ELEVEN

THE COMPLEX SENTENCE

11.1
Coordination and subordination
Subordination is a non-symmetricai relation, holding between two clauses
in such a way that one is a constituent or part of the other. Compare
the coordination in
1 1 2 2
[I like John] and [John likes me]
1 1 2 2
[‘independent’] [‘independent’]
with the subordination in
1 2 21
[I like John [because John likes me] ]
1 1
[‘superordinate’ or ‘independent’ or ‘m ain’]
2 2
[‘subordinate’ o r ‘dependent’]
The above examples also illustrate the terms commonly associated with
the clausal units distinguished.
The device o f subordination enables us to organize multiple clause
structures. Each subordinate clause may -itself be superordinate to one
or m ore other clauses, so that a hierarchy o f clauses, one within another,
may be built up, sometimes resulting in sentences o f great complexity.
A relatively simple example:
X- Y- Z- -Z-Y-X
(I think [that you can do it (if you try} ] )
Here the clause beginning at Z- is subordinate to the clause begin­
ning at Y-, which in turn is subordinate to the clause beginning at
X-. Both Y and Z are dependent clauses, while X is the independent
clause, and is identical with the sentence as a whole: / as S, think
as V, that you can do it as O, and i f you try as A.
D ependent clauses may be classified either by STRU CTU RA L TYPE,
ie in terms o f the elements they themselves contain, or by F U N C ­
TIO N , ie the p art they play in the superordinate clause.

11.2
Finite, non-finite, and verbless clauses
Analysing by structural type, we arrive at three main classes:
FIN IT E C LA U SE: a clause whose V element is a finite verb phrase
eg: John has visited New York
Because John is working, he...
269
N O N -FIN IT E CLA U SE: a clause whose V element is a non-fmite verb
phrase
eg: Having seen the pictures, he...
For John to carry the parcels was a...
VERBLESS CLA U SE: a clause containing no V element (but otherwise
generally analysable in terms o f one or more clause elements)
eg: Although always helpful, he...
John, then in New York, was...
All clauses — finite, non-finite, or verbless — may o f course themselves
have subordinate clauses which are finite, non-finite, or verbless. Eg
the following verbless clause has a finite clause within it:
Although always helpful when his father was away, he...

n .3

Finite and non-finite clauses

The finite clause always contains a subject as well as a predicate,
except in the case o f commands and ellipsis. As nearly all independent
clauses (in discursive English, though not in ‘block language’) are finite
clauses, it is these that are m ost clearly related to the clauses dealt
with in C hapter 7. In contrast, non-finite clauses can be constructed
without a subject, and usually are. The four classes of non-finite verb
phrase serve to distinguish four classes of non-finite clause:
[I] IN FIN IT IV E W ITH to
without subject: The best thing would be to tell everybody
with subject: The best thing would be fo r you to tell everybody
The use o f fo r to introduce the subject should be noted. The infinitive
clause with to and with a subject is found characteristically in an­
ticipatory it constructions. It would be better (for you) to tell everybody.
[II] IN FIN IT IV E W IT H O U T to
without subject: All I did was tell him the truth
with subject: R ather than John do it. I’d prefer to give the
job to M ary
[III] -ing PA R T IC IPL E
without subject: Leaving the room, he tripped over the mat
with subject: Her aunt having left the room, I declared my
passionate love for Celia
[IV] -ed PA R T IC IPL E
w ithout subject: Covered with confusion, I left the room
with subject: We left the room and went home, the job
finished
W hen the subject o f adverbial participial clauses is expressed, it is often
introduced by with:
270
 With the tree tall, we get more shade
{grown J
The norm al range of clause types is available, with active and passive
forms broadly as in the corresponding finite clauses, but there is a
restriction on the -ed participial clause, which is both syntactically
and semantically passive, and therefore admits only the four passive
clause types 5Fpass, SVp^ss^, and SVp^^sO :
Defeated, he slunk from the room
Type (5)Fpass ( = active Type SVO )

11.4

Structural ^deficiencies^ of non-finite clauses

The absence o f the finite verb from non-finite clauses means that they
have no distinctions o f person, num ber, or modal auxiliary. Together
with the frequent absence o f a subject, this suggests their value as a
means of syntactic compression. Certain kinds o f non-finite clause are
particularly favoured in the careful style o f written prose, where the
writer has the leisure to make a virtue out o f compactness. But the
advantage o f compactness m ust be balanced against the stumbling block
o f ambiguity; for the absence o f a subject leaves doubt as to which
nearby nominal element is notionally the subject:
We met you [when you?¡we? were] leaving the room
When no referential link with a noniinal can be discovered in the
linguistic context, an indefinite subject ‘somebody/something’ may be in­
ferred, or else the ‘I’ o f the speaker:
To be an administrator is to have the worst job in the world
(T o r a person to be...’)
The prospects are not very good, to be honest
(‘...if I am to be honest’)
Note
[fl] In negative non-fmite clauses, the negative particle is placed immediately before the verb:
It’s his fault for not doing anything about it
The wisest policy is (for us) not to interfere
It should be observed that the not precedes the to of the infinitive.
[¿>] The inseparability of to from the infinitive is also asserted in the widely held opinion
that it is bad style to ‘split the infinitive’. Thus rather than:
?He was wrong to suddenly leave the country
many people (especially in BrE) prefer:
He was wrong to leave the country suddenly
It must be acknowledged, however, that in some cases the ‘split infinitive* is the only
tolerable ordering, since avoiding the ‘split infinitive* results in clumsiness or ambi­
guity. For example:
I have tried to consciously stop worrying about it

271
11.5

Verbless clauses
W ith the verbless clause, we can usually infer ellipsis o f the verb be\
the subject, when omitted, can be treated as recoverable from the context;
Whether right or wrong, he always comes off worst in an argument
(W hether he is right or wrong...)
Verbless clauses can also, on occasion, be treated as reductions of
non-finite clauses:
Too nervous to reply, he stared at the floor
{Being too nervous to reply...)
Here the verbless clause itself contains a non-fmite clause, to reply.
As with participle clauses, the subject is often introduced by with:
With the tree now tall, we get more shade*
Since the verbless clause is basically an elliptical intensive verb clause
(Type S V C or S V A : 12), the variations o f its structure are somewhat
limited. The following, however, are among possible combinations:
She marched briskly up the slope, the blanket across her shoulder
S[Vi„,enJA
When ripe, these apples will be delicious when + [SVintenslQ
His gaze travelled round, irresolute [SVjntens]Q

O ptional adverbials may also be added, either initially or finally:

She looked with disgust at the dog, qiiiet now in Dinah's grasp
[S ^ intens] ^ s^ tim e A p Ia c e

11.6
Formal indicators of subordination
In general, subordination is marked by some indication contained in
the subordinate rather than superordinate clause. Such a signal may be
of a num ber of different kinds: it can be a subordinating conjunction;
a vv/z-element; the item that\ inversion; or (negatively) the absence of
a finite verb form. Especially in vv/z-items {where, when, etc), we can
see a fusion o f conjunction and pro-adjunct.

