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CHAPTER V
SYNTACTIC TRANSFORMATION
5.1
Introduction
In Transformational Grammar, every well-formed sentence
is generated from the D-structure into the corresponding Sstructure through one or more syntactic transformations. Take for
instance a sentence like: Did you arrive yesterday? The steps to
generate the sentence are:
1. Recall the D-structure of the sentence; that is the original
form of the sentence in the declarative: you did arrive
yesterday; and put it in a tree-diagram or a labeled brackets.
2. Determine the syntactic rule(s) that may apply to the DS in
the transformation.
3. Execute the transformation to get the expected result.
4. When the expected result is obtained, provide it with the
necessary capitalization and punctuation and you arrive at
the level of S-Structure.
5. Then, the transformation process is over.
S
NP
AUX
N
Tense V
VP
AdvP
D-structure (Q) : you
did arrive
yesterday
Aux Movement : did
you arrive
yesterday
S-structure
: Did you arrive yesterday?
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Observe that the D-structure is with (Q) which means that it is in the
context sensitive to be transformed into the interrogative and the
name of the syntactic transformation is interrogative
transformation through auxiliary movement rule. The level of
transformation, that is between the deep structure and the surface
structure, is called the intermediate structure. The surface structure
is obtained after the intermediate structure is provided with the
punctuation system in the language to arrive at the Logical Form
(LF) in the written form or to be spoken in the Phonetic Form (PF).
When such a sentence is generated through a bracketing
system, it is represented as follows.
D-structure (Q) : [S[NPyou][VP[Auxdid] [ Varrive ] [AdvPyesterday]]]
Aux Movement : [S[Auxdid] [NPyou][VP [ Varrive ] [AdvPyesterday]]]
S-structure
: Did you arrive yesterday?
2.1
Kinds of Syntactic Transformation
There are three kinds of syntactic transformation: (1)
movement
transformation,
(2)
deletion
and
insertion
transformation, and (3) substitution transformation.
2.2.1 Movement Transformation (Displacement)
Movement transformation is a syntactic transformation in
which the process is by moving a constituent from one position to
another. In the following some movement transformation
processes are presented in either bracketing or tree diagram.
1. Affix Hopping Transformation
Affix hopping (AH) transformation is a process of moving the
tense element to the main verb or to the operator (first auxiliary) to
provide a tensed verb phrase.
a.
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S
NP Aux
N
VP
V
NP
Det
DS:
AH:
SS:
b. DS:
AH:
SS:
N
He past dominate the debate.
He dominated the debate.
He dominated the debate.
They past will adjourn to the main hall.
They would adjourn to the main hall.
They would adjourn to the main hall.
c. The officer will have been leaving.
S
NP
Det
DS:
AH:
SS:
Aux
VP
N Tense Modal Perfective Progressive
The
officer present will have
The officer
will
have
The officer will have been leaving.
-en be
been
V
-ing
leave
leaving
2. Aux Movement Transformation (Aux Raising)
Aux movement transformation (Aux Raising) is a process of
moving an operator (the first auxiliary) to the initial position of a
sentence to express an interrogative sentence. Aux raising is a
sensitive transformation because the DS is provided with Q which
means that it is in the question form.
a. Do you like soup?
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S
NP
AUX
VP
N
Tense V
NP
Present
N
D-structure (Q) : you
do like
Aux Movement : do you like soup
S-structure
: Do you like soup?
soup
b. Shall we go home?
S
NP
N
Aux
Tense
Modal V
VP
NP
N
DS (Q) :
AH
:
AM
:
SS
:
we Present shall go
we
shall
go
shall we go home
Shall we go home?
c. Has he got his electronic IC?
home
home
108
S’
Comp
S
N’
Aux
N
V’
V
N’’
Det
N’
Mod
N
D-Structure (Q) : Comp
he has got his electronic IC
Aux Movement : Comp has he Ø got his electronic IC
S-Structure
: Has he got his electronic IC?
