Heavy NP shift
Encyclopedia
"Heavy NP shift" is a grammatical phenomenon where a "heavy" noun phrase
(NP) appears in a position to the right of its canonical position under certain circumstances. Although the term is coined according to the tradition of transformational grammar
, which describes the process to be done by movement of the NP, the term is also used by linguists who do not believe in transformational grammar. Heaviness is determined by the grammatical complexity, such as a noun modified by a relative clause
, but length is also correlated to complexity.
The following pair shows (a) a sentence without heavy NP shift and (b) the same sentence after the operation has applied:
The operation cannot usually apply to smaller NPs, as shown by the unacceptability of (2b):
In the preceding examples, heavy NP shift has inverted the order of the direct object and indirect object. The operation can also invert the order of the direct/indirect object and an adjunct
:
John R. Ross
observed that heavy NP shift obeys a "right roof constraint"; that is, an NP cannot be shifted outside of its containing clause, as shown by the unacceptability of (4b):
in which it occurs. In an alternative formulation, heavy NP shift may apply freely to any NP regardless of weight, but light NPs which undergo shifting are filtered out in the phonological component. More recently, Richard Larson has suggested that sentences such as (1b) are derived as follows using only leftward movement:
This analysis has the benefit of explaining Ross's right roof constraint without stipulation. It has become especially popular following the ban on rightward movement imposed by Richard Kayne
's theory of Antisymmetry
.
Larson's analysis of heavy NP shift has been criticized by Ray Jackendoff
, amongst others (see also Simpler Syntax
). Jackendoff argues that heavy NP shift does not result from movement, but rather from a degree of optionality in the ordering of a verb's complements. The preferred order in English is for the indirect object to follow the direct object, and for adjuncts to follow objects of all kinds, but if the direct object is "heavy", the opposite order may be preferred (since this leads to a more right-branching tree structure which is easier to process).
A mysterious property of heavy NP shift is that, in the case of ditransitive verbs, a shifted direct object prevents extraction of the indirect object via wh-movement
:
This would arguably be unexpected if heavy NP shift merely resulted from optionality in complement ordering, or from a rightward movement operation. Larson's analysis may be able to explain this restriction.
Noun phrase
In grammar, a noun phrase, nominal phrase, or nominal group is a phrase based on a noun, pronoun, or other noun-like word optionally accompanied by modifiers such as adjectives....
(NP) appears in a position to the right of its canonical position under certain circumstances. Although the term is coined according to the tradition of transformational grammar
Transformational grammar
In linguistics, a transformational grammar or transformational-generative grammar is a generative grammar, especially of a natural language, that has been developed in the Chomskyan tradition of phrase structure grammars...
, which describes the process to be done by movement of the NP, the term is also used by linguists who do not believe in transformational grammar. Heaviness is determined by the grammatical complexity, such as a noun modified by a relative clause
Relative clause
A relative clause is a subordinate clause that modifies a noun phrase, most commonly a noun. For example, the phrase "the man who wasn't there" contains the noun man, which is modified by the relative clause who wasn't there...
, but length is also correlated to complexity.
The following pair shows (a) a sentence without heavy NP shift and (b) the same sentence after the operation has applied:
- 1. (a) I gave the books which my uncle left to me as part of his inheritance to Bill
- 1. (b) I gave to Bill the books which my uncle left to me as part of his inheritance
The operation cannot usually apply to smaller NPs, as shown by the unacceptability of (2b):
- 2. (a) I gave the books to Bill
- 2. (b) * I gave to Bill the books
In the preceding examples, heavy NP shift has inverted the order of the direct object and indirect object. The operation can also invert the order of the direct/indirect object and an adjunct
Adjunct (grammar)
In linguistics, an adjunct is an optional, or structurally dispensable, part of a sentence that, when removed, will not affect the remainder of the sentence except to discard from it some auxiliary information...
