10 Non-finite clauses

DOI: 10.4324/9781003118916-11

The sentences and clauses considered so far have all been

finite: they all had a finite verb (auxiliary or lexical), tensed for
present or past. A NON-finite clause is a clause in which
there is no tensed verb. They are tenseless clauses. Main
clauses, remember, are always finite. So, non-finite clauses
can only be subordinate.
This chapter comes in two parts. Part I is about the FORM of
non-finite clauses; Part II is about their FUNCTIONS.
PART I: THE FORM OF NON-FINITE CLAUSES
There is, in fact, more to the difference between finite and non-
finite clauses than just the presence vs. absence of tense. In
addition to lacking tense, non-finite clauses often lack one
or more overt NPs. They often have a covert subject, for
example. Finite verbs must have an overt subject to agree with;
non-finite verbs are not subject to this constraint.
There are two separate circumstances that allow an NP to be
covert:

(A) the reference of the NP is general (indefinite, non-specific),

or
(B) the reference of the NP is identical to an NP in a higher
clause.

Consider the (three) subordinate clauses in [1] and [2]. Their

verbs (chatting, wasting) are tenseless and their subjects are
covert.

[1] [Chatting with the construction workers] is a good way of

[wasting time].
[2] Hedda enjoys [chatting with the construction workers].
[3] Hedda doesn’t like [Anna chatting with the construction
workers].

There’s a clear difference between the non-finite clauses in [1]

and those in [2] and [3]. In [1], we have two examples of (A)
above; it mentions chatting with the construction workers and
wasting time IN GENERAL – REGARDLESS OF WHO DOES IT. We don’t have
anyone specific in mind. Contrast that with the covert subject
of the non-finite clause in [2]. Here we have an example of (B)
above. The covert subject here is perfectly specific. It’s
identical with the subject of the main clause, Hedda. What
Hedda enjoys in [2] is HEDDA chatting with construction workers.
Anna, it seems, is another matter! In [3], the subject of the
subordinate clause must be overt (Anna) precisely because it
differs from the main clause subject.
When a covert NP is understood as identical to an
overt NP in a higher clause (B above), the higher overt
NP is said to CONTROL the covert NP.
The covert subject of the sub-clause in [2] is controlled by
the main clause subject (Hedda). By contrast, neither of the
covert subjects in [1] has a controller in the main clause (A
above). That’s why they have a non-specific, general
interpretation.
A covert constituent that is NOT CONTROLLED is described
as ‘FREE’.
Why not try Exercise 1 (page 237) before reading further?

I’ll represent covert NPs in the same way as gaps, using ‘•’.
That will do for covert constituents that are free. But for a
covert constituent that is controlled, we need to indicate what
constituent controls it. We can show that the covert subject of
the sub-clause in [2] is controlled by Hedda by adding a
subscript ‘1’ both to ‘•’ and to the subject NP node in the main
clause, thus: •1 and NP1. This is called an index. Giving two
nodes the same index is ‘co-indexing’. From now on, we will
always co-index a controlled gap, including gaps created by
movement (passive and wh).

The form of non-finite verbs

Non-finite verbs are traditionally divided into (I) infinitives and
(II) participles. Each of these is further divided:

I. INFINITIVE verbs:
(a) Bare infinitive (b) To-infinitive
II. PARTICIPLE verbs:
(a) Passive participle (b) -ing participle
I(a) Bare infinitive verbs
These consist of just the STEM of a LEXICAL VERB. It’s ‘bare’ (a)
because it lacks the INFINITIVE PARTICLE to and (b) because
auxiliaries don’t figure in such clauses. Examples are:

[4] She made him [wash her socks].

[5] All you have to do is [squeeze the trigger slowly].

These non-finite (untensed) forms can be distinguished from

simple present tense forms (e.g. I wash her socks every week)
by a [-TENSE] feature on V, to be read as ‘minus tense’, as in [6].

[6]

[-TENSE] will figure – in one way or another – in all non-finite

clauses.

I(b) To-infinitive verbs

[7] We accepted his invitation [to taste the wine].

[8] He is thought [to be hiding in Brazil].
[9] Gomez is unlikely [to be beaten by a six-year-old].
[10] [For Max to have been beaten] is barely credible.

As you can see, when the INFINITIVE PARTICLE to is present,

auxiliaries (PERF, PROG, PASS) can also make an appearance.
But not modals (MOD). Being inherently tensed, modals don’t
figure in non-finite clauses.
Like the verb that follows MOD, the verb following the
infinitive particle to has the basic stem form. In several
respects, then, it’s appropriate to think of to as replacing the
MOD option. So, I shall analyse to itself as a [-tense]
auxiliary. For example:

[11]

[12]

Notice I’ve indexed the gap left by passive movement. Had I

represented the whole clause (for Max to have been beaten),
the gap would be co-indexed with the (subject) NP node
dominating Max.
II(a) Passive participle verbs
These are like bare infinitives in consisting of just a lexical verb
(no auxiliaries) – but in the passive participle form (with a
passive meaning). Examples are:

[13] [The lorry loaded], we took a rest.

