及物性结构的喻化及其文体效果
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摘要
后现代主义思潮在当代哲学中发展迅猛，语言学领域的研究也顺应了这股强劲趋势。其具体表现为语言学研究重点的转向。即从词汇句子层面向语篇层面，从句法向语义，从语言内部孤立成分静态研究转向语言与语言外部因素之间互动关系的动态考察。在这一大背景下，系统功能语言学因其独到的功能主义和社会意义学(sociosemiotics)视角，而为越来越多的语言学家所认同。与此同时，西方语言学界掀起一股隐喻跨学科研究的热潮。从二十世纪60年代以来，主流的语言学家们就非常关注隐喻问题，尤其是Lakoff和Johnson在1980年提出认知隐喻的概念后，隐喻成为当今语言研究的热点。韩礼德(M．A．K．Halliday)在此背景下提出语法隐喻(grammatical metaphor，为了行文的方便，以后简称为GM)的理论。
韩礼德没有走古典修辞学的老路，也没有因循前卫认知心理语言学的轨迹，而是独辟蹊径，从功能语法中寻求对隐喻的诠释。他认为语言三大纯理功能(metafunction)中的概念功能和人际功能有相应的概念语法隐喻(ideational GM)和人际语法隐喻(interpersollal GM)，而对语篇语法隐喻持保留态度。Martin认为语篇功能有相应的语篇语法隐喻(textualGM)，他用主位(Theme)和述位(Rheme)的隐喻化加以证实，补充丰富了语法隐喻理论。韩氏主要研究概念语法隐喻，并把其中的“名物化”(nominalization)作为其研究焦点。实际上概念隐喻又可进一步划分为经验语法隐喻(experiential GM)和逻辑语法隐喻(logical GM)，而名物化只是经验语法隐喻之一。经验语法隐喻本质上是及物性结构隐喻(transitivity metaphor)，因为及物性比经验功能更能体现及物系统中“过程”(process)的核心作用，小句中的参加者(participant)、时间空间等环境成份(circumstantial element)只是过程所涉及的因素。张德禄先生采用及物性结构喻化这一术语是有其道理的(1998)。本论文锁定于对语法隐喻中及物性结构喻化的研究，并把它与其文体效果相结合，分析其在一定情境语境中的效果。
自从韩礼德（1985）提出语法隐喻的概念之后，国内就开始介绍引入
（朱永生，1994；胡壮磷，1996；申丹，1998；张德禄，1998），但尚未
在文体学中广 k运用．国外已开始用“句法隐喻”（svntact ic metanhor）、
“意译”（paraphrase）等术语来研究分析 Joseph Conrad，James Jovce
等作家的小说u，1993），但其分析框架与功能语言学有很大的区
别．目前国内外还很少有人把语法隐喻或其某一分支及其文体效果作一全
面深入研究，尽管以韩札德为首的功能语言学家对功能文体的探索取得丰
硕成果，但其分析总是围绕三大纯理功能的文体分析，其中又以概念功能
的分析为重。韩札德提倡三大纯理功能的交叉溶合，但这又必须以各具体
功能分析的完善为前提．当前的现状是：对于概念功能的分析只是限于某
一及物性过程在特定文本中所占相对频率以及其有目的的突出性，而没有
对其相对的语法隐喻的文体效果进行深入探索，更没有对其分支作细致研
究，如果有一定研究，也仅仅限于对名物化产生的语法隐喻的青昧．
4k＃韩礼德的观点，名物化是及物性结构隐喻的主要手段，主要用子
科技文体之中．“名物化是唯一最强大的创造语法隐喻的源泉”（1994：
352）．他和后来的功能语法学家在相关的论述中对名物化的渲染无以复加，
笔者认为韩氏对名物化的偏爱未免失之偏颇．
在韩札德看来，语法隐喻是以表示静态的个体kn t i t y）的语言形式
来表达动态的过程的单向运动，但实际上隐喻化的过程是双向的，既可以
是过程向个体的隐喻化，也可以表现为从个体向过程的隐喻化方式（胡壮
赶，2000：85）。及物性结构喻化涉及及物系统的各个层次，包括过程、参
加者和环境成份，任何一个因素的喻化都意味着及物性结构隐喻的诞生．
及物性结构喻化不仅有不同过程的压缩，也有不同过程的相互喻化，不但
有同一过程中参加者或环境咸份的位移，也有同一过程中环坑因子的级转
移形成的喻化．目前国内外讨论及物性的视野仅限子名物化，而以上分析
表明：及物性结构喻化是多层次的，名物化只是其中一部分而已．本论文
的主题就是探讨不同层次的及物性结构喻化及其对拓展文体效果分析深度
和广度的重要性．
全文共分为五章，加上引言和结束语共七个部分．
6
第一章阐述了及物性结构喻化的源流、发展及其研究现状．
隐喻源自人类认知与思维的发展、语言自身的多功能性和表达的伸张
性．它是物质与精神世界的变幻与语言与思维相对贫困的矛盾运动产物，
同时也是人类认知联想性的表征。隐喻在本质上是认知、社会、·。理不断
发展的结果．
一般人往往把隐喻归属为修辞格的一种，与明喻相对照．这种古典的
词汇隐喻观因其研究面的单一性而日益受到语言学家的批判。认知语言学
家把隐喻看作是一种思维方式，即隐喻概念系统（me taphorical concept），
这种理论认为隐喻概念是存在于
The research in linguistics follows the same trend as that of philosophy with the upsurging of postmodernism contemporarily. The concrete representation is the shift of the principal area of linguistic study. The present study has been shifted from lexicon and sentence to text, from syntax to semantics, and from the static study of the isolated interior elements in language to the dynamic study of the interactive relationship between language and the exterior elements surrounding it. Against such a background, systemic-functional grammar has been accepted by more and more linguists because of its unique perspective of functionism and sociosemiotics. Meanwhile, the western circle of linguists launched the heated discussion and intensive investigation of metaphor. Even from the sixties of the 20 century, significant linguists belonging to different schools had paid special attention to metaphorical problems. In 1980, Lakoff and Johnson put forward the theory of cognitive metaphor. From then on, metaphor has become the hot cake in linguistic studies. M.A.K. Halliday came up with his theory of grammatical metaphor (later the shortened form GM for convenience) in such academic atmosphere.
