinating conjunction and. The
writing, punctuation can substitute for
the conjunction.
compound sentence tells us that The dog ran away and The cat ran away. Redundant elements
are eliminated in forming this compound sentence. Compound sentences can be formed with-
out a coordinating conjunction, as in the following sentence:

We studied all day for the test; now it is time to rest.

In this case, the semicolon takes the place of the conjunction. The two simple sentences in a
An independent clause is a simple compound sentence are said to be independent clauses.
sentence. A second type of clause used to construct sentences is the dependent clause. A dependent
A dependent clause has a subject clause cannot stand alone as a simple sentence, but must be attached to an independent clause.
and predicate but cannot stand alone A dependent clause often begins with a relative pronoun or a subordinating conjunction. Some
as a simple sentence. It depends on examples of dependent clauses are the following:
an independent clause to make it
complete.
although it is tempting
who would be traveling with us
if I come late
 C H A PTER 5 ▸ Syntax: the larger patterns of language 105

A sentence that contains a simple sentence and one or more dependent clauses is called a
complex sentence. The following are complex sentences: A complex sentence contains a
simple sentence and one or more
dependent clauses.
Although it is tempting, I will not be going to Las Vegas.
These are the people who would be traveling with us.
If I come late, start without me.

Sentences that have two or more independent clauses and at least one dependent clause are
called compound-complex sentences. For example: A compound-complex sentence has
two or more independent clauses and
at least one dependent clause.
When the teacher assigned the reading for the exam, many students were stunned, but they agreed
to study.

When the teacher assigned the reading for the exam is a dependent clause; many students were
stunned could stand alone as a simple sentence and is, therefore, an independent clause of the
larger sentence. The same is true of they agreed to study. This independent clause is attached to
the rest of the sentence by the coordinating conjunction but.
The terms simple sentence, compound sentence, complex sentence, and compound-complex sen-
tence refer to the grammatical construction of a sentence. Sentences can also be classified on
the basis of their meaning, purpose (function), or voice. The following are some of the most
common sentence types classified in these ways:

Declarative—Sentences that make a statement. Christine just arrived.

Interrogative—Sentences that ask a question. Has Andrew just arrived?
Imperative—Sentences that express a command or make a request. Aaron, come here.
Exclamatory—Sentences that show strong or sudden feeling. Oh, if Jan were only here!
Active or passive voice—Voice is the relationship of the grammatical subject of a verb to the
action conveyed by that verb. In most English sentences, the grammatical subject precedes
the verb. In an active sentence, the grammatical subject of the verb carries out an activity
or purpose, as in the sentence Mark hit the ball. In the passive version of this sentence, the
subject is receiving the action of the verb. So, in the above example, what was the direct
object becomes the grammatical subject and what was the grammatical subject is moved to
the position of the object. The result is The ball was hit by Mark. Note that the word by and
an auxiliary verb was are added in this passive construction. Although the word by often
indicates a passive construction, it does not have to be present in a passive sentence. The
sentence The computer was purchased yesterday is also passive. In this sentence the subject
(I, we, a person’s name, etc.) is missing altogether. A possible active version of the sentence
would be I purchased the computer yesterday. In these two examples, the verbs hit and pur-
chased are in the passive voice (see Box 5-1).

In addition to these types of sentences, various combinations of types can be formed. Don’t be
hit by a ball is a passive, imperative sentence.

BOX 5-1
The passive voice
English teachers often tell students to avoid using the passive voice that is formed in the ways described
in the text and by some uses of to be words, including am, is, are, and were. There is good reason for this.
The passive voice can obscure who is doing what to whom or who is responsible for what. In some cases,
to be words can be used to eliminate the person responsible for the action completely, as in: The credit card
106 C HAP T E R 5 ▸ Syntax: the larger patterns of language

payment will be made on the 15th day of the month. This sentence does not state who is to make the payment.
The reader or listener might assume that the person whose name is on the credit card is responsible for
the payment. However, if this sentence were part of a legal document with several parties, someone other
than the cardholder might be responsible for the payment, such as the company that employs the card
owner. The sentence The card owner will make a credit card payment on the 15th day of the month clarifies
who is to make the payment.
The passive voice is also wordier, using more nouns and prepositional phrases. The following is a
passive sentence:
Analysis and assessment of the quality of instruction by college presidents and deans is required so that sugges-
tions for changes and improvements in instruction can be made.
The active version of the sentence is less wordy and less ambiguous:
College presidents and deans must analyze and assess the quality of instruction so that they can make sugges-
tions for improving instruction.
The passive voice does have a place in writing and speech. It can be used to add variety to an utterance
as long as it does not obscure meaning.