11.7

Subordinators
Subordinators (or more fully ‘subordinating conjunctions’) are perhaps
the most im portant formal indicators of subordination. Like prepositions,
which they resemble in having a relating connecting function, subordi-
272
nators forming the core of the class consist o f a single w ord; and
again as with prepositions, there are num erous com pound items which act,
to various degrees, like a single conjunction. In addition, there is a
small class of correlative subordinators, ie combinations of two m ark­
ers, one (a conjunction) occurring in the subordinate clause, and the
other (normally an adverb) occurring in the superordinate clause.
SIM PLE SU BO RD IN A TO RS
after, {al)though, as, because, before, i f once, since, that, until,
when, where, while, etc
C O M PO U N D SU BO RD IN A TO RS
ending with that:
in that, so that, such that, except that, etc; in order that
(or to 4- infinitive clause)
ending with optional that:
now {that), provided {that), supposing {that), considering {that),
seeing {that), etc
ending with as:
as fa r as, as long as, as soon as, so long as, etc;
so as {+ to + infinitive clause)
ending with than:
sooner than ( + infinitive clause), rather than ( + non-finite or
verbless clause)
other:
as if, as though, in case
CO RRELA TIV E SU BO RD IN A TO RS
i f ..then; {al)though...yet¡nevertheless; as...so
more¡-er¡less...than; as...as; sg...as; so...{that); such...as; such...{that);
no sooner...than
whether...or
the...the
Note
[fl] Some subordinators {as, since, until, till, after, before, but) also function as prepositions:
since the war, etc.
[¿?] For, with, and without, elsewhere prepositions, might be added to the list of subor­
dinators when they introduce the subject of a non-fmite or verbless clause:
fo r him to interfere; with so many people there
[c] Some o f the above-listed subordinators introduce non-finite and verbless clauses {eg:
if a nuisance), others do not {*since a nuisance).

n .8
Borderline subordinators
Three borderline categories may be m entioned: (a) habitual com bina­
tions of a subordinator with a preceding or following intensifying adverb
273
(just as, i f only); (b) participle forms {supposing ...), bearing a resemblance
to participle clause disjuncts like judging from speaking frankly,
etc; (c) expressions o f time which, although adverbial in form, act like
a single tem poral conjunction {eg: directly ¡immediately ¡the moment {that)
I had spoken),

11.9

Other indicators of subordination

Now we give a brief preliminary survey of other indicators of sub­
ordination, apart from subordinating conjunctions.
(a) WTi-ELEMENTS are initial m arkers o f subordination in, for
example, dependent interrogative clauses. The vv/i-words (such as
who) function as o r within one o f the clause elements subject,
object, complement, or adverbial
(b) Subject-operator inversion is a m arker o f subordination in some
conditional clauses, where the operator is had, were, or should.
O ther unusual syntactic orderings also play a role in distinguishing
a subordinate clause: for example, though I was.

There are only two types o f subordinate clause that contain no

m arker within themselves of subordinate status: these are
[I] Nom inal clauses which may or may not have that:
I suppose you re right ( с / I suppose that you’re right)
[II] Com ment clauses o f a kind relatable to the main clause in
the previous example:
Y ou’re right, / suppose

11.10

Functional classiflcation of dependent clauses

Dependent clauses may function as subject, object, complement, or
adverbial in the superordinate clause:
subject: That we need more equipment is obvious
direct object: I know that she is pretty
subject complement: The point is that we're leaving
indirect object: I gave whoever it was a cup o f tea
object complement: I imagined him overcome with grief
adjunct: When we meet, I shall explain everything
disjunct: To be honest. I ’ve never liked him
conjunct: What is more, he has lost the friends he had
In addition, they may function within these elements, as postmodifier,
prepositional complement, etc; eg,
274
 postmodifier in noun phrase: A friend who remains loyal
prepositional complement: It depends on what we decide
adjectival complement: Ready to act promptly
Note
Dependent clauses rarely act as conjuncts, as object complements, or as indirect objects.
As object complement, they must be non-finite clauses in complex-transitive comple­
mentation. As indirect object, they must be nominal relative clauses.

11.11

Just as noun phrases may occur as subject, object, complement, ap­

positive, and prepositional complement, so every N O M IN A L CLAUSE
may occur in some or all of these roles. But the occurrence of nom­
inal clauses is limited by the fact that they are normally abstract;
ie they refer to events, facts, states, ideas, etc. The one exception to
this generalization is the nominal relative clause, which may refer to
objects, people, substances, etc, and may in fact be analysed, on one
level, as a noun phrase consisting of head and postmodifying relative
clause, the head and relative pronoun coalescing to form a single
H^/z-element.

11.12

ADVERBIAL CLAUSES operate as adjuncts or disjuncts. In this respect,

they are like adverbs, and are often commutable with prepositional
phrases. Com pare:
Because the soloist was ill, they cancelled the concert
Because o f the soloist’s illness, they cancelled the concert
COM PA RA TIV E CLAUSES, like sentential relatives, are difficult to fit
into any of the m ajor functional categories. They often have the ap­
pearance of adverbial o r adjectival modifiers:
I love you more deeply than I can say
H e’s not as clever a man as I thought

They also have some features in common with adverbial clauses, how­
ever. Semantically, we may consider them, together with their cor­
relative element {more, as, -er, etc) in the main clause, as equivalent
to a degree adverb.
C O M M EN T CLAUSES perform the function of disjunct or (occasion­
ally) conjunct, and often express the speaker’s attitude to the main
clause, or his manner of asserting it:
Food is cheap in England, I believe

Each of these functional types will now be examined in greater de­

tail, leaving others to later chapters: relative clauses, clauses in struc­
tures of complementation.
275
Nominal clauses

11.13

‘That’-clauses

The that-c\dM^Q can occur as:

subject: That she is still alive is a consolation

direct object: wrong

subject complement: The assumption is that things will improve

appositive: Y our assumption, that things will improve, is unfounded
adjectival complement: I’m sure that things will improve
It cannot, however, occur as prepositional complement or as object
complement.
When the that-c\dM^Q is object or complement (or delayed subject),
the conjunction that is frequently om itted in informal use, leaving a ‘zero’
that-c\dMSQ\
(fl\ knew 'j
<I told him> he was wrong
U ’m sure J
When the clause is subject and not extraposed, that cannot be om it­
ted and is usually expanded to the fa c t that,except in very formal
English:
{The fact) that she is still alive consoles me
Note
[fl] The zero r/iflr-clause is particularly common when the clause is brief and uncompli­
cated. In contrast, the need for clarity discourages or even forbids the omission o f
that in complex sentences loaded with adverbials and modifications. Any parenthetical
material between the verb of the superordinate clause and the subject of the that-
clause is especially likely to inhibit deletion:
We had hoped, in a moment of optimism, that the Government would
look favourably on our case
The position o f that after the second comma, rather than before the first comma,
in this sentence, is decisive in assigning the parenthetical adverbial to the main clause
and not the r/wr-clause. The omission of that would leave the structure o f the
sentence unclear.
[¿>] Direct passive transforms of clauses with a rAflr-cIause object are rare, the version
with extraposition being preferred: It is thought that he will come. The same point
applies to other nominal clauses.
[c] While r/wr-clauses, like most other nominal clauses, cannot be object complements,
an alternative (and rather formal) ro-infinitive construction is available with some verbs.
Contrast [1] and [2]:
I thought his argument absurd I thoHght his argument to be absurd [1]
*^1 thought his argument that we should pay ^ I thought his argument to be
that we should pay [2]