Rather than follow the beaten road of classical rhetoric, or tread on the heels of the vanguard of cognitive psychology, Halliday hewed his own path and found new interpretation of metaphor in functional grammar. He thinks that ideational function and interpersonal function, which pertain to the three metafunctions, have their respective ideational GM and interpersonal GM, but he is conservative about textual GM. Martin holds that textual function also has its corresponding textual GM and it can be testified by the metaphorization of Theme and Rheme. Martin's theory of textual GM has complemented and broadened GM theory. Halliday mainly studied the ideational GM and took
10
nominalization as the focus of study. In fact, ideational GM can be subdivided into experiential GM and logical GM. Nominalization is only one part of experiential GM. Experiential GM in nature is transitivity metaphor, because transitivity can better represent the nuclear function of Process in the system of transitivity. The participant, circumstantial elements such as time, space and manner are only the factors surrounding Process. From the above argument, we can see that Zhang Delu's adoption of such term as transitivity metaphorization is reasonable (1998). The thesis in question concentrates on transitivity metaphorization and combines it with the analysis of its stylistic effects in certain context and situation.
Since Halliday put forward the theory of grammatical metaphor, scholars in China have begun to introduce it (Zhu Yongsheng, 1994; Hu Zhuanglin, 1996; Shen Dan, 1998; Zhang Delu, 1998), but such theory has not been widely applied in stylistics. Western linguists have made use of syntactic metaphor, paraphrase and other terms like these to analyze novels of Joseph Conrad, James Joyce, etc. (Ostrowski, 1993), but the framework of analysis is quite different from that of functional grammar. At present, few scholars have taken grammatical metaphor or certain subbranch of it under thorough and comprehensive investigation and even few have studied the relevant stylistic effect resulting from it. Although the functional linguists with Halliday as their pioneer have gained fruitful results in the field of stylistic study, their analysis mainly circled around the three metafunctions, with ideational function as the most important section. Halliday has attached great importance to the intersectional study of the three metafunctions; such study must be based on the thorough investigation of respective function's analysis. The status quo is that the analysis of ideational function is confined to relative frequency and motivated foregrounding of certain texts, but the grammatical metaphor of these functions is scarcely investigated. If any, it is only limited to nominalization in transitivity metaphor.
