第4章　句法：從語詞到篇章

4.1　復(fù)習(xí)筆記

本章要點：

1．The traditional approach, the structural approach

傳統(tǒng)學(xué)派，結(jié)構(gòu)主義學(xué)派

2．Immediate constituent analysis

直接成分分析

3．Endocentric and exocentric constructions

向心結(jié)構(gòu)和離心結(jié)構(gòu)

4．The generative approach

生成語法

5．The functional approach

功能學(xué)派

6．Systemic-functional grammar

系統(tǒng)功能語法

常考考點：

句法的定義；句法關(guān)系；向心結(jié)構(gòu)；離心結(jié)構(gòu)；深層結(jié)構(gòu)；表層結(jié)構(gòu)；成分；直接成分分析法的定義；并列結(jié)構(gòu)與從屬結(jié)構(gòu)；句子成分；范疇（性、數(shù)、格）。用實例進行分析，用直接成分分析法以及樹形圖分析句子的結(jié)構(gòu)等。

本章內(nèi)容索引：

I. Syntax

1．Definition

2．Syntactic Relations

(1) Positional Relation

(2) Relation of Substitutability

(3) Relation of Co-occurrence

II. The Traditional Approach

1．Number, Gender, Case

2．Tense and aspect

3．Concord and government

III. The Structural Approach

1．Syntagmatic and paradigmatic relations

2．Immediate constituent analysis(IC Analysis)

(1) Definition

(2) Advantages

(3) Problems

3．Endocentric and exocentric construction

(1) Endocentric construction

①Subordinate endocentric constructions

②Coordinate endocentric constructions

(2) Exocentric construction

IV. The Generative Approach

1．Deep structure and surface structure

2．Syntactic Movement

(1) NP-movement:

(2) Wh-movement

(3) Aux-movement

3．Move-α rule

V. The Functional Approach

VI. Systemic-Functional Grammar

I. Syntax (句法)

1．Definition (定義)

Syntax is the study of the rules governing the ways different constituents are combined to form sentences in a language, or the study of the interrelationships between elements in sentence structures.

句法就是研究語言不同成分組成句子的規(guī)則或句子結(jié)構(gòu)成分之間的關(guān)系。

2．Syntactic Relations (句法關(guān)系)

(1) Positional Relation (位置關(guān)系)

Positional relation, refers to the sequential arrangement of words in a language.

It is the basic syntactic relation, and also the requirement of grammatical acceptability and semantic intelligibility of human language.

位置關(guān)系或詞序指的是一門語言中詞語的排列順序。

位置關(guān)系是任何人類語言中的基本句法關(guān)系，也是語言的句法可接受性和語義可理解性的要求。

(2) Relation of Substitutability (替代關(guān)系)

The relationship of substitutability refers to classes or sets of words grammatically substitutable for each other in sentences with the same structure, or groups of more than one word which may be jointly substitutable grammatically for a single word of a particular set.

替代關(guān)系指在相同的句子結(jié)構(gòu)中，語法上可以互相代替的詞類或語詞的集合，它還可指由多個詞組成的詞組，語法上代替特定集合中的單個語詞。

(3) Relation of Co-occurrence (同現(xiàn)關(guān)系)

It means that words of different sets of clauses may permit, or require, the occurrence of a word of another set or class to form a sentence or a special part of a sentence.

共現(xiàn)關(guān)系指不同詞類的不同詞匯集合允許另一個詞類或集合的詞出現(xiàn)構(gòu)成一個句子或句子的某一特定成分。

II. The Traditional Approach (傳統(tǒng)語法學(xué)派)

Traditionally, a sentence is seen as a sequence of words. The study of sentence formation involves a great deal of the study of the words such as the distinction of parts of speech, the identification of functions of words in terms of subject, predicate, etc. Sometimes these parts of speech and function are called categories.

傳統(tǒng)語法認為句子是詞的序列。因此句子構(gòu)造的研究涉及了對詞的大量研究，例如詞類是對詞進行的分類，主語、謂語是對詞的功能的描寫等。這些詞類和功能有時叫做范疇。

1．Number, Gender, Case數(shù)、性和格

(1) Number is a grammatical category used for the analysis of word classes displaying such contrasts as singular, dual, plural, etc. In English, number is mainly observed in nouns, and it has only two forms: singular and plural. Number is also reflected in the inflection of pronouns and verbs.

(2) Gender is a grammatical category dividing nouns into classes basically characterized by sex. Gender is also a category of nouns and pronouns. In English, the gender distinctions are on the whole natural, determined by the biological gender of the creature. However, exactly speaking, the gender here means the grammatical gender, which includes feminine, masculine and neuter.

