Janez Orešnik CDU 800.1 University ofLjubljana NATURALNESS IN ENGLISH: SOME (MORPHO)SYNTACTIC EXAMPLES In Slovenia, the natura/ syntax ofthe Klagenfurt brand has been extended to the study ofthe behav­iour of(near-)synonymous syntactic expressions, here called syntactic variants. The work below is illustrated with (morpho)syntactic cases from English. (Naturalness Theory applied to English has sofar not received much attention.) About a halfofthe examples deal with relative clauses; the other halfconsiders fronting phenomena. The language material is divided into consecutively numbered deductions, in each ofwhich the existence ofa (morpho)syntactic state ofaffairs is predicted on the basis ofapposite assumptions and Andersen smarkedness agreement rules. ln11:roduction The subject-matter of this paper is a (language-universal) theory developed in Slovenia by a small group of linguists (under my guidance) that mainly use English, German, and Slovenian language material as the base of verification. Our work owes much to, and exploits, the (linguistic) Naturalness Theory as elaborated especially at some Austrian and German universities; cf. Mayerthaler (1981), Wurzel (1984), Dressler et al. (1987) and Dressler (2000). Naturalness Theory has also been applied to syntax, notably at the University of Klagenfurt; the basic references are Dotter (1990), Mayerthaler & Fliedl (1993) and Mayerthaler et al. (1993; 1995; 1998). Within the nat­ural syntax of the Klagenfurt brand, the Slovenian work group has built an extension that studies the behaviour of(near-)synonymous syntactic expressions, here called syn­tactic variants. Whenever two syntactic variants are included in the same naturalness scale, and consequently one variant can be asserted to be more natural than the other, something can be said about some grammatical properties ofthe two variants. Within Naturalness Theory Mayerthaler (1981:10 et passim) distinguishes sem­and sym-naturalness. Because the present paper utilizes sem-naturalness only, Mayer­thaler's distinction will not be discussed. Sem-naturalness will simply be called natu­ralness in the continuation ofthe paper. The predicate "natural" will be defined as sim­ple (for the speaker) from the cognitive point ofview. This kind of naturalness is simi­lar to traditional markedness, and the following approximate equation can be stated as a first orientation ofthe reader: cxmarkedness = -cxnaturalness. It is practically impos­sible to compare markedness and naturalness in (morpho )syntax seeing that the appli­cation of both in that field is in a state of flux. Naturalness values will be stated in naturalness scales. The basic format is >nat (A, B), i.e. with respect to cognitive complexity, A is more natural than B. To cover any optional usage ofA or B, this framework assumes the following two additional formats derived from the basic format: (i) >nat (A + B, B), i.e. with respect to cognitive complexity, optional use ofA (with respect to B) is more natura! than the use ofB on its own; (ii) >nat (A, A + B), i.e. with respect to cognitive complexity, the use ofA on its own is more natura! than optional use of B (with respect to A). Any scale in one of the two deri ved formats (i-ii) is asserted to be true whenever the corresponding scale in the basic format >nat (A, B) is asserted to be true. Therefore, when a scale couched in a derived format is used, it suffices to back up the corresponding scale in the basic format. Given the wealth of optional usage in lan­guages, the applicability of my framework would be greatly reduced without the two additional formats. In the present paper, the language examples are dealt with in "deductions". Each deduction contains at least two naturalness scales. The naturalness values of paired scales will be aligned by the princip le of markedness agreement as stated in Andersen 1968 (repeated in Andersen 2001), and adapted to naturalness in the following way: what is more natura! tends to align with another instance of more natura!; what is less natura! tends to align with another instance of less natura]. Severa] ways of determining naturalness in (morpho )syntax feature prominently in the present paper, and deserve mention in this introduction: (a) The principle of Jeast e:ffort (Havers 1931: 171 ). What conforms better to this prin­ciple is more natura]. What is cognitively simple (for the speaker) is easy to pro­duce, easy to retrieve from memory, etc. (b) Phylogenetic age. What is older phylogenetically is more natural. What is cogni­tively simpler (for the speaker) is acquired earlier by the language. ( c) Prototypicality. What is nearer to the prototype is more natural. ( d) Degree of integration into the clause. What is better integrated into its clause is more natural. This partially exploits (c): the prototypical syntactic situation is for a syntactic element to be well integrated into its syntactic construction. (e) Frequency (in the spirit ofFenk-Oczlon 1991). What is more frequent token-and/or typewise is more natural. What is cognitively simpler (for the speaker) is used more. (t) Small v. large class. A small class ofunits is more natura] than a large class ofunits. During