[14] [Loaded to capacity], the lorry slowly moved on.
[15] I saw [your book reviewed in the paper].
[16] I want [these accusations investigated].

As with the bare infinitives, [-tense] will appear as a feature on

V.

[17]

Remember, only verbs taking objects in the active can be

passive, since passive entails promoting an object to subject,
leaving A GAP IN OBJECT POSITION. In [13], [15] and [16] this subject
is overt (the lorry, your book, these accusations). In [14] it is
covert and is controlled by – understood as identical to – the
main clause subject (the lorry). In the sub-clause of [14], then,
there will be both a subject gap and an object gap:
[14a]

In [14a], I’ve co-indexed the two gaps. When this subordinate

clause is plugged into its superordinate main clause (as in [14]
above), these gaps need to be co-indexed with the main clause
subject, the lorry.

II(b) -ing participle verbs

As with to-infinitive clauses, auxiliaries can figure in -ing
participle clauses. But, instead of the first verb being preceded
by to, it takes the -ing affix.

[18] He always had difficulty in [apologising].

[19] Judith was busy [stuffing the peppers].
[20] [Murtlock having been hospitalised], I conducted a
bedside interview.

I’ll attach [-tense] as a feature to the verb in the -ing form

(whether lexical or auxiliary). Here are phrase markers for the
subordinate clauses in [18] and [20].
 [21]

[22]

In [21] the gap will be co-indexed with the main clause subject
of [18], he.
Notice I’ve called the initial verb in these non-finite clauses ‘-
ing participle’, not ‘progressive participle’. While the
participles discussed under II(a) above clearly are passive, -ing
participles cannot be regarded as progressive. The reason for
this is that there are verbs (called STATIVE VERBS), such as know
and own, which can’t appear in the progressive participle form
following PROG be:

[23a] *I am knowing the Beethoven trios intimately.

[24a] *He was owning that mangrove swamp.

However, they CAN appear in -ing participle clauses:

[23b] Knowing the Beethoven trios intimately helps a lot.

[24b] Owning that mangrove swamp meant nothing to him.

Furthermore, we know that PROG be never precedes PERF

have. So PERF have couldn’t have the progressive participle -
ing form demanded by a preceding PROG. See [25a]. But PERF
have does take the -ing participle form in these non-finite
clauses, as in [25b].

[25a] *Buster is having sold the swamp.

[25b] Having sold the swamp, Buster departed.

The -ing form that figures in non-finite clauses, then, is clearly

NOT the progressive participle.
So much for non-finite verbs; now I turn to the general form
of non-finite clauses.

Complementisers and non-finite clauses

As in finite clauses, there are two complementiser positions in
non-finite clauses:

C1, filled by the (unfronted) complementisers, for and

whether;
C2, filled by (fronted) wh-expressions.

C1: for and whether

Only to-infinitive clauses can be introduced by the C1
interrogative complementiser whether or – a new C1
complementiser, this – for.
For figures overtly only in (to-infinitive) clauses WITH AN OVERT
SUBJECT. See [26]–[28]. Even then – as [29] shows – for is not
always possible, in which case the C1 position will be empty.

[26] [For [Angelo to get all the blame]] seems unfair.

[27] The police gave orders [for [the vehicles to be
removed]].
[28] It will be difficult [for [me to get there on time]].
[29] The magician expected [(*for) [the rabbits to disappear]].

Notice that when the subject is a pronoun, as in [28], it has

accusative/objective case form (more on this below).
The phrase marker for the non-finite clause in [26] is given
as Discussion 1, page 237.

To-infinitive whether-clauses, by contrast, never have an

overt subject. If the covert subject is controlled, the controller is
always the subject of the superordinate clause, as in [30] and
[31]. But when the whether-clause is itself functioning as
subject, as in [32], the covert subject is free (not controlled):

[30] [King Louis]1 was uncertain [whether [•1 to support the

Pope]].
[31] [Olsen]1 asked the Captain [whether [•1 to cut the
engines]].
[32] [Whether [• to permit such activities]] is a tricky
question.

C2: fronted wh-phrases

Non-finite wh-clauses can be interrogative or relative. First,
INTERROGATIVE clauses. Like (yes/no) interrogative whether-
clauses, non-finite wh-interrogative clauses can only be to-
infinitive, and they always have a covert subject.

