英汉左偏置句式的句法语篇界面对比研究
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摘要
本文以英汉语中的左偏置句式为研究对象,比较其在两种语言中的句法形式和篇章功能的对应关系,认为句式与语体、文体关系密切,在语篇层面上,特定句式有着相应的语篇功能。语篇影响句式的构成,句式促进语篇的体现。不同的句式有着不同的语用价值,在篇章中起着不同的作用,篇章和句式相互制约。
本文首先对英汉语左偏置句式进行句法形式描述,然后分析此句式在英汉语中的篇章功能,在此基础上进行对比研究。本文在乔姆斯基的转换生成句法理论、韩礼德的系统功能语法理论、对比语言学理论以及语料库语言学理论的基础上,提出了新的英汉左偏置句式的分析框架,得出结论是：左偏置句式在英汉两种语言中的句法—篇章界面规则既有基本对应的层面,也体现出差异性。其中,第一章简要介绍左偏置构式,提出本论文的研究目标和方法;第二章梳理英汉左偏置构式的研究成果,并提出尚未解决的问题;第三章引出本文采用的理论分析框架,着重对左偏置构式的特点和句法—篇章理论进行阐释,并提出左偏置构式具有句法—语篇特性;第四章利用书面语料分别对英语左偏置构式和汉语左偏置构式的句法特点进行探讨,考察汉语左偏置构式句法多样性的原因;第五章根据书面语料考察英汉左偏置构式的语篇功能共同点及其差异,并作出解释。第六章归纳和总结本论文的研究发现与研究意义,并提出需进一步研究的问题。
本研究的创新之处在于：1.提出一种新的界定方法：将左偏置句型视为句法—语篇界面的一种构式;2.从句法—篇章层面研究左偏置句式,提出左偏置构式的前提词为语际指示词,其共指代词与所在的句子构成一个完整的符合语法惯例的句子左偏置构式本身同时兼具语篇和句法的重要功能,解释了左偏置构式的本质及其发生原因;3.以往学者认为,左偏置构式主要存在于口语之中,本论文试图研究英汉书面语中左偏置构式的特点与差异,认为在小说、戏剧和政治类文献中也存在左偏置句式,并利用自建小型语料库进行分析;4.以往学界一般把中英文左偏置构式看作是相同的句型,从类型学角度将英汉语的左偏置句式进行对比研究,而本文用语料证明左偏置构式在英汉两种语言中存在重要不同之处：汉语的左偏置构式在结构上更加灵活、多变,功能上也更加丰富。本论文对左偏置构式进行句法—语篇界面研究,为句法—篇章界面理论的构建提供了实证支持,该研究成果对于英语教学、人工和机器翻译等亦具有一定的学术价值和现实意义。
It has long been noticed that there appear to be correlations between informationstructure and grammatical form. The occurrence of normally clause-internal material inutterance-initial position, as in Left Dislocation (LD) constructions, is an example ofpragmatically motivated syntax. The organization of a text has some influence on theformation of a single sentence; a well-formed sentence can contribute to the effectivenessof a text. Since form-function associations are arbitrary, a single discourse function may beassociated with different syntactic forms and a single syntactic form may be associatedwith different discourse functions. And the discourse functions of some syntactic forms aremainly explored in the domain of syntax-discourse interface.
LD, as a marked construction syntactically, is of great significance theoretically andpractically. However, academic studies on the syntax-discourse interface of theconstruction and the logic behind it are still at the budding stage. The mainstream scholarsin this respect assert that the relation between syntactic form and discourse function isarbitrary and language-specific. There have been a fair number of researches that havebeen done preliminarily on LD in English, while only a few on those in Chinese which arebased on simple comparison of the construction between the two languages. The purposeof this dissertation is to study and compare the syntactic forms and discourse functions ofLD construction in both English and Chinese, and analyze the interface of them.
On careful examination of the corpus, it is found that the form and function of LDs inEnglish and Chinese are similar only in the prototypical form of the construction and in themain, general functions. Formally, a closer examination reveals that left-dislocatedconstituents play a variety of roles in the grammar of the two languages. The mostprominent difference lies in the frequency and variety of left-dislocated structure in bothlanguages. Functionally, in English, the use of LD is somehow restrained to informalnaturally-occurring conversation, and is associated with colloquial registers. On thecontrary, the use of LD in Chinese is pervasive of all oral genres, independently of theregister and genre. LDs are frequent in spontaneous natural conversation, but are also found in formal genres.
