英汉动后论元事件交替现象研究
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摘要
自从上个世纪六十年代语言研究句法转向以来,动词语义与句法结构之间的关系一直是语法研究的中心议题之一。其中,Fillmore(1970)、Levin(1985,1993)等学者所倡导的“动词交替/论元交替”(verbal alternation/argumentalternation)研究综合考察动词语义、句子语义与句法结构特征,能够揭示单纯从句法形式特征(如生成学派的动词子语类化)或从动词的词汇语义(如词汇语义学)出发所观察不到的动词语义特征及其与句法连接(linking)(即句法-语义界面)的规律,因而受到语言学界的青睐。本文对英汉动后论元事件交替现象的研究正是在这一大背景下进行的。
     事件与实体的区分无论在哲学上还是语言学上都有重要意义。在哲学上,事件主要表现为时间性,实体主要表现为空间性。事件与实体这种哲学上的对立使它们成为一对影响语言系统句法语义组合的重要范畴,在组合语义学中称为语义类型(semantic types),以区别于语义类别(semantic sorts)。实体论元(NP)与事件论元(VP)在语言系统中的对立主要表现为它们在句法上很多时候呈互补分布(complementary distribution)态势。但是,事件与实体的范畴对立在事件交替动词后得以调和,这一调和的条件(如动词语义特点)是什么?涉及语言系统哪些运作机制?英汉之间有何差异?这是本文试图回答的问题。
     研究聚焦于英汉语义与句法上同时实体/事件交替的语言现象,文献中相关研究称为“逻辑转喻”(logical metonymy)、“事件强迫”(event coercion)、“宾语强迫”(object coercion)、“补语压制”(complement coercion)等。以往的研究主要着眼于动词的事件性和实体论元结构的语义构建机制,忽视事件交替结构的句法生成研究,不能解释很多非事件动词(如汉语中的“抛”、“赶”等)可以经历论元事件交替的现象。
     针对以上不足,本研究提出了英汉动后论元事件交替现象的认知构式句法生成观,在Nuyts的“事态限定”理论、Talmy的(宏)事件框架理论及Fillmore的框架语义学基础上建立动词事件交替的宏事件认知模型来解释英汉动后论元事件交替结构的生成机制及其句法语义特点,并进行了英汉对比考察。本文定量研究与定性研究、系统构建与个案研究相结合,主要发现如下:
     1)英汉事件交替动词语义具有聚类特征,即这些动词可以大致分为两个语义类:表达体意义的动词和表达事件情态语义的态度-评价动词。不过,这两个事件交替动词的语义类具有原型范畴特征,范畴成员均可区分为典型成员与非典型成员。典型成员词汇语义主要表达“体”或“事件情态”语义概念,是文献中通常所说的事件动词,它们是形成体构式与态度-评价构式的原型动词。非典型成员虽然不是典型的事件动词,但词汇语义中或多或少地具有某种“体”或“事件情态”语义成分,形成“aspect/modality+action”的词汇语义模式。根据事态限定理论,语言中的“体”和“事件情态”语义范畴在语义辖域上大于(因而要求管辖)句中的主要事件,属于“事件限定”(eventive qualification)范畴。因此,从这个意义上说,语言中的事件交替动词在语义上构成一个自然类,我们称之为“事件限定”语义范畴。此外,以往对动后论元事件交替现象的研究强调动词语义的事件性,我们的研究发现,动后论元事件交替现象对动词语义的要求除了事件性外,还必须具有及物性,两者缺一不可。这样,我们从动词语义特征角度对“事件”与“实体”对立范畴在语言中得以调和的条件做出了初步回答。
     2)动后论元事件交替现象是认知主体对同一复杂事件(即“事件限定宏事件”)不同识解的结果,事件论元结构(NP1+V1+V2+NP2)与实体论元结构(NP1+V1+NP2)虽然语义相同,但语用有别,前者显影动作事件过程,后者强调动作事件的结果状态;相应地,事件交替结构(实体论元结构)中V1和隐含V2都有较严格的限制,英语只有强调NP2状态变化的体动词(即“宾语向心动词”)(如finish、begin等)才有论元事件交替用法,同时要求V2也必须能够引起NP2的状态改变,只有满足这两个条件英语实体论元体构式才能成立。基于以上认识,我们构建了动词化的“事件限定”范畴构式网络,并对英汉实体论元构式(包括实体论元体构式和实体论元态度-评价构式)的主语语义和宾语语义一般制约条件进行了描写。
     3)英汉动后论元事件交替现象有以下差异:(i)英语动词后论元事件交替自由度大,可以在实体论元结构(NP)和事件论元结构(VP)(事件外显)之间自由选择;汉语倾向于用事件论元结构。(ii)与汉语相比,英语可以进入事件交替结构的原型动词多,非原型动词少,“体”意义范畴表现得特别明显。(iii)有些英语动词的后论元不能经历事件交替,但汉语中对应的动词却可以,最典型的是“抛”类动词(包括抛、甩、抢、倒)和“赶”义动词。
     4)应用宏事件词汇-构式类型学模式对英汉动词事件交替现象的差异做出类型学意义的解释:英语事件限定宏事件的主要信息构式(MIC)具有词汇构式倾向,主要动词(即事件交替动词)词汇化(lexicalize)了宏事件的主要信息(MI=aspect/modality+EVENT);汉语事件限定宏事件的主要信息构式具有图式构式倾向,主要动词(即事件交替动词)没有词汇化宏事件的主要信息(MI=aspect/modality+EVENT),宏事件的主要信息需要用一个结构来表达。通常情况下,汉语事件限定宏事件的主要信息部分(aspect/modality)由主要动词表达,部分(EVENT)由支撑信息构式(SIC)表达。此外,我们还应用了词汇-构式类型学模式对汉语中与动后论元事件交替现象密切相关的“你教你的英文”(“NP1+V+np1的NP2”句式)这一类“准定语”(本文称之为“隐性事件交替”)进行了探讨,研究表明,将该句式看作一个特殊的评价构式可以很好地解释该句式的句法语义特点和类型学特点。
     本研究的理论意义在于发现了事件交替动词的语义聚类特征,建立了“事件限定”这一动词语义自然类,并且从体和态度-评价构式视角对逻辑转喻现象作出了系统的解释。此外,通过对英汉动后论元事件交替行为差异的考察初步证明了词汇-构式类型学模式的可行性,从而为构式视角的语言类型学研究提供了一个可资借鉴的路径。
