第四讲 Transformational Generative Grammar 1103

1、Transformational Generative Grammar 第四讲 v背景背景 v乔姆斯基发现结构主义只按分布和替换原则 对结构成分进行分类的方法有很大局限性， 于是他另辟蹊径，从1957年标志着“乔姆斯 基”革命的句法结构开始，逐步建立了 著名的转换生成语法。 v美国语言哲学家John Searle 评论乔姆斯基 的研究工作，其影响范围和完整程度足以与 弗洛伊德相比。 v英国著名的前景杂志为纪念创刊十周年，会同 美国外交政策杂志进行了一次网络调查，评选 全球最具影响力的100名公共知识分子。日前，两份 杂志公布了评选结果，美国著名的语言学家诺 曼乔姆斯基被评为当代最伟大公共知识分

2、子。在2 万张有效投票中，乔姆斯基共获得了4800张选票， 两倍于位居第二的艾柯。现年70岁的乔姆斯基是当 代最著名的语言学家之一，但乔姆斯基的影响力并 不局限于语言学。 v他在29岁时出版的句法结构提出了转换生成语 法的思想，从而奠定了他在现代语言学中的地位。 由他主持开发的人机对译系统采用了转换生成语法 原理，成功地实现了印欧语系中不同语言之间的人 机对译，被广泛用于国际会议的同声传译。 v乔姆斯基认为语言研究应致力于探索人的内 在的语言能力，不应满足于对言语行为这种 表面现象的观察和描写。结构主义研究语言 的目的是为了对语言进行分类描写，而在乔 姆斯基看来，语言研究的目的就是要建立一 套

3、形式化的演绎系统，一套有限的语法规则。 这套规则既能生成出无限合乎语法的句子， 又能解释各种句子内部的语法关系和语义上 的歧义性。 vChomsky has long been an opponent of behaviourist psychology. Chomsky held that human beings are different from animals or machines. He believes that the structure of language is determined by the structure of the human mind and that

4、 the universality of certain properties characteristic of language is evidence that at least this part of human nature is common to all members of the species. v乔姆斯基的生成语法大致经历了五个阶段： v古典理论 (Classic Theory, 1955-1965) v标准理论 (Standard Theory, 1965-1970) v扩展的标准理论 (Extended Standard Theory, 1970-1980) v修正

5、的扩展标准理论(Revised Extended Standard Theory, 1980-1992) 1.最简方案 (Minimalist Program,1992-) The classical theory is characterized by three features: Emphasis on generative ability of language Introduction of transformational rules Grammatical description regardless of meaning The standard theory included

6、 a semantic component in his grammatical model. Chomsky says that a generative grammar should consist of three components: syntactic, phonological and semantic. In “A Minimalist Program for Linguistic Theory”, he holds that the initial stages of human languages are the same whereas the states of acq

7、uiring different languages are not. vThe Innateness Hypothesis vChomsky believes that language is somewhat innate, and that children are born with what he calls a Language Acquisition Device. vAccording to this view, children are born with knowledge of the basic grammatical relations and categories,

8、 and this knowledge is universal. vIn his view, the study of language, or the structure of language, can throw light on the nature of the human mind. This approach to language is a reaction against behaviorism in psychology and empiricism in philosophy. v在儿童语言习得的问题上，结构主义接受英国哲学 家洛克（16321704年）“白板说”的哲学

9、观点。 洛克认为人的心灵的原始状态只是白板一块，一切 知识和观念都是后来从经验中获得的。由此，结构 主义者认为小孩的语言是靠反复地模仿和记忆，使 其成为一种习惯而获得的。乔姆斯基认为“白板说” 的观点很难解释这样两种现象：一是动物通过反复 训练之后为什么不能掌握语言；二是供小孩模仿的 句子无论数量有多少，但毕竟是有限的，小孩为什 么能够理解并产生以前从未听见过的无限的句子。 乔姆斯基赞成17世纪的法国哲学家笛卡尔（1596 1650年）的“天赋观念”说，因此他认为人的大脑 中天生就有一个“语言习得机制”，一旦特定的语 环境触发这一机制，小孩就自然能够获得某种语言。 vImportant fac

10、ts concerning Innateness Hypothesis vChildren learn their native language very fast and with little effort. vThe degenerate nature of the input data. vChildren follow more or less the same stages in the acquisition of their mother tongue though in very different environment. (1)The child learns the

11、total grammar of the language during a limited period of time, from limited exposure to speech. vThree elements of LAD vA hypothesis-maker vLinguistic universal vAn evaluation procedure (1)The above-mentioned observations suggest that children are predisposed for learning any language, human languag