The formal divergences between the use of left-dislocated constituents in English andChinese can be further expounded under the light of the distinction between the pragmaticmode and the syntactic mode. While Chinese uses word order flexibility to mark thetopic-comment relation, English offsets its rigid word order with the use of stress andsubject-predicate constructions. As for the the interface study of LD in the two languages,the implications of it are largely concerned with Prince’s (1998) core claim: that theconnection between syntactic form and discourse function are language-specifc andarbitrary. Through her original classifcation of LD constructions into three types, Princeattempted to show that the syntactic construction LD plays no single discourse-related role.The addition of eight other type of left dislocation in Chinese serves to lend furthercredence to this claim—left dislocation seems to serve a wide variety of discoursefunctions and is motivated by a range of discourse circumstances.
The significance of this dissertation is threefold: firstly, this dissertation uses authenticcorpus materials in discussing LD construction; secondly, the study adopts a new andtentative syntax-discourse interface perspective; thirdly, the study applies a comparativeapproach in analyzing the functions of LD in both English and Chinese.
本文首先对英汉语左偏置句式进行句法形式描述,然后分析此句式在英汉语中的篇章功能,在此基础上进行对比研究。本文在乔姆斯基的转换生成句法理论、韩礼德的系统功能语法理论、对比语言学理论以及语料库语言学理论的基础上,提出了新的英汉左偏置句式的分析框架,得出结论是：左偏置句式在英汉两种语言中的句法—篇章界面规则既有基本对应的层面,也体现出差异性。其中,第一章简要介绍左偏置构式,提出本论文的研究目标和方法;第二章梳理英汉左偏置构式的研究成果,并提出尚未解决的问题;第三章引出本文采用的理论分析框架,着重对左偏置构式的特点和句法—篇章理论进行阐释,并提出左偏置构式具有句法—语篇特性;第四章利用书面语料分别对英语左偏置构式和汉语左偏置构式的句法特点进行探讨,考察汉语左偏置构式句法多样性的原因;第五章根据书面语料考察英汉左偏置构式的语篇功能共同点及其差异,并作出解释。第六章归纳和总结本论文的研究发现与研究意义,并提出需进一步研究的问题。
本研究的创新之处在于：1.提出一种新的界定方法：将左偏置句型视为句法—语篇界面的一种构式;2.从句法—篇章层面研究左偏置句式,提出左偏置构式的前提词为语际指示词,其共指代词与所在的句子构成一个完整的符合语法惯例的句子左偏置构式本身同时兼具语篇和句法的重要功能,解释了左偏置构式的本质及其发生原因;3.以往学者认为,左偏置构式主要存在于口语之中,本论文试图研究英汉书面语中左偏置构式的特点与差异,认为在小说、戏剧和政治类文献中也存在左偏置句式,并利用自建小型语料库进行分析;4.以往学界一般把中英文左偏置构式看作是相同的句型,从类型学角度将英汉语的左偏置句式进行对比研究,而本文用语料证明左偏置构式在英汉两种语言中存在重要不同之处：汉语的左偏置构式在结构上更加灵活、多变,功能上也更加丰富。本论文对左偏置构式进行句法—语篇界面研究,为句法—篇章界面理论的构建提供了实证支持,该研究成果对于英语教学、人工和机器翻译等亦具有一定的学术价值和现实意义。
It has long been noticed that there appear to be correlations between informationstructure and grammatical form. The occurrence of normally clause-internal material inutterance-initial position, as in Left Dislocation (LD) constructions, is an example ofpragmatically motivated syntax. The organization of a text has some influence on theformation of a single sentence; a well-formed sentence can contribute to the effectivenessof a text. Since form-function associations are arbitrary, a single discourse function may beassociated with different syntactic forms and a single syntactic form may be associatedwith different discourse functions. And the discourse functions of some syntactic forms aremainly explored in the domain of syntax-discourse interface.
LD, as a marked construction syntactically, is of great significance theoretically andpractically. However, academic studies on the syntax-discourse interface of theconstruction and the logic behind it are still at the budding stage. The mainstream scholarsin this respect assert that the relation between syntactic form and discourse function isarbitrary and language-specific. There have been a fair number of researches that havebeen done preliminarily on LD in English, while only a few on those in Chinese which arebased on simple comparison of the construction between the two languages. The purposeof this dissertation is to study and compare the syntactic forms and discourse functions ofLD construction in both English and Chinese, and analyze the interface of them.
On careful examination of the corpus, it is found that the form and function of LDs inEnglish and Chinese are similar only in the prototypical form of the construction and in themain, general functions. Formally, a closer examination reveals that left-dislocatedconstituents play a variety of roles in the grammar of the two languages. The mostprominent difference lies in the frequency and variety of left-dislocated structure in bothlanguages. Functionally, in English, the use of LD is somehow restrained to informalnaturally-occurring conversation, and is associated with colloquial registers. On thecontrary, the use of LD in Chinese is pervasive of all oral genres, independently of theregister and genre. LDs are frequent in spontaneous natural conversation, but are also found in formal genres.