276
1 1 .1 4

‘Wh’-interrogative clauses

The dependent w/z-interrogative clause occurs in the whole range of

functions available to the //ia/-clause, and in addition can act as prepo­
sitional complement:
subject: How the book will sell depends on its author
direct object: I can’t imagine what made him do it
subject complement: The problem is not who will go, but who
will stay
appositive: My original question, why he did it at all, has not
been answered
adjectival complement: I wasn’t certain whose house I was in
prepositional complement: N o one was consulted on who should
have the prize
As regards meaning, these clauses resemble vv/z-questions in that they
leave a gap o f unknown information, represented by the vv/z-element.
Com pare the negative and interrogative with the positive declarative in
the following:
I ’m not sure who is coming
Do you know who is coming?
I’m sure) ^ .
^ , > that John IS commg
I know J
There is also a grammatical similarity to vv/z-questions in that the
}v/z-element is placed first; indeed, apart from the absence of subject-
operator inversion in the dependent clause, the structures of the two
types o f clause are in all respects parallel. We have, in the wh-m-
terrogative clause, the same choice between initial and final preposi­
tion where the prepositional complement is the vv/z-element:

H e couldn’t remember j" «

[which shelf he kept it on

An infinitive vv/z-clause can be formed with all vv/z-words except why:

He was explaining how to start the motor (‘... how one should ...’)
I never know where to put m y coat (‘... where I ought to ...’)
Note
[a] In literary style, there is an occasional subject-operator inversion when the w/i-element
is the A o f an SVA type clause, or the C o f an SVC type clause:
I told them how strong was m y desire to visit the famous temple
There is also an informal but chiefly dialectal inversion {eg in Irish English), as in:
He asked me where was I staying
[b] The preposition preceding a w/i-clause is optional in certain circumstances:
I was not certain {oj) what to do

277
11.15
‘Yes-no’ interrogative clauses
The dependent yes-no interrogative clause is formed with if or whether:
Do you know ifjwhether the banks are open?
The dependent alternative question has i f ¡whether...or:
I don’t know whether it will rain or be sunny
I don’t care if your car breaks down or not
Only whether can be directly followed by or not:
T . {whether or not! , , ,
I don t care < . > your car breaks down
[* z/ or not J
A clause beginning with whether cannot be made negative, except as
the second part o f an alternative question:
rif it doesn’t rain
I don’t care <*whether it doesn’t rain
(w hether it rains or (whether it does) not
On the other hand, i f cannot introduce a subject clause:

it rains or not doesn’t concern me

Note
With certain introductory verbs or adjectives a negative whether-c\?iUSQ is acceptable:

I wonder I whether he doesn’t expect too much from her

I m not surej

In fact, however, such sentences have a positive rather than negative meaning: ‘I think
he expects too much from her’.

11.16

Nominal relative clauses

The nominal relative clause, also introduced by a vi;/z-element, can be:

subject: What he is looking fo r is a wife
direct object: I want to see whoever deals with complaints
indirect object: He gave whoever came to the door a winning smile
subject complement: Home is where your friends.and fam ily are
object complement: You can call me what{ever) (names) you like
appositive: Let us know your college address (that is, where you
live in term time)
prepositional complement: Vote for which(ever) candidate you like
The nominal relative clause is much closer to noun phrase status
than other nominal clauses are. It can normally be paraphrased by a
noun phrase containing a postmodifying relative clause:
278
 r i l give you however much tobacco you need (‘... any am ount ... that
yf)u need’)
Qtiality is what counts most (‘... the thing that counts m ost’)
There is a difference between U N IV ERSA L and D E FIN IT E meaning
as expressed by the wh-iovm o f a relative clause. We see this in the
paraphrases o f the examples above: the first is paraphrased in ‘univer­
sal’ terms {any am om t), the second in ‘definite’ terms {the thing).
C ontrast with the latter:
Quality is whatever counts most (‘... anything that ...’)
The form who is rarely used in present-day English in this nominal
relative function (* Who told you that was lying), being replaced in
many contexts, for both universal and definite meanings, by whoever:

Whoever told you that was lying |

Where the wh-v^oxA chosen is available for both nominal relative

and interrogative clauses, an ambiguity arises:
They asked me what I didn’t know (‘They asked me that which
I didn’t know ’ or T h ey a ^ e d me “W hat don’t you know ?” ’)

n .1 7

T o ’-infinitive nominal clauses

The /o-infmitive nominal clause can occur as:
subject: For a bridge to collapse like that is unbelievable
direct object: He likes everyone to be happy
subject complement: My wish is to be a pilot
appositive: His ambition, to be a straight actor, was never fulfilled
adjectival complement: I’m glad to help you
The subject o f a /o-infmitive clause is normally preceded by fo r
(which is perhaps acting here more as a conjunction than as a prepo­
sition). The subject, when a pronoun, is in the objective case:
[th a t we should meet on Thursday
ft
The idea is s . ^ ^ j
(^for us to meet on Thursday

When the clause is a direct object, however, the fo r is om itted:

He wants me to leave {rather than: *He wants for me to leave)
On vv/z-infmitive clauses, see 11.14.
Note
[fl] The infinitive clause resembles the that clause (in contrast to the ~ing clause) in
never being a prepositional complement.
[¿?] The correspondence between ‘The idea is to meet* and ‘The idea is that we should
meet" shows the putative nature of the infinitive clause.

279
1 1 .1 8
«
Nominal ‘-ing’ clauses
The nominal -ing clause, a P A R T IC IPL E CLAUSE, occurs in the fol­
lowing positions:
subject: Telling lies is wrong
direct object: No one enjoys deceiving his own fam ily
subject complement: His favourite pastime is playing practical jokes
appositive: His hobby, collecting stamps, absorbed him
prepositional complement: I’m tired o f being treated like a child
adjectival complement: The children were busy building sandcastles
It is the commonest type o f participle clause, that which has no sub­
ject, that is illustrated above. There is sometimes a choice as follows:
G EN ITIV E case in formal style:
I ’m surprised at his IJohn's making that mistake
OBJECTIVE or CO M M O N case (for personal pronouns or nouns,
respectively) in informal style:
I’m surprised at himJJohn making that mistake
It is commonly claimed that the genitive is the only ‘correct’ form,
but in fact it frequently has a stilted effect, and is particularly unsuitable
when the subject is an inanimate or abstract noun phrase which would
not normally take the genitive case, or a ‘group’ genitive phrase:
?The crisis has arisen as a result of recent uncontrolled inflation's
having outweighed the benefits o f devaluation
On the other hand, a pronoun in the objective case is disliked in
subject position:
Him being a polyglot was a great surprise (very informal)
Many prefer to avoid both possibilities where alternatives are available:
It was a great surprise that he was a polyglot
Note
As compared with the -ing clause, the genitive is obligatory where the -ing item consti­
tutes the head o f a noun phrase:
His/him criticizing John was very unfair
His/*him criticizing of John was very unfair

11.19
Bare infinitive and verbless clauses
The to o f the infinitive is optionally om itted in a clause which sup­
plies a predication corresponding to a use o f the pro-verb do:
All I did was {to) turn o ff the gas
280
When the infinitive clause is initial, to has to be om itted: Turn o ff
the tap was all I did.
Note
In the following sentence, the lack of concord between carpets and is shows that the
subject is not a noun phrase:
Wall-to-wall carpets in every room is very expensive
Rather, it should be seen as a nominal verbless clause, paraphrasable as ‘Having wall-to-
wall carpets in every room’. On the other hand, the similarity often causes these verbless clauses
to be given the concord demanded with noun phrases:
Ате fast cars in cities really very wise?

Adverbial clauses
11.20
Adverbial clauses, like adverbials in general, are capable of occurring
in a final, initial, or medial position within the main clause (generally
in that order of frequency, medial position being rather rare). A tten­
tion will be drawn, in the paragraphs that follow, to modifications of
this general statement. On problems of tense, aspect, and mood, see
1 1 .4 5 # .

