Raising (syntax)

Last updated

In linguistics, raising constructions involve the movement of an argument from an embedded or subordinate clause to a matrix or main clause. A raising predicate/verb appears with a syntactic argument that is not its semantic argument but rather the semantic argument of an embedded predicate. In other words, the sentence is expressing something about a phrase taken as a whole. For example, in they seem to be trying, "to be trying" (the predicand of trying) is the subject of seem. English has raising constructions, unlike some other languages.[ citation needed ]

Contents

The term raising has its origins in the transformational analysis of such constructions; the constituent in question is seen as being "raised" from its initial deep structure position, as the subject of the embedded predicate, to its surface structure position in the matrix predicate/verb. [1] Raising predicates/verbs are related to control predicates, although there are important differences between the two predicate/verb types.

Examples

There are at least two types of raising predicates/verbs: raising-to-subject verbs and raising-to-object predicates. Raising-to-object predicates overlap to a large extent with so-called ECM-verbs (= exceptional case-marking). These types of raising predicates/verbs are illustrated with the following sentences:

a. They seem to be trying. – Seem is a raising-to-subject verb.
b. Prices appear to be increasing. – Appear is a raising-to-subject verb.
c. You seem to be impatient. – Seem is a raising-to-subject verb.
a. Fred wants us to help. – Want can be a raising-to-object predicate.
b. That proves him to be hiding something. – Prove can be a raising-to-object predicate.
c. She predicts there to be a problem. – Predict can be a raising-to-object predicate.

The primary trait of raising predicates/verbs like these is that they are not semantically selecting one of their dependents. [2] The raising-to-subject verbs are not selecting their subject dependent, and the raising-to-object predicates are not selecting their object dependent. These dependents appear to have been raised from the lower predicate.

Alternation with it-extraposition

Raising predicates/verbs can be identified in part by the fact that they alternatively take a full clause dependent and can take part in it-extraposition, [3] e.g.

a. Tom seems to have won the race.
b. It seems that Tom won the race. – Raising-to-subject verb seem occurs with it-extraposition.
a. Larry appears to be doing the work.
b. It appears that Larry is doing the work. – Raising-to-subject predicate verb appear occurs with it-extraposition.
a. Sam believed someone to know the answer.
b. Sam believed it that someone knew the answer. – Raising-to-object predicate believe occurs with it-extraposition.
c. Sam believed that someone knew the answer. – Raising-to-object predicate believe occurs with clausal object argument.
a. That proves Susan to be a jackass.
b. That proves it that Susan is a jackass. – Raising-to-object predicate prove occurs with it-extraposition.
c. That proves that Susan is a jackass. – Raising-to-object predicate prove occurs with clausal object argument.

Raising predicates/verbs can appear with it–extraposition and/or a full clausal dependent. They appear to be subcategorizing for a propositional argument.

Raising-to-subject verbs vs. auxiliary verbs

The raising-to-subject verbs seem and appear are similar to auxiliary verbs insofar as both verb types have little to no semantic content. The content that they do have is functional in nature. In this area, auxiliary verbs cannot be viewed as separate predicates; they are, rather, part of a predicate. The raising-to-subject verbs seem and appear are similar insofar it is difficult to view them as predicates. They serve, rather, to modify a predicate. That this is so can be seen in the fact that the following pairs of sentences are essentially synonymous:

a. Fred does not seem to have done it.
b. Fred seems not to have done it. – Position of the negation is flexible.
c. Fred seems to not have done it. – Infinitival splitting occurs.
a. Mary does not appear to like pudding.
b. Mary appears not to like pudding. – Position of the negation is flexible.
c. Mary appears to not like pudding. – Infinitival splitting occurs.

The fact that position of the negation can change without influencing the meaning is telling. It means that the raising-to-subject verbs can hardly be viewed as predicates.