11
According to Halliday, nominalization
韩礼德没有走古典修辞学的老路，也没有因循前卫认知心理语言学的轨迹，而是独辟蹊径，从功能语法中寻求对隐喻的诠释。他认为语言三大纯理功能(metafunction)中的概念功能和人际功能有相应的概念语法隐喻(ideational GM)和人际语法隐喻(interpersollal GM)，而对语篇语法隐喻持保留态度。Martin认为语篇功能有相应的语篇语法隐喻(textualGM)，他用主位(Theme)和述位(Rheme)的隐喻化加以证实，补充丰富了语法隐喻理论。韩氏主要研究概念语法隐喻，并把其中的“名物化”(nominalization)作为其研究焦点。实际上概念隐喻又可进一步划分为经验语法隐喻(experiential GM)和逻辑语法隐喻(logical GM)，而名物化只是经验语法隐喻之一。经验语法隐喻本质上是及物性结构隐喻(transitivity metaphor)，因为及物性比经验功能更能体现及物系统中“过程”(process)的核心作用，小句中的参加者(participant)、时间空间等环境成份(circumstantial element)只是过程所涉及的因素。张德禄先生采用及物性结构喻化这一术语是有其道理的(1998)。本论文锁定于对语法隐喻中及物性结构喻化的研究，并把它与其文体效果相结合，分析其在一定情境语境中的效果。
自从韩礼德（1985）提出语法隐喻的概念之后，国内就开始介绍引入
（朱永生，1994；胡壮磷，1996；申丹，1998；张德禄，1998），但尚未
在文体学中广 k运用．国外已开始用“句法隐喻”（svntact ic metanhor）、
“意译”（paraphrase）等术语来研究分析 Joseph Conrad，James Jovce
等作家的小说u，1993），但其分析框架与功能语言学有很大的区
别．目前国内外还很少有人把语法隐喻或其某一分支及其文体效果作一全
面深入研究，尽管以韩札德为首的功能语言学家对功能文体的探索取得丰
硕成果，但其分析总是围绕三大纯理功能的文体分析，其中又以概念功能
的分析为重。韩札德提倡三大纯理功能的交叉溶合，但这又必须以各具体
功能分析的完善为前提．当前的现状是：对于概念功能的分析只是限于某
一及物性过程在特定文本中所占相对频率以及其有目的的突出性，而没有
对其相对的语法隐喻的文体效果进行深入探索，更没有对其分支作细致研
究，如果有一定研究，也仅仅限于对名物化产生的语法隐喻的青昧．
4k＃韩礼德的观点，名物化是及物性结构隐喻的主要手段，主要用子
科技文体之中．“名物化是唯一最强大的创造语法隐喻的源泉”（1994：
352）．他和后来的功能语法学家在相关的论述中对名物化的渲染无以复加，
笔者认为韩氏对名物化的偏爱未免失之偏颇．
在韩札德看来，语法隐喻是以表示静态的个体kn t i t y）的语言形式
来表达动态的过程的单向运动，但实际上隐喻化的过程是双向的，既可以
是过程向个体的隐喻化，也可以表现为从个体向过程的隐喻化方式（胡壮
赶，2000：85）。及物性结构喻化涉及及物系统的各个层次，包括过程、参
加者和环境成份，任何一个因素的喻化都意味着及物性结构隐喻的诞生．
及物性结构喻化不仅有不同过程的压缩，也有不同过程的相互喻化，不但
有同一过程中参加者或环境咸份的位移，也有同一过程中环坑因子的级转
移形成的喻化．目前国内外讨论及物性的视野仅限子名物化，而以上分析
表明：及物性结构喻化是多层次的，名物化只是其中一部分而已．本论文
的主题就是探讨不同层次的及物性结构喻化及其对拓展文体效果分析深度
和广度的重要性．
全文共分为五章，加上引言和结束语共七个部分．
6
第一章阐述了及物性结构喻化的源流、发展及其研究现状．
隐喻源自人类认知与思维的发展、语言自身的多功能性和表达的伸张
性．它是物质与精神世界的变幻与语言与思维相对贫困的矛盾运动产物，
同时也是人类认知联想性的表征。隐喻在本质上是认知、社会、·。理不断
发展的结果．
一般人往往把隐喻归属为修辞格的一种，与明喻相对照．这种古典的
词汇隐喻观因其研究面的单一性而日益受到语言学家的批判。认知语言学
家把隐喻看作是一种思维方式，即隐喻概念系统（me taphorical concept），
这种理论认为隐喻概念是存在于
The research in linguistics follows the same trend as that of philosophy with the upsurging of postmodernism contemporarily. The concrete representation is the shift of the principal area of linguistic study. The present study has been shifted from lexicon and sentence to text, from syntax to semantics, and from the static study of the isolated interior elements in language to the dynamic study of the interactive relationship between language and the exterior elements surrounding it. Against such a background, systemic-functional grammar has been accepted by more and more linguists because of its unique perspective of functionism and sociosemiotics. Meanwhile, the western circle of linguists launched the heated discussion and intensive investigation of metaphor. Even from the sixties of the 20 century, significant linguists belonging to different schools had paid special attention to metaphorical problems. In 1980, Lakoff and Johnson put forward the theory of cognitive metaphor. From then on, metaphor has become the hot cake in linguistic studies. M.A.K. Halliday came up with his theory of grammatical metaphor (later the shortened form GM for convenience) in such academic atmosphere.