1 1 .2 1

Clauses of time

Finite adverbial clauses o f time are introduced by such subordinators

as after, before, since, until, when:
When I last saw you, you lived in W ashington
Buy your tickets as soon as you reach the station
O ur hostess, once everyone had arrived, was full o f good hum our
The -ing clause may be introduced by after, before, since, until, when{ever),
and while', -ed clauses by once, until, when{ever), and while', and verbless
clauses by as soon as, once, when(ever), and while:
H e wrote his greatest novel while working on a freighter
Once published, the book caused a rem arkable stir
When in difficulty, consult the manual
In addition, -ing clauses w ithout a subject are also used to express
time relationship:
Nearing the entrance, I shook hands with my acquaintances (‘when/as
I neared ...’)
The stranger, having discarded his jacket, moved threateningly to­
wards me (‘after he had discarded ...’)
Temporal clauses are common in initial position.
281
Note
[fl] With until and its variant till, the superordinate clause is negative if the time reference
is to a commencement point:
♦He started to read until he was ten years old
He didn’t start to read until he was ten years old
He walked in the park till it was dark
In the negative sentence, not (...) until means the same as not (...) before.
[6] There is no semantic subordination with a type o f w/i^«-clause whichoccurs finally
in sentences in formal narrative style and in which when means ratherand then:
The last man was emerging from the escape tunnel when a distant shout signalled
its discovery by the guards
[c] Infinitive clauses of ‘outcome’ may be placed among temporal clauses:
I awoke one morning to fin d the house in an uproar
Such sentences could be paraphrased by switching the relationship of subordination,
and using a when-clnuse:
When I awoke one morning, I found the house in an uproar
Their restriction to final position suggests an analogy between these infinitive clauses
and result clauses, which they resemble in meaning.

11.22

Gauses of place

Adverbial clauses of place are introduced by where or wherever:

They went wherever they could fin d work
Where the fire had been, we saw nothing but blackened ruins
Non-finite and verbless clauses occur with both the subordinators:
Where{ver) known, such facts have been reported
Where(ver) possible, all moving parts should be tested
Note
In this last example, as in the When in difficulty example of 11.21, we see a general
contingency relation similar to conditions: wherever possible, whenever possible, if possible.
This generality of meaning is characteristic of verbless and non-fmite clauses but is com­
mon also in finite clauses (Whenever anyone finds this possible), and in part reflects
fundamental similarities between several adverbial relationships.

11.23

Clauses of condition and concession

W hereas conditional clauses state the dependence of one circumstance

o r set o f circumstances on another:
I f you treat her kindly, (then) she’ll do anything for you
concessive clauses imply a contrast between two circumstances; ie the
main clause is surprising in the light o f the dependent one:
Although he hadn’t eaten fo r days, he (nevertheless), looked very fit
282
The parenthesized items illustrate the possibility of correlation in both
types of clause.
From this, we see that although as a subordinator is the approxi­
mate equivalent o f but as a coordinator:
He hadn’t eaten for days, but he looked strong and healthy
The overlap between conditional and concessive clauses comes with such
subordinators as even if, which expresses both the contingent dependence
o f one circumstance upon another and the surprising nature of this
dependence:
Even i f he went down on bended knees, I wouldn’t forgive him
Both conditional and concessive clauses tend to assume initial position
in the superordinate clause.

11.24

Clauses of condition

Finite adverbial clauses of condition are introduced chiefly by the

subordinators i f (positive condition) and unless (negative condition):
He must be lying i f he told you that
Unless the strike has been called o ff there will be no trains
tom orrow
The latter means roughly ‘I f the strike has not been called off ...’.
But there is a slight difference between an unless-cXdiU^Q and a negative
^/-clause in that unless has the more exclusive meaning of ‘only if ... not’
or ‘except on condition that ...’. It is thus the opposite of the
com pound conjunction provided {that) or providing {that), which means
‘if and only if ...’:
Provided that no objection is raised, we shall hold the meeting here
O ther com pound conditional conjunctions approximately synonymous with
provided {that) are as long as, so long as, and on condition that.
I f and unless often introduce non-fmite and verbless clauses: i f ready;
unless expressly forbidden, etc. Also to be noted are the residual pos­
itive and negative conditional pro-clauses i f so and if not.

11.25

Real and unreal conditions

A ‘real’ condition leaves unresolved the question of the fulfilment or

non-fulfilment o f the condition, and hence also the truth of the pro­
position expressed by the main clause. In an ‘unreal’ condition, on
the other hand, it is clearly expected that the condition will not be
fulfilled. Thus:
283
 Real: If he cx>mes, I ’ll see him.If she was awake, she certainly
heard the noise.
U nreal: If he came, I ’d see him.If she’d been awake, she would
have heard the noise.
//'-clauses are like questions in implying uncertainty. They tend therefore
to contain non-assertive forms such as any, ever:
If you ever have any trouble, let me know
Clauses beginning with unless, on the other hand, lay stress on 1 e
excluded positive option, and so normally contain assertive forms:
I w on’t phone you, unless something unforeseen happens ( = I’ll phone
you when something unforeseen happens — but we can exclude
this as unlikely)
For the same reason, unless-clsiuses are not usually unreal conditions.
Hence the negative unreal conditional clause I f I had not arrived has
no equivalent « « to -clau se, * Unless I had arrived.
Note
[а] The combination i f only is an intensified equivalent o f i f typically used in preposed
unreal conditions (with no non-assertive requirement) to express a wish:
I f only somebody had told us, we could have warned you
[б] The subjunctive or should (3.42) is sometimes used in formal real conditions:

If he be found I suffer terribly*

should be foundj
[c] The infinitival clause can be used conditionally:
You have to be strong to lift a table like that (‘if you’re going to lift’)
He’d be stupid not to accept that offer (‘if he didn’t accept’)
Such clauses contain an element o f purposive meaning.
[d\ Conditional clauses (especially unreal) may have subject-operator inversion without a
conjunction:
H ad I known, I would not have gone

11.26
Clauses of concession
Clauses o f concession are introduced chiefly by though (also a conjunct: 8.50)
or its m ore formal variant although. O ther conjunctions include while, whereas
(chiefly formal), even i f and occasionally if.
N o goals were scored, though it was an exciting game
Although I enjoyed myself, I was glad to come home
Whereas John seems rather stupid, his brother is clever
Even i f you dislike music, you would enjoy this concert
I f he's poor, at least he’s honest
Non-finite and verbless clauses of concession afe often introduced by
conjunctions, but not by whereas. F o r example, though a young man;
although often despairing o f rescue; even i f still operating; even though given
every attention,
284
Note
Concession is sometimes rather formally expressed with the subordinators as, though, and
that occurring after the subject complement; less frequently other predications may be pre­
posed:
N aked as I was, I braved the storm
Sneer unkindly though you may, John is very popular

11.27

Alternative conditional-concessive clauses

The correlative sequence whether (...) or ... is a means of coordinating

two subordinate clauses, combining conditional meaning with disjunctive
m eaning:
Whether they beat us or we beat them, we’ll celebrate tonight
Whether (living) in London or not, John enjoyed himself
Whether or not he finds a job in New York, he’s moving there
The concessive element of meaning comes in secondarily, through the impli­
cation that if the same thing takes place in two contrasting conditions, there
must be something surprising about at least one of them.