While raising-to-subject verbs are like auxiliary verbs insofar as they lack the content of predicates, they are unlike auxiliaries in syntactic respects. Auxiliary verbs undergo subject-aux inversion, raising-to-subject verbs do not. Auxiliary verbs license negation, raising-to-subject verbs do so only reluctantly:

a. Fred is happy.
b. Is Fred happy? – Auxiliary verb be takes part in subject-auxiliary inversion.
c. Fred is not happy. – Auxiliary verb be licenses negation.
a. Fred seems happy.
b. *Seems Fred happy? – Raising-to-subject verb seem cannot take part in subject-auxiliary inversion.
c. ?? [4] Fred seems not happy. – Raising-to-subject verb seem can hardly license negation.
a. Susan should stay.
b. Should Susan stay? – Modal auxiliary should takes part in subject-auxiliary inversion.
c. Susan should not stay. – Modal auxiliary should can license negation.
a. Susan appears to be staying.
b. *Appears Susan to be staying? – Raising-to-subject verb appear cannot take part in subject-auxiliary inversion.
c. ?Susan appears not to be staying. – Raising-to-subject verb appear reluctantly licenses negation.

Raising-to-object verbs are also clearly NOT auxiliary verbs. Unlike raising-to-subject verbs, however, raising-to-object verbs have clear semantic content, so they are hence indisputably predicates.

Representing raising

The fact that the raised constituent behaves as though it is a dependent of the higher predicate is generally reflected in the syntax trees that are employed to represent raising structures. The following trees are illustrative of the type of structures assumed for raising-to-object predicates. [5] [6] Both constituency-based trees of phrase structure grammar and dependency-based trees of dependency grammar are employed here: [7]

Raising trees 1.jpg

The constituency-based trees are the a-trees on the left, and the dependency-based trees are the b-trees on the right. While the structures assumed here can be disputed - especially the constituency structures - the trees all show the main stance toward raising structures. This stance is that the "subject" of the lower predicate appears as a dependent of the higher predicate - the relevant constituents are in bold. Relatively flat structures are assumed to accommodate this behavior. Both it and the claim are shown as dependents of expects and proves, respectively, although they are semantic arguments of the lower predicates to happen and to be false, respectively.

A number of empirical considerations support the relatively flat structures shown here. That is, empirical considerations support the position of the "raised" constituent as a dependent of the matrix predicate/verb. These dependents can appear in object form, they can appear as the subject of passive sentences, and they can appear as reflexives coindexed with the matrix subjects: [8]

a. We expect him to help. – Pronoun him appears in object form.
b. He is expected to help. – Object pronoun becomes subject in passive.
c. He1 expects himself1 to help. – Reflexive is coindexed with subject.
a. You proved her to be competent. – Pronoun her appears in object form.
b. She was proved to be competent. – Object pronoun becomes subject in passive.
c. She1 proved herself1 to be competent. – Reflexive is coindexed with subject.

This behavior speaks strongly for the general analysis reflected in the trees, namely that the "raised" constituent is a dependent of the higher predicate.

Raising vs. control

An understanding of raising is significantly expanded by comparing and contrasting raising with control. Examine the following (dependency) trees:

Raising trees 2.jpg

The a-trees contain the raising predicates wants and judges, whereas the b-trees contain the control predicates told and asked. Despite the fact that structures assumed for these different predicate types are essentially the same, there is a major distinction to be drawn. This distinction is that the control predicates semantically select their objects, whereas the raising predicates do not. In other words, the object is a semantic argument of the control predicate in each case, whereas it is not an argument of the raising predicate. This situation obtains despite the fact that both predicate types take the object to be the "subject" of the lower predicate.

The distinction between raising-to-object and control predicates is identified using the there-insertion diagnostic. Expletive there can appear as the object (or subject) of raising predicates, but it cannot appear as the object of control predicates, [9] e.g.:

a. Sam judges there to be a problem. – Expletive there can appear as the object of a raising-to-object predicate.
b. *Sam asked there to be a problem. – Expletive there cannot appear as the object of an object control predicate.
a. We want there to be a revision. - Expletive there can appear as the object of a raising-to-object predicate.
b. ??We helped there (to) be a revision. - Expletive there cannot appear as the object of an object control predicate.

