Section 26
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26   Control environments

For a null subject position within a subordinated clause or an IP-EMB, the null subject position can have its reference determined by an NP outside of the clause, but present in the immediate context of the clause provided that the antecedent is an argument of the immediately containing clause. The relation between the antecedent and the null subject position in such situations is called “control”. In linguistics, the null subject position is commonly referred to as “(big) PRO”, but as this conflicts with the label used here for overt pronouns, “controllee” is the term used hereafter.

     There is no explicit annotation of nodes corresponding to controllees using *pro* or the like. Instead, the downstairs clause is left without any node position at all. This practice follows a general ambition (e.g., seen with the annotation of null elements in section 6) to avoid indexing annotation whenever possible. Consequently, for a subordinated IP to be subjectless, it must be an environment that allows control. This section describes the annotation configurations that create control environments. Table 3 indicates whether or not a clause type allows a control environment.

Syntactic tagControl environment
IP-REL (relative clause)no
IP-IMP (imperative clause)no
IP-MAT (matrix clause)no
IP-SUB (clause under CP* layer)no
IP-EMB (content noun modifying clause)yes
IP-ADV (adverbial clause)yes (with SCON and CND, not with CONJ)
IP-SMC (small clause)yes (obligatorily)

Table 3: Control environments

     From Table 3, it can be seen that a control relation will not hold through layers of a relative clause (IP-REL), imperative clause (IP-IMP), or matrix clause (IP-MAT). The latter two clause types (IP-IMP and IP-MAT) are never embedded, except in quotation contexts. Nor will a control relation hold through an IP-SUB clause layer, which must occur under a CP*. However, note that a control relation passes through to a small clause (IP-SMC), even when directly under CP-THT.

     The following sections demonstrate placement patterns for the subordinate clauses that do allow control, covering the disambiguation information that is needed and the relations of control that arise.

     When, for a given controllee, there are multiple candidates for antecedents, the anaphoric relation that obtains by default is decided by an accessibility hierarchy depending on the grammatical role of the antecedent. The ordering, from most accessible to least, is as follows for active voice:

In cases of passivisation, the control inheritance for an adjunct IP-ADV is:

In indirect passive constructions, an embedded clause (IP-SMC) contains the verb stem and its active argument positions. The upstairs NP-SBJ has a placement in the control hierarchy corresponding with its role in the active counterpart (if any). If the upstairs NP-SBJ corresponds to no clear active role, by default its placement is above NP-LGS.

     Precedence is not a condition on accessibility for control into IP-SMC. However, for control into IP-ADVs, precedence of the antecedent is required for all roles except NP-SBJ, which can serve as a controller both preceding a control environment and following a control environment.

26.1   Control into small clauses (IP-SMC)

IP-SMC is never annotated as containing a subject argument. Consequently it is an obligatory control environment. Typically forming a part of a complement of the predicate of the immediately containing clause, IP-SMC has its control relationship determined from among the full range of arguments present in the containing clause. This favours NP-OB2 over NP-OB1 over NP-SBJ to act as the controller when any of these is present and irrespective of where these noun phrases occur.

     The following pictures illustrate the relations of control that will hold dependent on the range of arguments present in the containing clause.

(269)
私は弟を買い物に行かせた。

( (IP-MAT (PP (NP;{SPEAKER_14} (PRO 私))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 弟))
              (P を))
          (NP-OB1 *を*)
          (IP-SMC (PP (NP (N 買い物))
                      (P に))
                  (VB 行か))
          (VB せ)
          (AXD た)
          (PU 。))
  (ID 14_misc_EXAMPLE))

(270)
「どこからパンを買ってきて、この人々に食べさせようか」。

( (CP-QUE (-LRB- 「)
          (IP-SUB (NP-SBJ *speaker*)
                  (IP-ADV (PP (NP (WPRO どこ))
                              (P から))
                          (PP (NP (N パン))
                              (P を))
                          (NP-OB1 *を*)
                          (VB 買っ)
                          (P て)
                          (VB2 き)
                          (P て))
                  (CONJ *)
                  (PU 、)
                  (PP (NP (D この)
                          (N 人々))
                      (P に))
                  (NP-OB1 *に*)
                  (IP-SMC (NP-OB1 *pro*)
                          (VB 食べ))
                  (VB させ)
                  (MD よう))
          (P か)
          (-RRB- 」)
          (PU 。))
  (ID 397_bible_new))

