Functional Grammar Series 20 Simon C. Dik The Theory of Functional Grammar Part 1: The Structure of the Clause second, revised edition Kees Hengeveld (Editor) ~ DE G Mouton de Gruyter The Theory of Functional Grammar Part 1 Functional Grammar Series 20 Editors A. Machtelt Bolkestein Casper de Groot J. Lachlan Mackenzie Mouton de Gruyter Berlin . New York Simon C. Dik The Theory of Functional Grammar Part 1: The Structure of the Clause second, revised edition edited by Kees Hengeveld Mouton de Gruyter Berlin . New York 1997 Mouton de Gruyter (formerly Mouton, The Hague) is a Division of Walter de Gruyter & Co .. Berlin. @ Printed on acid-free paper which falls within the guidelines of the ANSI to ensure permanence and durability. Library of Congress Cataloging-in-Publication-Data Dik, S. C. (Simon C.) The theory of functional grammar / Simon C. Dik ; edited by Kees Hengeveld.- 2nd, rev. cd. p. cm. (Functional grammar series; 20) Includes bibliographical references (p. ) and index. Contents: pt. I. The structure of the clause. ISBN 3-11-015404-8 (v. I : alk. paper). ISBN 3-11-015403-X (v. I : pbk. : alk. paper) I. Functionalism (Linguistics) I. Hengeveld, Kees, 1957 - II. Title. III. Series. PI47.D54 1997 415-dc21 97-29611 CIP Die Deutsche Bibliothek Cataloging-in-Publication-Data Dik, Simon c.: The theory of functional grammar / Simon C. Dik. Ed. by Kees Hengeveld. - [Ausg. in Schriftenreihe]. - Berlin; New York: Mouton de Gruyter, 1997 ISBN 3-11-0\5539-7 Pt. l. The structure of the clause. 2., rev. ed. - 1997 ISBN 3·11-015404-8 © Copyright 1997 by Walter de Gruyter & Co., D-10785 Berlin AIl rights reserved, including those of translation into foreign languages. No part of this book may be reproduced in any form or by any means, electronic or mechanical, including photocopy, recording or any information storage and retrieval system, without permission in writing from the publisher. Printing: Gerike GmbH, Berlin. - Binding: Liideritz & Bauer-GmbH, Berlin. Printed in Germany. Preface Preface to the first edition Since the publication of Functional Grammar in 1978 many linguists have in one way or another responded to the ideas set forth in that book. Some have written reviews in various shades of sympathy; others have applied FG to a variety of different languages; yet others have challenged certain theoretical claims, sometimes suggesting alternative solutions for specific problems. All these reactions have obviously affected the 1978 framework. They have made it clear that certain modifications and extensions of that framework are called for. This work attempts to provide a new presentation of FG in which due attention is paid to these various contributions to the theory. Just as important as the written and published reactions to FG were the countless discussions which took place in different kinds of groupings: introductory and advanced seminars on FG; weekly gatherings of our Amsterdam discllssion group; the workshop held during the 13th International Congress of Linguists (Tokyo, 1982); the first conference on FG (Amsterdam, 1984); the symposium on predicate operators (Amsterdam, 1985); the second conference on FG (Antwerpen, 1986); the symposium on FG and the comp~ uter (Amsterdam, 1987); and the third conference on FG (Amsterdam, 1988). All these discussions taken together have probably been more influential in shaping and reshaping FG than the written literature, but they are less easy to acknowledge individually. I should therefore like to thank, in a general sense, all those who contributed to these discussions in one way or another. The final responsibility for the present work is of course my own. This work will consist of two parts. Part I (referred to as TFG 1) sets out the basic principles underlying the theory of FG, and discusses the structure of simple (that is, non~derived, non-complex) clallses. Part II (referred to as TFG2), which is in preparation, will contain a discussion of complex and derived construction types. I have arranged the material in such a way that TFGl can be used as an independent introduction to FG. As such, it replaces Functional Grammar of 1978, although not all points discussed in that book are repeated in the same detail here. TFGl does not presuppose any antecedent knowledge of FG, nor does it otherwise depend on other sources for a proper understanding of its contents. TFG2, on the other hand, presupposes (and does not recapitulate) the vi The Theory of Functional Grammar 1 contents of TFGI. TFG2 can thus be used for advanced study of FG by those who already have a reasonable knowledge of the basic framework of the theory. TFGl and TFG2 concentrate on the question of how the linguistic expressions of natural languages of any type can be described and explained in a way that is typologically, pragmatically, and psychologically adequate. FG in this sense is a theory of the organization of linguistic expressions. In the meantime I have developed a wider interest in the ways in which FG could be used as the grammatical component of an integrated model of the natural language user. One fundamental question in this CQntext is how language users relate the content of linguistic expressions to their non-linguistic knowledge. In this connection I take the view that the underlying representations devel oped in FG for grammatical purposes might also be used for the representation of the non-perceptual part of this non-linguistic knowledge. A model of the natural language user will not only require a linguistic and an epistemic capacity, but also a logic which enables it to derive new pieces of knowledge from the knowledge it already possesses, by applying rules and strategies of valid reasoning. If it is assumed that not only linguistic expressions. but also pieces of non-perceptual knowledge are coded in the form of underlying FG structures, it follows that the