3. Wh-movement Transformation
Wh movement transformation is a process of the movement
of a question word to the position of Comp. Comp is an empty
category in the initial position of every clause which is provided for
the direction of the movement of a wh phrase in this respect. The
movement of a wh-phrase to the Comp position is compulsory
because in English a wh-word cannot be at the end of a clause as
found in some Asian languages like Indonesian.
a. What did he say?
S
NP
Aux
N
Tense
VP
V
NP
N
DS (Q) :
AM
:
WhM :
SS
:
He
did
did he say what
whatX did he say tX
What did he say?
say
what
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b. Which one is your car?
S
NP
Det
Aux
N
Tense
VP
V
NP
Det
DS (Q) : your
car
Present
AH
: your
car
is
Aux M : is your car
Ø
Wh M : which one is your car
SS
: Which one is your car?
be which
which
which
N
one
one
one
c. He did not know what she said.
D-Structure: [He did not know [Comp [she said what]]]
Wh Movem: [He did not know [Comp what [she said t ]]]
S-Structure: He did not know what she said.
d. We know what your name is.
D-Structure: [We know [Comp [your name is what]]]
Wh Movem: [We know [Comp what [your name is t ]]]
S-Structure: We know what your name is.
e. I know who you will marry.
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S
NP
N
VP
V
S’
Comp
S
NP
VP
N
V
NP
N
D-Structure
:
Wh-Movement :
S-Structure
:
I
I
I
know Comp you will marry who
know who you will marry t
know who you will marry.
4. Dative Movement Transformation
Dative is an indirect object of a ditransitive verb and it is
characterized by its function as a recipient. An indirect object
normally occurs after a direct object but in many instances an
indirect object is used before a direct object, which is considered
more simple as it is used without preposition. The sentence John
gave her money is more simple and more widely used than John
gave money to her. Thus, the former is the surface structure and
the latter is the deep structure.
Observe the process of the transformation of the above
sentence.
DS
Dative M
SS
: [CP [IP John gave [NP money [PP to her]]]]
: [CP [IP John gave [NP her [NP money]]]]
: John gave her money.
5. Passive Transformation
In Chomsky (1957), the first version of this theory, a passive
sentence was derived from the corresponding active by applying an
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optional transformational rule with the provision of a formula
involving Structural Description (SD), Structural Index (SI) and
Structural Change (SC) in the process of the transformation. A
passive sentence is derived from the corresponding active, which
constitutes the DS. Thus, the DS of such a passive sentence as The
play was written by Shakespeare is Shakespeare wrote the play,
which has undergone syntactic transformation.
DS
: Shakespeare past
Passive Transf. :
SD :
NP1
Aux
SI :
1
2
SC :
4
2+be
SS
: The play
was
write the play
V
NP2
3
4
3+en by+1
written by Shakespeare.
Such a rule as given above in later version is considered
inadequate in some ways. First, it can only be applied to generate a
simple passive sentence. Secondly, it cannot generate truncated
passive. Thus, in the latest version of the theory, passive is
generated with the dummy node convention in terms of both NPpreposing and NP-postposing in Rule (1) as repeated below.
Rule (1)
S
NP1
Aux
VP
V
NP2
NP Preposing
NP postposing
PP
P
NP3
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The rule above can be applied for the derivation of both
active and passive and the ‘by NP’ node is treated as adverb of
manner and the NP node in it is dummy. In case of passive, NP1 is
moved to the position of the dummy node NP3, which is technically
known as agent postposing transformation and NP2 is moved to
the position of the emptied node NP1, which is known as NP
preposing transformation. In the case of truncated passive the by
NP phrase is pruned. In the case of active, the position of NP3
remains empty and the PP node is pruned as the preposition of a
prepositional phrase cannot stand alone without its object NP.
Thus, such a rule which involves empty node convention is
considered more adequate as it can cope with wider range of
treatment. That is for the derivation of agentive passive, truncated
passive and even active sentences.
6. Topicalization Transformation
Topicalization is a process of adopting the object of a
sentence as the topic; that is by the process of movement
transformation to topicalize the object by moving it to the initial
position.
Pizza, he likes very much.