11.2 8

Universal conditional-concessive clauses

The universal conditional-concessive clause, introduced by one of the

w/i-compounds {whatever, whoever, etc), indicates a free choice from among
any num ber of conditions:
She looks pretty whatever she wears
T hat is, even though she were to wear overalls or a space suit. There
is a subtle semantic difference between such conditional clauses and
apparently identical time and place clauses:
Wherever you live, you can keep a horse
The locative meaning would be ‘Y ou can keep a horse at any place
where you may live’; the conditional-concessive meaning is ‘It doesn’t
m atter where you live, you can keep a horse — not necessarily in that
same place’. The longer constructions it doesn’t matter wh- and the more
informal no matter wh- may be added to the list of universal conditional-
concessive clause introducers:
f No matter |
how hard I try, I can never catch up with him
[// doesn’t matter)
Note
With an abstract noun phrase subject of an SV C clause, the verb be can be omitted
from a universal conditional-concessive clause:
Whatever your problems (are), they can’t be worse than mine
However great the pitfalls (are), we must do our best to succeed

285
11.29

Clauses of reason or cause

Clauses of reason or cause are most commonly introduced by the conjunctions

because, as, or since:
I lent him the money because he needed it
As ¡since Jane was the eldest, she looked after the others
These different positional tendencies (characteristic o f the respective conjunc­
tions) reflect a different syntactic status: because-cXdiyx^ts are adjuncts,
whereas as- and since-clauscs are disjuncts. Informally, however, a final
because-dsLusc sometimes functions as a disjunct of reason:
They’ve lit a fire, because I can see the smoke rising
Non-finite and verbless clauses can be used for cause, but w ithout
conjunction:
Being a man o f ingenuity, he soon repaired the machine

11.30
Clauses of circumstance

Clauses of circumstance express a fulfilled condition or (to put it differently)

a relation between a premise (in the subordinate clause) and the conclu­
sion drawn from it (in the main clause). Because, since, and as can
convey this meaning, but in addition there is a special circumstantial
com pound conjunction, seeing (th a t):
Seeing that the weather has improved, we shall enjoy our game
Non-finite clauses and verbless clauses are often used, but w ithout subordina­
tor:
The weather having improved, we enjoyed the rest of the game

11.31
Clauses of purpose

Clauses of purpose are adjuncts, usually infinitival, introduced by (in

order) (for N) to, so as to:
I left early to catch the train
They left the door open in order fo r me to hear the baby
Finite clauses o f purpose may be introduced by so that or (more formally)
by in order that or (so) that:

John visited London order that^ could see his M P

{(so) that J
286
In the purpose clause, which has ‘putative’ meaning, the modal auxilia­
ries should and may (past tense might) are used.
Note
Negative purpose is expressed by for fear (that), (in BrE) in case, or the now rather
archaic and very formal conjunction lest\
They left early for fear they would meet him ( = in order that ... not ...)

11.32

Clauses of result

Result clauses (disjuncts, placed finally in superordinate clauses) are factual

rather than ‘putative’; hence they may contain an ordinary verb form
w ithout a modal auxiliary. They are introduced by so that, informally so:
We planted many shrubs, so (that) the garden soon looked beautiful

11.33
Clauses of manner and comparison
Clauses of m anner are introduced by {exactly) as, {just) as:
Please do it (exactly) as I instructed (‘in the way that ...’)
If an a^-clause is placed initially, the correlative form so, in formal li­
terary English, may introduce the main clause:
(Just) as a moth is attracted by a light, (so) he was fascinated by her
Such examples provide a transition to the adverbial clauses of comparison,
introduced by as if, as though:
He looks as i f he is going to be ill
If there is doubt or ‘unreality’, the modal past is used:
He treated me (just) as i f he had never met me
Note
Clauses o f comparison sometimes show subject-operator inversion:
The present owner collects paintings, as did several o f his ancestors

11.34

Clauses of proportion and preference

Proportional clauses express a ‘^proportionality’ or equivalence of tendency
or degree between two circumstances, and are either introduced by as
(with or without a formal correlative so) or by fronted correlative the ...
the plus com paratives:
As he grew disheartened, (so) his w ork deteriorated
The more he thought about it, the less he liked it
The harder he worked, the happier he felt
287
 Clauses o f preference are introduced by rather than, sooner than,
with a bare infinitive structure; but rather than is less restricted:

Rather than j ^ slowest train

Sooner than]

Rather than quietly at home, he preferred to visit his friends

[ a new car, he bought a colour television

Non-finite and verbless clauses

11.35

IMPLIED SUBJECT

If the subject is not actually expressed in a non-finite or verbless clause,

it is assumed to be identical with the subject of the superordinate
clause:
When ripe, the oranges are picked and sorted
H e took up anthropology, stimulated by our enthusiasm
She hesitated, being very suspicious, to open the door
He opened his case to look fo r a book
Commonly, however, this ‘attachm ent rule’ is violated:
?Since leaving her, life has seemed empty
In this case, we would assume that the superordinate clause means
‘Life has seemed empty to m e' and that the subject of the -ing clause
is also first person. Such ‘unattached’ (‘pendant’ or ‘dangling’) clauses are
frowned on, however, and are totally unacceptable if the superordinate
clause provides no means at all for identifying the subordinate subject.
In the following sentence, for example, it cannot be a dog:
*Reading the evening paper, a dog started barking
Note
[а] The attachment rule does not need to be observed with disjuncts:
Speaking candidly (S = ‘I’), John is dishonest
[б] Tense, aspect and mood are also inferred in non-fmite and verbless clauses from the
sentential context.

11.36

SEMANTIC DIVERSITY

We have seen that many of the relationships (time, reason, etc) dis­
cussed earlier can be expressed by means of non-finite and verbless
clauses. Where these are introduced by conjunctions, the relationship
may be quite explicit: i f necessary, since being here, etc. Where they are
288
not so introduced, there may be considerable indeterminacy as to the rela­
tionship to be inferred:
soon to become a father

{ feeling considerable anxiety

told o f his good fortune
sad at the news
went to Mexico

In this position, the clauses could have the function merely of non-
restrictive postm odifier o f John, But their potential relationship to the whole
superordinate clause rather than only to the subject is indicated by their
mobility. For example:
Soon to become a father, John went to Mexico
John went to Mexico, feeling considerable anxiety
Clearly, their formal inexplicitness allows considerable flexibility in what
we may wish them to convey. Thus according to the context, we might
want to imply a temporal relation {eg: "When he was told of his
good fortune’), a causal relation {eg: Because he was soon to become
a father’), a concessive relation {eg: "Although he was soon to become a
father’, "Although he was sad at the news’). In short a C O N T IN ­
G EN CY is implied, but for the hearer or reader the actual nature of the
contingency has to be inferred from the context.

Comparative sentences
11.37
In a comparative construction, a proposition expressed in the superordinate
clause is com pared with a proposition expressed in the subordinate clause
by means of a ‘CO M P(arative) E L E M E N T ’. This comp-element specifies
the standard of com parison {eg: health) and identifies the comparison
as equational or differentiating. The comp-element is linked with the
subordinate clause by a correlative sequence: equational as ... as, or dif­
ferentiating less ... than, more ... than (where the first item may be
replaced where relevant by the inflectional comparative). Eg:

as healthy as )

{ (less healthy |

\m o re healthy? than i
^healthier J )
> her sister (is)

The standard of comparison involves only a scale, w ithout commitment

to absolute values; thus, in the above examples, neither Jane nor her
sister need be ‘healthy’.

