1、1载当代语言学2005-（1）语序优势的认知解释 - 论可别度对语序的普遍影响 -陆丙甫 Word order dominance and its cognitive explanationAbstract: Greenberg (1966) uses two notions, dominance and harmony, to explain the word order implicational universals. The notion harmony has been explored widely since then. However, the research on the
2、notion dominance has been very little. This paper tries to explain word order dominance. It argues that word order dominance is mainly motivated by identifiability hierarchy. Everything else being equal, the orders more compatible with the order of identifiability hierarchy are more dominant. And th
3、e preceding of less identified constituent implies the preceding of more identifiable. To extend the application of identifiability in word order universals, a cross-category hierarchy of identifiability is proposed.Key words: typology, word order universals, dominant orders, identifiability, pragma
4、tics提要：Greenberg （1966）用来解释语序蕴涵共性的最重要的两个因素是“优势”和“和谐”。“和谐”原理的解释和应用后来受到了广泛的重视，但是对“优势”的研究相对来说极为薄弱。本文认为语序优势主要跟语言单位的可别度(identifiability ) 有关：其他一切因素相同的情况下，越是符合可别度等级排列的语序越是占有优势。为进一步扩大优势概念的应用，本文提出“跨范畴可别度等级”这一概念。关键词：类型学 语序共性 优势语序 可别度 语用 一 “和谐”和“优势”概念简介Greenberg (1966)年提出的语序共性理论开创了当代语言类型学。在描写方面，他最大的贡献是提出了“蕴涵共
5、性”的观念。蕴涵共性所描写的不是表面上一目了然的共性(如“任何自然语言都有元音系统”等)，而是比较隐藏的相关性。对这种相关性的发掘，大大扩大了共性研究的范围。蕴涵共性的基本表达方式是：(1) 如果一种语言有 X 现象 ，必有 Y 现象 ，但反过来不一定成立。从逻辑上来说，就是 X 现象为 Y 现象的充分条件，或者说 Y 现象是 X 现象的必要条件。Greenberg 用语序“优势”(dominance)和语序“和谐”(harmony)这两个概念去解释语序蕴涵共性。所谓优势，从一般意义上理解，就是“某种特定语序压倒其交替语序的优势”。但他的语序“优势”特有所指，是用语序“和谐”概念去定义的：(2
6、) 优势语序（dominant order）总是可以出现，而与其相反的劣势语序（recessive order），只有在与其相和谐的语序也出现的情况下才出现。Greenberg 当时提出的语序蕴涵共性中，一个典型的例子是：2(3) Greenberg (1966) 共性二十五：如果代词性宾语后置于动词，那么名词性宾语也同样后置。Greenberg 强调地指出，蕴涵共性可以表达为“四缺一”的格式。这样，共性二十五可以表达为（后一栏为字母化表达）：(4) a. 前置代词宾语，前置名词宾语 Pro V, N V b. 后置代词宾语，后置名词宾语 V Pro, V Nc. *后置代词宾语，前置名词宾语
7、 *V Pro, N Vd. 前置代词宾语，后置名词宾语 Pro V, V N即共性二十五只排除(4c)那样代词宾语后置而名词宾语却前置的搭配。也就是说，人类语言中不可能存在一种同时以后置代词宾语和前置名词宾语为基本语序的语言。属于（4a）的例子有日语、朝鲜语等。属于（4b）的例子包括现代汉语。属于（4d）的例子有法语等罗曼语系语言。古汉语中，代词宾语一定条件下通常前置，而同样的条件并不能导致名词宾语前置，也部分地符合（4d）。Greenberg 也强调指出，决定一种语序是否优势的，不是出现率，而是在这四分表格上的分布。由于前置代词宾语既可以象(4a)那样跟前置名词宾语搭配，也可以象(4d)那