(271)
私は弟に買い物に行ってもらった。

( (IP-MAT (PP (NP;{SPEAKER_16} (PRO 私))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 弟))
              (P に))
          (NP-OB1 *に*)
          (IP-SMC (PP (NP (N 買い物))
                      (P に))
                  (VB 行っ)
                  (P て))
          (VB もらっ)
          (AXD た)
          (PU 。))
  (ID 16_misc_EXAMPLE))

(122)
私は弟にケーキを食べられた。

( (IP-MAT (PP (NP;{SPEAKER_17} (PRO 私))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 弟))
              (P に))
          (NP-OB1 *に*)
          (IP-SMC (PP (NP (N ケーキ))
                      (P を))
                  (NP-OB1 *を*)
                  (VB 食べ))
          (VB られ)
          (AXD た)
          (PU 。))
  (ID 17_misc_EXAMPLE))

(273)
弟に私はケーキを食べられた。

( (IP-MAT (PP (NP (N 弟))
              (P に))
          (NP-OB1 *に*)
          (PP (NP;{SPEAKER_18} (PRO 私))
              (P は))
          (NP-SBJ *)
          (IP-SMC (PP (NP (N ケーキ))
                      (P を))
                  (NP-OB1 *を*)
                  (VB 食べ))
          (VB られ)
          (AXD た)
          (PU 。))
  (ID 18_misc_EXAMPLE))

(274)
わたくしの考えを述べさせていただきます。
‘Let me speak my idea.’

( (IP-MAT (NP-SBJ *speaker*)
          (NP-OB1 *hearer*)
          (IP-SMC (NP-OB1 *speaker*)
                  (IP-SMC (PP (NP (PP (NP;{SPEAKER_1292} (PRO わたくし))
                                      (P の))
                                  (N 考え))
                              (P を))
                          (NP-OB1 *を*)
                          (VB 述べ))
                  (VB させ)
                  (P て))
          (VB いただき)
          (AX ます)
          (PU 。))
  (ID 1292_textbook_kisonihongo))

(275)
死にたく思う。

( (IP-MAT (NP-SBJ;{DAZAI} *speaker*)
          (IP-SMC (VB 死に)
                  (AX たく))
          (VB 思う)
          (PU 。))
  (ID 96_aozora_Dazai-1-1940))

     See also the sections on causatives (section 30.8), causative passives (section 30.9), and indirect passives (section 30.10).

26.2   Control into adverbial clauses (IP-ADV)

When IP-ADV is disambiguated with CONJ (see section 27), anaphoric relationships between upstairs anaphors and null elements do not fall under the description of control. This section rather concerns all other instances of IP-ADV, that is, those disambiguated with either CND or SCON. Such adverbial clauses are introduced either by a grammatical role particle (see sections 8.1 and 8.2), by a conjunctive particle disambiguated with CND (see section 8.5.1), or by a conjunctive particle disambiguated with SCON (see section 8.5.2).

     For subordinated, dependent adjunct clauses (IP-ADVs), if there is no NP-SBJ local to the adverbial clause, then a controllee can inherit its reference from a controller in the higher clause layer, favouring NP-OB2 over NP-LGS over NP-OB1 over NP-SBJ when any of these is present and provided such noun phrases are accessible. That is, a controller should precede the IP-ADV, with the exception of the subject which is always accessible.

(276)
ランドセルは孫に,小学校に上がったのであげました。

( (IP-MAT (NP-SBJ;{SPEAKER_21} *speaker*)
          (PP (NP (N ランドセル))
              (P は))
          (NP-OB1 *)
          (PP (NP (N 孫))
              (P に))
          (NP-OB2 *に*)
          (PU ,)
          (PP (IP-ADV (PP (NP (N 小学校))
                          (P に))
                      (VB 上がっ)
                      (AXD た))
              (P ので))
          (SCON *)
          (VB あげ)
          (AX まし)
          (AXD た)
          (PU 。))
  (ID 21_misc_EXAMPLE))

(277)
それを肝心綯のように細長く綯った。

( (IP-MAT (NP-SBJ *pro*)
          (PP (NP (PRO それ))
              (P を))
          (NP-OB1 *を*)
          (IP-ADV (NP-PRD (PP (NP (N 肝心綯))
                              (P の))
                          (N よう))
                  (AX に))
          (ADVP (ADV 細長く))
          (VB 綯っ)
          (AXD た)
          (PU 。))
  (ID 256_aozora_Natsume-1908))