S
N
V’’
V’
V
Adv’
N’
Adv
N
DS
: He likes
pizza very much
Topicalization:
SI
: 1
2
3
4
SC : 3
1
2
4
SS
: Pizza, he likes very much.
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7. Particle Movement Transformation
Particle is derived from preposition but it has lost its former
meaning and features as a preposition. It has fused its meaning
much to a verb and it functions as an adverb. The position of a
particle is mobile depending on the object following it. If the object
is a simple NP, the particle may optionally moved after the NP as in
the following.
John carried the job out.
DS
Particle Mov.
SI
SC
SS
: John carried out the job.
:
: 1
2
3
4
: 1
2
4
3
: John carried the job out.
8. Relative Movement
Relative movement transformation is compulsory when it is
not in subject position. It should be moved to Comp in the initial
position of a clause.
This is the novel which he has read.
D-Structure
Relativization
Relative Movement
S-Structure
: This is the novel Comp he has read the novel
: This is the novel Comp he has read which
: This is the novel which he has read t
: This is the novel which he has read.
9. Premodification Transformation
The unmarked position of a noun modifier in English is prior
to the noun modified as in a new building although in certain
conditions it occurs after the noun as in the example given and in
other certain conditions it may be used either as premodifier or
post-modifier as in The time misspent is the time lost or The
misspent time is the lost time. As the unmarked order is modifier +
modified, the construction of modified + modifier must undergo
transformation as in the following.
Visiting relatives can be a nuisance.
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S’
Comp
S
N’
V’
S
V’
N’
V’
Aux
N
V
Modal
N’
V
Det
N
DS: [Comp [relatives visiting] [IP can
be a
nuisance]]
Premod.: [Comp [visiting relatives] [IP can be a nuisance]]
SS:
Visiting relatives can be a nuisance.
Flying planes can be dangerous.
D-structure
: [CP [IP planes flying] [IP can be dangerous]]]
Premodification: [CP [IP flying planes] [CP [IP can be dangerous]]]
D-Structure
: Flying planes can be dangerous.
10. Adjective Preposing Transformation
Adjective preposing transformation is an optional rule. It is
generally used in speech in a certain style to emphasize the
adjective phrase in the subordinate clause with the conjunction
though.
Very pretty though she is, Jim will not marry her.
D-Structure
: though she is very pretty, Jim will not marry her
Adj. Preposing : very pretty though she is, Jim will not marry her
S-Structure
: Very pretty though she is, Jim will not marry her.
Very far though the place is, he will go there.
D-Structure
: though the place is very far, he will go there
Adj. Preposing : very far though the place is, he will go there
S-Structure
: Very far though the place is, he will go there.
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11. Verb Preposing Transformation
Like adjective phrase, a verb phrase may also be preposed if
required to emphasize the meaning but it is limited to the type of
verb phrase in the progressive form.
Wearing blue jeans I think they are.
D-Structure
Verb Preposing
S-Structure
: I think they are wearing blue jeans.
: wearing blue jeans I think they are.
: Wearing blue jeans I think they are.
Reading books we suppose they are in the library.
D-Structure : We suppose they are reading books in the library.
Verb Preposing: Reading books we suppose they are in the library.
S-Structure : Reading books we suppose they are in the library.
12. Extra-position Transformation
Extraposition is a process of movement transformation in
which the word order of a sentence is altered from an unmarked
position to a marked position resulting in a discontinuity. The
extraposed constituent is separated from its governor by one or
more words that dominate its governor. Extrapostion
transformation is generally optional; however, the extraposed
version of a sentence is sometimes preferred. The following pairs of
sentences illustrate unmarked word order and followed by the
corresponding sentence with extraposition.
Extraposition of relative clause out of subject:
a. The boy who suffered from jaundice left home.
b. The boy left home who suffered from jaundice.
Extraposition of relative clause out of object:
a. The lecturer gives us materials that we don’t like in every
meeting.
b. The lecturer gives us materials in every meeting that we
don’t like.
Extraposition of subject clause:
a. That law in this country is still in effect is unclear.
b. It is unclear that law in this country is still in effect.