[33]

[34]

[35]

[36]

In [36] the main clause subject is expletive it. This is not a

referring expression, so it can’t be a controller. The covert
subject of the sub-clause is therefore free. By the way, notice
the difference between tell and ask. In [33], with ask, the
subject of the interrogative sub-clause is controlled by the main
clause SUBJECT (Sarah). But, in [34] with tell, it’s controlled by
the main clause OBJECT (me).
Here’s the phrase marker for the sub-clause in [33].
 [37]

Assuming Sarah in the main clause of [33] has the index ‘1’,
I’ve co-indexed the covert subject with Sarah. How many
guests is fronted from the dO position, so it controls the gap
there.
We’ve seen that covert SUBJECTS in sub-clauses must
either be free (as in [36]) or have a controller in a HIGHER
clause. As a result, the subject is the one constituent that can’t
be wh-fronted to C2 in an interrogative sub-clause, for then it
would have a controller within the sub-clause (in its own C2
position): *She wondered [who1 [•1 to welcome the guests]].

Now for non-finite RELATIVE clauses. These are less obviously

identified as wh-clauses (with fronting) than the wh-
interrogative clauses just considered. This is because the
fronted wh-phrase is never overt in non-finite relative
clauses. As the following show, all forms of non-finite verb are
permitted in relative clauses except the bare infinitive:

[38a] The instrument [to use] is a No.9 scalpel.

[39a] A book [for you to review] is in the post.
[40a] There are no WCs on the overnight train [now leaving
Platform 9].
[41a] A cat [fed on smoked salmon] will start demanding
champagne.

Although there is no overt wh-phrase in these, we know they

are relative clauses (a) because they are functioning as
modifiers (of NOM) within NP and (b) because they always have
a gap (left by the fronting of a covert wh-phrase). Here I give
the closest corresponding finite clause, each of which is an
overt relative clause.

[38b] [• to use •] [38c] which [one should use •]

[39b] [for [you to review •]] [39c] which [you should review •]
[40b] [• now leaving] [40c] which [• is now leaving]
[41b] [• fed • on smoked salmon] [41c] which [• is fed • on smoked salmon]

In [38] the subject of use is free, and the object is controlled by

a fronted wh-phrase (covert in [b], overt in [c]). In [39] the
object gap is controlled by the covert wh-phrase (which is in
turn controlled by the head of the NP). The same goes for the
subjects in [40] and [41]. The object gap in [41b] is due to the
passive participle. The object has been promoted to subject,
and then wh-fronted. Here’s the phrase marker for [39b]:
 [39d]

Try a phrase marker for the subject NP in [38a]. It’s given below
([38d], page 229).
Part II: The functions of non-finite clauses
The functions of non-finite clauses will be familiar from previous
chapters. They are illustrated (some several times) in the
examples given so far in this chapter. Before reading further,
take time to go through the above examples containing non-
finite clauses, and decide on the function of that clause in each.
List them by function; when you encounter a function for the
first time, start a new list. This (quite big) exercise is answered
in the following sections.
I’ll simply list those functions, with further examples and
comments where necessary. Complementation of verbs by non-
finite clause needs more discussion, so I’ve left this to the end.

Subject and extraposed subject

This function is illustrated in [1] (first clause), [10], [23b],
[24b], [26] and [32]. In [28] and [36] the subject clause is
extraposed.

[42a] [Stripping wallpaper] is a wretched business.

[42b] It’s a wretched business [stripping wallpaper].

Notice that -ing participle clauses with overt subject can’t be

extraposed:

[43a] [Oscar attempting the double somersault] should amuse

you.
[43b] *It should amuse you [Oscar attempting the double
somersault].

The phrase marker for [42a] is given as Discussion 2, page

237.

Complement of A in AP
This was illustrated in [9], [19] and [30] (but not [28], as this is
an example of extraposed subject). This is an intriguing
construction. There are several types of adjective
complementation by to-infinitive clause, depending on the head
adjective. Here I distinguish two main types, exemplified by

[44A Max is reluctant [to try it].

]
[44B That piano is impossible [to move].
]
Adjectives that pattern like reluctant [A] are:

anxious, eager, keen, hesitant, (un)willing, (un)likely,

happy.

Adjectives that pattern like impossible [B] are:

easy, hard, difficult, tough, tiresome, boring, enjoyable,

disgusting and delicious.

Focusing on the interpretation of the covert constituents,

what’s the difference between the two types?

With the [A] adjectives, the higher subject controls the covert
SUBJECT of the adjective-complement clause. By contrast, with
the [B] adjectives, the higher subject controls the OBJECT of that
clause. The lower subject with the [B] adjective cannot be
controlled: it must either be free, as in [44B], or overt and
introduced by for, as in [45].

[45] That piano is impossible for the dancers to move.

Sentences with a to-infinitive clause complementing a [B]-

type adjective correspond to sentences in which the object
figures overtly, in a clause functioning as subject or extraposed
subject. Thus [44B] (repeated here) is paraphrased by [46] and
[47]:
 [44B]That piano is impossible [to move].
[46] [To move that piano] is impossible.
[47] It is impossible [to move that piano].

