LINGUIST List 33.1498
Wed Apr 27 2022
Review: Syntax: Carnie (2021)
Editor for this issue: Amalia Robinson <amalialinguistlist.org>
Date: 10-Oct-2021
From: Hassan Makhad <hmakhad
hotmail.com>
Subject: Syntax: A Generative Introduction, 4th Edition
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AUTHOR: Andrew Carnie
TITLE: Syntax: A Generative Introduction, 4th Edition
SERIES TITLE: Introducing Linguistics
PUBLISHER: Wiley
YEAR: 2021
REVIEWER: Hassan Makhad, Cadi Ayyad University
SUMMARY
This 2021 volume, the 4th edition of Andrew Carnie's “Syntax: A Generative Introduction”, is an introductory textbook. It addresses the central topics that a syntax course needs to include, both at the undergraduate and graduate levels. Its general structure consists of four distinct parts. Each part is composed of separate chapters. Every chapter begins by specifying the intended instructional goals. Chapters are supplemented with units to enrich thought-provoking issues. Every chapter is complemented by a summary of the concepts introduced in the text. Subsequently, two practice sections follow at the end. The first one provides application of the studied material and the second is intended to encourage criticism and extension of learned information. The book ends with references and an index. Also available is an accompanying workbook.
Part one, Preliminaries, contains five chapters. The first, Generative Grammar, emphasizes the assumptions behind the generative approach. It specifies that Grammar is part of the cognitive system of humans. Thus, Syntax uses the scientific method in its investigation of linguistic data. The approach involves examination of facts to make generalizations. These patterns develop into a hypothesis. The latter is verified against further data to make necessary adjustments. The process of data solicitation relies on the experience of native speakers to help understand the implicit linguistic knowledge of humans. The chapter addresses issues of competence versus performance and the innateness hypothesis, and also presents typological arguments in favor of the existence of Universal Grammar (UG).
The second chapter, Parts of Speech, examines speech parts and rejects the traditional semantic basis for distinguishing among words. It shows that there are two general types of word entries: lexical and functional. The latter are a closed class while the former are an open class, allowing new items to join the list. The chapter demonstrates that differences between lexical items heavily depend on their morphology and syntactic distribution in sentences. Likewise, it establishes that words have idiosyncratic properties and subcategorization frames.
The third chapter, Constituency, Trees, and Rules, tackles the issue of how words are arranged in linear strings, the way they form word groupings, and the means by which they are hierarchically organized. It introduces Phrase Structure Rules (PSRs) that generate constituents in tree diagrams. It brings constituency tests into use to show how sentences are structured. It also addresses issues of structural ambiguities and cross-linguistic variation. The author demonstrates that the apparent variation in different languages is misleading. PSRs generate an initial (or underlying) word order and transformational rules result in the various surface word arrangements in different languages.
The fourth chapter, Structural Relations, deals with the formal properties of tree diagrams. It discusses parts of tree structures. It starts by enumerating the standard terminology associated with syntactic trees, together with constraints on branching arrangements (e.g. single-motherhood and no tangling). It also addresses structural relations such as dominance, precedence, and c-command. In doing so, the chapter introduces the notion of government and tree-theoretic relations holding between constituents.
The fifth chapter, Binding Theory, starts by distinguishing different nominal forms and defines the notions of anaphoricity, co-indexation, and antecedency. It demonstrates that noun distributions are regulated by the binding principles, which impose specific structural relations of locality constraints and government.
Part Two, The Base, is composed of four chapters. The sixth chapter introduces X-bar Theory, which is proposed as a more articulated model of phrase structure. It argues that trees consist of three vertical platforms: heads, intermediate/bar level categories, and maximal projections. Phrases are constrained by the endocentricity condition, which requires them to have heads. The intermediate levels are justified by the use of constituency tests. Maximal projections are extensions of heads. X-bar Theory is proven to give a better account of the distinction between complements and adjuncts. It generalizes over lexical (and, in the next chapter, also functional) categories: one structure fits all word classes. Furthermore, it is demonstrated to capture cross-linguistic variations on the basis of parameterizations.
The seventh chapter is an extension of the sixth. It broadens the X-bar schemata to include functional categories. It starts by reviewing the traditional NP, whose specifier was simply a head rather than a maximal projection. This property violates the proposed specifier rule given on p. 200. On the basis of X-bar theory, an NP is actually a Determiner Phrase where the head D takes NP as its complement. Under this proposal determiners are no longer inside NPs. The approach extends to clauses. A sentence is a Tense Phrase (TP). The head of the latter (T) takes a predicate (VP) as its complement. Modals are argued to occupy T, as they are in complementary distribution with tensed verbs and auxiliaries. Likewise, clauses with complementizers are Complementizer Phrases (CPs). In such a configuration C takes TP as its complement. Similarly, the chapter treats other functional categories such as Aspect, Negation, and Voice. The English perfective and the progressive aspects are shown to head distinct projections.