Phrases
A phrase is any constituent of a A phrase is any constituent of a clause. Phrases are commonly named for one of their main
clause. elements, so we speak of noun phrases, verb phrases, adjective phrases, adverb phrases, and
prepositional phrases. A phrase may be a string of words or just one word. In the following sen-
tence there are several phrases: Jack went to the store. Jack is a phrase, and so are went to the store,
to the store, and the store. Notice that not only can a phrase be one word or a string of words, but
that one phrase also can be embedded within another phrase.
The head of a phrase is the word that The head of a phrase is the word that determines the syntactic or phrasal category of that
determines the syntactic or phrasal
phrase—whether the phrase functions as a noun phrase, verb phrase, prepositional phrase, and
category of that phrase.
so on. (Remember that in Chapter 4 we discussed the head of a compound word, which is the
morpheme that determines the lexical category of the word; for example, whether the compound
word is a noun or a verb.) The head of a noun phrase is a noun, the head of a verb phrase is a verb,
and the head of a prepositional phrase is a preposition. If the phrase is made up of one word, then
that word is the head of the phrase. If a phrase has two or more words in the lexical category that
the phrase is named for, then the one that carries the central meaning of the phrase is the head
of the phrase. In the noun phrase the boat, it is clear that boat is the head of the phrase. However,
in the noun phrase the title of the new movie, there are two nouns, title and movie. Because the
phrase is about the title of the movie and not about the movie itself, the head of the phrase is title.
The dependent or dependents of a All parts of a phrase that are not the head are called the phrase’s dependents. In some
phrase are all parts of a phrase that approaches to syntax, these dependents are further broken down into specifiers and com-
are not its head.
plements. In the boat, the is the specifier. In the title of the new movie, the is the specifier and of
A specifier makes the meaning of the
the new movie is the complement. The specifier makes the meaning of the head more precise.
head more precise.
Complements provide further
Determiners are specifiers for nouns, adverbs are specifiers for verbs, and degree words such
information about the head. as very and more are used as specifiers of adjectives and prepositions. Complements provide
A determiner is a word used before further information about the head. The phrase the new movie indicates the title is that of a
a noun to indicate whether the noun movie as opposed to a book, a magazine, or play.
refers to something that is specific or Some languages, including Spanish, French, Tiwi (an indigenous Australian language), and
general. English, tend to place complements to the right of the head (head-first or right-branching lan-
guages). Other languages, such as Turkish, Korean, and Japanese, tend to put complements to the
left of the head (head-last or left-branching languages), with Japanese doing this almost exclusively.
A noun phrase (often called a nominal
phrase) does the work of a noun.
Noun phrases Among other functions, a noun phrase (often called a nominal phrase)
can function in a sentence as the subject, direct object, and indirect object. A noun phrase
could be a single noun or pronoun or a variety of longer forms:
 C H A PTER 5 ▸ Syntax: the larger patterns of language 107

1. Julian mailed a letter.

(Julian is a noun phrase and the subject of the sentence; a letter is also a noun phrase and
the direct object.)
2. Mary ate the hamburger.
(Mary and the hamburger are noun phrases. Mary is the subject of the sentence; the ham-
burger is the direct object.)
3. Three people came late.
(Three people is the noun phrase and the subject of the sentence.)
4. The girl went into the house.
(The girl and the house are noun phrases; the house is an indirect object.)
5. He gave the card to me.
(He is a noun phrase, as is me and the card; me is an indirect object; the card is a direct object.)

Noun phrases can be abbreviated as NP. A noun might be preceded by an adjective or

adjective phrase. The adjective phrase might include an adverb (very fast horse) or a subtype of
adjective called a determiner (abbreviated as Det). In English, determiners fall into the following
categories: definite and indefinite articles, demonstratives, possessives, and interrogatives. Deter-
miners function to limit what the noun is referring to, such as to specify whether the referent
is a specific thing or a general thing. Articles—a(n) and the (abbreviated as Art)—tell whether a
noun refers to a definite (specific) thing, as in the art student, or something that is not specified
(a general thing), as in a very beautiful painting. In the phrase the art student, the is a definite article.
The art student refers to a specific student to whom we might give a name. In the phrase a very
beautiful painting, a(n) is an indefinite article because the phrase does not specify exactly what
painting is being described. In English, articles are placed before the noun that they modify. They
share this characteristic with demonstratives (this boy), possessives (my car), and interrogatives
(which house).
Some possible noun phrases are as follows:

a. Jim NP → N (N is the abbreviation for noun if it cannot be broken down further.)

b. he NP → Pro (Pro = pronoun)
c. the dog NP → Det N (Det = determiner, which in this case is an article.)
d. six dogs NP → Num Noun (Num = numeral)
e. the six dogs NP → Det Num Noun
f. my dog NP → Det N (This determiner is a possessive.)
g. what dog NP → Det N (This determiner is an interrogative.)
h. that dog NP → Det N (This determiner is a demonstrative.)

The → in the formulas above means can be rewritten as or can be expanded as or is made up of. So
in example (e), the formula reads that the noun phrase can be rewritten as a determiner plus a
numeral and a noun.

Verb phrases All English sentences (sentence is abbreviated as S) contain a noun phrase A verb phrase tells you something
(NP) and a verb phrase (VP); that is, an English sentence is minimally as follows: about the subject. It includes a
verb and can include an auxiliary
S → NP + VP verb, a direct or indirect object, and
modifiers.
Intransitive verbs can form a verb phrase by themselves. In the simple sentence,
Fish swim,
swim is a verb phrase composed of just a verb (VP → V).

Verb phrases often include a noun phrase. Verbs that combine with a noun phrase are
called transitive verbs. In the sentence

Mary ate the hamburger,