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2.2.2 Deletion and Insertion Transformation
1. Imperative Transformation
Imperative is a sentence which is expressed by a first person
to a second person, in which the first person asks the second
person to do something. As it is a direct speech, the pronoun you is
normally not overt. The deletion of the pronoun you is through a
syntactic transformation.
Give up smoking!
D-Structure
Imperative
S-Structure
: You give up smoking.
: Ø give up smoking.
: Give up smoking!
Be a credible scientist!
D-Structure
: You be a credible scientist!
Imperative
: Ø be a credible scientist!
S-Structure
: Be a credible scientist!
2. Relative Deletion Transformation
A relative is optionally deleted if it is not in the subject
position or not in a non-restrictive relative clause.
This is the novel he has read.
S
N’
V’
V
N’’
N’
Det
S’
N
Comp
S
N’ Aux
V’
V
N’
Det
N
D-Structure: [Comp [This is the novel] [Comp [he has read the novel]]]
Relativization: [Comp [This is the novel] [Comp [he has read which]]]
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Relative Movement: [Comp [This is the novel] [which [he has read t ]]]
Relative Deletion : [Comp [This is the novel] [Ø [he has read t ]]]
S-Structure
: This is the novel he has read.
3. Coreferential Verb Deletion Transformation (Gapping)
In English a verb cannot occur more than once in a sentence
so gapping rule is compulsory to be applied to delete the second
verb. It does happen in the deep structure which requires deletion
transformation.
Father likes coffee but mother tea.
Coordinator
S
S
N’
N
V’
V
N’
N’
N
N
V’
V’
N’
V
N
D-S : [CP [ Father likes coffee] [ but [mother likes
Gapping
: [CP [Father likes coffee[ [CP but [mother
S-Structure : Father likes coffee but mother tea.
tea]]].
Ø tea]]].
He is slow but sure.
D-Structure
Cor. NP Del.
Gapping
S-Structure
: [CP [He is slow] [CP but [he is sure]]].
: [CP [He is slow] [CP but [Ø is sure]]].
: [CP [He is slow] [CP but [Ø Ø sure]]].
: He is slow but sure.
4. Coreferential NP Deletion
Like a verb, a noun cannot occur twice in a sentence. It may
occur only in the deep structure which requires coreferential NP
deletion transformation.
Flying planes can be dangerous.
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D-structure
: [CP [IP planes flying] [CP [IP planes can be dangerous]]]
Coreferential NP Del.: [CP [IP planes flying] [CP [IP Ø can be dangerous]]]
Premodification : [CP [IP flying planes] [CP [IP Ø can be dangerous]]]
S-Structure
: Flying planes can be dangerous.
5. Unspecified NP Deletion
In English, a noun with unspecified identity should be
deleted as its presence does not carry any clarifying sense.
Flying planes can be dangerous.
D-structure : [CP [IP someone flying planes] [CP [IP can be dangerous]]]
Unspecified NP Del.: [CP [IP Ø flying planes] [CP [IP can be dangerous]]]
S-Structure
: Flying planes can be dangerous.
Visiting relatives can be a nuisance.
S’
Comp
S
N’
V’’
S
N’
N’
N
V’
V
Aux
N’
V
Det
N
Modal
N
DS : Comp someone visiting relatives can be
UNPD:Comp Ø visiting relatives can be
SS : Visiting relatives can be a nuisance.
a nuisance
a nuisance
6. Do Support or Do Insertion
Do along with its variants: does and did is an auxiliary whose
traits are like a ‘ghost’ in the way how it may appear or disappear
without identity. For instance, such a sentence as They come
consists of the auxiliary do as They do come; They came consists of
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They did come; and He comes consists of He does come, and the
like. Those auxiliaries appear for emphasis, in the negative,
interrogative, tag question or other elliptical sentences.
Most people do not believe in the news.
D-Structure (Neg): [CP [IP Most people believe in the news.]]
Do Support (Neg): Most people do not believe in the news.
S-Structure:
Most people do not believe in the news.