Since the raising predicates place no semantic restrictions on their object dependents, expletive there is free to appear. In contrast, object control predicates do place semantic restrictions on their object arguments, which means expletive there usually cannot appear.

See also

Notes

  1. Early seminal accounts of raising were produced by Rosenbaum (1967) and Postal (1974). See further Grinder and Elgin (1973:141ff.), Bach (1974:120ff., 146ff.), Emonds (1976:75ff.), Borsley (1996:126-144), Carnie (2007:285ff.).
  2. That raising predicates, unlike control predicates, do not semantically select one of their arguments is emphasized in all accounts of raising and control. See for instance van Riemsdijk and Williams (1986:130), Borsley (1996:133), Culicover (1997:102).
  3. Concerning the ability of raising predicates to appear with full clausal arguments, see Bach (1974:149), Borsley (1996:127f.), Carnie (2007:291).
  4. Hagstrom, Paul. "What are these */?/*?/??/# symbols?". Boston University instructor's note from CAS LX 522 F09.
  5. The flat VP analysis of raising structures shown in the a-sentences was posited by some in the 1970s and later. For examples of the "flat" analysis, see for instance Bach (1974:146), Emonds (1976:77), and Borsley (1996:128). Most modern dependency grammars (also) assume a flat structure for raising structures.
  6. For an early layered analysis, however, see Culicover (1982:251ff.).
  7. The dependency trees are like those found, for instance, in Osborne et al. (2012).
  8. Concerning these points, see Bach (1974:147f.), Postal (1974), Lasnik and Saito (1999:9ff.).
  9. The expletive is widely employed to distinguish control from raising constructions. Concerning there-insertion as a diagnostic for distinguishing between control and raising, see for instance Grinder and Elgin (1973:142-143), Bach (1973:151), Culicover (1982:256ff.), Borsley (1996:127), Culicover (1997:102), Lasnik and Saito (1999:8-9), Falk (2001:131).

Related Research Articles

In linguistics, syntax is the study of how words and morphemes combine to form larger units such as phrases and sentences. Central concerns of syntax include word order, grammatical relations, hierarchical sentence structure (constituency), agreement, the nature of crosslinguistic variation, and the relationship between form and meaning (semantics). There are numerous approaches to syntax that differ in their central assumptions and goals.

A noun phrase – or NP or nominal (phrase) – is a phrase that usually has a noun or pronoun as its head, and has the same grammatical functions as a noun. Noun phrases are very common cross-linguistically, and they may be the most frequently occurring phrase type.

In language, a clause is a constituent that comprises a semantic predicand and a semantic predicate. A typical clause consists of a subject and a syntactic predicate, the latter typically a verb phrase composed of a verb with any objects and other modifiers. However, the subject is sometimes unvoiced if it is retrievable from context, especially in null-subject language but also in other languages, including English instances of the imperative mood.

In linguistics, an object is any of several types of arguments. In subject-prominent, nominative-accusative languages such as English, a transitive verb typically distinguishes between its subject and any of its objects, which can include but are not limited to direct objects, indirect objects, and arguments of adpositions ; the latter are more accurately termed oblique arguments, thus including other arguments not covered by core grammatical roles, such as those governed by case morphology or relational nouns . In ergative-absolutive languages, for example most Australian Aboriginal languages, the term "subject" is ambiguous, and thus the term "agent" is often used instead to contrast with "object", such that basic word order is often spoken of in terms such as Agent-Object-Verb (AOV) instead of Subject-Object-Verb (SOV). Topic-prominent languages, such as Mandarin, focus their grammars less on the subject-object or agent-object dichotomies but rather on the pragmatic dichotomy of topic and comment.

A subject is one of the two main parts of a sentence.

Theta roles are the names of the participant roles associated with a predicate: the predicate may be a verb, an adjective, a preposition, or a noun. If an object is in motion or in a steady state as the speakers perceives the state, or it is the topic of discussion, it is called a theme. The participant is usually said to be an argument of the predicate. In generative grammar, a theta role or θ-role is the formal device for representing syntactic argument structure—the number and type of noun phrases—required syntactically by a particular verb. For example, the verb put requires three arguments.