speech, it is easier for the speaker to choose an item from a small class than from a large class. The following two additional ways of determining naturalness values, not used in the present paper, are mentioned to complete the picture: (g) Specialised v. non-specialised use. The specialised use of a category is more natu­ra] than its non-specialised use. This generalisation is based on the following con­sideration. Ali kinds of categories occur in the most natura! lexical items, para­digms and constructions ofthe language, and ebb on the way out ofthat core. Take a language whose noun phrases distinguish singular, plural and dual. Although sin­gular, plural, and dual are not equally natural with respect to each other, each of them is highly natural in its own field. For instance, the dual is highly natura) (spe­cialised) as an expression of duality: >nat ( dual, singular/plural) / in expressions of duality. This is correlated with the circumstance that all the three numbers are pres­ent in personal pronouns, i.e. in the most natura! noun phrases, while they may be present to different degrees in the remaining noun phrases of the language. (Recall the above-mentioned alignment rules.) For the relevant typological nat (+dual, -dual) /in expressions of duality. See the preceding item (f). Illustrations of (a-f) as well as additional ways of determining naturalness will be adduced as 1 proceed. The frameworkjust outlined will now be applied to some (morpho)syntactic vari­ants ofEnglish. (The examples adduced below are meant to be simple and variegated.) Pairs ofvariants have been determined on the basis oflinguistic experience. The upper limit on the length of a variant is two linked clauses. As already mentioned, each case considered is presented in the format of a deduction. The ordering ofthe deductions is mostly arbitrary. Section (A) considers relative clauses, and section (B) deals with fronting phenomena. (A) Relative clauses l. English. In relative clauses, the pronoun whom cannot be used asa subject (Biber et al. 1999:609). The two syntactic variants: a syntactic unit expressing any NP-relation and a syn­tactic unit expressing any NP-relation other than the subject. l. The assumptions ofNaturalness Theory: 1.1. >nat (who, whom) /as relativizers l.e. the relativizer who is more natural than the relativizer whom. -Who has less sound body and intemal structure than who-m. The scale abides by the principle of least effort. See item (a) in the Introduction. 1.2. >nat (subject, other NP-relations) Le. the subject is more natural than other NP-relations (Mayerthaler 1981:14). ­The subject is the prototypical NP-relation. See item ( c) in the Introduction. A special case of 1.2: 1.2.1. >nat (subject & other NP-relations, other NP-relations) / syntactic unit Le. a syntactic unit expressing any NP-relation is more natural than a syntactic unit expressing any NP-relation other than the subject. -The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (= high naturalness value) of scale 1.1 is the relativizer who. It is aligned with the >nat ofscale 1.2.1, which is "subject and other NP-relations". The nat (-relativizer, +relativizer) / subject Le. a subject that is not a relativizer is more natural than a subject that is a rela­tivizer. -The prototypical subject is nota relativizer. See item (c) in the Introduction. 1.2. >nat (relativizer omission, non-omitted relativizer) l.e. relativizer omission is more natural than a non-omitted relativizer. -The scale abides by the principle of least effort. See item (a) in the Introduction. A special case of 1.2: 1.2. l. >nat ( +/-relativizer omission, non-omitted relativizer) l.e. a relativizer that can be omitted is more natural than a non-omittable relativiz­er.-The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (restrictive, non-restrictive) I relative clause l.e. a restrictive relative clause is more natural than a non-restrictive relative clause (Dotter 1990:244).-Restrictive relative clauses are structurally simpler and shorter than non-restrictive relative clauses, in terms of averages. Therefore the scale abides by the principle of least effort. See item ( a) in the Introduction. 1.2. >nat (that, other relativizers) te. the relativizer that is more natural than other relativizers. -The relativizer that is the oldest relativizer of English. The scale is thus supported by phylogenetic con­siderations. See item (b) in the Introduction. A special case of 1.2: 1.2. l. >nat (that & other relativizers, other relativizers) / relative clause l.e. a relative clause admitting any relativizer is more natural than a relative clause admitting ali relativizers except that.-The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (+subject, -subject) / relativizable Le. a subject is more natural than a non-subject, as a relativizable unit. -According to the NP Accessibility Hierarchy (Croft 1990:109, with references). 1.2. >nat (more frequent, less frequent) / unit Le. a more frequent unit is more natural than a less frequent unit. -See item ( e) in the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat ( conversation, written registers) Le. conversation is more natural than written registers (Dotter 1990:228). -Written registers are clearly secondary with respect to oral communication. 