Rather than follow the beaten road of classical rhetoric, or tread on the heels of the vanguard of cognitive psychology, Halliday hewed his own path and found new interpretation of metaphor in functional grammar. He thinks that ideational function and interpersonal function, which pertain to the three metafunctions, have their respective ideational GM and interpersonal GM, but he is conservative about textual GM. Martin holds that textual function also has its corresponding textual GM and it can be testified by the metaphorization of Theme and Rheme. Martin's theory of textual GM has complemented and broadened GM theory. Halliday mainly studied the ideational GM and took
10
nominalization as the focus of study. In fact, ideational GM can be subdivided into experiential GM and logical GM. Nominalization is only one part of experiential GM. Experiential GM in nature is transitivity metaphor, because transitivity can better represent the nuclear function of Process in the system of transitivity. The participant, circumstantial elements such as time, space and manner are only the factors surrounding Process. From the above argument, we can see that Zhang Delu's adoption of such term as transitivity metaphorization is reasonable (1998). The thesis in question concentrates on transitivity metaphorization and combines it with the analysis of its stylistic effects in certain context and situation.
Since Halliday put forward the theory of grammatical metaphor, scholars in China have begun to introduce it (Zhu Yongsheng, 1994; Hu Zhuanglin, 1996; Shen Dan, 1998; Zhang Delu, 1998), but such theory has not been widely applied in stylistics. Western linguists have made use of syntactic metaphor, paraphrase and other terms like these to analyze novels of Joseph Conrad, James Joyce, etc. (Ostrowski, 1993), but the framework of analysis is quite different from that of functional grammar. At present, few scholars have taken grammatical metaphor or certain subbranch of it under thorough and comprehensive investigation and even few have studied the relevant stylistic effect resulting from it. Although the functional linguists with Halliday as their pioneer have gained fruitful results in the field of stylistic study, their analysis mainly circled around the three metafunctions, with ideational function as the most important section. Halliday has attached great importance to the intersectional study of the three metafunctions; such study must be based on the thorough investigation of respective function's analysis. The status quo is that the analysis of ideational function is confined to relative frequency and motivated foregrounding of certain texts, but the grammatical metaphor of these functions is scarcely investigated. If any, it is only limited to nominalization in transitivity metaphor.
11
According to Halliday, nominalization
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Rogers, R. (1974) . Metaphor, a psychoanalytic view. University of California Press.
Saeed, J. R. (2000) . Semantics. 外语教学与研究出版社.
Thompson, G. (2000) . Introducing Functional Grammar, 外语教学与研究出
Van Peer. (1986). Stylistics and Psychology: Investigation of Foregrouding.London: Croom Helm.
Wells, Startler. (1986). (eds.), The Cambridge companion to Shakespeare studies. Cambridge: Cambridge University of Press.