8、样跟后置名词宾语搭配，而后置代词宾语只能如（4b）那样跟后置名词宾语搭配，却如（4c）所示那样不能跟前置名词宾语搭配，因此，代词宾语前置相对于代词宾语后置是优势语序。根据同样的逻辑，名词宾语后置相对于前置是优势语序。格式（4）可以总结成：两个劣势语序的组合不可能存在，一优一劣的组合和两者皆优的组合都会存在。所谓互相“和谐”的语序，就是核心位置相同的语序。如后置代词宾语跟后置名词宾语是和谐的，因为都是核心动词前置的结构。又如 前置词+宾语 跟 动词+宾语 和谐，因为都是核心前置的结构。语序和谐的概念后来得到了广泛的研究和运用，例如 Lehmann (1978)的“统辖语和被统辖语和谐”理论、Ha
9、wkins (1983)的“跨范畴和谐”等等。类型学中后来关于“核心前置”的语言和“核心后置”的语言之划分，就是根据核心的位置来划分语言的。在形式语法中，也把核心前置或后置看作一个重要的参数。这些，都反映了自然语言中各种核心成分的位置趋向和谐一致的倾向。Greenberg 用心理上的概括化（generalization）简单解释了一下“和谐”。后来的研究对这种倾向的从不同角度作了解释，包括从语言习得的角度所作的解释，这就是所谓“认知上的经济性”(Shibatani Thomas Wasow, Anthony Losongco, Yoshiaki Itoh; and Sumie Ueda. 19
10、95.Adpositions in word order typology. Linguistics, Vol.33, No.4:741-61.Ultan, R. 1978. Towards a typology of substantival possesion. in Greenberg J.H. ed. 1978. Universals of human language Vol. 4 (Syntax). Stanford: Stanford University Press.Yau, Shun-chiu 1979 Natural word order in child language
11、. International Journal of Psycholinguistics, 6-2(14)pp. 21-43.Yau, Shun-chiu 1982. Constraints on basic sign order and word order universals, Nonverbal Communication Today: Current Research, Mary Ritchie key ed. In Contributions to the Sociology of Language, Joshua A. Fishman editor-in-chief. Pp. 1
12、40-153我的日志Joseph HGreenberg（1966） 经典的 45 条语言共性分类:语言类型学22基本语序1：带有名词性主语和宾语的陈述句中，优势语序几乎总是主语处于宾语之前。2：使用前置词的语言中，领属语几乎总是后置于中心名词，而使用后置词的语言，领属语几乎总是前置于中心名词。3：优势语序为 VSO 的语言，总是使用前置词。4：采取 SOV 为常规语序的语言，在远远超过随机频率的多数情况下，使用后置词5：如果一种语言以 SOV 为优势语序，并且领属语后置于核心心名词，那么形容词也后置于核心名词。6：所有以 VSO 为优势语序的语言，都可以把 SVO 作为可能的或唯一的一种替换性
13、基本语序。7：在以 SOV 为优势语序的语言中，如果没有或仅有 OSV 为其替换性语序，那么动词所带的一切状语都处于动词之前。 （这就是型的“严格”次类）句法8：如果可以根据语调模式区分是非疑问句和其相应的陈述句，那么语调模式中的每一种语调上的区别性特征表现在句末，而不是句首。9：在远远超过随机频率的多数情况下，涉及全句的疑问小词或词缀，在前置词语言中居于句首，在后置词语言中居于句末。10：疑问小词或词缀如果指向句中某一特定的词，几乎总是跟在这个词的后头。以 VSO 为优势语序的语言中不出现这样的小词。11：只有在疑问词或疑问短语通常居于句首的语言中，才会颠倒陈述的语序，使动词置于主语之前；只
14、有特殊疑问句的情况如此，是非疑问句才会出现同样的语序颠倒。12：陈述句中以 VSO 为优势语序的语言，其特指疑问句中总把疑问词或疑问短语放在句首。陈述句中以 SOV 为优势语序的语言，不会有这样的变换。13: 如果名词性宾语总在动词之前，那么从属于主要动词的动词形式也要置于主要动词之前。14：在条件陈述句中，所有语言都以条件从句处于结论之前为正常语序。15：除了名词性宾语总是居于动词之前的那些语言之外，表达意愿和目的的从属动词形式总是置于主要动词之后。16：以 VSO 为优势语序的语言中，有屈折变化的助动词总是前置于主要动词。在以 SOV 为优势语序的语言中，有屈折变化的助动词总是跟在主要动词
15、之后。17：除了偶然出现的情况外，优势语序为 VSO 的语言绝大多数是形容词居于名词之后。18：当描写性形容词前置于名词时，除了偶然出现的情况外，绝大多数情况是指别词和数词也处于名词之前。19：当一般规则是描写性形容词后置时，可能会有少数形容词常常前置；但一般规则是描写性形容词前置时，则不存在例外。20：当任何一个或者所有的下述成分（指别词、数词、描写性形容词）居于名词之前时，它们总以这种语序出现。如果它们后置，语序或者依旧，或者完全相反。2321：如果某些或所有副词跟在它们所修饰的形容词后，那么这种语言中的形容词也处于名词之后，而且以动词前置于名词性宾语为优势语序。22：在形容词比较结构中，