(3) Case is an inflectional category, basically of nouns, which typically marks their roles in relation to other parts of the sentence. In English, pronouns have three cases of nominative (e.g. we, he, she), accusative (e.g. us, him, her) and genitive (e.g. our, your, his). But nouns have only two cases: general (e.g. Tom, girl) and genitive (e.g. Tom’s, girl’s).

（1）數(shù)是用來分析詞類的語法范疇，有單數(shù)、雙數(shù)和復(fù)數(shù)等。在英語中，數(shù)主要是名詞的范疇，包括兩種形式：單數(shù)和復(fù)數(shù)。數(shù)還體現(xiàn)在代詞和動詞的屈折變化上。

（2）性指的是依照性別把名詞分成不同類別的語法范疇。性主要也是名詞和代詞的范疇。在英語中，性的差別是自然的，由動物本身的生理性別決定。然而準確地講，性在這里指的是語法性，語法性主要有陰性、陽性和中性三種。

（3）格主要是名詞的屈折范疇，它典型地標(biāo)識著它們和句子其他部分之間的關(guān)系。在英語中，代詞一般有三種格。即：主格、賓格和屬格；名詞只有兩種格：普通格和屬格。

2．Tense and aspect (時態(tài)與體)

【考點：區(qū)分Tense和Aspect的區(qū)別】

Tense and aspect are two important categories of the verb, and they were not separated in traditional grammar. The distinction between tense and aspect lies in that the former is deictic, i.e. indicating time relative to the time of utterance; while the latter is not deictic, the time indicated is not relative to the time of utterance, but relative to the time of another event described, or implied, in the narrative.

時態(tài)與體是動詞的兩個重要范疇，傳統(tǒng)語法沒有對它們加以區(qū)分。時態(tài)與體之間的區(qū)別在于：時態(tài)是指示性的，也就是說指明的時間與說話的時間相關(guān)；體則不是指示性的，指明的時間與說話的時間沒有關(guān)系，卻與敘述中描寫或暗示的另一個事件的時間相關(guān)。

3．Concord and government (一致關(guān)系與支配關(guān)系)

Concord, also known as agreement, may be defined as the requirement that the forms of two or more words in a syntactic relationship should agree with each other in terms of some categories.

Government is another type of control over the forms of some words by other words in certain syntactic constructions. It is different from concord in that this is a relationship in which a word of certain class determines the forms of others in terms of certain category.

一致關(guān)系是指在一個給定的語言結(jié)構(gòu)中，詞和短語之間利用至少它們中的一個所攜帶的屈折形式互相匹配的句法關(guān)系。

支配關(guān)系是指句法結(jié)構(gòu)中某些詞的形式受另一種其他類型詞的控制。它與一致關(guān)系有所不同，就某個范疇而言，它是指某類詞決定其他詞形式的關(guān)系。

III. The Structural Approach (結(jié)構(gòu)主義學(xué)派)

It is founded by Ferdinand de Saussure who regards linguistic units as interrelated with each other in a structure/system, not as isolated bits.

結(jié)構(gòu)主義學(xué)派的創(chuàng)始人索緒爾認為語言單位在結(jié)構(gòu)(或系統(tǒng))之中是互相關(guān)聯(lián)的，不是孤立的單位。

1．Syntagmatic and paradigmatic relations (組合關(guān)系和聚合關(guān)系)

(1) The syntagmatic relation refers to a relation between one item and others in a sequence, or between elements which are all present. There are syntactic and semantic conditions the words in a syntagmatic relation must meet.

(2) The paradigmatic (or associative) relation is a relation between elements replaceable with each other at a particular place in a structure, or between one element present and the others absent. They can substitute for each other without violating syntactic rules. Words in a paradigmatic relation are comparable only in terms of syntax and semantic factors are not taken into consideration here. These words have the same syntactic features. But they are not replaceable with each other semantically.

(3) The syntagmatic and paradigmatic relations together, like the two axes of a coordinate, determine the identity of a linguistic sign. The syntagmatic relation is also being considered as the horizontal relation, or chain relation. And the paradigmatic relation is also known as the vertical relation, or choice relation.