It could be argued, then, that the [B]-construction actually

involves, not a complement of A in AP, but extraposition of the
clausal subject (as in [47]). However, in the absence of
expletive it in [44B], I’ll treat the clause there as an adjective-
complement. Phrase markers for [44A]–[44B] are given as
Discussion 3, page 238.

Complement of P in PP
Prepositions are complemented by -ing participle clauses or
interrogative to-infinitive clauses. Examples already given are
[1] (second clause) and those in [18] and [35]. In each of
those, the PP itself is functioning as a noun-complement in NP
(with head N difficulty, doubts). But PPs containing a non-finite
clausal complement have other functions too. Give the
functions of the relevant PP in the following.

[48] John re-parked the car in his absence [by [leaving the
handbrake off]].
[49] [With [the troglodytes approaching]], Argon capitulated.
[50] We became zombies [through [watching too much TV]].
[51] This resulted [in [Oscar’s advice being ignored]].
[52] He was hopeless [at [writing letters]].

The PPs in [48]–[50] are functioning as adverbials, that in [51]

as complement of the [prep] verb result, and that in [52] as
complement to A (hopeless) in AP. The phrase marker for [50] is
given as Discussion 4, page 239.
Adverbial
We have just seen that non-finite clauses can function as the
complement of P in a PP functioning as an adverbial. Non-finite
clauses can also function as adverbials in their own right.
Examples already given are: [13], [14], [20] and [25b]. As the
following show, the subject must either be overt or controlled
by the subject of the superordinate clause.
-ing participle (with and without overt subject):

[53a] [Count Dracula having invited us], we cancelled other

plans.
[53b] [•1 Having furnished ourselves with garlic], we1 set
off.
To-infinitive (with and without overt subject):
[54a] We hung around [for the Count to appear].
[54b] We1 helped ourselves to wine [•1 to relieve the
boredom].
(Note that for in [54a] is the complementiser, not the
preposition.)

Passive participle (with and without overt subject, and with

the object promoted to subject):
[55a] [[The wine]1 finished •1], we dozed fitfully in our
chairs.
[55b] We1 returned, [•1 disappointed •1 by our evening].
The phrase marker for [55b] is given as Discussion 5, page
239.

Mention should be made here of non-finite adverbial clauses

with a (C1) subordinating conjunction. Examples are:

[56] I will come [if needed].

 [57] The mixture will explode [unless kept below freezing].
[58] [Although feeding twice a day], he still seems hungry.
[59] Stella claims she never uses her mobile [while driving].
[60] The intruder brandished the weapon [as if to frighten
them].

Complement of N in NP
Examples were given in [7] and [27] above. Here are further
examples:

[61] We simply ignored [his appeals [for us to join the folk-

dance]].
[62] [His ability [to think]] was severely impaired by the
experience.
[63] [His proposal [to show us his holiday snaps]] was treated
politely.

Which constituent controls the covert subject in the infinitive

clauses of [62] and [63]?

The bracketed NPs in [62] and [63] are NP versions of the

following clauses:

[64] He was able to think.

[65] He proposed to show us his holiday snaps.

In these, the covert subject of the infinitive clause is controlled

by the subject of the superordinate clause. Now, in the NPs in
[62] and [63], this subject has assumed the form of a
possessive determiner. So, the covert subject of the infinitive
clauses in [62] and [63] is controlled by the DETERMINER of the NP
in which the clause appears.
The phrase marker for the subject NP of [62] is given as
Discussion 6, page 240.
Modifier in NP
Examples are [38a]–[41a]. Clausal modifiers in NPs are
RELATIVE CLAUSES with a covert wh-phrase. They are
RESTRICTIVE ONLY and thus modifiers of NOM.
Here’s the phrase marker for the subject NP of [38a] above:

[38d]

Notice that, in addition to co-indexing the object NP gap and

the covert C2, I have co-indexed both with the NOM instrument.
The direct object of use is understood as an NP having
instrument as head. The covert subject of the sub-clause is
impersonal and so free (not controlled).
Complement of V
As mentioned, complementation of verbs by non-finite clause
requires more discussion.
Since Chapter 4 we have operated with a six-way sub-
categorisation of verbs. This has the effect of assigning more
specific functions to their complements (direct and indirect
object, subject- and object-predicative, prepositional
complement). It is not clear, however, that this sub-
categorisation system is appropriate for complementation by
non-finite clause.
For example, there are straightforwardly transitive verbs
(taking an NP as dO) that also take a non-finite clause as
complement (e.g. believe as in [66a–b]), but there are other
verbs that take a clause but not an NP (e.g. hope and
condescend as in [67a–b]).

[66a] I believe his story/William

[66b] I believe William to have been in the garden.
[67a] Michelangelo condescended/hoped to decorate the
ceiling.
[67b] *Michelangelo condescended/hoped the decoration of
the ceiling.