The eighth chapter, Constraining X-bar: Theta Theory, aims at restricting the power of X-bar Theory to only generate grammatical sentences. Since objects are optional, it is possible to derive a transitive verb without an object. The system can also generate a complement for an intransitive verb. To control the derivation of unacceptable sentences, Theta Theory is introduced. It regulates selectional restrictions on arguments through thematic relations, with argument structures of predicates regulated by theta grids. The Theta Criterion ensures strict equivalence between the number of arguments and the theta roles present in theta grids. This matching prevents the output of the X-bar phrase structure rules from generating ill-formed structures. Furthermore, Theta Theory tackles the conceptual design of language, which consists of a lexicon and a computational component. The former sustains the latter in terms of the Projection Principle. The last section of the chapter addresses the issue of expletives, which present a challenge to Theta Theory. On the basis of the Extended Projection Principle (EPP), absence of a thematic subject enforces expletive insertion (at least, in English). The operation is ordered so as to apply posterior to the Theta Criterion to avoid mismatches in the computational system.
The ninth chapter, Theta Grids and Functional Categories, is a further extension of the previous chapter. To preclude X-bar from generating unattested structures, the theta grid analysis is employed. It shows that different verbs choose distinct CPs, e.g., some require a finite complement clause. This information is encoded in theta grids in terms of feature specifications. Likewise, different complementizers select for [±Infinitive] TPs. For instance, ‘that’ is always followed by a finite / tensed clause. Similarly, determiners have theta grids that impose restrictions on their complements. The English indefinite article ‘a’ is only compatible with [-Plural, -Proper, -Pronoun]. The proposal is extended to account for modals, auxiliaries, and voice. Modals occupy tense and select for a bare verbal form [+V, form bare]. A past tense T selects for a predicate with [+V, form preterite]. Ultimately, the use of the theta grid analysis provides a satisfactory explanation of the order of functional categories in clauses.
Part Three, Movement, comprises four chapters. The tenth chapter addresses the issue of head movement. It starts by fleshing out the computational component. The lexicon and X-bar rules generate D-structures. The latter are constrained by the Theta Criterion. In this regard, the underlying position of the verb in a simple French or English sentence is the same. In French the verb moves from within VP to T; whereas in English it remains in VP. This proposal also explains word order differences between SVO and VSO languages. Both of them start as SVO under the VP-Internal Subject Hypothesis, and the VSO order is derived by V movement to tense. Another instance of head movement is tense raising to C in subject verb inversion constructions. The derived surface structure results from T-to-C movement.
The eleventh chapter, DP movement, demonstrates that maximal projections can also undergo displacement transformations. DP movement is motivated by the interplay of two requirements: EPP and Case. The first seems superficial. It cannot explain why expletive insertion does not prevent themes from raising to subject positions in passives. Therefore the genuine driving force behind nominal movements is Case. The idea is that DPs are generated in theta positions and forced to move to receive Case. This reasoning provides an adequate explanation for raising structures, passives, and unaccusative constructions. In these instances, DPs move from a caseless theta location to a case position. The case assignment process is regulated by the Case Filter, guaranteeing that all overt DPs have Case.
The twelfth chapter addresses issues of Wh-movement and Locality Constraints. Since thematic roles and Case are assigned locally, Wh-elements undergo movement to spec CP. Support for this claim comes from the fact that wh-elements precede auxiliaries, which can be heads in C. Another argument that confirms movement to spec CP comes from Irish and Bavarian German, which allow overt complementizers to co-occur with wh-elements (pp.: 368-369). The process of Wh-movement is motivated by a [+wh] feature in C. It is constrained by the Minimal Link Condition (MLC) requiring raising to the closest landing C endowed with a [+wh] feature. This sense clarifies locality constraints on movements. Displacement is not allowed to skip possible intervening landing sites. Carnie also states that the MLC blocks movement of multiple wh-elements.
The thirteenth chapter, A Unified Theory of Movement, tries to fuse the different kinds of movement transformations. The driving force behind the operations is locality constraints. So move(ment) applies to bring elements closer to others carrying analogous features. Since feature checking is involved in Move, the process is constrained by the Principle of Full Interpretation (PFI). Given that displacement can either be overt or covert cross-linguistically, the conceptual architecture of the grammar is altered, as on page 401. The system encompasses Logical Form (LF) and Phonetic Form (PF) to assess the well-formedness of derived structures.