11.38

Like the Q-element o f a question, a comp-element can be any of the

main elements of clause structure (apart from the verb):
10 p. Кверк и др. 289
 comp-element = S : More people use this brand than (use) any other
window-cleaning fluid
comp-element = Q: I’m happier about it than my husband (is)
comp-element = Odi He knows more than most people (know)
comp-element = Oj (rare): T hat man has given more children happi­
ness than anyone else (has)
comp-element = A: Y ou’ve been working much harder than I (have)
Note
[fl] Constructions with more ... than and less ... than do not necessarily introduce comparative
clauses. There is a type of non-clausal comparison in v/hich than is followed by an
explicit standard or yardstick of comparison, normally a noun phrase of measure, or a
noun phrase implying degree:
The books weigh more than four pounds
It goes faster than 100 miles per hour
The hurricane was nothing less than a national catastrophe
Here than is best considered a preposition, and the phrase which follows it a prepositional
complement.
[¿>] There is a second type of more ... than construction not introducing a comparative
clause. This is the quasi-coordinative type of construction illustrated by
I was more' angry than frightened {cf I was angry rather than frightened)
A distinguishing characteristic of this construction is the non-occurrence of the sufTixal
form of comparison:
♦I was angrier thaii frightened

11,39

Ellipsis in comparative sentences

Ellipsis of a part of the subordinate clause is likely to occur whenever
that part is a repetition of something in the main clause. Since it is
norm al for the two clauses to be closely parallel both in structure and
content, ellipsis is the rule rather than the exception in comparative
constructions. It is worth while pointing out, however, that there is no
necessary parallelism between the main and comparative clauses, and that
the comparative clause, so long as it overlaps with the content of the
main clause in respect of the comp-element, can be of independent
structure. Thus we may take two w/z-questions of disparate clause types:

{
How quickly does he speak?
How quickly can his secretary take dictation?

and use them to construct the comparative sentence:

He speaks more quickly than his secretary can take dictation
Optional ellipses and substitutions (by pronoun and by pro-predication)
are illustrated in the following:
(a) James enjoys the theatre more than Susan enjoys the theatre
(b) James enjoys the theatre more than Susan enjoys it
(c) James enjoys the theatre more than Susan does
(d) James enjoys the theatre more than Susan
290
It should be noted that ellipsis of the object cannot take place unless
the verb too is ellipted; thus we could not expand (d) as:
* James enjoys the theatre more than Susan enjoys
But, if the object is the comp-element itself, the verb may remain:
James knows more about the theatre than Susan (knows)
Obligatory ellipsis, on the other hand, applies to the standard of com par­
ison which cannot be specified again in the subordinate clause (*Jane
is healthier than her sister is healthy), though different asp>ects of a
single standard may be specified in each clause. This occurs with ‘size’
and ‘ability’ in the following examples:
The bookcase is wider than it is tall
Jane is as successful at sport as her sister is successful academically

11.40

Ellipsis and partial contrast

If the two clauses in a comparison differed solely in the comp-element
(*/ hear it more clearly than I hear it), only nonsense would result, of
course. But the elements in the two clauses may be lexically identical
and differ only in tense or mood. In such cases it is normal to have
ellipsis of all identical items except any that are necessary to express
the contrast:
I hear it more clearly than I did {ie hear it) ^
I get up as early as I should {ie get up)
If the contrast lies in tense only, it may be expressed in the subordinate
clause solely by an adverbial:
She’ll enjoy it more than (she enjoyed it) last year
This provides the basis for the total ellipsis of the subordinate clause in
examples like
You are slimmer {ie than you were)
Note
In negative superordinate clauses, as can be replaced by so especially when there is total
or considerable deletion in the subordinate clause:
He’s not as naughty as he was
F k’s not so naughty (now)

11.41

Noun phrase and comp-element

If we were to say:
There are more intelligent monkeys than H erbert
we would normally mean that H erbert is an intelligent monkey; that is,
by placing the comparative adjective in front of the noun phrase, we
10* 291
put the whole noun phrase in an intensive relation with the noun
phrase in the comparative clause. On the other hand, if more and the
adjective are placed after the noun, we readily admit the plausible interpre­
tation that H erbert is a man:
There are monkeys more intelligent than H erbert

11.42

‘Enough’ and ‘too’

There are comparative constructions with enoughand too, which convey

the contrasting notions of ‘sufficiency’ and ‘excess’, and which are related
through negation. Paraphrase pairs may be constructed, using antonymous
adjectives or adverbs, as follows:

The grass is too short (to cut)

The grass isn’t long enough (to cut)

He"s not too poor (to own a car)

H e’s rich enough (to own a car)

The infinitive clause which follows the comp-element may be omitted

if the context allows.
The negative force of too is shown in the use of non-assertive
forms like any or anything; compare:
She’s old enough to do some work
She’s too old to do any work
Like other infinitive clauses, the subordinate clause in these constructions
may have an expressed subject:
The blade moves too quickly for most people to see (it)
As in this example, the expressed subject permits also the optional
expression of an object pronoun (here representing the blade). When
the subject is not expressed, it may be identified with the superordinate
subject or with an indefinite subject:
I ’ve lived long enough to understand these things
The writing is too faint to read
With neither subject nor object expressed, ambiguity is possible:

(for us) (it)

The lamb is too hot to eat
(for it) (anything)
Note
With gradable nouns, we have enoughltoo much o f a ... {cf 4.3 Note; 5.5 Note a); c f also
‘He was fo o l enough to go without a coat’.

292
11.43

‘So ... (that)’ and ‘such ... (that)’

The correlatives so ... (that) and such ... {that) are linked to too and enough,
by paraphrase relations. For example:
It flies fast enough to beat the speed record
It flies so fast that it can beat the speed record

It’s too good a chance to miss

It’s such a good chance that we m ustn’t miss it

It will be observed that in these paraphrases, the verb in the that-

clause contains a modal auxiliary; when the modal auxiliary is absent,
the sojsuch ... {that) construction has the more definitive meaning of result
or outcom e:
He was so wild that we let him escape
I so enjoyed it {or I enjoyed it so much) that I m determined to go again
The alternation between so and such depends on grammatical function.
The that which introduces the com parative clause is sometimes omitted in
informal English:
He polished the floor so hard you could see your face in it
The somewhat formal construction sojsuch ... as to plus infinitive clause
is sometimes used in place of so or such followed by a i/z^i-clause:
His satires were so brilliant as to make even his victims laugh
The brilliance of his satires was such as to make even his victims laugh
Note
An emphatic fronting of the comp-element, accompanied by inversion of subject and
operator, is sometimes found in formal (especially literary) English:
To such lengths did she go in rehearsal that two actors walked out
So strange was his appearance that no one recognized him

Comment clauses
11.44

Comment clauses are somewhat loosely related to a superordinate clause,

and may be classed as disjuncts or conjuncts. In general, they may
occur initially, finally, or medially, and have a separate tone unit:
The SM ITHS, \as you probably KN O W , \dirt going to A M ÉRICA I
As the following list of types shows, comment clauses vary in form:
(1) Like a main clause:
At that time, / believe, labour was cheap
293
 (2) Like an adverbial clause (introduced by as):
Fm a biologist, as you know
(3) Like a nominal relative clause as conjunct:
W hat’s more, we lost all our belongings
(4) ro-infinitive clause as style disjunct:
Tm not sure what to do, to be honest
(5) -ing clause as style disjunct:
I doubt, speaking as a layman, whether television is the right
medium
(6) -ed clause as style disjunct:
Stated bluntly, he has no chance of winning

The verb phrase in dependent clauses

11.45
The present tense with subordinators
To express future meaning, the present tense is used in preference to the
auxiliary will!shall in certain types of adverbial clauses:

{
When I arrive, the band will play the N ational
Anthem

[W h en ]
but < Before he arrives, the band will play the N ational Anthem
[ If^ J
The subordinators chiefly involved belong to the tem poral and conditional
(in part also, concessive) categories:
TEM PO R A L: after, as, before, once, till, until, when (ever), as soon as
O T H ER : if, unless, provided ( th a t), given (that), assuming (that),
presuming (that), even if, in case, as (manner), whatever, etc