Furthermore, promise and ask are ditransitive verbs, taking an

iO NP and a dO NP (as in [68a], [69a]). So we might analyse
[68b] and [69b] as ditransitive, with the non-finite clause as the
direct object:

[68a] I promised [Herzog] [my spaghetti machine].

[69a] I asked [Astrid] [a question].
[68b] I promised [Herzog] [to wear the wig].
[69b] I asked [Astrid] [to make no comment].

So far, so good. There are good reasons, though, for analysing

VPs with force and dare as having the same structure as those
with promise and ask.

[70]
I [Astrid] [to wear the wig].

But neither force nor dare take two NPs. Besides, the function
of Astrid in [70] (and even in [69b]) can’t really be described as
indirect object.
Rather than give further examples of problems with the
functions of complements in the six sub-categories, I’ll mention
a more general consideration. We really need to sub-categorise
verbs in a more detailed way than the six sub-category feature
labels used so far.
For example: sub-categorising kick, believe, say and watch,
as ‘[trans]’ doesn’t do justice to the different complements they
can or cannot take. True, all four can take a direct object NP
(kicked the chessboard, believed the story, said a prayer,
watched the fun). But, unlike say and believe, kick and watch
don’t take a that-clause.

[71] She said that Rashid had the perfect disguise.

[72] She believed that Will was in the garden.
[73] *Gomez kicked that he had lost the match.
[74] *Talullah watched that the clown was putting on his
make-up.

Furthermore, leaving kick aside (it can’t take any sort of

clause), believe can take a to-infinitive clause with overt
subject, but say and watch cannot.

[72a] She believed William to be in the garden.

[73a] *She said Rashid to have the perfect disguise.
[74a] *Talullah watched the clown to put on his make-up.

On the other hand, watch takes an -ing participle clause, but

believe and say don’t.
[72b] Talullah watched the clown putting on his make-up.
[73b] *She believed Will being in the outhouse.
[74b] *She said Rashid having the perfect disguise.

A detailed and explicit sub-categorisation system would need to

sub-categorise each verb for at least the following:

[75] (a) whether it can take a clause as complement;

(b) if so, whether that clause may or must be
interrogative;
(c) whether it can be finite or non-finite;
(d) if non-finite, which of the four types of non-finite
clause are permitted;
(e) whether an overt NP can intervene between the
(higher) finite and the (lower) non-finite verb;
(f) if so, what the function of that NP is;
(g) what constituent, if any, controls the covert
constituents in the non-finite clause.

Answering these questions for the several thousand English

verbs would be ambitious by any standard. Even so, as I hope
the discussion of kick, say, etc. shows, it would result in an
approach to the sub-categorisation of verbs very different from
that employed so far, independent of the functions dO, iO, sP
and oP. This is not to say there’s no correspondence between
verb complementation by non-finite clause and the six-way
sub-categorisation of previous chapters. There is, as we saw
with ask and promise. Consider also the complements of the
[intensive] be in the following, which are clearly subject-
predicatives.

[76] The noise you can hear is [my cousin slurping her
coffee].
[77] All he ever did was [lounge about and clean his ears].
When a non-finite clause complements a verb, then, I won’t
assign that clause a more specific function in terms of dO, iO,
sP and oP. This means that the six sub-categorisation features
on verbs can be dispensed with when it has a non-finite clause
as complement.
For verbs complemented just by a non-finite clause
with COVERT subject, it’s enough to note that only to-infinitive
and -ing participle clauses are admitted. Further examples are
[78]–[79]. Notice the difference in meaning between the to-
infinitive (which implies he didn’t kiss her) and the -ing
participle (which implies he did).

[78] He didn’t remember to kiss Millie.

[79a] He didn’t remember kissing Millie.

Here’s the phrase marker for [79a].

 [79b]

Strictly, the subordinate clause in this and the following phrase

markers should be dominated by S″, with C2 introducing S′. But
since the C2 position is empty in all my examples, I’ve
simplified (saved space) and represented just S′.
Things get interesting when an OVERT NP intervenes
between the verb of the superordinate clause and the
non-finite verb of the subordinate clause. The relevant NP
is italicised:
V + NP + to-infinitive.

[80] I’d prefer the butler to taste it first.

[81] She encouraged Muldoon to buy her the diamonds.
[82] Machiavelli believed him to be the ideal prince.
 [83] I’d like the Senator to try it for a week.

V + NP + -ing participle.

[84] He had heard Victoria and Albert singing that duet.

[85] I caught the clowns helping the elephants onto the
trapeze.

V + NP + bare infinitive.

[86] Marcel made Celeste peel him a grape.

[87] He watched Magda polish off the toast.

V + NP + passive participle.

[88] She found the icon buried in the wall.