:
- 3. (a) I talk all the time to my uncle who left me an enormous inheritance
- 3. (b) I understand perfectly the mathematical model of ideal gasses presented by Prof. Smith
John R. Ross
John R. Ross
John Robert "Haj" Ross is a linguist who played a part in the development of generative semantics along with George Lakoff, James D. McCawley, and Paul Postal...
observed that heavy NP shift obeys a "right roof constraint"; that is, an NP cannot be shifted outside of its containing clause, as shown by the unacceptability of (4b):
- 4. (a) The fact that John gave to Bill the books which my uncle left to me is of no consequence
- 4. (b) * The fact that John gave to Bill is of no consequence the books which my uncle left to me
Analyses of heavy NP shift
There have been a number of different analyses of heavy NP shift within generative syntax. The traditional assumption was that there is a rightward movement operation (i.e. a transformation) which optionally moves any heavy NP to the right edge of the Verb phraseVerb phrase
In linguistics, a verb phrase or VP is a syntactic unit composed of at least one verb and the dependents of that verb. One can distinguish between two types of VPs, finite VPs and non-finite VPs . While phrase structure grammars acknowledge both, dependency grammars reject the existence of a...
in which it occurs. In an alternative formulation, heavy NP shift may apply freely to any NP regardless of weight, but light NPs which undergo shifting are filtered out in the phonological component. More recently, Richard Larson has suggested that sentences such as (1b) are derived as follows using only leftward movement:
- the books which my uncle left to me as part of his inheritance gave to Bill
- Verb and indirect object move to the left together →
- gave to Bill the books which my uncle left to me as part of his inheritance
- Subject is added →
- I gave to Bill the books which my uncle left to me as part of his inheritance
This analysis has the benefit of explaining Ross's right roof constraint without stipulation. It has become especially popular following the ban on rightward movement imposed by Richard Kayne
Richard Kayne
Richard Stanley Kayne is Professor of Linguistics in the Linguistics Department at New York University.After receiving an A.B. in mathematics from Columbia College, New York in 1964, he studied linguistics at the Massachusetts Institute of Technology, receiving his Ph.D. in 1969...
's theory of Antisymmetry
Antisymmetry
In linguistics, antisymmetry is a theory of syntactic linearization presented in Richard Kayne's 1994 monograph The Antisymmetry of Syntax. The crux of this theory is that hierarchical structure in natural language maps universally onto a particular surface linearization, namely...
.
Larson's analysis of heavy NP shift has been criticized by Ray Jackendoff
Ray Jackendoff
Ray Jackendoff is an American linguist. He is professor of philosophy, Seth Merrin Chair in the Humanities and, with Daniel Dennett, Co-director of the Center for Cognitive Studies at Tufts University...
, amongst others (see also Simpler Syntax
Simpler Syntax
Simpler Syntax is the title of a 2005 book by Peter Culicover and Ray Jackendoff. The authors argue that modern minimalist syntax is going in the wrong direction, adopting ever more complex structures and derivations, and making overly strong assumptions about linguistic universals. Richard Kayne's...
). Jackendoff argues that heavy NP shift does not result from movement, but rather from a degree of optionality in the ordering of a verb's complements. The preferred order in English is for the indirect object to follow the direct object, and for adjuncts to follow objects of all kinds, but if the direct object is "heavy", the opposite order may be preferred (since this leads to a more right-branching tree structure which is easier to process).
A mysterious property of heavy NP shift is that, in the case of ditransitive verbs, a shifted direct object prevents extraction of the indirect object via wh-movement
Wh-movement
Wh-movement is a syntactic phenomenon found in many languages around the world, in which interrogative words or phrases show a special word order. Unlike ordinary phrases, such wh-words appear at the beginning of an interrogative clause...
:
- 1. Who did you give the books written by the venerable Prof. Plum to?
- 2. * Who did you give to the books written by the venerable Prof. Plum?
This would arguably be unexpected if heavy NP shift merely resulted from optionality in complement ordering, or from a rightward movement operation. Larson's analysis may be able to explain this restriction.