英汉叙述语篇中句内下指现象的认知功能阐释
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摘要
下指是回指的标记形式,系指:指代形式(pro-form)出现在语篇上文。本文以叙述语篇中的句内下指现象为研究对象。
     以往研究通常将“P+NP”看作下指的唯一构式,对“P+NP”构式的研究单看诸如下例中下划线所示名代之间的指称关系,忽略P、NP所在小句所表达的事件以及相互之间的关联。
     (?)_1 Mistaking him2 for a burglar, Barbara1 shoots Carol’s boyfriend2. (van Hoek, 1997:121)
     本文从认知角度对这一句式做出新的功能阐释,即:关注小句之间的事件关联,将前置-ing看作零形式(?)。这样,以往“P+NP”构式中-ing开头的句式就成为本文中的“(?) +P”或“(?)+N”构式。由此,我们以可及性理论为依据,将下指句式按照零形式((?))、代词(P)与名词(NP)之间的可及性差异拓宽为“P+NP”、“(?)+P”与“(?)+N”三式;后两式合一为“(?)+P/NP”式,其中的“(?)”代表不定式(-ing、to)及其它省略形式(reduced form)。具体理由为:1)在van Hoek (1997)的“P+NP”构式中,P小句多为明示状语/从句,有从属关联词引导,如介词、连词等;2)van Hoek对“P+NP”构式的解释名为认知、语义,实为句法、形式;对上述-ing开头的下指句只作了静态分析,没有触及根本;3)以“(?)+P/N”替代“P+NP”,不仅关注了小句之间的名代关系,更突出了其中的事件关联;4)-ing开头的下指句,因为缺少明示语义关联,容易造成误解;这一句式恰好构成英汉比较的共同基础(TC)。
     以上-ing小句与汉语下指句中开头小句的相似之处在于:两者均表示一个先行事件,从而自然成为其后事件/小句的背景。对前、后景的这一认识与传统观点相左:Li(2004)即认为,完成标记“了”对应后景,未完成标记“着”对应前景;英语中-ing等简化形式表示前景,而完整小句表示后景。
     本文以可及性、象似性与标记理论为依据,对英汉下指句式的分析同时关注话题与事件的延续性,并按时间的单向性确定前后景关系。这一阐释符合叙事语篇中语言与现实(句子与事件)的直接对应关系;采用名动两分(话题+事件)的认知分析方法,有助于对前、后景的功能判断。
     研究表明,不能将英语中-ing前置小句简单称作状语,同样也无法将未完成“着”与前景简单对应。同时发现,英汉下指句中的话题、时体和连接词互为关联,共同支撑小句之间的衔接关系。相对而言,汉语中的体标记更多地以词汇复合(语义)手段来实现,而英语体标记的语法化(形式化)程度更高。
     以上结论基于自建平行语料库,与传统文献常以零散句子为据形成鲜明对照。
This study focuses on sentential cataphora in narrative discourse. Cataphora differs from the unmarked form of anaphora in that the pro-form appears before (earlier than/ to the left of) the co-referring expression. We extend this definition on the basis of the hierarchic relation between (?), P, and NP on the accessibility marking scale to cover the following three patterns:“(?)+P”,“(?)+NP”, and“P+NP”. This treatment of cataphora differs from previous studies in that in the past only the“P+NP”pattern was addressed.
     The“(?)+P”and“(?)+NP”patterns (conflated as“(?)+P/NP”) are identified on the basis of a functional/cognitive analysis of the -ing headed“P+NP”pattern in English. Specifically, argument for shift of attention from“P+NP”to“(?)+P/NP”is based on the following observations and assumptions: a)“P+NP”, with an explicit subordinator in the P clause, has been sufficiently accounted for in many syntactic/structural analyses; b) van Hoek (1997)’s so-called‘cognitive/semantic’interpretation is essentially a syntactic one, and her analysis of the (?)-headed (‘(?) V-ing’) clause in cataphora is largely static because linear order is employed to analyze“connectivity between nominals”only; c) in establishing“(?)+NP”as an alternative and replacement for the“P+NP”pattern, we combine‘action continuity’(temporal sequence) and‘topic continuity’(referential sequence) in the reinterpretation of the V-ing headed“P+NP”pattern; d) it helps to establish a common ground, or TC, for the contrastive analysis of the two languages concerned.
     V-ing headed clause in English shares with (?)-headed clause in Chinese in that both are used for expressing a perfective iconic event, and as such both can be construed as providing the background for the event(s)/clause(s) that will follow. This assumption differs from the traditional understanding of grounding as represented in Li (2004), whose functional interpretation for the (?)-headed clause is based on a somewhat simplistic form-function mapping in the two languages, as is illustrated below.
     Chinese: perfectiv(e了)= foreground vs imperfective/durativ(e着)= background
     English: reduced forms (V-ing)= background vs full forms(-ed)= foreground
     By taking a cognitive-functional perspective and employing the theoretical notions of accessibility, iconicity, and markedness in this study, we analyze all the sentences containing cataphora in our Chinese-English bilingual parallel corpus in terms of both formal‘NP+VP’and cognitive-functional‘topic + comment/action’configurations, and interpret the cataphoric sentences basically in terms of the semantics of time as reflected in both topic continuity (referential sequence) and action continuity (temporal sequence). This cognitive-functional approach to the interpretation of sentential anaphora in narrative discourse leads us to arrive at a more feasible account of grounding, since the initial clause in a sentence containing cataphora is oriented by the unidirectionality of time, thus revealing a direct mapping between language and the conceptual world.
     Our data analyses show that the ADV/subordination account of the sentence-initial V-ing clause is untenable, and the form-function mapping between imperfectivity/着and backgrounding is far from perfect. The study also examines the dynamic interaction between topic, aspect, and the use of conjunction within a cataphoric sentence in Chinese and English narrative discourse.
     Up-playing inter-lingual similarity, the overall tendency shared is summarized as“to be iconic is to be economical”. Difference between the languages lies in the form-function mapping: it is more direct in Chinese and more indirect in English, correlated with and reflected in the more rigid order in Chinese and more flexible syntax (morphology) in English.
     The conclusions are based on a self-collected bilingual parallel corpus: for SL Chinese, we employ Camel and Midnight, part of the former was employed by Li (2004); SL English data consists solely of narrative genre, as such is more consistent than van Hoek (1997).
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