Part Four, Advanced Topics, consists of six chapters and tackles controversial issues in syntactic theory. The fourteenth chapter examines ditransitivity. It claims that when a verb has two DP complements, the indirect object asymmetrically c-commands the direct object. The author proposes an AgrOP mediating VP and VoiceP. Objects raise to spec AgrOP to receive accusative case. In this regard, passives do not assign accusative case because the head ‘be’ of VoiceP does not select AgrOP. That is why their theme objects must receive nominative case by moving to Spec TP.
The fifteenth chapter explores Raising, Control, and Empty Categories. Raising involves movement of a DP for case reasons. There are two kinds of Raising: subject to subject and subject to object. The first involves subject movement from the embedded clause to spec TP in the main clause. The second requires raising of the embedded subject to the position an object of the main predicate would move to for case, i.e. Spec AgrOP. A control structure does not entail DP movement. It involves the presence of a “PRO” element in the subject position of the lower clause. PRO is proposed to avoid violation of theta theory. There are two types of control: subject control and object control. In the first instance, the subject of the main clause is co-referential with PRO. In the second PRO co-refers with the main clause object. These are both instances of controlled PRO. Control can also be arbitrary. Another empty element discussed in the chapter is “pro”. The latter appears in the subject position of pro-drop languages. Unlike PRO, pro appears in a case position.
The sixteenth chapter, Ellipsis, examines elision in syntax. A well-known case is VP ellipsis, where the second VP is deleted under identity in coordinated clauses. Another type is antecedent-contained deletion, which involves the missed phrase being contained in its VP antecedent. A third type is pseudo-gapping, where omission leaves stranded material to survive in the derivation. The final type discussed in the chapter is sluicing, which implies the deletion of a TP. There are two requirements on ellipsis. First, the antecedent and omitted structure have to be equivalent. Second, the deleted set should be the complement of a licensing category. To receive its interpretation, if the elided material is missing from the start, then the content of its antecedent is copied at LF. Alternatively, if ellipsis takes part in (the mapping to) PF, no LF-copying is needed.
The seventeenth chapter, Advanced Topics in Binding Theory, proposes a reconsideration of the simplified generalizations introduced in the fifth chapter. On the basis of empirical facts and the copy theory of movement, binding applies in LF. The chapter introduces the notion of a potential antecedent for anaphors and pronouns. These reflections impose adjustments on the binding principles, especially the binding domains CP and DP.
The eighteenth chapter, Polysynthesis, Incorporation, and Non-configurationality, addresses some intricate issues of cross-linguistic variation. The first challenge comes from polysynthetic languages, in which a single multimorphemic word can stand for an entire sentence. There are two proposals in the literature to deal with this phenomenon. The first claims that such languages have morphology and lack syntax. The other advocates the idea that syntax interplays with morphology and that verbal arguments match up with corresponding morphemes on the verb. The second challenge comes from incorporation, where the internal argument is amalgamated with the verb. This challenge is overcome by analyzing incorporation in terms of head movement, where the noun incorporates into its c-commanding verb. The third irregularity is free word order. This freedom may involve scrambling, which can raise DPs to the left periphery. Items that appear to be scrambled may also be merely adjuncts, rather than real arguments, and can thus tolerate greater freedom of appearance and arrangement. Furthermore, word order may be susceptible to discourse, which can be a decisive factor in determining the formula of order configurations.
The nineteenth chapter, new to this edition, introduces minimalism’s Merge theory. It intriguingly intends to combine phrase structure and movement into a single procedure, by virtue of building the tree from the bottom up. Merge consists of two types: external and internal. External merge joins two separate forms and produces a combined unit. The proposal also eliminates traditional category labeling, a move which results in the elimination of bar levels. Internal merge substitutes for movement operations. It aspires to minimize displacement rules to the operations of Copy and (Re)merge. It operates on already formed structures and remerges constituents derivationally. This approach is beneficial as it explains cross-linguistic variation with regards to which copy of the chain is pronounced at PF, without the overt / covert distinctions of traditional move.
EVALUATION
My immediate reaction to the content and goals of the book is affirmative. The textbook provides a comprehensive introduction to generative syntax. Although it is claimed to be about Principles and Parameters theory, it covers previous fundamental issues and comprises various aspects in the Minimalist Program. It unequivocally encompasses the concepts of Generativism, as a theory. It clearly describes the basic concepts, while it gradually guides readers in exploring the intricacies of syntactic structures. For instance, it offers guiding directives in a step-by-step fashion on how to draw tree diagrams. The style is outstandingly simple and clear, rendering the text easy to read. These qualities encourage readers to become receptive to the content and comfortable with the analysis and suggestions.
