ELAN 344 Lecture 4

Constituency, Trees, and Rules

1. Introduction
72 Preliminaries
Syntax is about the study of sentence structure.
So let’s define what we mean by “structure.” Consider the sentence in (1):
One way to describe this sentence is as a simple linear string of words.
(1) The student loved his syntax assignments.
Certainly this is how it is represented on the page. We could describe
as consisting of the words the, student, loved, his, syntax, and
One the
waysentence
to describe this sentence is as a simple linear string of words. Certainly this is how it is
assignments in that order. As you can probably figure out, if that were all
represented on the page. We could describe the sentence as consisting of the words the, student,
there was to syntax, you could put down this book here and not bother with
loved, his, syntax, and assignments in that order.
the next fifteen chapters. But that isn’t all there is to syntax. The statement
that sentence (1) consists of a linear string of words misses several important
As you can probablyabout
generalizations figurethe
out this isn’t structure
internal all there isofto syntax.
sentencesTheand
statement
how that sentence (1)
consists
these structures are represented in our minds. In point of fact, we are going about the internal
of a linear string of words misses several important generalizations
structure of sentences
to claim and how
that the words in these structures
sentence (1) areare represented
grouped in our(called
into units minds.
constituents) and that these constituents are grouped into larger
The constituents,
words in sentence
and so (1) are grouped
on until you get ainto units (called constituents) and that these constituents
sentence.
are grouped
Noticeinto larger
that on a constituents,
purely intuitiveandlevel,
so on untilwords
certain you get a sentence.
seem to be closely
related to one another. For example, the word the seems to be tied more to
the that
Notice meaning
on a of student
purely than it is
intuitive to loved
level, or syntax.
certain wordsA seem
related
tointuition canrelated
be closely be to one another.
seen by looking
For example, the wordat the
thesentences
seems toinbe (2).tied more to the meaning of student than it is to loved or
syntax.
2) a) The student loved his phonology readings.
b) The student hated his morphology professor.
You can make different sentences with the student regardless of what follows, as in (2).
Compare these sentences to (1). You’ll see right away that the relationship
a. Thethestudent
(2) between student and his syntax assignments in (1) and the student and
loved his phonology readings.
his phonology readings in (2a) is the same. Similarly, the relation between
b. The student hated his morphology professor.
the student and his morphology professor in (2b), while of a different kind
(hating instead of loving), is similar: There is one entity (the student) who is
We need to capture the idea that some words are more related than other words. The notions we
either hating or loving another entity (his syntax assignments, his phonology
use to capture these intuitions are constituency and hierarchical structure.
readings or his morphology professor). In order to capture these intuitions (the
intuition that certain words are more closely connected than others, and the
The intuitions
idea that the
aboutandrelationships
student are between
closely related
words to
in one another iswe
the sentence), captured
need aby the fact that we
treatmore
themcomplex
as part of a bigger
notion. Theunit that contains
notions we use tothem, but these
capture not other words.
intuitions areWe have two different
waysconstituency
to representand thishierarchical
bigger unit.structure. The idea that the and student are
closely related to one another is captured by the fact
One that
of them is to them
we treat put square brackets
as part around
of a bigger units:
unit that contains them, but not
other words. We have two different ways to represent this bigger unit.
(3) One[the
of them is to put square brackets around units:
student]
3) [the student]
The other is to represent the units with a group of lines in what is called a tree structure:
The other is to represent the units with a group of lines in what is called a
(4) tree structure:
4)
the student

These bigger units are called constituents.

1
 Chapter 3: Constituency, Trees, and Rules 73

ELAN 344 units are called constituents. An informal definition for

These bigger Lecture 4
a constituent is given in (5):
An Constituent:
5) informal A group for
definition of words that function
a constituent together
is given as a unit.
in (5):
Constituency is the most important and basic notion in syntactic theory.
(5) Constituent:
Constituents form theAbackbone
group of of
words thatoffunction
the rest together
this book. as a unit.
They capture the
intuitions mentioned above. The “relatedness” is captured by membership
in a constituent. As we will see it also allows us to capture the relationships
Constituents are embedded
between constituents one inside
exemplified in (1). another to form larger and larger constituents. This is
hierarchical structure.
Constituents don’t float out in space. Instead they are embedded one
inside another to form larger and larger constituents. This is hierarchical
is theForeshadowing
structure.
Here structure we’llthe discussion
develop below a bit, here is the structure
for (1):
we’ll develop for (1):
(6)
6) TP