2.2.3 Substitution Transformation
1. Relativization
Relative clause is an adjective clause which qualifies the
preceding noun. A relative clause is identified from its feature
which begins with a relative; be it a relative pronoun, a relative
determiner or a relative adjunct. Such a clause is derived from the
application of a transformational rule called relativization rule; that
is the substitution of a coreferential noun by a relative.
Children like things which are colourful.
D-structure
: [CP [IP Children like things] [CP [IP things are colourful ]]]
Relativization : [CP [IP Children like things] [CP [IP which are colourful ]]]
S-Structure
: Children like things which are colourful.
2. Pronominalization
Pronominalization is the process of transformation by the
substitution of a coreferential noun by a pronoun as it is bad to
mention the same noun twice in a sentence.
Jack used to play truant so that he failed in the exam.
D-structure: Jack used to play truant so that Jack failed in the exam
Pronominal.: Jack used to play truant so that he failed in the exam.
S-Structure : Jack used to play truant so that he failed in the exam.
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3. Auxiliary Substitution
Like noun, verb in English cannot occur twice in the same
sentence. When the same verb occurs twice in a compound
sentence, the second must undergo gapping transformation
(deletion of coreferntial verb) but when it occurs in a complex
sentence, the verb in the subordinate clause must be substituted
by a related auxiliary.
(a).
The man speaks Indonesian better than I do English.
D-structure
: [IP The man speaks Indonesian better] [CP than
[IP I speak English ]]]
Aux Substit. : [IP The man speaks Indonesian better] [CP than
[IP I do English ]]]
S-Structure : The man speaks Indonesian better than I do English.
(b) . The manager made a surprise as you did.
D-structure : The manager made a surprise as you made.
Aux Substit. : The manager made a surprise as you did.
S-Structure : The manager made a surprise as you did.
When such a sentence makes use of other auxiliaries such
as to be or modal, just the same auxiliary is used.
(c).
D-Structure: The sprinter can run as fast as a lion can run.
Gapping : The sprinter can run as fast as a lion can Ø .
S-Structure: The sprinter can run as fast as a lion can.
(d).
D-Structure : Your mother is younger than my elder sister is young.
Cor. Adj. Del: Your mother is younger than my elder sister is Ø .
Gapping
: Your mother is younger than my elder sister Ø.
S-Structure : Your mother is younger than my elder sister.
Note that Gapping transformation in this sentence is optional as it
is possible to retain the verb is in this context.
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4. Wh-word as Subject
Wh-word occurring in the position of a subject is identified
as the result of the substitution of a related noun. Thus, who is
supposed to be the substitute of someone, what of something,
where of somewhere, etc.
(a). Who broke the glass window?
D-structure : [CP [IP someone broke the glass window]]
Wh-question : [CP [IP who broke the glass window]]
S-Structure : Who broke the glass window?
(b). What has made you sad?
D-structure : [CP [IP something has made you sad]]
Wh-question : [CP [IP what has made you sad]]
S-Structure : What has made you sad?
2.3 Status of Transformational Rules
The status of a transformational rule can be compulsory,
optional or restricted depending on the result to be expected.
1. Compulsory Rule
Compulsory rule is a syntactic rule which is compulsory to be
applied to the D-Structure of a sentence and if the rule is not
applied it will lead to an unacceptable sentence. Most syntactic
rules are compulsory; otherwise, such rules are not provided such
as Affix Hopping, Aux Movement, Wh-movement, Relativization,
etc. Observe that the application of wh-movement rule to the DStructure in the following sentence leads to the expected result but
when such rule is not applied it leads to an unacceptable result.
D-Structure : [CP [IP We know [CP [IP you mean what ]]]]
Wh-Movement: [CP [IP We know [CP what [IP you mean t ]]]]
S-Structure : We know what you mean.
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D-Structure : [CP [IP We know [CP [IP you mean what ]]]]
Wh-Movement : Not applied
S-Structure
: *We know you mean what.
2. Optional Rule
Optional rule is a syntactic rule which is optional to be
applied to the D-Structure of a sentence. It does not matter
whether the rule is applied or not as either one will lead to an
acceptable result. Such rules as Dative Movement, Particle
Movement, Topicalization, Relative Deletion, etc. belong to optional
rules.