Dependency grammar (DG) is a class of modern grammatical theories that are all based on the dependency relation and that can be traced back primarily to the work of Lucien Tesnière. Dependency is the notion that linguistic units, e.g. words, are connected to each other by directed links. The (finite) verb is taken to be the structural center of clause structure. All other syntactic units (words) are either directly or indirectly connected to the verb in terms of the directed links, which are called dependencies. Dependency grammar differs from phrase structure grammar in that while it can identify phrases it tends to overlook phrasal nodes. A dependency structure is determined by the relation between a word and its dependents. Dependency structures are flatter than phrase structures in part because they lack a finite verb phrase constituent, and they are thus well suited for the analysis of languages with free word order, such as Czech or Warlpiri.

A dummy pronoun, also known as an expletive pronoun, is a deictic pronoun that fulfills a syntactical requirement without providing a contextually explicit meaning of its referent. As such, it is an example of exophora.

In grammar, a complement is a word, phrase, or clause that is necessary to complete the meaning of a given expression. Complements are often also arguments.

The term predicate is used in two ways in linguistics and its subfields. The first defines a predicate as everything in a standard declarative sentence except the subject, and the other defines it as only the main content verb or associated predicative expression of a clause. Thus, by the first definition, the predicate of the sentence Frank likes cake is likes cake, while by the second definition, it is only the content verb likes, and Frank and cake are the arguments of this predicate. The conflict between these two definitions can lead to confusion.

<span class="mw-page-title-main">Grammatical relation</span>

In linguistics, grammatical relations are functional relationships between constituents in a clause. The standard examples of grammatical functions from traditional grammar are subject, direct object, and indirect object. In recent times, the syntactic functions, typified by the traditional categories of subject and object, have assumed an important role in linguistic theorizing, within a variety of approaches ranging from generative grammar to functional and cognitive theories. Many modern theories of grammar are likely to acknowledge numerous further types of grammatical relations. The role of grammatical relations in theories of grammar is greatest in dependency grammars, which tend to posit dozens of distinct grammatical relations. Every head-dependent dependency bears a grammatical function.

In linguistics, control is a construction in which the understood subject of a given predicate is determined by some expression in context. Stereotypical instances of control involve verbs. A superordinate verb "controls" the arguments of a subordinate, nonfinite verb. Control was intensively studied in the government and binding framework in the 1980s, and much of the terminology from that era is still used today. In the days of Transformational Grammar, control phenomena were discussed in terms of Equi-NP deletion. Control is often analyzed in terms of a null pronoun called PRO. Control is also related to raising, although there are important differences between control and raising.

In linguistics, an argument is an expression that helps complete the meaning of a predicate, the latter referring in this context to a main verb and its auxiliaries. In this regard, the complement is a closely related concept. Most predicates take one, two, or three arguments. A predicate and its arguments form a predicate-argument structure. The discussion of predicates and arguments is associated most with (content) verbs and noun phrases (NPs), although other syntactic categories can also be construed as predicates and as arguments. Arguments must be distinguished from adjuncts. While a predicate needs its arguments to complete its meaning, the adjuncts that appear with a predicate are optional; they are not necessary to complete the meaning of the predicate. Most theories of syntax and semantics acknowledge arguments and adjuncts, although the terminology varies, and the distinction is generally believed to exist in all languages. Dependency grammars sometimes call arguments actants, following Lucien Tesnière (1959).

In linguistics, a small clause consists of a subject and its predicate, but lacks an overt expression of tense. Small clauses have the semantic subject-predicate characteristics of a clause, and have some, but not all, properties of a constituent. Structural analyses of small clauses vary according to whether a flat or layered analysis is pursued. The small clause is related to the phenomena of raising-to-object, exceptional case-marking, accusativus cum infinitivo, and object control.