（1）組合關(guān)系是指一個詞項和同一序列中的其他詞項之間的關(guān)系或者說是共現(xiàn)的所有成分之間的關(guān)系。這些處于組合關(guān)系中的詞，必須滿足一些句法和語義條件。

（2）聚合關(guān)系，或稱聯(lián)想關(guān)系，是指在結(jié)構(gòu)的某個位置彼此可以互相替換的成分之間的關(guān)系。它們能夠相互替換而不違反句法規(guī)則。處于聚合關(guān)系中詞語只是在句法關(guān)系上可以比較。它們有共同的句法特征，但是在語義上不能相互替換。

（3）組合關(guān)系和聚合關(guān)系就像坐標(biāo)的兩根數(shù)軸，共同決定語言符號的身份。組合關(guān)系也稱為水平關(guān)系或鏈狀關(guān)系。聚合關(guān)系也稱為垂直關(guān)系或選擇關(guān)系。

2．Immediate constituent analysis (IC Analysis) (直接成分分析法)

【考點：簡答——直接成分分析法的利弊】

(1) Definition (定義)

The immediate constituent analysis may be defined as: the analysis of a sentence in terms of its immediate constituents—word groups(or phrases), which are in turn analyzed in to the immediate constituents of their own, and the process goes on until the ultimate constituents are reached. However, for the sake of convenience, in practice we usually stop at the level of word. The immediate constituent analysis of a sentence may be carried out with brackets or with a tree diagram.

直接成分分析法先把句子分析為直接成分——詞組（或短語），再把這些直接成分依次切分，得到各自的直接成分，層層切分，直到最終成分為止。實際操作中，為了方便，通常切分到詞為止。直接成分分析法可以用括弧或樹形圖表示。

(2) Advantages (優(yōu)點)

Through IC analysis, the internal structure of a sentence may be demonstrated clearly, and ambiguities, if any, will be revealed.

通過IC分析法，句子的內(nèi)在結(jié)構(gòu)可以清晰地展示出來，如果有歧義也會被揭示出來。

(3) Problems (問題)

①At the beginning, some advocators insisted on binary divisions. Any construction, at any level, will be cut into two parts. But this is not always possible.

②Constructions with discontinuous constituents will pose technical problems for tree diagrams in IC analysis. The most serious problem is that there are structural ambiguities which cannot be revealed by IC analysis.

①開始的時候，一些提倡者堅持二元切分。任何結(jié)構(gòu)體在任何層面都分成兩個部分。但實際上并不總是如此。

②含有不連續(xù)成分的結(jié)構(gòu)體會給IC分析法的樹形圖造成技術(shù)困難。最嚴重的問題是有些結(jié)構(gòu)的歧義不能用IC分析法來揭示和分析。

3．Endocentric and exocentric construction (向心結(jié)構(gòu)和離心結(jié)構(gòu))

【考點：判斷——短語屬于向心結(jié)構(gòu)還是離心結(jié)構(gòu)】

(1) Endocentric construction (向心結(jié)構(gòu))

It is a kind of construction whose distribution is functionally equivalent, or approaching equivalence, to one of its constituents, which serves as the center, or head, of the whole, therefore, a headed construction. Endocentric construction include two types: subordinate and coordinate constructions.

①Subordinate endocentric constructions: Those endocentric constructions where there is only one head, with the head dominant and the other constituents being modifiers are called subordinate endocentric constructions.

②Coordinate endocentric constructions: Those endocentric constructions where there are more than one head, with equal syntactic status and no one dependent on the other are called coordinate endocentric constructions.

向心結(jié)構(gòu)包含一個作為整體結(jié)構(gòu)的中心或核心的成分，該中心或核心可以在最后，也可以在開頭。從結(jié)構(gòu)上可以劃分為兩類：主從結(jié)構(gòu)和并列結(jié)構(gòu)。

①主從向心結(jié)構(gòu)：凡是結(jié)構(gòu)中只有一個支配性主詞，其他成分為該主詞的修飾成分，這樣的向心結(jié)構(gòu)稱為主從向心結(jié)構(gòu)。

②并列向心結(jié)構(gòu)：凡是結(jié)構(gòu)中有一個以上句法地位相等的主詞，互不依靠，這樣的向心結(jié)構(gòu)稱為并列向心結(jié)構(gòu)。

(2) Exocentric construction (離心結(jié)構(gòu))

It refers to a construction whose distribution is not functionally equivalent to any of its constituents, none of which serves as a noticeable head or a center of the whole. Like the prepositional phrase on the desk, the whole construction has a different grammatical function from either its constituents on or the desk. They cannot substitute for each other.

離心結(jié)構(gòu)是指一個其成分功能不等于它的任何一個成分，沒有明顯的主詞或中心詞的結(jié)構(gòu)。

IV. The Generative Approach (生成語法)

The theory of generative approach originated from the ideas of American linguist Noam Chomsky. In 1957, he published Syntactic Structures, after that the theory has undergone a number of changes.