D-Structure : [CP [IP I know the food] [CP [ IP you like the food]]]
Relativization : [CP [IP I know the food] [CP [ IP you like which ]]]
Relative M. : [CP [IP I know the food] [CP which [ IP you like t ]]]
Relative Del. : [CP [IP I know the food] [CP 0 [ IP you like t ]]]
S-Structure : I know the food you like.
D-Structure : [CP [IP I know the food] [CP [ IP you like the food]]]
Relativization : [CP [IP I know the food] [CP [ IP you like which ]]]
Relative Mov. : [CP [IP I know the food] [CP which [ IP you like t ]]]
Relative Del. : Not applied
S-Structure : I know the food which you like.
3. Restricted Rule
Restricted rule is a syntactic rule which is restricted to be
applied to the D-Structure of a sentence due to a certain condition
although the rule may be applied in a certain other condition. Take
for instance Particle Movement Rule which has three possibilities in
the status: Optional, Compulsory and Restricted.
Particle movement is an optional rule when the object of the
phrasal verb is a simple NP as in the following.
D-Structure
Particle Move.
S-Structure
: He carried out the job.
SI : 1
2
3
4
SC : 1
2
4
3
: He carried the job out.
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D-Structure
Particle Move. (Optional)
S-Structure
: He carried out the job.
: Not applied
: He carried out the job.
On the other hand, particle movement is a compulsory rule
if the object of the phrasal verb is a pronoun.
D-Structure
Particle Move.
S-Structure
D-Structure
Particle Movement
S-Structure
: He carried out it.
SI : 1
2
3 4
SC : 1
2
4 3
: He carried it out.
: He carried out it.
: Not applied
: *He carried out it.
Further, particle movement transformation is a restricted
rule if the object of the phrasal verb is a heavy NP.
D-Structure : He carried out the difficult job which was very risky.
Particle Mov.SI: 1
2
3
4
SC: 1
2
4
3
S-Structure :*He carried the difficult job which was very risky out.
D-Structure : He carried out the difficult job which was very risky.
Particle Mov. : Not applied (restricted)
S-Structure : He carried out the difficult job which was very risky.
2.2
Rule Ordering
Rule ordering is the case of the derivation of a sentence
which requires more than one syntactic rule, in which the choice in
the application of whether one rule is prior to the other may lead to
a different result so that they need ordering. When the ordering
leads to an acceptable result such rule ordering is said to be in
Feeding Order. On the other hand, when it leads to an unacceptable
result it is in Bleeding Order.
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1. Feeding Order:
D-Structure (Q)
R1: Aux Movement
R2: Wh-movemnt
S-Structure
: [CP [IP you did say what]]
: [CP did [IP you say what]]
: [CP what did [IP you say t ]]
: What did you say?
2. Bleeding Order:
D-Structure (Q)
R2: Wh-movemnt
R1: Aux Movement
S-Structure
: [CP [IP you did say what]]
: [CP what [IP you did say t ]]
: [CP did what [IP you say t ]
: *Did what you say?
Thus, such rule ordering is called Compulsory Rule Ordering as
violating the ordering will result in an unacceptable sentence.
3. Optional Rule Ordering:
Some rule ordering is optional when the application of either
rule prior to the other does not affect the grammaticality of the
result. For instance, such rules as Relativization and Aux Movement
are optional rule ordering as the following.
DS (Q)
: [CP you do know the boy [CP the boy stole my phone ]]]
R1 Rel.
: [CP you do know the boy [CP who stole my phone ]]]
R2 Aux Move: [CP do [you know the boy [CP who stole my phone ]]]
S-Structure : Do you know the boy who stole my phone?
DS (Q)
R2 Aux Mov.
R1 Rel.
S-Structure
: [CP you do know the boy [CP the boy stole my phone ]]]
: [CP do you know the boy [CP the boy stole my phone ]]]
: [CP do you know the boy [CP who stole my phone ]]]
: Do you know the boy who stole my phone?