(278)
そのお菓子は,まずかったので弟にやった。

( (IP-MAT (NP-SBJ;{SPEAKER_20} *speaker*)
          (PP (NP;{SWEET_20} (D その)
                             (N お菓子))
              (P は))
          (NP-OB1 *)
          (PU ,)
          (PP (IP-ADV (ADJI まずかっ)
                      (AXD た))
              (P ので))
          (SCON *)
          (PP (NP (N 弟))
              (P に))
          (NP-OB2 *に*)
          (VB やっ)
          (AXD た)
          (PU 。))
  (ID 20_misc_EXAMPLE))

(74)
ビールはよく冷えていても飲みたくない。

( (IP-MAT (NP-SBJ;{SPEAKER_26} *speaker*)
          (PP (NP (N ビール))
              (P は))
          (NP-OB1 *)
          (PP (IP-ADV (ADVP (ADV よく))
                      (VB 冷え)
                      (P て)
                      (VB2 い)
                      (P て))
              (P も))
          (CND *)
          (VB 飲み)
          (AX たく)
          (NEG ない)
          (PU 。))
  (ID 26_misc_EXAMPLE))

(280)
在庫はコンピューターで管理し、最新の資材を補充する

( (IP-MAT (NP-SBJ *pro*)
          (IP-ADV (PP (NP (N 在庫))
                      (P は))
                  (NP-OB1 *)
                  (PP (NP (N コンピューター))
                      (P で))
                  (VB 管理)
                  (VB0 し))
          (PU 、)
          (PP (NP (PP (NP (N 最新))
                      (P の))
                  (N 資材))
              (P を))
          (NP-OB1 *を*)
          (VB 補充)
          (VB0 する))
  (ID 94_newswire_KAHOKU_00082_K201402060A0T10XX00001))

(281)
寂しかったので私は友人を呼んだ。

( (IP-MAT (PP (IP-ADV (ADJI 寂しかっ)
                      (AXD た))
              (P ので))
          (SCON *)
          (PP (NP;{SPEAKER_19} (PRO 私))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 友人))
              (P を))
          (NP-OB1 *を*)
          (VB 呼ん)
          (AXD だ)
          (PU 。))
  (ID 19_misc_EXAMPLE))

(282)
ギョッとして武士は足を早める。

( (IP-MAT (IP-ADV (VB ギョッと)
                  (VB0 し)
                  (P て))
          (SCON *)
          (PP (NP (N 武士))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 足))
              (P を))
          (NP-OB1 *を*)
          (VB 早める)
          (PU 。))
  (ID 57_aozora_Kunieda-1925))

26.3   Control into content complements of nouns (IP-EMB)

As noun-modifying clauses lacking null positions that correspond to the target of modification, IP-EMBs typically denote propositional content attributed to picture nouns (走る姿), content nouns (年明けを目途とする計画), and event nouns (長男を失った経験; 持ち直す可能性), or specificational description of formal nouns (食べたあと; 回復するはず), function nouns (チーターの走る速度), etc.

     Control into IP-EMB occurs as with IP-ADV (see section 26.2) with a favouring of NP-OB2 > NP-LGS > NP-OB1 > NP-SBJ when any of these is present. As with IP-ADV, (and in contrast to IP-SMC), placement of the NP controlling the IP-EMB within the containing clause is relevant for determining accessibility, that is, a controller should occur before the IP-EMB with the exception of the subject which is always accessible.

(283)
手紙は太郎にここへ来たときに渡した。

( (IP-MAT (NP-SBJ;{SPEAKER_24} *speaker*)
          (PP (NP (N 手紙))
              (P は))
          (NP-OB1 *)
          (PP (NP (NPR 太郎))
              (P に))
          (NP-OB2 *に*)
          (PP (NP (IP-EMB (PP (NP;{SPEAKER_CURRENT_POS_24} (PRO ここ))
                              (P へ))
                          (VB 来)
                          (AXD た))
                  (N とき))
              (P に))
          (VB 渡し)
          (AXD た)
          (PU 。))
  (ID 24_misc_EXAMPLE))

(284)
二郎はたこ焼を熱いうちに太郎に渡した。

( (IP-MAT (PP (NP (NPR 二郎))
              (P は))
          (NP-SBJ *)
          (PP (NP (N たこ焼))
              (P を))
          (NP-OB1 *を*)
          (PP (NP (IP-EMB (ADJI 熱い))
                  (N うち))
              (P に))
          (PP (NP (NPR 太郎))
              (P に))
          (NP-OB2 *に*)
          (VB 渡し)
          (AXD た)
          (PU 。))
  (ID 23_misc_EXAMPLE))

Control from the subject of the containing clause can pass through an NP argument layer into an IP-EMB complement provided the NP restriction contains in addition to the IP-EMB complement only a head noun, annotated N.