NP VP

D N V NP
The student loved
D AdjP N
his assignments
A
syntax
This is a typical hierarchical tree structure. The sentence constituent
(represented
This by the
is a typical symbol TP)tree
hierarchical consists of twoThe
structure. constituents:
sentence aconstituent
subject noun(represented by the symbol
phrase
TP) (NP) [the
consists student]
of two and a predicate
constituents: a subjectphrase
noun orphrase
verb phrase [the [loved
(NP)(VP) student] and a predicate
his syntax
phrase or assignments].
verb phrase The (VP)subject
[lovedNPhisinsyntax
turn contains a nounThe
assignments]. student NP in turn contains a
(N) subject
and a (N)
noun student(or
determiner andarticle) (D) the. (or
a determiner Similarly
article)the(D)
VPthe.
contains a verb
Similarly the(V),
VP contains a verb (V), and
and an object NP [his syntax assignments]. The object NP is further broken
an object NP [his syntax assignments]. The object NP is further broken down into three bits: a
down into three
determiner his, anbits:
adjective syntax, his,
a determiner and an adjective
a noun syntax, and a noun
assignments.
assignments. As you can see this tree has constituents (each represented by
the you
As pointcan
where
see lines comehas
this tree together) that are
constituents inside
(each other constituents.
represented This where
by the point lines come
is hierarchical structure. Hierarchical constituent structure can also be
together) that are inside other constituents. This is hierarchical structure.
represented with brackets. Each pair of brackets ([ ]) represents a constituent.
We normally put the label of the constituent on the left member of the pair.
2. Rules and trees
The bracketed diagram for (6) is given in (7):
7) [TP[NP
Now we[DThe][ Nstudent]][
will discuss VP[Vloved][
possible rulesNP[that
Dhis][ AdjP[Adjsyntax]][
enable Nassignments]]]].
us to generate different trees. The rules we are
going
As youtocanconsider in this diagrams
see, bracketed chapter arearecalled phrasetostructure
much harder rules
read, so for the (PSRs)
most because they generate
the phrase structure tree of a sentence.
part we will use tree diagrams in this book. However, sometimes bracketed

2
 ELAN 344 Lecture 4

2.1 Noun Phrases (NPs)

Let’s start with the constituents we call noun phrases (or NPs) and explore the range of material
that can appear in them.

The simplest NPs contain only a noun (usually a proper noun [+proper], pronoun [+pron], mass
noun [-count] or a plural noun [+plural]):

(7) a. John b. water c. cats

Our rule must minimally generate NPs that contain only an N. The format for PSRs is shown in
(8a).
Chapter 3: Constituency, Trees, and Rules 75

We use X, Y, and Z here as variables to stand for any category.