16、如果唯一的或可能交替的语序之一是基准标记形容词的话，那么这语言是后置词语言。如果唯一的语序是形容词标记基准，那么这种语言除了偶然出现的情况外，绝大多数是前置词语言。23：如果同位结构中专用名词一般前置于普通名词，那么这种语言里的中心名词也前置于从属它的领属语成分。如果普通名词一般前置于专用名词，那么，从属的领属语成分绝大多数处于它的中心名词之前。24：如果关系从句前置于名词是唯一的或者是可交替的结构，那么这种语言或使用后置词，或者形容词前置于名词，也可能二者兼有。25：如果代词性宾语后置于动词，那么名词性宾语也同样后置。词法26：如果一种语言有非连续性的词缀，它总是有前缀或后缀，或者两者兼有。
17、27：如果一种语言仅有后缀，那么这是使用后置词的；仅有前缀，则是使用前置词的。28：如果派生词缀和屈折词缀都后置于或都前置于词根，派生词缀总在词根和屈折词缀之间。29：如果一种语言有屈折变化，那它总有派生现象。30：如果一种语言里动词有人称数的范畴或有性的范畴，那么它总有时式的范畴。31：如果作主语或作宾语的名词跟动词有性的一致关系，那么形容词跟名词也总有性的一致关系。32：只要动词跟名词性主语或宾语有性的一致关系，总也有数的一致关系。33: 如果名词跟动词之间的数的一致关系没有专门表示出来，并且这又跟语序有关，那么此时动词总是前置的，并且是单数形式。34：有双数的语言才会有三数。有复数的语言
18、才会有双数。35: 复数在所有的语言里都用某种非零形式的语素来表示，而单数在有些语言中仅用零形式表示。双数和三数几乎从不采取零形式。36：一种语言如果有性的范畴，它总具有数的范畴。37：一种语言的性的范畴在非单数中不会比在单数中多。38: 在有格的系统的情况下，唯一用零形式语素表示的是意义上包含了不及物动词主语的格。39: 如果表示数和格的语素一起出现，并且都前置或后置于名词，那么表示数的成分总在名词词根和表示格的成分之间。40: 当形容词后置于名词时，形容词表示出名词的所有的屈折范畴。在这种情况下，名词可能缺少其中一个范畴或全部范畴的显性标记。41: 如果一种语言里动词后置于名词性主语和宾语
19、是优势语序，那么这种语言几乎都具有格的系统。42: 所有的语言都有至少包括三种人称和两种数在内的代词范畴。43: 一种语言如果名词有性的范畴，那么在代词也有性的范畴。44: 一种语言如果在第一人称上有性的区别，那么第二或第三人称，或者这两种人称，也总有性的区别。45: 如果代词的复数有任何性的区别，那么单数也会有某种性的区别。24Appendix III*Universals RestatedUniversal 1. In declarative sentences with nominal subject and object, the dominant order is almost al
20、ways one in which the subject precedes the object.Universal 2. In languages with prepositions, the genitive almost always follows the governing noun, while in languages with postpositions it almost always precedes.Universal 3. Languages with dominant VSO order are always prepositional.Universal 4. W
21、ith overwhelmingly greater than chance frequency, languages with normal SOV order are postpositional.Universal 5. If a language has dominant SOV order and the genitive follows the governing noun, then the adjective likewise follows the noun.Universal 6. All languages with dominant VSO order have SVO
22、 as an alternative or as the only alternative basic order.Universal 7. If in a language with dominant SOV order, there is no alternative basic order, or only OSV as the alternative, then all adverbial modifiers of the verb likewise precede the verb. (This is the “rigid“ subtype of III.)Universal 8.