12、es in the world must have the same underlying principles in common. This is what Chomsky called language universals or linguistic universal. 2. UG and the logical problem of language acquisition vUG is proposed as part of an innate biological endowed language faculty. It places limitations on gramma

13、rs, constraining their form, as well as how they operate. UG is postulated as an explanation of how it is that learners come to know properties of grammar that go far beyond the input, how they know that certain things are not possible, etc. vUG是由各语言普遍遵守的不变原则和因语言而异 的可变参数组成, 它对儿童的母语习得和成人母语 者的语言知识具有制约

14、作用。UG是儿童接触母语 数据(primary linguistic data, PLD)之前的初始状 态。儿童通过PLD建立母语词库, 将UG的参数设 定为母语的参数值, 逐步达到母语语法的恒定状态, 从而完成母语习得(通常情况下儿童在5岁左右即 可完成) 。在母语习得时儿童接触到的语言输入十 分有限, 而且多为“肯定性证据”(positive evidence) , 很少有“否定性证据”( negative evidence) , 但儿童的语言知识和语言输出却远远 超出他们所接触到的语言输入的范围。这种“刺 激贫乏”(poverty of the stimulus)就是儿童母语习 得中的逻

15、辑问题。如果外部因素无法解释母语习 得这一现象, 那就只能认为儿童拥有天赋的UG。 vUG and L2 acquisition vWhether there is a mismatch between the input that L2 learners are exposed to and the unconscious knowledge that they attain. In the first decade of work on SLA from a UG perspective, research focused mainly on whether or not UG is av

16、ailable to L2 learners, and in what form. Is UG available (accessible) to L2 learners? Hypotheses varied as to whether learners had no access, partial access, or full access to UG, and there were differing views on the role of L1 grammar. vAccess to UG vComplete access: learners begin with the param

17、eter setting of their L1 but subsequently learn to switch to the L2 parameter settings. vNo access: UG is not available to adult L2 learners. They rely on general learning strategies. According to this position, L1 and L2 acquisition are fundamentally different. vPartial access: learners have access

18、 to parts of UG but not others. vDual access: adult L2 learners make use of both UG and general learning strategies. Adult learners can only be fully successful providing they rely on UG. vAn example from Rod Ellis (p.65) A general principle of language is that it permits co-reference by means of so

19、me form of reflexive. The actress blamed herself. However, reflexives vary cross-linguistically. In the case of English, a reflexive can only co-refer to a subject within the same clause, thus English only permits “local binding”. “long-distance binding” like the following sentence is prohibited. Em

20、ily knew the actress would blame herself. vMarkedness The general idea is that some structures are more “natural or basic” than other structures. In Chomskyan linguistics, unmarked structures are those that are governed by UG, and which, therefore require only minimal evidence for acquisition. Marke

21、d structures are those that lie outside UG. For instance, local binding of reflexives is considered unmarked in relation to long- distance binding. vA number of hypotheses relating to markedness vLearners acquire less marked structures before more marked ones. vLearners are more likely to acquire a

22、frequent but marked structure before an infrequent but unmarked structure than vice versa. (1)Learners are more likely to transfer unmarked structures from their L1 than they are marked structures. v语言标记性的具体标准语言标记性的具体标准 沈家煊认为存在1)组合标准:一个语法范畴中用来组合成有 标记项的语素数目比组合成无标记项的语素数目多,至少也 一样多; 2)聚合标准:聚合成一个无标记范畴的成员

23、比聚合成一个有 标记范畴的成员多,至少也一样多; 3)分布标准:在句法中无标记项可出现的句法环境比有标记 项可出现的句法环境多,至少也一样多; 4)频率标准:无标记项的使用频率比有标记项的使用频率高; 5)意义标准:语法中无标记项的意义比有标记项的意义宽泛, 或者有标记项的意义包含在无标记项的意义之中; 6)历时标准:从历时角度看,一种语言中如果有标记项和无标 记项都有标志,总是有标记项的标志先于无标记项的标志出 现,晚于无标记项的标志消失(沈家煊1999: 32 - 34)。 v二语习得中可能同样存在语言习得的逻辑 问题, 这是因为二语学习者的语法知识也无 法从二语输入中推导出来。然而, 仅