Exceptional case-marking (ECM), in linguistics, is a phenomenon in which the subject of an embedded infinitival verb seems to appear in a superordinate clause and, if it is a pronoun, is unexpectedly marked with object case morphology. The unexpected object case morphology is deemed "exceptional". The term ECM itself was coined in the Government and Binding grammar framework although the phenomenon is closely related to the accusativus cum infinitivo constructions of Latin. ECM-constructions are also studied within the context of raising. The verbs that license ECM are known as raising-to-object verbs. Many languages lack ECM-predicates, and even in English, the number of ECM-verbs is small. The structural analysis of ECM-constructions varies in part according to whether one pursues a relatively flat structure or a more layered one.

<span class="mw-page-title-main">Subject–auxiliary inversion</span> Grammatical construction common in English

Subject–auxiliary inversion is a frequently occurring type of inversion in the English language whereby a finite auxiliary verb – taken here to include finite forms of the copula be – appears to "invert" with the subject. The word order is therefore Aux-S (auxiliary–subject), which is the opposite of the canonical SV (subject–verb) order of declarative clauses in English. The most frequent use of subject–auxiliary inversion in English is in the formation of questions, although it also has other uses, including the formation of condition clauses, and in the syntax of sentences beginning with negative expressions.

Syntactic movement is the means by which some theories of syntax address discontinuities. Movement was first postulated by structuralist linguists who expressed it in terms of discontinuous constituents or displacement. Some constituents appear to have been displaced from the position in which they receive important features of interpretation. The concept of movement is controversial and is associated with so-called transformational or derivational theories of syntax. Representational theories, in contrast, reject the notion of movement and often instead address discontinuities with other mechanisms including graph reentrancies, feature passing, and type shifters.

In linguistics, inversion is any of several grammatical constructions where two expressions switch their canonical order of appearance, that is, they invert. There are several types of subject-verb inversion in English: locative inversion, directive inversion, copular inversion, and quotative inversion. The most frequent type of inversion in English is subject–auxiliary inversion in which an auxiliary verb changes places with its subject; it often occurs in questions, such as Are you coming?, with the subject you is switched with the auxiliary are. In many other languages, especially those with a freer word order than English, inversion can take place with a variety of verbs and with other syntactic categories as well.

In linguistics and grammar, Avalency refers to the property of a predicate, often a verb, taking no arguments. Valency refers to how many and what kinds of arguments a predicate licenses—i.e. what arguments the predicate selects grammatically. Avalent verbs are verbs which have no valency, meaning that they have no logical arguments, such as subject or object. Languages known as pro-drop or null-subject languages do not require clauses to have an overt subject when the subject is easily inferred, meaning that a verb can appear alone. However, non-null-subject languages such as English require a pronounced subject in order for a sentence to be grammatical. This means that the avalency of a verb is not readily apparent, because, despite the fact that avalent verbs lack arguments, the verb nevertheless has a subject. According to some, avalent verbs may have an inserted subject, which is syntactically required, yet semantically meaningless, making no reference to anything that exists in the real world. An inserted subject is referred to as a pleonastic, or expletive it. Because it is semantically meaningless, pleonastic it is not considered a true argument, meaning that a verb with this it as the subject is truly avalent. However, others believe that it represents a quasi-argument, having no real-world referent, but retaining certain syntactic abilities. Still others consider it to be a true argument, meaning that it is referential, and not merely a syntactic placeholder. There is no general consensus on how it should be analyzed under such circumstances, but determining the status of it as a non-argument, a quasi-argument, or a true argument, will help linguists to understand what verbs, if any, are truly avalent. A common example of such verbs in many languages is the set of verbs describing weather. In providing examples for the avalent verbs below, this article must assume the analysis of pleonastic it, but will delve into the other two analyses following the examples.

In linguistics, negative inversion is one of many types of subject–auxiliary inversion in English. A negation or a word that implies negation or a phrase containing one of these words precedes the finite auxiliary verb necessitating that the subject and finite verb undergo inversion. Negative inversion is a phenomenon of English syntax. Other Germanic languages have a more general V2 word order, which allows inversion to occur much more often than in English, so they may not acknowledge negative inversion as a specific phenomenon. While negative inversion is a common occurrence in English, a solid understanding of just what elicits the inversion has not yet been established. It is, namely, not entirely clear why certain fronted expressions containing a negation elicit negative inversion, but others do not.

References