1.2. >nat (relativizer omission, relativizer) / relative clause Le. relativizer omission is more natural than non-omitted relativizers. -The scale abides by the princip le of least effort. See item ( a) in the Introduction. A special case of 1.2: 1.2.1. >nat (relativizer & relativizer omission, relativizer) / relative clause Le. a relative clause admitting both relativizers and relativizer omission is more natura! than a relative clause admitting only non-omitted relativizers. -The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (relativizer omission, non-omitted relativizer) Le. relativizer omission is more natura! than a non-omitted relativizer. -The scale abides by the principle of least effort. See item (a) in the Introduction. 1.2. >nat (-resumptive pronoun, +resumptive pronoun) / relative clause Le. a relative clause lacking a resumptive pronoun is more natura! than a relative clause showing a resumptive pronoun. -The scale abides by the principle of least effort. See item (a) in the Introduction. A special case of 1.2: 1.2.1. >nat (-resumptive pronoun, +/-resumptive pronoun) / relative clause Le. a relative clause lacking a resumptive pronoun is more natura! than a clause having or lacking a resumptive pronoun.-The scale has the format >nat (A, A + B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (subject, other NP-relations) /in nom.-acc. languages Le. the subject is more natura! than other NP-relations, in nominative-accusative languages (Mayerthaler 1981:14). -The subject is the prototypical NP-relation. See item ( c) in the Introduction. 1.2. >nat (-relative clause, +relative clause) / added to NP Le. an NP not expanded with a relative clause is more natura! than an NP expand­ed with a relative clause. -The scale abides by the principle of least effort. See item (a) in the Introduction. A special case of 1.2: 1.2.1. >nat (-relative clause, +/-relative clause) / added to NP Le. an NP without a relative clause is more natural than an NP with or without a relative clause.-The scale has the format >nat (A, A + B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (that, wh-) / relativizer Le. the relativizer that is more natural than the wh-relativizers. -The relativizer that is phylogenetically older than the wh-relativizers. See item (b) in the Introduction. 1.2. >nat (+elliptable, -elliptable) / syntactic unit Le. an elliptable syntactic unit is more natural than a non-elliptable syntactic unit. -Ellipsis supports the principle of least effort. See item (a) in the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (that/0, wh-) / relativizer Le. the relativizers that/0 are more natural than the wh-relativizers. -The rela­tivizers that/0 are phylogenetically older than the relativizers wh-. See item (b) in the Introduction. 1.2. >nat (+elliptable, -elliptable) / stranded preposition Le. an elliptable stranded preposition is more natural than a non-elliptable strand­ed preposition. -Ellipsis supports the principle ofleast effort. See item (a) in the Intro­duction. A special case of 1.2: 1.2. l. >nat ( +elliptable, +/-elliptable) / stranded preposition Le. an elliptable stranded preposition is more natural than an elliptable or non­elliptable stranded preposition. -The scale has the format >nat (A, A + B). See the Introduction. 3. The consequences: Ifthere is any difference between a wh-relative clause containing a stranded prepo­sition and a that/0 relative clause containing a stranded preposition, such that in one kind of relative clause the stranded preposition can be ellipted, and in the other kind of relative clause the stranded preposition cannot be ellipted, it is in that/0 relative claus­ es that the stranded preposition tends to be elliptable, and it is in wh-relative clauses that the stranded preposition tends not to be elliptable. Q.E.D. 10. English. Adverbial relative clauses. A few head nouns corresponding to major adver­ bial categories-especially place, tirne, day, reason, and way-are particularly common for adverbial relative clauses, e.g. I can 't think oj a tirne when I would be going by rnyself(Biber et al. 1999:626 ff.). The two syntactic variants: adverbial relative clauses whose antecedents are the (few) major adverbial categories, and adverbial relative clauses having other antece­dents. l. The assumptions ofNaturalness Theory: l.l. >nat ( few, many) / antecedents of relative clause I.e. a few antecedents of a relative clause are more natura! than many antecedents of a relative clause. -A small class is more natura! than a large class. See item (f) in the Introduction. 1.2. >nat (more frequent, less frequent) / unit I.e. a more frequent unit is more natura! than a less frequent unit. -See item ( e) in the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat ( declarative main clause, other clause) I.e. a declarative main clause is more natura! than other clauses (Mayerthaler et al. 1998:326). -The declarative sentential mode is the prototypical sentential mode. Main clauses are phylogenetically the earliest clauses. See items (b) and (c) in the Introduction. 