logic required for this task will have to operate on, and result in, such FG structures as well. We thus need a logic which takes the underlying FG structures for its syntax, and specifies how, given a certain knowledge base containing such structures, further structures of the same kind may be validly inferred. In TFGl and TFG2 occasional reference will be made to this kind of logic, for which I use the term "Functional Logic" (FL). It is my intention to report on FL in a separate work. Finally, I should like to thank Machtelt Bolkestein, Kees Hengeveld, Lachlan Mackenzie, and Jan Rijkhoff for comments which have led to improvements of both content and style of this book. Holysloot, March 1989 Simon C. Dik Pre/ace vii Pre/ace to the second edition This revised edition of TFGl appears together with TFG2. It differs from the first edition in the following respects: (i) Certain mistakes have been corrected. (ii) The explanation of certain topics has been improved. (iii) The whole text has been made compatible with the contents of TFG2, and cross-references to this second part have been made more precise. (iv) A number of theoretical developments have been integrated. (v) Experiences gained through computational implementation of FG in Prolog (d. Dik 1992) have led to slightly different formulations at various points. Though the computer is hardly mentioned in the present work, it has become a source of inspiration for me both in generating ideas and possible analyses, and in testing their operational feasibility. Again, many reactions to TFG 1 have helped me to improve the first edition. Holysloot Simon C. Dik Pre/ace to the second edition by the editor On 1 March 1995, Simon C. Dik died at the age of 55. The disease which led to his death had revealed itself three years earlier, and gradually prevented him from actively continuing his scientific work. When it had become apparent that it would not be possible for him to finish this two-volume The Theory 0/ Functional Grammar, he asked me to assist him in preparing the manuscript for publication. In this second, revised edition of the first volume, originally published in 1989, various modifications have been incorporated, as specified in the preface by the author. Chapters 6 and 7 have been revised most extensively in view of new developments with respect to the analysis of the term phrase. All revisions were discussed with the author. Since the text presented here is intended to reflect Simon Dik's views as closely as possible, references are made only to those publications that were known to the author, albeit sometimes in a preliminary version, at the time when I discussed the prefinal version of this volume with him. Several persons and institutions have provided invaluable help while I was preparing this volume. The Faculty of Arts of the University of Amsterdam furnished financial support and exempted me from teaching duties during the viii The Theory of Functional Grammar 1 academic year 1994-1995, which allowed me to advance much more rapidly than would otherwise have been possible. Lachlan Mackenzie read the entire text and provided many valuable comments. Hella Olbertz prepared the final camera-ready manuscript, including the indexes, and corrected numerous mistakes in the process. The Institute for Functional Research of Language and Language Use at the University of Amsterdam made their technical facilities available to me. Mouton de Gntyter and its staff gave technical and financial assistance throughout the editorial process. Finally, Matty Gaikhorst, Peter Kahrel, Lachlan Mackenzie, Harm Pinkster, Yvonne Sanders, and Willy van Wetter provided help of various kinds. Amsterdam, May 1997 Kees Hengeveld Table of contents List of tables and figures .................................... xvii Abbreviations used in FG-representations ........................ xix 1. Methodological preliminaries ............................... 1 1.0. Introduction ........................................ 1 1.1. Functional Grammar .................................. 2 1.2. The functional paradigm. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 4 1.3. Some aspects of verbal interaction ....................... 8 1.3.1. A model of verbal interaction .................... 8 1.3.2. The stnlcture of pragmatic information. . . . . . . . . . .. 10 1.3.3. Mutual knowledge. . . . . . . . . . . . . . . . . . . . . . . . . . .. 10 1.3.4. Intention, meaning, and interpretation. . . . . . . . . . . .. 12 1.4. Standards of adequacy ............................... 12 1.4.1. Pragmatic adequacy ........................... 13 1.4.2. Psychological adequacy. . . . . . . . . . . . . . . . . . . . . . .. 13 1.4.3. Typological adequacy ......................... 14 1.4.4. The relations between the standards .............. 15 1.5. Abstractness, concreteness, and applicability. . . . . . . . . . . . .. 15 1.6. Take languages seriously ............................. 17 1.7. Constraints on the power of FG ........................ 18 1.7.1. Avoid transformations ......................... 19 1.7.2. Avoid filtering devices ........................ 21 1.7.3. Avoid abstract semantic predicates ............... 23 1.7.4. Motivating these constraints .................... 23 2. Some basic concepts of linguistic theory. . . . . . . . . . . . . . . . . . . . .. 25 2.0. Introduction ....................................... 25 2.1. The importance of functional notions. . . . . . . . . . . . . . . . . . .. 25 2.2. Linguistic universals. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 27 2.3. Hierarchies ........................................ 30 2.4. Priorities.......................................... 34 2.4.1. Hierarchies and priorities ...................... 34 2.4.2. An example ................................. 38 2.4.3. On explaining priorities . . . . . . . . . . . . . . . . . . . . . . .. 39