The formal divergences between the use of left-dislocated constituents in English andChinese can be further expounded under the light of the distinction between the pragmaticmode and the syntactic mode. While Chinese uses word order flexibility to mark thetopic-comment relation, English offsets its rigid word order with the use of stress andsubject-predicate constructions. As for the the interface study of LD in the two languages,the implications of it are largely concerned with Prince’s (1998) core claim: that theconnection between syntactic form and discourse function are language-specifc andarbitrary. Through her original classifcation of LD constructions into three types, Princeattempted to show that the syntactic construction LD plays no single discourse-related role.The addition of eight other type of left dislocation in Chinese serves to lend furthercredence to this claim—left dislocation seems to serve a wide variety of discoursefunctions and is motivated by a range of discourse circumstances.
The significance of this dissertation is threefold: firstly, this dissertation uses authenticcorpus materials in discussing LD construction; secondly, the study adopts a new andtentative syntax-discourse interface perspective; thirdly, the study applies a comparativeapproach in analyzing the functions of LD in both English and Chinese.
引文
①For more information, refer to Kyu-hyun Kim,1995."WH-clefts and LD in English conversation Cases of topicalization." In Pamela Downing and Michael Noonan, eds, Word order in discourse. John Benjamins Publishing Company, pp.276-277.
②For details, please refer to Perez-Guerra, Javier and David Tizon-Couto (2008)"On left dislocation in the recent history of English:Theory and data hand in hand". In Dislocated elements in discourse:Syntactic, semantic, and pragmatic perspectives, ed. by Benjamin Shaer, Philippa Cook, Werner Frey and Claudia Maienborn. London:Routledge.
①Refer to Dik (1978,1989,1997) and Gundel (1985,1988).
①For details, please refer to Wallace L. Chafe,"Cognitive Constraints on Information Flow," in Russel S. ed. Coherence and Grounding in Discourse. Philadelphia:John Benjamins.1987:21-51. For a more complete overview of the constraints on introducing new participants to the discourse, cf. Runge, Discourse Functional,35-44,109-112.
②Lambrecht's (Information Structure,184-191) discussion of PSRR, Chafe's ("Cognitive Constraints,"31-32)"activate only one new concept at a time," and Givon's "one new unit per proposition," Givon T., Syntax:A Functional-Typological Introduction, Volume1. Philadelphia:John Benjamins.1984:258-263.
①See, e.g., Prince, E. Topicalization, focus movement, and Yiddish movement:A pragmatic differentiation. Berkeley Linguistics Society1981a.7.249-264.
②See, e.g., Prince, E. On the functions of LD in English discourse. Directions in functional linguistics, ed. by Akio Kamio,117-143. Philadelphia:John Benjamins,1997.
①"Coreference" was used in Gundel's (1988:223) terminology.
①For detailed information on the semantic criterion of LD, please refer to Geluykens (1992:19).
①The referent is realized as the subject in the main clause.
②The referent is realized as the object in the main clause.
③LD1refers to the first type of LD according to Prince1981a,1984,1997.
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①Refer to Dik (1978,1989,1997) and Gundel (1985,1988).
①For details, please refer to Wallace L. Chafe,"Cognitive Constraints on Information Flow," in Russel S. ed. Coherence and Grounding in Discourse. Philadelphia:John Benjamins.1987:21-51. For a more complete overview of the constraints on introducing new participants to the discourse, cf. Runge, Discourse Functional,35-44,109-112.
②Lambrecht's (Information Structure,184-191) discussion of PSRR, Chafe's ("Cognitive Constraints,"31-32)"activate only one new concept at a time," and Givon's "one new unit per proposition," Givon T., Syntax:A Functional-Typological Introduction, Volume1. Philadelphia:John Benjamins.1984:258-263.
①See, e.g., Prince, E. Topicalization, focus movement, and Yiddish movement:A pragmatic differentiation. Berkeley Linguistics Society1981a.7.249-264.
②See, e.g., Prince, E. On the functions of LD in English discourse. Directions in functional linguistics, ed. by Akio Kamio,117-143. Philadelphia:John Benjamins,1997.
①"Coreference" was used in Gundel's (1988:223) terminology.
①For detailed information on the semantic criterion of LD, please refer to Geluykens (1992:19).
①The referent is realized as the subject in the main clause.
②The referent is realized as the object in the main clause.
③LD1refers to the first type of LD according to Prince1981a,1984,1997.
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