Syntactic Principles: Case Filter, Binding, and Control

Posted on Feb 17, 2026 in Linguistics and Applied Languages

Case Filter Principle and Assignment Rules

The Case Filter Principle states that all overt Noun Phrases (NPs/DPs) must receive Case, or the sentence will be ungrammatical.

Case Assignment Rules

These rules determine when an element receives Case and which type of Case is assigned:

• Finite Inflection [FIN]: Assigns Nominative [NOM] to the subject.
• Transitive Verbs [+TRANS]: Assign Accusative Case [ACC] to the complement.
• Prepositions: Assign Accusative [ACC] Case to the complement.
• Prepositional Complementizer “for”: Assigns [ACC] Case to the subject of the subordinate clause.
• ECM Verbs: Assign [ACC] Case to the subject of the subordinate clause. Example: Believe, Consider (Exceptional Case Markers).

Binding Theory Principles

Binding Theory refers to the relationship between pronouns, NPs, and their antecedents. It determines whether an NP can be co-referential with another NP in a given syntactic domain.

• Principle A — Anaphors (himself/herself): These must be bound with an appropriate antecedent within their government domain. They require a local antecedent. This applies to reflexive and reciprocal pronouns. Example: Paul₁ saw himself₁.
• Principle B — Pronouns (him/her): These cannot be bound with an antecedent within their government domain. They must be free locally, meaning the pronouns cannot be linked to an antecedent in the same clause. Example: Peter₁ hit John₂ – He_{1/2} became crazy. Principle B is respected here because the pronoun “he” has no local antecedent, making both Peter and John possible references depending on interpretation.
• Principle C — R-expressions (NPs): These must be free everywhere. They cannot be bound at all and have no structural restrictions on where they must be free. This applies to proper names like John and Mary. Example: He₁ saw John₂.

Raising vs. Control: Diagnostic Tests

1. Argument Sharing

If the verbs do not share a common argument, they are an example of raising. If they do share an argument, they are an example of control.

• Example: Peter tries to help Mary.
• tries <x, y> (Peter, to help Mary)
• help <x, y> (Peter, Mary)
• There is argument sharing; therefore, it is control.

2. Idiom Test

Using the idiom “the cat is out of the bag”: if the sentence only has a literal meaning, it is control. If it retains both literal and idiomatic meanings, it is raising.

• Example: “The cat tries to be out of the bag.” We can only assume its literal meaning; therefore, it is an example of control.

3. Expletive Test

Add an expletive (“it” or “there”) to the sentence. If it is grammatical, it is raising; if not, it is control.

• *Peter tried it to rain.
• *Peter tried there to rain.
• They are both ungrammatical; therefore, it is control.

4. Passivization Test

When we passivize the sentence and it still has the same meaning as the original, it is raising. If the meaning changes, it is control.

Example: Mary tried to be helped by Peter. This does not have the same meaning as the original; therefore, it is control.

Subject vs. Object Control Identification Tests

1. PRO Test

PRO can only function as a subject. If we substitute the NP with a PRO and it still functions as a subject, it is subject control; if not, it is object control.

• Peter persuaded Michael to help Mary.
• *Peter persuaded PRO to help Mary. (Ungrammatical because the NP “Michael” is necessary; therefore, it is object control).

2. Passivization

Passivize the main verb; if the sentence is grammatical, the NP (Michael) is the object of the main clause. If not, the NP is the subject of the subordinate clause.

• Michael was persuaded by Peter to help Mary. (Grammatical; therefore, the NP is the object of the main verb “persuade”).

3. Selectional Restrictions

Some verbs impose restrictions on their predicates (e.g., [+animate]). If the sentence becomes ungrammatical with an inanimate NP, it is an object.

• *Peter persuaded the table to help Mary. (“Persuade” imposes [+animate] restrictions; therefore, it is ungrammatical and the NP is an object).

4. FOR Test

If we can introduce “FOR” between the verb and the NP, it is a subject; if not, it is an object.

• *Peter persuaded for Michael to help Mary. (Ungrammatical; therefore, it is an object).

5. Pronominalization

If we can replace everything after the main verb with a pronoun, it is a subject; if not, it is an object.

• *Peter persuaded that/it. (Ungrammatical; therefore, it is an object).

6. NP + That Clause

Substitute the subordinate clause with a “that” clause. If it is grammatical, it is an object.

• Peter persuaded Michael that he should help Mary. (Grammatical; therefore, it is an object).

7. Reflexive Pronoun

If we replace the NP with a reflexive pronoun and it makes sense, it is an object.

• Peter persuaded Michael to help himself. (“Himself” refers to the NP “Michael” and is grammatical; therefore, it is an object).

Verb Classification and Syntactic Patterns