23、When a yes-no question is differentiated from the corresponding assertion by an intonational pattern, the distinctive intonational features of each of these patterns are reckoned from the end of the sentence rather than from the beginning.Universal 9. With well more than chance frequency, when quest
24、ion particles or affixes are specified in position by reference to the sentence as a whole, if initial, such elements are found in prepositional languages, and, if final, in postpositional.Universal 10. Question particles or affixes, when specified in position by reference to a particular word in th
25、e sentence, almost always follow that word. Such particles do not occur in languages with dominant order VSO.Universal 11. Inversion of statement order so that verb precedes subject occurs only in languages where the question word or phrase is normally initial. This same inversion occurs in yes-no q
26、uestions only if it also occurs in interrogative word questions.Universal 12. If a language has dominant order VSO in declarative sentences, it always puts interrogative words or phrases first in interrogative word questions; 25if it has dominant order SOV in declarative sentences, there is never su
27、ch an invariant rule.Universal 13. If the nominal object always precedes the verb, then verb forms subordinate to the main verb also precede it.Universal 14. In conditional statements, the conditional clause precedes the conclusion as the normal order in all languages.Universal 15. In expressions of
28、 volition and purpose, a subordinate verbal form always follows the main verb as the normal order except in those languages in which the nominal object always precedes the verb.Universal 16. In languages with dominant order VSO, an inflected auxiliary always precedes the main verb. In languages with
29、 dominant order SOV, an inflected auxiliary always follows the main verb.Universal 17. With overwhelmingly more than chance frequency, languages with dominant order VSO have the adjective after the noun.Universal 18. When the descriptive adjective precedes the noun, the demonstrative and the numeral
30、, with overwhelmingly more than chance frequency, do likewise.Universal 19. When the general rule is that the descriptive adjective follows, there may be a minority of adjectives which usually precede, but when the general rule is that descriptive adjectives precede, there are no exceptions.Universa
31、l 20. When any or all of the items (demonstrative, numeral, and descriptive adjective) precede the noun, they are always found in that order. If they follow, the order is either the same or its exact opposite.Universal 21. If some or all adverbs follow the adjective they modify, then the language is
32、 one in which the qualifying adjective follows the noun and the verb precedes its nominal object as the dominant order.Universal 22. If in comparisons of superiority the only order, or one of the alternative orders, is standard-marker-adjective, then the language is postpositional. With overwhelming
33、ly more than chance frequency if the only order is adjective-marker-standard, the language is prepositional.Universal 23. If in apposition the proper noun usually precedes the common noun, then the language is one in which the governing noun precedes its dependent genitive. With much better than cha
34、nce frequency, if the common noun usually precedes the proper noun, the dependent genitive precedes its governing noun.Universal 24. If the relative expression precedes the noun either as the only construction or as an alternate construction, either the language is postpositional, or the adjective p
35、recedes the noun or both.26Universal 25. If the pronominal object follows the verb, so does the nominal object.Universal 26. If a language has discontinuous affixes, it always has either prefixing or suffixing or both.Universal 27. If a language is exclusively suffixing, it is postpositional; if it
36、is exclusively prefixing, it is prepositional.Universal 28. If both the derivation and inflection follow the root, or they both precede the root, the derivation is always between the root and the inflection.Universal 29. If a language has inflection, it always has derivation.Universal 30. If the ver
37、b has categories of person-number or if it has categories of gender, it always has tense-mode categories.Universal 31. If either the subject or object noun agrees with the verb in gender, then the adjective always agrees with the noun in gender.Universal 32. Whenever the verb agrees with a nominal s
38、ubject or nominal object in gender, it also agrees in number.Universal 33. When number agreement between the noun and verb is suspended and the rule is based on order, the case is always one in which the verb precedes and the verb is in the singular.Universal 34. No language has a trial number unles
39、s it has a dual. No language has a dual unless it has a plural.Universal 35. There is no language in which the plural does not have some nonzero allomorphs, whereas there are languages in which the singular is expressed only by zero. The dual and the trial are almost never expressed only by zero.Uni
40、versal 36. If a language has the category of gender, it always has the category of number.Universal 37. A language never has more gender categories in nonsingular numbers than in the singular.Universal 38. Where there is a case system, the only case which ever has only zero allomorphs is the one whi
41、ch includes among its meanings that of the subject of the intransitive verb.Universal 39. Where morphemes of both number and case are present and both follow or both precede the noun base, the expression of number almost always comes between the noun base and the expression of case.Universal 40. Whe
42、n the adjective follows the noun, the adjective expresses all the inflectional categories of the noun. In such cases the noun may lack overt expression of one or all of these categories.27Universal 41. If in a language the verb follows both the nominal subject and nominal object as the dominant orde
43、r, the language almost always has a case system.Universal 42. All languages have pronominal categories involving at least three persons and two numbers.Universal 43. If a language has gender categories in the noun, it has gender categories in the pronoun.Universal 44. If a language has gender distinctions in the first person, it always has gender distinctions in the second or third person, or in both.Universal 45. If there are any gender distinctions in the plural of the pronoun, there are some gender distinctions in the singular also.