[89] She kept Raleigh imprisoned in the tower.

The question raised by these examples is [75(f)] above: Is the

italicised NP the SUBJECT of the SUBordinate clause or the
OBJECT of the SUPERordinate clause? Take [87]. Is Magda
subject of polish off or is it object of watched? It makes a
difference to the constituent analysis of the higher VP:

(I) If the NP is the OVERT SUBJECT OF THE LOWER VERB, the higher VP
will consist of V and a non-finite clause functioning as the
SINGLE COMPLEMENT of V.
(II) If the NP is OBJECT OF THE HIGHER VERB, then it must be a
constituent in the structure of the higher VP (a sister of the
higher V). The higher V will then have two complements,
an NP and a non-finite clause with COVERT subject.
 This question arises for several reasons, three of which are:
(i) As the complement of V, non-finite clauses seldom allow
an overt complementiser. Prefer is among the very few verbs
that does, in British English at least, and only for some
speakers.

[90] I’d prefer [for the butler to taste it].

The point is that the complementiser clearly marks the division
between the higher and the lower clause. In [90] (and [80]
above), then, the butler falls squarely within the lower clause
and must be its subject. But in the (much more usual) absence
of an overt complementiser, there’s no such clue as to the
function of the NP.
(ii) If you replace the italicised NPs in [80]–[89] by pronouns,
those pronouns have objective (accusative) case: me, him, her,
us, them. This might suggest that those NPs must be
functioning as objects rather than as subjects (cf. She loves him
and he loves her). Against this, it could be (it has been!) argued
that it is not just objects that take accusative case form, but
also subjects of non-finite clauses. And the following examples,
in which the accusative pronoun clearly is functioning as
subject of its clause, support this view.

[91] [For him to attempt it] would be silly and dangerous.

[92] The noise you can hear is [them slurping their drinks].

So, the fact that the relevant NP is accusative is consistent with

either analysis.
(iii) The fact that the relevant NP can be understood as the
subject of the lower verb doesn’t help us either – for, again, this
can be explained in either of two ways. On the one hand
(Analysis I), the NP is UNDERSTOOD as the subject of the lower
verb because it actually IS the subject of the lower verb. What
could be more straightforward? On the other hand (Analysis
II), we could say that, while it is actually the object of the
higher verb, that higher object CONTROLS THE COVERT SUBJECT of the
lower verb. On this analysis the fact that the NP is UNDERSTOOD AS
SUBJECT of the lower clause is consistent with its actually BEING
OBJECT in the higher clause.
These structures have been much discussed. The one point
of agreement is that they can’t all receive the same analysis: it
depends on the verb that heads the higher VP. I’ll divide verbs
taking non-finite clausal complements into two types:

Type I: taking ONE complement, with overt subject

Examples: assume, believe, consider, desire, dread, expect,
know, like, observe, prefer, regret, witness, see, feel, hear.

Type II: taking TWO complements, a dO NP + complement

with covert subject.
Examples: advise, ask, coax, compel, dare, encourage, force,
promise, persuade.

The rest of this chapter explains how to decide which type a

given verb belongs to.
It’s best to start with what’s special about Type II verbs. Type
II verbs call for complements referring to things that
have VOLITION, i.e. AGENTS (people or animals). You can’t
advise, persuade, dare (etc.) volition-less things to do
something. So, these verbs require an AGENTIVE NP as a (dO)
complement, in addition to the non-finite clause.
To make this clearer, consider:

[93] The tree lost its leaves.

[94] !I advised the tree.

[93] expresses something that can be believed without any

special assumption about trees. But [94] needs the fairy-tale
assumption that a tree can follow advice (is an agent). So, [93]
shows no special assumption is required for the tree to be
subject of lost its leaves, while [94] shows that the special
assumption is required for it to be object of advise. Consider
now [95], in which the function of the italicised NP is in
question.

[95] !I advised the tree to lose its leaves.

[95] requires exactly the fairy-tale assumption about trees that
[94] did. This shows that in [95] the tree is functioning as it did
in [94] – dO of advise. The tree is understood as the subject of
to lose its leaves because, while functioning as dO of advise, it
controls the covert subject of to lose its leaves. This confirms
advise as a Type II verb.
Expect, by contrast, is a Type I verb.

[96] I expected the tree to lose its leaves.

There’s no compelling reason in [96] to analyse the tree as

direct object of expect rather than the overt subject of the
lower clause. More positive evidence that expect is a Type I
verb involves EXPLETIVE THERE, illustrated in [97b]:

[97a] Five gorillas are in this zoo.

[97b] There are five gorillas in this zoo.

In contrast to expletive it (which can function as subject or

object), expletive there can only function as SUBJECT,
never as object. Since the NP following a Type II verb
functions as its object, expletive there can only follow Type I
verbs, not Type II verbs – and we get the following contrast:

[98–TypeI] Rowena expected [there to be more food].