生成學(xué)派是由美國語言學(xué)家喬姆斯基創(chuàng)立的。在1957年他發(fā)表了《句法結(jié)構(gòu)》，之后這一理論經(jīng)歷了一系列的變化。

1．Deep structure and surface structure (深層結(jié)構(gòu)和表層結(jié)構(gòu))

【考點：繪制一句子的深層/表層結(jié)構(gòu)樹形圖】

The deep structure is the abstract representation of the syntactic properties of a construction, i.e. the underlying level of structural relations between its different constituents.

The surface structure is the final stage in the syntactic derivation of a construction, which closely corresponds to the structural organization of a construction people actually produce and receive.

深層結(jié)構(gòu)是對一個結(jié)構(gòu)體的句法屬性的抽象描述，即不同成分之間的結(jié)構(gòu)關(guān)系的潛在層面。

表層結(jié)構(gòu)是結(jié)構(gòu)體句法派生過程的最后階段，與人們實際發(fā)送、接受的結(jié)構(gòu)組織相符合。

2．Syntactic Movement (句法移位)

It refers to the movement of any constituent in a sentence out of its original place to a new position.

句法移位是指一個句子的任意成分從原來的位置移到另一個新位置。

(1) NP-movement (NP移位)

It is relative to two constructions, i.e. passive sentence and raising construction. Generally, passive sentences are produced by the movement of the active sentences; in the raising construction, there are two kinds of raising which are raising verbs and raising adjectives.

NP移位涉及兩種結(jié)構(gòu)：被動句和提升結(jié)構(gòu)。一般認為，被動句是由主動句移位產(chǎn)生的。NP移位不僅發(fā)生在被動句，而且發(fā)生在提升結(jié)構(gòu)中，主要有兩種提升結(jié)構(gòu)：一類是含有提升動詞的結(jié)構(gòu)，另一類是含有提升形容詞的結(jié)構(gòu)。

(2) Wh-movement (Wh-移位)

The movement mostly takes place in wh-question sentences, indirect wh-question sentences and relative clauses.

主要發(fā)生在wh-問句，包括直接wh-問句和間接wh-問句以及關(guān)系分句中。

(3) Aux-movement (Aux-移位)

It refers to the movement of such words as be, have, do, may, can, shall, should and so on, from the original position to the beginning of the sentence.

是指諸如be, have, do, may, can, shall, should之類的助動詞從原來的位置移動到句首。

3．Move-α rule Move-α (規(guī)則)

It is a general movement rule which accounts for the syntactic behavior of any constituent movement.

這個規(guī)則是指任何成分可以移動到任何位置。

V. The Functional Approach (the Prague School) (功能學(xué)派 (布拉格語言學(xué)派))

A sentence may be analyzed from the functional side or the grammatical side. Apart from the analysis of a sentence in terms of subject and predicate, there may also be a functional analysis in terms of theme and rheme. Theme refers to “that which is known or at least obvious in the given situation and from which the speaker proceeds”. Rheme can be regarded as “what the speaker states about, or in regard to, the starting point of the utterance.” The theme-rheme order is the usual one in unemotional narration, which is called objective order. In emotional narration, however, it may be possible to reverse the order, to put rheme before theme. And this is called a subjective order.

功能學(xué)派認為句子能從功能的角度分析.也可以從語法的角度分析，一個句子除了可以用主語和謂語來描述外，還可以用主位和述位來分析。主位指“已知的信息或至少在給定語境中明確的，話語起點前的信息”，述位指“說話者陳述的有關(guān)，或者涉及話語起點的內(nèi)容”。主位——述位的順序在非感情的敘述中是常見的，叫做客觀順序，而在感情敘述中，述位還可以放在主位的前面，叫做主觀順序。

VI. Systemic-Functional Grammar (Halliday’s approach) (系統(tǒng)功能語法)

The characteristics of the theory are systemic and functional. It characterized Halliday’s theory as more attention is paid to paradigmatic relations than to syntagmatic relations. And this is the main concern of Chomsky. What is new in Halliday is that he has tried to relate the functions of language to its structures. He argues that there are three general functions of language: ideational, interpersonal and textual. And they are related to three grammatical systems; transitivity, mood and theme.

該理論的特色是系統(tǒng)的和功能的，對聚合關(guān)系的關(guān)注比對組合關(guān)系關(guān)注更多，而喬姆斯基更關(guān)注組合關(guān)系。創(chuàng)新之處是，努力把語言功能跟結(jié)構(gòu)聯(lián)系起來。認為有三種普遍的功能：概念功能、人際功能和語篇功能。它們跟三種語法系統(tǒng)相聯(lián)系：及物性、語氣和主位。