(285)
試験を受ける前に、トイレに行った。
‘I went to the toilet before I took the exam.’

( (IP-MAT (NP-SBJ *speaker*)
          (PP (NP (IP-EMB (PP (NP (N 試験))
                              (P を))
                          (NP-OB1 *を*)
                          (VB 受ける))
                  (N 前))
              (P に))
          (PU 、)
          (PP (NP (N トイレ))
              (P に))
          (VB 行っ)
          (AXD た)
          (PU 。))
  (ID 1111_textbook_kisonihongo))

(286)
小さかったころ私は犬を怖がっていた。

( (IP-MAT (NP-TMP (IP-EMB (ADJI 小さかっ)
                          (AXD た))
                  (N ころ))
          (PP (NP;{SPEAKER_22} (PRO 私))
              (P は))
          (NP-SBJ *)
          (PP (NP (N 犬))
              (P を))
          (NP-OB1 *を*)
          (VB 怖がっ)
          (P て)
          (VB2 い)
          (AXD た)
          (PU 。))
  (ID 22_misc_EXAMPLE))

26.4   Preventing control with null elements

When an upstairs candidate for antecedence should not be allowed to control into an IP-ADV, IP-SMC, or IP-EMB, control can be prevented by introducing a null NP-SBJ (*pro*, *speaker*, *hearer*, *arb*, etc., whichever is appropriate (see section 6), into the controllee position. In example (287), *arb* is internal to IP-EMB to prevent the matrix NP-SBJ controlling an empty subject position in the IP-EMB.

(287)
私の趣味は料理をすることです。

( (IP-MAT (PP (NP (PP (NP;{SPEAKER_29} (PRO 私))
                      (P の))
                  (N 趣味))
              (P は))
          (NP-SBJ *)
          (NP-OB1 (IP-EMB (NP-SBJ *arb*)
                          (PP (NP (N 料理))
                              (P を))
                          (NP-OB1 *を*)
                          (VB する))
                  (N こと))
          (AX です)
          (PU 。))
  (ID 29_misc_EXAMPLE))

There are cases (e.g., involving weather predicates), where neither control nor ATB antecedence should be allowed. Prevention of all anaphoric relation is achieved by introducing (NP-SBJ *exp*) into the controllee position, as in example (288).

(288)
春子は寒くなると学校に来なくなる。

( (IP-MAT (PP (NP (NPR 春子))
              (P は))
          (NP-SBJ *)
          (PP (IP-ADV (NP-SBJ *exp*)
                      (ADJI 寒く)
                      (VB2 なる))
              (P と))
          (CND *)
          (PP (NP (N 学校))
              (P に))
          (VB 来)
          (NEG なく)
          (VB2 なる)
          (PU 。))
  (ID 12_misc_TOPTEN))

Introduction of zero pronouns is required in some cases exactly because the annotation stipulates the existence of a controllee in contexts that both allow control and lack a subject NP (whether that NP be null or overt).

     When there is coreference between an upstairs argument and a null position in a control environment, but control is not allowed due to either (i) the antecedent following rather than preceding the downstairs clause, or (ii) the null position not being a subject position, or (iii) both (i) and (ii), an antecedent relationship can be established through the explicit annotation of a zero pronoun (NP-SBJ *pro*) plus binding information shared between the zero pronoun and the antecedent.

(289)
ダウンロードして印刷すれば、学校や家庭で手軽に取り組める。

( (IP-MAT (NP-SBJ *pro*)
          (IP-ADV (NP-OB1;{FILE} *pro*)
                  (IP-ADV (VB ダウンロード)
                          (VB0 し)
                          (P て))
                  (CONJ *)
                  (VB 印刷)
                  (VB0 すれ)
                  (P ば))
          (CND *)
          (PU 、)
          (NP-OB1;{FILE} *pro*)
          (PP (NP (CONJP (NP (N 学校))
                         (P や))
                  (NP (N 家庭)))
              (P で))
          (ADVP (ADJN 手軽)
                (AX に))
          (VB 取り組める)
          (PU 。))
  (ID 55_newswire_KAHOKU_00097_K201402230A0T20XX00001))


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