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英汉动结式的认知功能分析
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摘要
本研究在认知功能背景下,借助对比、定量和定性分析手段,结合“自上而下”和“自下而上”的研究思路,以独立小句和完整语篇中英汉动结式为对象,分八章讨论三个问题:英汉动结式的语义表征、语义制约及其异同;英汉动结式的句法结构、联接及其异同;英汉动结式的语篇特征及其异同,并寻求认知功能解释,旨在从动静结合分析中揭示英汉动结式的本质属性,同时兼顾其他语言材料,追求研究结论的普通语言学和语言类型学意义。
     研究发现如下:第一,动结式是因果致使事件结构的一种句法化体现,遵循“一因一果”的认知倾向和“直接可见关联”的识解原则;按其语义结构与事件结构的象似性,英汉动结式家族可分四类,构成一个原型等级:典型动结式>准典型动结式>假典型动结式>非典型动结式。第二,动结式是语言内外要素互动制约整合的产物,其可接受性关键取决于自身的高、低层次语义关系、理想的认知模式和交际功能之间的相互协商。第三,动结式的致事本质上是事件性的,是使因事件成分在认知凸显和“转喻剪切”作用下按优先原则做出的选择,形式依赖程度的类型差异使汉语比英语享有更大的致事选择灵活性;进入英汉动结式V的动词排斥如下语义特征:[-谓词性]、[+状态性]、[+静态性]、[+结果]、[-影响性],但存在差异性;经历者不一定遵守DOR原则;英汉动结式的补语存在范畴类别和整合能力差异,前者可为RAP/PP/ADP/NP ,后者可为RAP/VP/NP,其中RAP最强,各类整合具有不对称性和类型倾向性。第四,事件单一界化限制和补语的功能差异共同制约了R的准入条件:语言界化事件的词库或句法手段差异决定了英汉动结式的不对称性;动结式中只有界化事件的R具有互补分布特征,但类比偶尔会生成标记性R。第五,英汉动结式都拥有SVOR,SVRO和SVR语序,都遵循普遍联接规则和受制于多种制约;但存在句式数量、地位和语序类型差异,英语三类语序中SVOR和SVR是非标记性的,SVRO是标记性的,汉语八类语序中SVRO、SVR和“把”字句动结式是非标记性的,SOVR、SVOR、SV1OV2R、SVRO1O2和SV1O1V2RO2是标记性的;英汉动结式分别偏爱间断语序和连续语序,主要受制于语法化程度和语言类型差异。第六,英汉动结式的语篇特征存在异同。不同点是:汉语动结式分布频率高于英语动结式;英汉动结式的语篇分布频率存在语序差异:汉语最高的是SVRO,英语最高的是SVOR。相同点是:不同语类的语篇在动结式的分布上存在差异,语篇的正式程度与动结式频率成反比;在散文语篇中动结式倾向于肯定极性、主动语态和陈述语气、采用小句形式;动结式在语篇和孤立小句中表现出不同的属性特征。这些都可在宏观和微观层面上获得认知功能解释。
The dissertation aims to investigate the nature of English and Chinese VRCs in terms of the differences and similarities in semantics, syntax, functions and their motivations within the framework of our self-constructed cognitive-functional approach. To achieve the aim, the dissertation resorts to the combined research methods of the contrastive, qualitative and quantitative studies of data taken from various sources. And data from other languages or dialects are analysed to confirm and improve our findings from the perspective of language typology and general linguistics. The whole dissertation consists of eight chapters revolving around the detailed examination of and explanation for three problems regarding English and Chinese VRCs: the differences and similarities in semantic representations and semantic constraints; the differences and similarities in syntactic structures and semantics-syntax linking; the differences and similarities in textual features.
     The major findings can be summarized as follows. Firstly, VRC syntacticalizes the cause-effect event structure following Direct Visible Relevance Principle and Single Cause-Effect Correspondence Principle. Based on the degree of iconicity between the semantic structure and event structure, the VRC family constitutes a continuum of different degrees of prototypicality: prototypical VRCs > quasi-prototypical VRCs >pseudo-prototypical VRCs > non-prototypical VRCs. Secondly, VRC results from the integration between the intralinguistic and extralinguistic factors, especially, the interaction and negotiation among its high-level and low-level semantics, ICM and communicative functions. Thirdly, the causer is inherently eventive and optimally selected under the interaction of the cognitive prominence and metonymic clipping. Verbs with the following semantic components are generally disallowed to enter English or Chinese VRCs: [-Predicate], [+State], [+Stasis],[+Result],and [-Affectedness]. However, Chinese and English VRCs differ in the following aspects: Chinese VRCs enjoy more freedom in choosing causers than their English counterparts. The undergoer is not necessarily subject to DOR in all cases. Chinese VRCs can have RAP/VP/NP, while its English counterparts can have RAP/ PP/ADP/NP. Different Rs vary in their integration with V, among which, RAP is the most powerful. The VR integration is subject to the asymmetrical and typological tendency in English and Chinese. Fourthly, the interaction between single delimiting constraint and R function division largely determines the VR integration and its entry conditions: VRC denotes a delimited event and its eventive delimitation can be linguistically realized by means of syntax or lexicon, which in turn leads to the syntactic differences of VRCs. Only the event-delimiting Rs are in complementary distribution; however, VRCs with multiple delimiters may be generated by analogy. Fifthly, Differences and similarities can be found in syntactic structures and semantics-syntax linking: English and Chinese VRCs all can be arranged in the order SVOR, SVRO and SVR, but differ in the number and markedness in the syntactic arrangements: English VRCs have three major syntactic arrangements—SVOR, SVR and SVRO with the first two being unmarked and the last marked. While Chinese has eight major syntactic arrangements—SVOR, SVR, VRC with BA, SOVR、SVOR、SV1OV2R、SVRO1O2 and SV1O1V2RO2, with SVRO, SVR, and VRC with BA being unmarked, and the others marked. English VRCs are largely of discontinuous order, while Chinese VRCs are largely of continuous order, due to their differences in the degree of grammaticalization degree and language typology. Different VCRs in English and Chinese are subject to the general linking rules and particular integrated linking constraints in structure, meaning, cognition, function and communicative needs. Sixthly, English and Chinese VRCs show differences and similarities in their textual features. The similarities lie in the degree of formality of the texts and the degree of prototypicality of the VRCs, which jointly determine the distribution frequency of VRCs: the more formal the text is, the fewer VRCs it has; the more prototypical the VRC is, the more frequent it appears. The differences can be stated as follows: VRCs in proses tend to be clauses in positive polarity, active voice and indicative mood. Chinese and English VRCs are different in that the former enjoy higher frequency than the latter and the most frequent VRC is SVRO in Chinese, but SVOR in English.
引文
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