1.2. >nat { +core, -core) / syntactic element I.e. a core syntactic element is more natura! than a non-core syntactic element. ­Core syntactic elements are the prototypical clause elements. See item ( c) in the Introduction. A special case of 1.2: 1.2.1. >nat ( +/-core, -core) / syntactic element participating in fronting I.e. fronting involving core or non-core elements is more natura! than fronting in­volving only non-core elements. -The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (-fronted, +fronted) / nominal or complement clause Le. a non-fronted nominal or complement clause is more natura! than a fronted nominal or complement clause. -A non-fronted nominal or complement clause is bet­ter integrated into its clause than a fronted nominal or complement clause. See item ( d) in the Introduction. 1.2. >nat (single focus, double focus) / clause Le. a clause containing single focus is more natura! than a clause containing double focus.-The prototypical clause contains single focus. See item (c) in the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat ( conversation, written registers) I.e. conversation is more natura! than written registers (Dotter 1990:228). -The written registers are clearly secondary with respect to oral communication. 1.2. >nat (object, other) / core elements that can be fronted I.e. an object is more natura! than other core elements that can be fronted. -Core elements that can be fronted include objects, predicatives, infinitive predicates, etc. Among these objects are the most natura!, being closest to the prototypical sentence element. See item ( c) in the Introduction. A special case of 1.2: 1.2.1. >nat ( object, object & other) / core elements that can be fronted I.e. an object is more natura! than all the core elements that can be fronted. -The scale has the format >nat (A, A +B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (nominal, clause) / object l.e. an object that is a nominal is more natura! than an object that is a clause. -The prototypical object is a nominal. See item (c) in the Introduction. 1.2. >nat (affirmative, negative)/ clause l.e. an affirmative clause is more natural than a negative clause (Mayerthaler 1981: 15). ­In contradistinction to negative clauses, affirmative clauses are not marked in any spe­cial way in most languages. A special case of 1.2: 1.2.1. >nat ( affirmative & negative, negative) / clause 1.e. a clause that can be affirmative or negative is more natura! than a clause that can only be negative. -The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (+light, -light) / subject Le. a light subject is more natura! than a non-light subject. -The scale abides by the principle of least effort. See item (a) in the Introduction. 1.2. >nat (SV, VS) /in SVO-languages Le. the element order SV is more natural than the element order VS, in SVO-lan­guages. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (-fronted, +fronted) / predicative Le. a non-fronted predicative is more natural than .a fronted predicative. -A non­fronted predicative is better integrated into its clause than a fronted predicative. See item ( d) in the Introduction. 1.2. >nat (given, new) / information I.e. given information is more natural than new information. -Given information is encoded more parsimoniously than new information, in terms of averages. Thus the scale abides by the principle of least effort. See item (a) in the Introduction. A special case of 1.2: 1.2.1. >nat (given & new, only new) / information I.e. containing given or new information is more natural than containing only new information. -The scale has the format >nat (A + B, B). See the Introduction. 1.3. >nat (-emphasis, +emphasis) I.e. lack of emphasis is more natural than emphasis (Mayerthaler 1981: 15).­ Emphasis is implemented only under special circumstances. A special case of 1.3: 1.3.1. >nat (-/+emphasis, +emphasis) I.e. optional emphasis is more natural than obligatory .emphasis. -The scale has the format >nat (A + B, B). See the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (-fronted, +fronted) / infinitive predicate I.e. a non-fronted infinitive predicate is more natural than a fronted infinitive pred­icate. -A non-fronted infinitive predicate is better integrated into its clause than a fronted infinitive predicate. See item ( d) in the Introduction. 1.2. >nat (single focus, double focus) / clause I.e. a clause containing single focus is more natural than a clause containing double focus. -The prototypical clause contains single focus. See item (c) in the Introduction. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2. nat (-fronted, +fronted) / gone Le. a non-fronted gone is more natural than a fronted gone. -A non-fronted gone is better integrated into its clause than a fronted gone. See item (d) in the Introduction. 1.2. >nat (-stylistically marked, +stylistically marked) / syntactic element Le. a stylistically unmarked syntactic element is more natural than a stylistically marked syntactic element. -The stylistically marked opposite number may simply be lacking. 2. Markedness agreement (Andersen 2001) applied to naturalness: 2.1. >nat tends to align with another >nat 2.2.