One essential characteristic of the work is the manner in which it presents the subject matter. The author has succeeded in his instructive presentation of the material. Each chapter is introduced by learning objectives. This goal-setting technique helps in focusing on the content areas and enhances comprehension. The method pushes readers to reflect on their potential and encourages them to follow the learning process. Furthermore, setting goals gives students realistic expectations and helps them to assess whether or not they have met the objectives.
Furthermore, the book moves from one theme to the next in a meaningful way. Each chapter articulates one focal idea which correlates directly with the information introduced in the following passage. This unification of topics catches the attention of readers, as it guides them while moving from one thought to the next. This helps readers to understand and follow the progression of ideas and to develop syntactic argumentation. Moreover, putting a terminology section at the end of each chapter smoothly connects learners with the introduced vocabulary and concepts. In addition, it provides a useful selection of exercises based on data from a variety of languages. These activities supply practice of the studied facts, which definitely improves learning skills and facilitates analytical effectiveness. By doing so, the book provides a solid foundation for beginners in syntactic theory.
One noticeable quality that sets the work apart from other textbooks is its implicit tracing of the evolution of generative theory. The development is perceived in terms of new proposals and analyses that aim at strengthening the theory. For example, the movement from traditional PSRs to X-bar is a change in theoretical assumptions to account for additional data. The author undeniably implies that the assumptions simply undergo systematic evolution to enrich the model and expand its usefulness. This historical dimension and chronology of theory improvement facilitates understanding the changes the system underwent.
Overall, the book is instructive and valuable, but contains some typographical and other errors, largely resulting from poor proofreading and the author’s failure to make consistent changes in going from the 3rd to the 4th edition. Here are some I caught. On page 4, line 5-6, “too” should be “tool.” On page 5, footnote 1, line 10, “rather just” must be “rather than just”. On page 8, paragraph 2, line 2, “about primarily about” must be “primarily about”. On page 26, paragraph 2, line 2, “withmore” should be “with more”. On page 90, example 66, “The princess” is referred to as “the man” in line 3 below the example. The same mistake appears in line 1 under example 68. Merlan (1976) is mentioned on page 94, but is not in the references. On page 117, line 15, “tree in (14)” should be “(15)”. On page 126, “Gabby” is referred to as “Fred” in line 2 below example (54c). On page 228, paragraph 2, line 1, (25) should be (53). On page 232, paragraph 1, line 3, replace “possess” by “process”. On page 234, example (52) should be (65). In the last line on page 283, change (78) by (56) because on page 284, example (55) should be (56). On page 284, starting from section 4, all numbers should be renumbered (+1). On page 311, paragraph 2, line 5, change “the VP” to “the VoiceP”. “arrive” on page 349, line 3 after example 48, should be in italics. On page 372, “Jim” should be “Nura” in example (22); similarly on page 374, “Jim” should be “Nura” in paragraph 3, line 4. On page 415, line 2-3 after example (6), change “a element ” to “an element that”. On page 416, example (8), the sentence in the text is “Ryan cleaned the window” but the tree shows “Andrea cleaned the window”. Also on page 416, in the last two lines, “Voice in for” should be “Voice for”. Moreover, if X is replaced with Voice in (5), you don’t get (9). X is dominated by VP in (5), while VoiceP dominates VP in (9). On page 417, line 1 after (9), “Josh” should be “Morag”. On page 422, paragraph 3, line 4, “little v” should be “Voice” and on page 435, paragraph 1, line 3, Carnie mentions “small vP” but intends “VoiceP”. The header on page 431 (and beyond) should read “Chapter 15” (not 16). On page 436, line 6 after example (23), “VP” should be “VoiceP”. “is gets” on page 441, line 1 after (41), should just be “gets”. On page 474, paragraph 4, line 8, “c-commands the antecedent” should read “c-commands the anaphor”. Baker (2002) is mentioned on page 485, paragraph 2, line 3, but it should be Baker (2001b), as in the references. Jelinek is mentioned on page 492, paragraph 3, line 8, without a publication date. On page 500, paragraph 2, line 1 “have be entirely” should read “have to be entirely”. Speas (1992) is mentioned on page 503, paragraph 2, line 2, but should be 1990, as in the references. On page 503, paragraph 2, line 2 after example (6), “the” and “eat” should be in italics. Finally, “go away” should be “goes away” on page 505, paragraph 1, last line after example (9).
ABOUT THE REVIEWER
Hassan MAKHAD is a Professor at Cadi Ayyad University, the Poly-disciplinary Faculty of Safi. His main interests are Syntax and morpho-syntax of Tashelhiyt Berber, Moroccan Arabic and Literary Arabic.
Page Updated: 27-Apr-2022