Thus:
Even if tom orrow ’s match is cancelled, Newcastle will still be top of the
league
He will come in case we need him
Next time Til do as he says
Nominal that- and u/z-clauses tend to contain present tense verbs
when the main clause (as well as the subordinate clause) refers to
the future; but when the main clause refers to the present, the future
will is likely to be used in the subordinate clause. C ontrast:
I shall ask him what he wants tom orrow
The question is what he will want tomorrow
294
However, there are exceptional verbs like hope, suppose (in the impera­
tive), and assume, after which the simple present can often be used as
readily as wilf:
I hope that the parcel comes in time
Let’s assume our opponents win the election
Note
There are two exceptions to the rule that will¡won’t cannot appear in //-clauses (and in
some of the other types of clause mentioned above):
(i) Where will¡won’t has a volitional or habitual meaning, rather than a pure future
meaning:
If you won’t ( = ‘refuse to’) help us, all our plans will be ruined
(ii) Where even though the //-clause refers to the future, the condition expressed by the
whole sentence obtains in the present:
If he won’t arrive before nine, there’s no point inordering dinner forhim
If it will make any difference. I’ll gladly lend you some money
In both these sentences, the future contingency expressed in the //-clause determines a present
decision.

1L46

The modal past

The past tense is used, as already explained (11.25), in unreal conditional

sentences:
If you knew him well, you would have a deep affection for him
The corresponding superordinate verb phrase is wouldjshould 4- infinitive,
except when the past of another modal auxiliary is used:
If you knew him well, you could have a deep affection for him
Other constructions in which the modal past is used are illustrated below:
It’s time you were in bed
He behaves as though he waslwere a millionaire
It’s not as though we were poor
Just suppose/imagine someone was/were following us
I’d rather we had dinner now
If only I had listened to my parents!
From each of these sentences a negative inference can be drawn:
‘but you’re not in bed’, ‘but he isn’t a millionaire’, etc. Unreal meaning
in past time is indicated by had plus the -ed participle:
We could have got married today, if you’^ really wanted to
If he had listened to me, he w ouldn’t have made the mistake
With past reference, the unreal meaning is more absolute than in the
present, and am ounts to an implied rejection of the condition: ‘but in
fact you didn’t want to ’; ‘but in fact he didn’t listen’. W ith present
295
and future reference, the meaning may be merely one of improbability
and negative expectation:
If you listened to me, you w ouldn’t make mistakes
(‘... but I don’t suppose you will listen to m e’)

11.47

Perfect aspect with ‘since’, etc

When since is used in a temporal sense, the perfect is used in the

superordinate clause, also sometimes in the subordinate clause, in referring
to a stretch of time up to (and potentially including) the present:
Since we have owned a car, we have gone camping every year
{or possibly: ...we go camping, w^here own implies duration)
She has been talking to Robert ever since the party started
{not: She is talking,.., where start excludes duration)
The same applies to since as preposition and as prepositional adverb:
Scholars have been writing English grammars since the sixteenth century
After and when, in referring to a sequence of past events, can be
followed either by a past perfect or by a simple past tense verb:

I
W hen]
re tu m e d j
[returned J
work, his wife served dinner

All four of these are acceptable, and mean roughly the same. The
only difference is that when with the simple past tense (probably the most
popular choice) suggests that the one event followed immediately on the other.
There may however be a contrast:

He went away when I 1 h e r

^ [had visitedj
The variant with the past tense would normally mean ‘as soon as
I visited her’ or ‘at the time that I was visiting her’, that with the
past perfect ‘after I had visited her’.
Note
If the verb phrase of the main clause is progressive in aspect, or contains a stative
verb, when indicates the simultaneity, rather than successivity of the events:
When he returned from work, his wife was (working) in the kitchen.

11.48

Present subjunctive in conditional clauses, etc

The present subjunctive is used very occasionally and in rather formal
use, as we have seen, in real conditional clauses and concessive clauses:
Whatever be the reasons fo r it, we cannot tolerate this disloyalty
{cf W hatever m ay be the reasons...)
296
Clauses of concession and .purpose may also very occasionally contain a
verb in the subjunctive mood to express ‘putative’ meaning (see 11.49):

Though he the President himself, he shall hear us

The subjunctive is also possible in //i^/-clauses expressing wish, hope, or

intention (though should would be more usual):
Congress has voted/decided/decreed/insisted that the present law be
maintained
The present subjunctive is more common in AmE than in BrE, where it
is rare outside legal style.
The past subjunctive were is used in formal clauses of hypothetical
meaning, such as those introduced by if, as if, as though, though, and
the imperative verbs suppose and imagine:
Suppose he were here ...
If the truth were known ...

11.49

Putative ‘should’

The modal auxiliary should is used quite extensively in that-dsiuses to

express not a subordinate statement of fact, but a ‘putative’ idea. It can
usually be replaced by the indicative without much difTerence of meaning.
C om pare:
I am surprised that he should feel lonely ( = h e feels)
I am told that he feels lonely ( ^ he should feel)
The first sentence alludes to a report over which doubt may be allowed
to linger, while the second accepts the report as a fact.
Other superordinate constructions which introduce a that-diiuse with
should can be illustrated as follows:
It’s a pity
I ’m surprised
I t’s disgraceful that he should resign
I t’s unthinkable
It worries me
M ost of these are constructions in which the that-dause is an extraposed
subject. Notice that in the first two cases, despite the should, the
event is assumed to have taken place already. Tliis isbecause the ‘factual’
bias of the main clause construction overrides the doubt otherwise implicit
in the should construction. Nonetheless, there is still a difference of
feeling between Vm surprised that he should resign and Vm surprised that
he has resigned: in the first, it is the ‘very idea’ of resignation that
surprises; in the second, it is the resignation itself, as an assumed fact.
297
Note
Putative should also occurs in some idiomatic questions and exclamations:
How should I know?
Why should he be resigning?
That he should dare to attack me!
Who should come in but the mayor himself!

11.50
Direct and indirect speech
The difference between direct speech and indirect (or reported) speech
is shown in:
He said: ‘I am very angry’ (D IREC T SPEECH)
He said that he was very angry (IN D IR E C T SPEECH)
Indirect speech subordinates the words of the speaker in a //^/-clause
within the reporting sentence. In the case of direct speech, his words
are ‘incorporated’ (in writing by quotation marks) within the reporting
sentence and retain the status of an independent clause. Nevertheless, the
‘incorporated’ speech has in part the function of an element in the clause
structure of the reporting sentence:
He said this (Od), namely ‘/ am very angry"
Structurally, the reporting clause, in direct speech, may be classed as a
comment clause. It may occur before, within, or after the speech itself.
Except when it occurs in initial position, there is likely to be an inversion
of the subject and a reporting verb in the simple present or past tense:
said John

{ John said
he said

Inversion is unusual and archaic, however, when the subject of the

reporting clause is a pronoun: ... said he. The medial placing of the
reporting clause is very frequent:
‘As a result,’ said John, ‘I am very angry’
Note
‘Direct and indirect speech’ will be used here as traditionally, but ‘speech’ must be allowed
to include unspoken mental activity when the reporting verb may be think, believe, feel,
ctc; but c f 11.56. It should also be noted that indirect report frequently involves
paraphrase or summary of the speech or thought it represents.

