和谐串行理论:一种带推导的优选论

A Survey of Harmonic Serialism

和谐串行理论是近年来兴起的一种带推导的OT理论,这一理论与经典生成音系学理论都主张音系映射是间接性的,音系推导是分步实施的,每一步音系推导所产生的音变数量是受到严格限制的,所不同的是它仍是一种OT理论:它的语法是由可违反的普遍性制约条件等级排列方式构成的。但它又不同于并行主义的OT理论。它在生成器所生成的候选项集合中严格遵循渐变性原则,在底层到表层的映射过程中充分体现候选项的和谐性提升过程。因此,它的语法所选取的优选项常常是候选项集合中的某个局部最优项,而非总体最优项。本文采用对比方法,首先介绍和阐释和谐串行理论的基本原则和理论框架,举例说明这一理论的分析方法以及需要注意的问题。然后,通过与其他相关理论进行对比,说明它的理论特点和优势以及所存在的问题。接着,对这一理论的变化和所产生的影响进行具体的分析和诠释。最后,进行总结并简要说明这一理论尚待解决的一些问题和所面临的一些挑战。

Harmonic Serialism （HS） is a derivational Optimality Theory advanced in recent years. Following the classic generative phonology, this theory assumes that the phonological mapping is indirect, the surface forms are derived after a series of intermediate steps, and the number of sound changes in each step is strictly limited. But the difference is that it is still an OT theory, with an assumption that a grammar is one of the rankings of a set of universal constraints. Unlike parallelist 0T （ P-OT）, HS strictly observes the principle of gradualness when its Gen generates the candidate set, and thus, the phonological mappings from underlying form to surface form fully reflect the process of harmonic improvement of the candidate. As a result, the winner that the grammar finally selects is a local optimum rather than the global one. Using the comparative method, the present paper first introduces and explains the basic theoretical principles and framework of HS, and illustrates its analytic method with some examples. Then, by comparing with other related theory, the paper points out the characteristics and advantages as well as the existing problems for HS, then demonstrates both theoretiaal and empirical consequences that HS may bring about, and finally concludes with a brief summary of the remaining problems and challenges that this theory will be faced with.