Our rule must minimally
Chapter generate NPs that contain only an75N.
(8b) shows our first pass at3: an
Constituency,
NP rule: Trees, and Rules
The formatChapter
for PSRs is shown in (9a);
3: Constituency, weand
Trees, use Rules
X, Y, and Z here as 75variables
to stand for any category. (9b) shows our first pass at an NP rule:
Our rule must minimally generate NPs that contain only an N.
(8)
OurThe rule mustfor minimally
9)format
a) PSRs is shown
XP generate
in (9a);NPs
! thatX,
we use X contain
YY,Zand Zonly an variables
here as N.
Thetoformat for PSRs is shown in (9a); we use X, Y, and Z
stand for any category. (9b) shows our first pass at an NP rule:here as variables
to stand for anythe category.
label (9b) shows our
“consists of”first pass at an NP
the elements rule:
that make up
9) a) XP ! XYZ
9) a) XP for the constituent
! XYZthe constituent
the NP
b) label! N “consists of” the elements that make up
the label “consists of”
for the constituent the elements that make up
the constituent
This rule
for the says that an NP is composed
constituent of (written as !) an N. This rule
the constituent
Thiswould
ruleNP
b) says
! that
N an
generate NPlike
a tree is composed
(10): of (written as à) an N. This rule would generate a tree
b) NP
like (9): ! N
This10)rule says
NP that an NP is composed of (written as !) an N. This rule
Thiswould
rule says that aantree
generate NPlike
is (10):
composed of (written as !) an N. This rule
(9) generate a tree like (10):
would
10) NPN
10) NP are many NPs (e.g., those that are [+count]) that are more complex
There
than N this of course:
N
There
11) are
a) manythe box NPs (e.g., those that are [+count]) that are more complex
There
There are
arethis
than manymany NPsNPs (e.g.,
(e.g., thosethose
thatthat
are are [+count])
[+count]) that that are more
are more complex than
complex this of course:
b)of hiscourse:
binder
(10) a.
than this of c) the
course: box
that pink fluffy cushion
11) a) b.the hisboxbinder
11) a) Wethe box
b) must
his binder
revise
b) c)
c. that
his binder
pink our
fluffyrulecushion
to account for the presence of determiners:
that pink fluffy cushion
c) 12)
thata)pink NPfluffy
! D cushion
N
Wemust
We must revise
revise our
our rule
ruleto toaccount
accountfor
forthethepresence
presence of determiners:
of determiners:
We must This generates
revise our rulea tree like: for the presence of determiners:
to account
12) a) NP ! D N
12)(11)
a) NPa. b)
!NP D N à NP DN
This generates a tree like:
This generates a tree like:
generates D
This b) tree like: N
aNP
b) NP the box
CompareD the NPs inN (8) and (11): You’ll see that determiners are optional.
ThisDbeing the so, we N mustbox indicate their optionality in the rule. We do this
withthe
Compare parentheses box
the NPs in( (8) ) around the optional
and (11): You’ll see elements:
that determiners are optional.
Compare
This13) the NPs
being so, in
we (8)must
and indicate
(11): You’ll seeoptionality
their that determiners
in the are
rule.optional.
We do this
NP ! (D) N
Thiswith
being so, we must
parentheses indicatethe
( ) around their optionality
optional elements:in the rule. We do this
Nouns can( )also
with parentheses around be the
optionally
optionalmodified
elements:by adjectives, so we will need
13) to
NPrevise
! (D)our N rule as in (14) (don’t worry about the “P” in AdjP yet,
13) NP ! (D) N 3
we’llcan
Nouns explain
also that
be below).
optionally modified by adjectives, so we will need
Nouns can also berule
to revise optionally modified
(don’t by adjectives, so we“P”will need yet,
14) a) our the big box as in (14) worry
b) about binder
his yellow the in AdjP
to revise our rule
we’ll explain thatasbelow).
in (14) (don’t worry about the “P” in AdjP yet,
 With this in mind, we can explain why the “very” AdvP is embedded
in the AdjP. Above we gave a very informal description of the Principle
of Modification. Let’s try for a more precise version here:
ELAN 344 Lecture 4
30) Principle of Chapter
Modification (revised): IfTrees,
3: Constituency, an XPand
(that is, a phrase with some
Rules 77
category X) modifies some head Y, then XP must be a sister to Y (i.e.,
a daughter
On the of YP).two NPs look very similar. They both consist of a
surface, these
Determiners are optional. This being so, we must indicate their optionality in the rule.
determiner, followed by = two
YP modifiers and then a noun. But consider what
31)
We do this withAdjP
parentheses ( ) aroundMother
the optional elements:
modifies what in these NPs. In (21a) big modifies book, as does yellow. In (21b)
on the other
AdvP hand, yellow
= XPonly Adj = Ymodifies book; very does not modify book
(12) book)
(*very à
NP – it modifies (D)N On an intuitive level then, the structures of
yellow.
these twoAdv phrases are actually quite different. (21a)other
Sisters to each has two adjective
2.2 Adjective
constituents thatPhrases (AdjPs)
modify the and Adverb
N, whereas (21b) hasPhrases (AdvPs)
only one [very yellow].
The diagram in (31) shows you the relations mentioned in the definition in
This constituent is called an adjective phrase (AdjP). The rule for the
(30). If we take the AdjP to be the mother, then its daughters are the AdvP
(13)
adjective phrase isà
AdjP (AdvP)
given in (22a): Adj
and the head Adj. Since AdvP and Adj are both daughters of the same
(very) yellow
22) a) AdjP
mother, then!we (AdvP) Adjare sisters. In (30) X and Y are variables that stand
say they
for any category. If one XP (AdvP) modifies some head Y (Adj), then the XP
b) AdjP
must be a sister to Y (i.e., the AdvP must be a sister to the head Adj),
meaning they must share a mother. You’ll notice that this relationship is
AdvP Adj
asymmetric: AdvP modifies Adj, but Adj does not modify AdvP.
yellow
AdvYou now have enough information to try WBE 1 and GPS 1.
very
1.3 will
This Prepositional Phrases
give us the (PPs)structures for the two NPs in (21):
following
2.3 Prepositional Phrases (PPs)
The
23) a) next major kind
NP of constituent we consider is the prepositional phrase
(PP). Most PPs take the form of a preposition (the head) followed by an NP:
Most PPs take the form of a preposition (the head) followed by an NP:
32) a) D[PP to [NP
AdjP AdvP N
the store]]
b) the
[PP with à
PP [NP an axe]]
P NP
book
Adj Adj
c) [PP behind [NP the rubber tree]]
big yellow
(14) a. [PPappears
The PP rule to [NP the store]]
to be:
b) b. [ ! with NP
[ an axe]]
33) a) PP PP P NP NP
b) D PP AdjP N
the book
P AdvP
NP Adj
with yellow
D AdvN
an veryaxe
So despite their surface similarity, these two NPs have radically different
structures. In (23a) the N is modified by two AdjPs, in (23b) by only one.
Exercise
This 1: to an important restriction on tree structures:
leads us
24) Principle of Modification (informal): Modifiers are always attached within
Draw the trees for the following NPs:
the phrase they modify.
a) the shoelace
b) very old
c) in the house
d) too hot
e) the car
f) out the door