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This English Language Learners question prompted me to wonder about...

Q1: Why was John annoyed?
A1: Because he was the only one [to be] refused entry to the pub.

Q2: Why was only John refused entry?
A2: Because he was the only one [to be?] less than 18 years old.

To my ear it's purely a stylistic choice whether to include to be in A1, but I really don't like it in A2. Is it just me, or is there really some generally-acknowledged principle involved?

My own feeling is including to be works better when the "subject" is obviously being subjected to some (usually, bad) experience. It seems somehow "awkward" to use to be when the distinguishing feature of the unique person/thing being referenced is an "attribute" rather than an "experience".

FumbleFingers
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    In the 2nd example, to me, it would be more common to see "Because he was the only one under 18 years of age.", yet in your 1st example, while "only one refused entry" would be perfectly acceptable, I am also scratching my head as to why I'm not at all bothered by "only one to be refused...". Good question! – Kristina Lopez Jan 29 '16 at 16:50
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    @Kristina: Phew! I'll take that as No, it's not just you. There is* something "odd" about 2A. I really wasn't looking forward to finding I'm the only one who finds something amiss there. But I'll be quite happy to discover that my "rationale" isn't really the reason, if there is indeed both an effect and* a reason. – FumbleFingers Jan 29 '16 at 16:54
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    @FumbleFingers I think both of your A2 are odd - but that's a distraction. It seems to me that there needs to be a dynamic - as opposed to stative - verb/predicate in the infinitival relative clause version. Compare He was the only student to be really rude to the host and He was the only student to be tall – Araucaria - Him Jan 29 '16 at 18:18

2 Answers2

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Summary: X was to be Y is a kind of stylistic 'prediction' made from the perspective of a certain point in the past, predicting that 'X is Y' would happen. John was less than 18 years old already at the time of prediction, and it doesn't really make sense to predict that something will be true that is already the case. That's probably why the sentence is slightly off.


I suspect the first example is a mutation of this:

Some people knew at the time that Anne Frank was not to be sent back to Amsterdam from Bergen-Belsen.

It focuses on a certain point in time and looks ahead. It does so in a generalising or predicting way: "it was not to be".

The use of to [infinitive] after a noun or a form of be contains an inherent, ambiguous sense of prediction or imperative, i.e. an epistemic or deontic modality (see below). In this case, to [verb] indicates a prediction.

The landing is to commence at 18.00 hours. – (Equivalent to the landing shall commence: both a command and a prediction.)

The landing is to be aborted immediately. – (More like a command.)

The landing was to be aborted soon after. – (Equivalent to the landing would be aborted soon after: a "prediction", looking ahead from a point in the past.)

I suspect that the modality of this kind of to be usually tends towards an epistemic modality if it is about the past, "predicting from the past", rather than a deontic modality. For a writer cannot command that something should happen in the past.

So what does this mean? If you are making a prediction, the thing predicted should not be true already at the time of prediction, or it wouldn't be a prediction.

The Franks were distraught when Holland surrendered to Germany in 1940 and they realised that the occupation had begun. Amsterdam was to remain occupied by the Nazis for five more years.

Here the "occupied" part was already true at the time of prediction; however, the whole prediction is to remain occupied for five more years, and that wasn't true in 1940 yet.

To return to the original example number 2:

Q2: Why was only John refused entry?

A2: Because he was the only one to be less than 18 years old.

John was less than 18 years old already at the time of prediction, so what was it that was predicted, exactly? It doesn't really make sense to predict that something will be true that is already the case (and that is not supposed to change within the period of prediction). That is, in my opinion, why this sentence is slightly off.

Example 1 does not have this problem:

Q1: Why was John annoyed?

A1: Because he was the only one to be refused entry to the pub.

At the time of prediction, which is presumably when he was refused entry, we did not know for sure yet that he would remain the only one who was refused, for the next person could in theory be refused as well; but we, the writer, predict with confidence that he shall remain the only one refused within the given period. (Note that the relevant period may even extend to a starting point before the time of prediction.) This confidence may either be a reflexion of John's thoughts or those of his friends at the time, or of the writer's knowledge in hindsight.