24、凭二语 学习者的语言知识不是来自语言输入还不 足以说明UG对中介语语法具有制约作用, 因为二语学习者已掌握的母语语法很可能 在起作用。因此, 要充分说明中介语语法受 UG原则的制约就必须满足两个条件: (1)某 一语法现象不能通过观察二语输入就可习 得, 即不能根据输入出现的频率进行统计推 理, 或依靠类推、课堂教学等形式就可习得 这一语法现象; (2)该现象必须在母语语法中 也无充分证据, 即排除母语迁移的可能性。 3. The critical period hypothesis This hypothesis states that there is a period during wh

25、ich language acquisition is easy and complete (i.e. native-speaker ability is achieved) and beyond which it is difficult and typically incomplete. There is considerable evidence to support the claim that L2 learners who begin learning as adults are unable to achieve native-speaker competence in eith

26、er grammar or pronunciation. Possible explanations: age of arrival; social conditions (social distance); different learning mechanisms. vIntroduction to TG grammar v在乔姆斯基看来，所谓掌握语言,即听懂和说出无限多句子的能力。句 子的创造是有规则的,其一是短语结构规则,它与深层结构相联系,短语 结构规则不仅能生成语言结构语符列,还能对语符列提供足够成分分析, 因此比有限状态语法能提供更多的信息;其二是转换规则,句子的深层结 构通过转

27、换规则变为表层结构。乔姆斯基认为,通过深层结构和表层结 构的理论,可以把表面不同而意思相同的句子联系起来。 v如“Mary cleaned the room ” 和“The room was cleaned by Mary”, 表层结构不同,但深层结构却相同。同时,转换规则也主张将句子的表层 结构转化为深层结构,从而将表层结构相似的句子区别开来。 v如1)He is easy to please。2)He is eager to please。这两个句子字面 组成相似,属于同一个句子结构,然而由于please 的施动者不同,两句句 意大相径庭。例句1)中,H e 是please 的逻辑宾语,是

28、受动者,而例句2) 中,He 是please 的逻辑主语,是施动者。因此,两句具有完全不同的深层 结构:1)It is easy to please him 。(讨好他很容易)2)He pleases others and he is eager。(他急于讨好别人)。以上例句可以看出,转换规则可 将句子在其表层结构和深层结构之间进行转换, 并以此来揭示句子深层 结构上的异同,这是对传统语法突破性的发展。 vWhat is a generative grammar? vBased partially on mathematical equations generative grammar is

29、a set of rules that provide a framework for all the grammatically possible sentences in a language, excluding those which would be considered ungrammatical. A classical generative grammar consists of four elements: vA limited number of nonterminal signs; vA beginning sign which is contained in the l

30、imited number of nonterminal signs; vA limited number of terminal signs; vA finite set of rules which enable rewriting nonterminal signs as strings of terminal signs. vThe rules could be applied in a free way and the only requirement is that the final result must be a grammatically correct sentence.

31、 What is more, generative grammar is recursive, which means that any output of application of rules can be the input for subsequent application of the same rule. That should enable generating sentences as the daughter of the father of the brother of his cousin. v乔姆斯基提出了三种语法： （1）有限状态语法(finite state g

32、rammar) （2）短语结构语法(phrase structure grammar) （3）转换语法 （transformational grammar) 有限状态语法是一种简单的语法，它用有限的装置 可以生成无限的句子。语法就是这样一个用有限 数量规则生成无限数量句子的系统。并且，这些 规则都必须有以下特点： （1）生成性； （2）简单且形式化 （3）要明确且准确 （4）详尽无遗 （5）递归性 v短语结构规则 （1）SNP+VP （2）VP Verb+NP （3）NP D+N （4）Verb Aux+V （5）N man, ball, door, dog, book, . （6）Aux T

33、ense (+ M) (+ have + en) (+ be + ing) （7）M will, can, may, shall, must, . vA phrase structure tree is a form of representation of sentences in which nodes or elements are labeled by syntactic category (noun phrase (NP), verb phrase (VP), prepositional phrase (PP), etc.) v乔姆斯基把转换规则区分为两种：一种是“强制 性”的，另一

34、种是“选择”的。助动词转换和小 品词（particle)转换属于强制性转换，而否定转换、 被动转换等是选择性转换。 (1) The man opened the door. (Kernel sentence) (2) The man didnt open the door. (3) Did the man open the door? (4) Didnt the man open the door? (5) The door was opened by the man. (6) The door was not opened by the man. (7) Was the door opened by the man? (8) Wasnt the door opened by the man? v有关最简方案的几个问题有关最简方案的几个问题 v1992年，乔姆斯基发表论文语法理论的一个最 简方案（后来收入最简方案一书），从而 使他所开创的生成语法进入一个崭新的阶段。最 简方案的产生受到两个相互联系的问题的影响， 即：（1）哪