Wright, L. & Hope, J. (2000). Stylistics: A Practical Course book.外语教学与研究出版社
范文芳．1999．“名词化隐喻的语篇衔接功能”，《外语研究》第1期．
范文芳．2001．《语法隐喻理论研究》，外语教学与研究出版社．
洪艳芳．2002．“认知语言学与意识形态研究”，《外语与外语教学》第1期．
胡壮麟等．1989．《系统功能语法概论》，湖南教育出版社．
胡壮麟．1994．《语篇的衔接与连贯》，上海外语教育出版社．
胡壮麟．1996．“语法隐喻”，《外语教学与研究》第4期．
胡壮麟．2000．“评语法隐喻的韩礼德模式”，《外语教学与研究》第3期．
黄杲炘．1993．《英语爱情诗一百首》，中国对外翻译出版公司．
黄杲炘．1998．《柔巴依一百首》，中国对外翻译出版公司．
黄国文，1998．“递归、级转移与功能句法分析”，《外语教学与研究》第4期．
刘世生．1994．“系统功能理论对现代文体学的影响”，《外国语》第1期．
彭宣维．2000．《英汉语篇综合对比》，上海外语教育出版社．
仇伟．2001．《名物化》，曲阜师范大学外文系研究生毕业论文．
束定芳．1995．“亚里斯多德的隐喻理论”，《外语研究》第三期．
束定芳．1996．“论现代隐喻学的目标、任务和方法”，《外国语》第2期．
束定芳．2000．“论隐喻产生的认知、心理和语言原因”，《外语学刊》第2期．
严世清．2000．“系统功能语言学理论的发展和应用”，《外语教学与研究》第3期．
杨信彰．1998．“隐喻的两种解释”，《外语与外语教学》第10期．
武建国，庞人骐．2002．“认知理论与语篇建构教学思想”，《外语与外语教学》第1期．
张德禄．1998．《功能文体学》，山东教育出版社．
朱永生．1994．“英语中的语法比喻现象”，《外国语》第1期．
朱永生，严世清．2000．“语法隐喻理论的理据和贡献”，《外语教学与研究》第3期．
朱云奇．1994．《朝圣者的灵魂》，外语教学与研究出版社．
Black, M. (1962) . "Metaphor" in Models and Metaphor. Ithaca, New York: Cornell University Press.
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Ortony, A. (1979) . Metaphor and Thought. Cambridge University Press.
Ravelli, L. (1988) . Grammatical Metaphor: an initial analysis, in Steiner, E.H. & Veltman, R. (eds.), Pragmatics, Discourse and Text: Some Systemically-inspired Approaches London: Pinter Publishers.
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Ricoeur, Paul. (1977) . The Rule of Metaphor. Toronto: University of Toronto Press.
Ricoeur, Paul. (1978) . "The metaphorical process as cognition, imagination, and feeling", in Sheldon Sacks, (eds.), On Metaphor. Chicago: The University of Chicago Press.
Rogers, R. (1974) . Metaphor, a psychoanalytic view. University of California Press.
Saeed, J. R. (2000) . Semantics. 外语教学与研究出版社.
Thompson, G. (2000) . Introducing Functional Grammar, 外语教学与研究出
Van Peer. (1986). Stylistics and Psychology: Investigation of Foregrouding.London: Croom Helm.
Wells, Startler. (1986). (eds.), The Cambridge companion to Shakespeare studies. Cambridge: Cambridge University of Press.
Wright, L. & Hope, J. (2000). Stylistics: A Practical Course book.外语教学与研究出版社
范文芳．1999．“名词化隐喻的语篇衔接功能”，《外语研究》第1期．
范文芳．2001．《语法隐喻理论研究》，外语教学与研究出版社．
洪艳芳．2002．“认知语言学与意识形态研究”，《外语与外语教学》第1期．
胡壮麟等．1989．《系统功能语法概论》，湖南教育出版社．
胡壮麟．1994．《语篇的衔接与连贯》，上海外语教育出版社．
胡壮麟．1996．“语法隐喻”，《外语教学与研究》第4期．
胡壮麟．2000．“评语法隐喻的韩礼德模式”，《外语教学与研究》第3期．
黄杲炘．1993．《英语爱情诗一百首》，中国对外翻译出版公司．
黄杲炘．1998．《柔巴依一百首》，中国对外翻译出版公司．
黄国文，1998．“递归、级转移与功能句法分析”，《外语教学与研究》第4期．
刘世生．1994．“系统功能理论对现代文体学的影响”，《外国语》第1期．
彭宣维．2000．《英汉语篇综合对比》，上海外语教育出版社．
仇伟．2001．《名物化》，曲阜师范大学外文系研究生毕业论文．
束定芳．1995．“亚里斯多德的隐喻理论”，《外语研究》第三期．
束定芳．1996．“论现代隐喻学的目标、任务和方法”，《外国语》第2期．
束定芳．2000．“论隐喻产生的认知、心理和语言原因”，《外语学刊》第2期．
严世清．2000．“系统功能语言学理论的发展和应用”，《外语教学与研究》第3期．
杨信彰．1998．“隐喻的两种解释”，《外语与外语教学》第10期．
武建国，庞人骐．2002．“认知理论与语篇建构教学思想”，《外语与外语教学》第1期．
张德禄．1998．《功能文体学》，山东教育出版社．
朱永生．1994．“英语中的语法比喻现象”，《外国语》第1期．
朱永生，严世清．2000．“语法隐喻理论的理据和贡献”，《外语教学与研究》第3期．
朱云奇．1994．《朝圣者的灵魂》，外语教学与研究出版社．
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