I suspect that the second, problematic example is short for something else, which explains why some people would use to be with less than 18 despite the objections outlined above:

Q2: Why was only John refused entry?

A2: Because he was the only one to be less than 18 years old.

A2 (variant): Because he was the only one to [try and enter] under 18 years old.

The elements in square brackets are left out in casual speech/writing. That way, entry does not need to be repeated as enter (although I don't know to what extent that influences this construction). The result is that the prediction inherent in this (special) use of to [verb] is semantically invalidated, as explained above. That is probably what makes it slightly jarring.

Q2: Why was only John refused entry?

A2: Because he was the only one to be less than 18 years old [by August 31 – for the pub allowed minors to enter if they were to turn 18 that same month, out of leniency, despite the risk of a fine].

This (somewhat contrived) variation removes the jarring aspect of the original, in my opinion. It changes the meaning of the sentence entirely, but it does not change its syntax, which I think supports my position that the issue is semantic, not syntactic.


About the fuzzy boundary between truth and desirability:

Why do we say “was supposed to” for “should have”?

  • Wow! Another sick answer! Thanks for putting that excellent "summary" at the top - there's too much in the full answer for me to fully digest right now, but the summary plus a cursory glance through tells me it's solid stuff. – FumbleFingers Jan 29 '16 at 18:55
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    @FumbleFingers: Haha, I know what's it's like to stumble upon a text wall...which is why many academic articles now have abstracts. I do feel that there is still one problem with my explanation; I think I have the solution, but it requires some more thinking. – Cerberus - Reinstate Monica Jan 29 '16 at 19:02
  • I disagree about the stylistic prediction in the past. Consider for example: "Tom will be the only one to be granted access to the files" or "That tree over there was the only one not to be blown over in the storm". Also FF's examples and the ones I just gave are relative clauses. Your examples aren't ... They're a completely different use of infinitival clauses. – Araucaria - Him Jan 30 '16 at 15:22
  • @FumbleFingers But Cerberus' examples aren't relative clauses! They have no antecedent. They have no gaps. They are the complements of verbs - not the modifiers of nouns. They are interesting. They are unrelated. – Araucaria - Him Jan 30 '16 at 15:52
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In A1, "to be" is being used to fluff out "refused." You can remove fluff and have the sentence still make sense, which you have illustrated well with this example.

In A2, "to be" is being used as the infinitive form of "being," with the adverb/conjunction comparison "less than 18," which is the part that may seem off. As seen in Kristina's example, changing "less than 18" to "under 18" will make it seem less awkward, without changing the use of "to be." I think it's an issue of cultural understanding of the concept of age limits, and whether you are "under" an age limit or "less than" an age limit.

Edit: after re-reading the original, I agree that A2 sounds strange for a different reason, which I think is the use of the infinitive form after "one," which only occurs in the second example.

Compare "he was the only one to sit," "he was the only one to dance."

Myron
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    Perhaps she will clarify, but I don't think @Kristina's switch from less than 18 years old to under 18 years of age was intended to have any significance at all (she may not even have noticed the difference). I assume the only point being made was that *to be* wouldn't normally appear in A2. I really don't see what difference it makes to my question whether we use less than or under (both of which are about equally common in that exact context). – FumbleFingers Jan 29 '16 at 17:39
  • Maybe it's a regional thing, but the "less than" vs. "under" thing honestly stood out to me more than the usage of "to be." I guess it's still strange to see the infinitive form after "he was the only one," which may be the underlying cause? "He was the only one to sit," "he was the only one to complain," etc. I'm going to leave my original comment unchanged so that your response makes sense. – Myron Jan 29 '16 at 17:50
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    You mean even (someone was) the only one to be given (something) seems "strange" to you? That's an estimated 2,520 results in Google Books, for what seems like a perfectly ordinary usage to me. – FumbleFingers Jan 29 '16 at 18:48
  • That is still an example of "one to be (past participle)." The one which is strange is "one (infinitive)." – Myron Jan 29 '16 at 18:57
  • I'm not the only one to be sad. The possibility of using past participle or not isn't really relevant. – FumbleFingers Jan 29 '16 at 19:02