[98–TypeII] *Rowena advised [there] [to be more food].
[99–TypeI] I prefer [there to be plenty of exercises].
[99–TypeII] *I persuaded [there] [to be plenty of exercises].
[100–TypeI] He dreaded [there being reporters in the lobby].
[100–TypeII] *He forced [there] [to be reporters in the lobby].

With just one verb, promise, there’s an even more compelling

reason for assigning it to Type II. With all other verbs of Type II,
the covert subject of the lower clause is controlled by the
object of the higher clause. But with promise, the covert
subject of the lower clause is controlled, not by the object of
the higher clause, but by its subject (e.g. I[1] promised Tessa
[•[1] to post that parcel]). Promise thus very clearly demands
both a direct object and a clause with a distinct (covert)
subject. Compare promise and beg (which are both Type II) in
Exercise 1 (iii) and (iv) below. Further Exercise 5 deals with an
intriguing further difference between the two types of verb.
To conclude, then: [101a], with the Type I verb expect, is
represented as in [101b] and [102a], with the Type II verb
persuade, as in [102b].

[101a They expected the boss to dance.

][102a They persuaded the boss to dance.
][101b
]
[102b
]

As a final exercise, decide which type each of the following

verbs is: teach, claim, love, forbid, find, hate, want, invite, beg,
warn, tell, prove, recommend, imagine, prevent, urge, mean.
The answers are given as Discussion 7, page 240.

Discussion of in-text exercises

1.

2.
(The subject of the non-finite clause is free.)

3.
[44a]
 [44b]

(The subject of the non-finite clause is free.)

4. [50]
5. [55b]
6.

7. Type I verbs: claim, love, find, hate, prove, want, imagine,

prevent, mean.
Type II verbs: teach, forbid, invite, beg, warn, tell,
recommend, urge.

Exercises

1. (a) Identify the covert constituents (if any) in the bracketed

non-finite clauses of the following sentences.
(b) Decide whether they are controlled or free. If they are
controlled, identify the controller.
Example: Louis was wondering [whether • to support
the Pope].
(a) Subject, (b) controlled by main clause subject (Louis).
 (i) I want [to be alone].
(ii) I wanted [John to be alone].
(iii) Morgan promised Bill [to give the film a good
review].
(iv) Morgan begged Bill [to give the film a good review].
(v) [Getting to the top] exhausted Hedda.
(vi) [Giving it a swift kick] sometimes works.
(vii) The trombone is too old [to play].
(viii) Max is too stubborn [to talk].
(ix) Max is too stubborn [to talk to].
(x) Svengali was too clever [for them to catch].
(xi) Sebastian is easy [to please].
(xii) Sebastian is eager [to please].
(xiii) It should be clear [how to do this].
(xiv)John was not clear [how to do this].

2. Under complement of A in AP, we considered

(i) This piano is impossible to move.
Notice that we could refer to the piano by means of the
pronoun it:
(ii) It is impossible to move.
But now (ii) is ambiguous. The ambiguity is created by
two distinct factors. First, the it of (ii) is ambiguous. Out
of context, we can’t tell whether it’s the expletive it
associated with an extraposed subject, or whether it’s a
referring expression (referring e.g. to a piano). Second,
move can be either transitive or intransitive. Bearing
these points in mind, draw a phrase marker for each
interpretation of (ii).

3. (a) Draw Abbreviated Clausal Analyses of the following

sentences.
(b) Indicate covert constituents (with ‘•’). If they are
controlled, co-index them with their controllers.
 (c) For each clause, give its form and function.
Remember, there will be as many clauses as there are
lexical verbs.
Example: Having shaved your head, will you ask the
wig man if he is ready to fit you? (Lexical verbs in bold.)

S1: finite yes/no interrogative, main.

S2: non-finite (-ing participle), adverbial.
S3: finite interrogative, complement of V (ask).
S4: to-infinitive, complement to A (ready).
(i) The Doge of Venice appears to have been eager to join
the Crusade.
(ii) Which authors does the professor hope to lecture on
this term?
(iii) Plans to recover the vehicles abandoned during the
night are under consideration.
(iv) The first chef to be informed of it, congratulated Melvin
on rescuing the steaks without damaging them.
(v) It seems that, having been taught by Mozart himself,
Joachim knew the sonata to be well within his
capacities.

Discussion of exercises

1. (i) Subject, controlled by main clause subject (I).

 (ii) No covert constituents.
(iii) Subject, controlled by main clause subject (Morgan).
(iv) Subject, controlled by main clause indirect object (Bill).
(v) Subject, controlled by main clause object (Hedda).
(vi) Subject, free.
(vii) Subject, free. Object, controlled by main clause subject
(the trombone).
(viii) Subject, controlled by main clause subject (Max).
(ix) Subject, free. Object of P in PP, controlled by main
clause subject (Max).
(x) Object, controlled by main clause subject (Svengali).
(xi) Subject, free. Object controlled by main clause subject.
(xii) Subject, controlled by main clause subject. Object, free.
(xiii) Subject, free.
(xiv)Subject, controlled by main clause subject (John).