11.51

Back-shift and other changes

Several changes are made in converting direct to indirect speech (subject
to the exceptions in 11.52), and their effect is one of distancing. 1st and
2nd person pronouns are changed to 3rd person:
298
 T il behave myself,' he promised
-> He promised that he'd behave him self
"You are beautiful,’ he whispered
-♦ He whispered that she was beautiful
Frequently, there is a change from thisjthese to thatjihose, from here to
there, and from now to then:
‘I live here,' he explained-►He explained that he lived there
‘I shall do it now,' he said -♦ He said that he would do it then
The most im portant alteration takes place, however, in the verb phrase:
this is the change of tense that is referred to as BACK-SHIFT. When
the reporting verb is in the past tense, verbs in the reported speech
are changed as follows:
D IR EC T IN D IR E C T
(1) present -► past
(2) past
(3)
j ; present
p r c s c i i i perfect,
p c i i c c i , ► -► past perfectV
(4) past perfect J

Thus, if we move into the past for the reporting clause, there is a
corresponding shift into the past (or if necessary, further into the past)
in the reported clause. Examples o f each part of the rule are:
(1) T am tired,’ she complained
She complained that she was tired
. (2) ‘The exhibition finished last week,’ explained Ann
-► Ann explained that the exhibition had finished the preceding
week
(3) ‘I’ve won the match already!’ exclaimed our friend
-► O ur friend exclaimed that he had won the match already
(4) ‘The whole house had been ruined,' said the landlord
-► The landlord said that the whole house had been ruined
If, on the other hand, the reporting verb is in the present, there is no tense
change:
She keeps saying, ‘I am a failure’
-► She keeps saying that she is a failure

11.52

Exceptions to the distancmg rules

The change to the more ‘distant’ meaning {eg to 3rd person pronouns)
does not always take place, in that the use of forms appropriate to the
reporting situation must take precedence over those appropriate to the
reported speech situation. F or example:
299
 'You are wrong, Jo h n ,’ said Mary
-> [John reporting] ‘M ary said that / was wrong’
Analogously, the rule of back-shift can be ignored in cases where the
validity of the statement reported holds for the present time as much
as for the time of utterance. Thus, while back-shift is obligatory in the
first of the following examples, it is optional in the second:
‘I am a citizen, not of Athens, but of the w orld,’ said Socrates
-> Socrates said that he was a citizen, not of Athens, but of the world
‘Nothing can harm a good m an,’ said Socrates

-> Socrates said that nothing harm a good man

[can J

11.53
Indirect statements, questions, exclamations, and commands
Our examples have so far been of indirect statements. Questions, excla­
mations, and commands are converted into indirect speech as follows:
IN D IR E C T Q U ESTIO N : dependent >v/i-clause or //-clause
IN D IR E C T EX CLA M A TIO N : dependent >v/i-clause
IN D IR E C T C O M M A N D : /o-infinitive clause (without subject)
For example:
‘Are you ready yet?’ asked Joan (yes-no QUESTION)
-> Joan asked (me) whether I was ready yet
‘When will the plane leave?’ I wondered (>v/i-QUESTION)
-> I wondered when the plane would leave
‘W hat a hero you are!’ M argaret told him (EXCLAM ATION)
-> M argaret told him what a hero he was
‘Keep still!’ she said to the child (C O M M A N D )
She told the child to keep still
W hat has been said about back-shift applies to questions and exclamations
as well as to statements. Indirect commands, in contrast, cannot incorporate
back-shift, as they contain no finite verb. The reporting verb, in the case
of indirect commands, has to be followed by an indirect object or prepositional
object: for the indirect speech version of ‘Sit down,' I snapped, one would
write not */ snapped to sit down, but / snapped at him to sit down. With
a verb like sneer one could render an indirect command with tell and an
appropriate adverbial:
‘G o back to the nursery,’ he sneered

-> He told them | I to go back to the nursery

[with a sneerj
Note
Alternative questions are made indirect with whether ... or on a model similar to yes-no
questions:
Are you satisfied or n ot?-> I asked him whether or not he was satisfied

300
11.54

The modal auxiliaries and indirect speech

Although H e would go is not the past o f He will go, it is the back-shifted
form in indirect speech. So too with the other modal auxiliaries:
"May I go?' she a s k e d S h e asked if she might go
If a modal auxiliary in direct speech has no past tense equivalent (this
includes auxiliaries which are already past, such as could, might, as well as
must, ought to, need, and had better), then the same form remains in
indirect speech:
‘I would like some tea,’ he said-> He said (that) he would like some tea
The element of speaker involvement which is often present in the meaning of
some modal auxiliaries {eg: = ‘perm ission’) is naturally assigned in
indirect speech to the subject o f the indirect statement. Thus, John said that
I might go would mean that John was giving me permission to go
(corresponding to the direct ‘You may go’), whereas / might go outside
indirect speech would mean that I was considering the possibility of going.
Note
If the reporting verb phrase is modal and perfective, it counts as past for purposes of the
back-shift rule. Compare:
He asks what John is doing He has asked what John is doing
but
He may have asked what John was doing

11.55

Free indirect speech

Free indirect speech is a half-way stage between direct and indirect

speech, and is used extensively in narrative writing. It is basically a form
of indirect speech, but (1) the reporting clause is omitted (except when retained
as a parenthetical comment clause), and (2) the potentialities of direct-speech
sentence structure (direct question forms, vocatives, tag questions, etc) are
retained. It is therefore only the back-shift o f the verb, together with
equivalent shifts in pronouns, determiners, and adverbs, that signals the fact
that the words are being reported, rather than being in direct speech:
So that was their plan, was it? He well knew their tricks, and would
show them a thing or two before he was finished. Thank goodness he
had been alerted, and that there were still a few honest people in the
world !
Ver^i^ often, in fiction, free indirect speech represents a person’s stream of
thought rather than actual speech. It is quite possible, therefore, that he
thought would be the appropriate reporting clause to supply for the above
passage, rather than he said.
301
11.56

Transferred negation

There are several ways in which ‘indirect speech’ involving mental activity
verbs (he thought, etc) differs from that where the reporting verb is one of
language activity (he said, etc). A very im portant difference involves negation;
thus, while both clauses can be made independently negative with say, etc:
He did not say that M ary was pretty
He said that M ary was not pretty
(so that these two sentences are sharply different in meaning), it is usual with
think, believe, suppose, imagine, expect, etc for a superordinate negative to
apply also in the subordinate clause. For this reason, the following pairs
o f sentences would normally be regarded as virtually synonymous:
I He didn’t think that M ary was pretty
I H e thought that M ary wasn’t pretty
j I don’t suppose he has paid yet
I I suppose he hasn’t paid yet

The transfer o f the negation can be seen clearly in the second pair above,
with the non-assertive yet appearing in the subordinate clause even when the
verb in this clause is not negated. A nother indication is the form o f the
tag question in:
I don’t suppose (that) he CARES, D O E S he?
(c f He doesn’t CARE, D O E S he?)
The tag question in this sort o f sentence is attached to the that-clause
rather than to the independent clause, as is clear from the tag subject, he.
Since a tag question with a falling tone contrasts in positive/negative
terms with its main clause, however, we would expect D O ESn't he?
in this^ context. T hat in fact a positive tag question occurs is thus evidence
of the negativeness o f the that<\dMse.

Note
[a] Not all verbs in the semantic field of belief, uncertainty, etc, take transferred negation:
I don’t assume that he came ^ I assume that he didn’t come
So too surmise, presume. Conversely, a few verbs outside the field o f mental activity (for
example, seem, happen) permit the transfer.
(¿>1 A condensed sentence Mkt I don’t think so contains transferred negation, and is thus synonymous
with / think not.