2. With it as a referring expression, the clause complements

A, and the covert object of the transitive verb move is
controlled by the main clause subject (the referring
expression it). See (a) below. On the other (b) interpretation,
it is expletive and the clause is an extraposed subject.
Expletive it cannot be a controller (see Exercise 1 (xi)
above). Here move is intransitive, and (ii) is equivalent to
Moving is impossible.
(a)

(b)
3. (i)
S1: Finite, main.
S2: Non-finite (to-infinitive), complement of V (appears).
S3: Non-finite (to-infinitive), complement to A (eager).

(ii)
S1: Finite Wh-interrogative, main.
S2: Non-finite (to-infinitive), complement of V (hope).

(iii)
S1: Finite, main.
S2: Non-finite (to-infinitive), complement to N (plans).
 S3: Non-finite (passive participle) relative, modifier of NOM
(vehicles).
(iv)

S1: Finite, main.

S2: Non-finite (to-infinitive) relative, modifier of NOM (chef).
S3: Non-finite (-ing participle), complement of P (on).
S4: Non-finite (-ing participle), complement of P (without).

(v)
S1: Finite, main.
S2: Finite, extraposed subject.
S3: Non-finite (-ing participle), adverbial.
S4: Non-finite (to-infinitive), complement of V (knew).
Further exercises

1. Draw Abbreviated Clausal Analyses for the following (with

all the information asked for in Exercise 3 above). (c), by the
way, is a definition of what it is to malinger. (The sentence
would have a different structure if we replaced malingering
with John.) With eight clauses, (f) is ridiculously complex,
but it is the very last.
(a) Who did Sarah try to tell what to say?
(b) Tutors can decide whether to insist on these
distinctions being respected.
(c) Malingering is pretending to be ill with the intention of
avoiding work.
(d) Virginia is reluctant to ask any of the players which
court it made them most nervous playing on.
(e) Don’t you remember suggesting that any circus staff
caught allowing animals on the trapeze should be fired?
(f) The invitation to attend the ball sent to Cinderella at
her stepmother’s address was intercepted by her ugly
sisters, who were anxious not to be outshone in beauty
while dancing and to have the washing-up done in their
absence.

2. Draw phrase markers for each of the interpretations of the

following ambiguous sentences. In (d) and (e), the
differences are only a matter of indexing and verb sub-
categorisation.
(a) Richard has plans to leave.
(b) I saw the boy studying in the library. (three possibilities)
(c) Flying planes can be dangerous.
(d) The chicken is ready to eat.
(e) Max thought Jim too old to play.
Note: As regards (e), assume there are three levels of AP
structure: AP, ADJ and A, (parallel to NP, NOM and N)
and that too pre-modifies ADJ (old to play).
3. Look again at the section ‘Complement of A in AP’ above
and, in the light of it, explain the ungrammaticality of *John
is impossible to sleep.

4. Draw phrase markers for the following, paying special

attention to indexing. To bring out the intricate differences
between the examples, assign indexes to all NPs, including
the pronoun them. Where them cannot be co-indexed with
another NP, can you explain why it can’t? It will help if you
consider what small change to that object NP would be
required to allow (indeed force) it to be co-indexed with
another NP.
(a) I wonder who the men expected to see.
(b) I wonder who the men expected to see them.
(c) I wonder how the men expected to see them.

5. The difference between Type I and Type II verbs manifests

itself in more ways than were discussed in the text.
Compare, for example, the following three (a)–(b) pairs. In
the (i)s the subordinate clauses are active but in the (ii)s
they are passive. Discuss precisely how the difference in
interpretation (and acceptability) between the (a)s and (b)s
further illustrates the distinction. Try this out with other
verbs.
(1a) (i) Sarah believed Dr. Fernandez to have treated Paul.

(ii) Sarah believed Paul to have been treated by Dr.

Fernandez.

(1b) (i) Sarah persuaded Dr. Fernandez to treat Paul.

(ii) Sarah persuaded Paul to be treated by Dr.

Fernandez.

(2a) (i) She wanted her colleagues to trust Paul.

 (ii) She wanted Paul to be trusted by her colleagues.

(2b) (i) She encouraged her colleagues to trust Paul.

(ii) *!She encouraged Paul to be trusted by her

colleagues.

(3a) (i) She expected all trainees to crush the garlic really
well.

(ii) She expected the garlic to be crushed really well

by all trainees.

(3b) (i) She reminded all trainees to crush the garlic really
well.

(ii) *!She reminded the garlic to be crushed really

well by all trainees.