The relationship between verbal semantics and syntactic structure has beenheatedly discussed as one of the central issues of grammatical study since thesyntactic turn of linguistics in the1960s. The study of verbal alternation/argumentalternation initiated by linguists such as Fillmore (1970) and Levin (1985,1993) isfavored under this background, and it holistically takes into account the verbalmeaning, sentential meaning and syntactic structure properties, and therefore canexpose the distinct semantic properties of verbs and semantic-syntactic linking(namely syntax-semantic interface) rules which could not be unveiled by the studiessolely concerned with the formal properties of sentence (such as the study of verbalsubcategorization under Generative-Transformational paradigm) or with the verbalmeaning (such as the study under the traditional Lexical Semantics). The presentresearch on the eventive alternation of postverbal argument in English and Chinese issubject to this trend.
     The distinction between event and entity is significant both in philosophical andlinguistic sense. In philosophy, event is characteristic of temporality while entity ofspatiality. Accordingly, event and entity are two major categories which, known assemantic types distinct from semantic sorts, have impact on the compositionalsemantics of sentences, and, therefore, entity-denoting argument (NP) andevent-denoting argument (VP) are largely in complementary distribution. However,the oppositeness between event and entity is compromised after event-entityalternating verbs, eventive alternating verbs (EAVs) for short. In what conditionconcerning the verbal semantic properties, for example, does the compromise occurand what happens to the linguist system then? What are the differences betweenEnglish and Chinese? These are the major issues the present study strives to explore.
     The present study is focused on the linguistic phenomena in English andChinese that the postverbal argument alternates both semantically and syntacticallybetween entity (NP) and event (VP), which, in relevant research, are so-called“logical metonymy”,“event coercion”,“object coercion”,“complement coercion”, etc.. These studies put major emphasis on the eventiveness of the verbs and thesemantic interpretation of the entity-argument construction and little attention is paidto the generative mechanisms of eventive alternating construction and nointerpretations are provided for the eventive alternations occurring to non-eventiveverbs such as gan and pao in Chinese.
     To overcome the shortcomings of previous research, the present study proposesthe syntactic generative mechanism of eventive alternation of postverbal argument (inEnglish and Chinese) under the paradigm of cognitive constructional approach.Comprehensively employing Nuyts’ theory of Qualification of SoA (states of affairs),Talmy’s theory of event frame and Fillmore’s Frame Semantics, the present studyconstructs the Macro-Event Cognitive Model of Eventive Qualification to present thegenerative mechanism and the syntactic-semantic properties of the eventivealternating construction with many issues examined from comparative approach(between English and Chinese). The study is conducted under the scientific paradigmof hypothesis-deduction-verification, in which qualitative research is appropriatelycombined with quantitative research and systematic theory-building with case study.The major findings are as follows:
     1) The EAVs in English and Chinese are found to be semantically grouped intotwo categories, namely verbs of aspectual meaning and verbs of attitude-evaluationexpressing event modality, and these categories are prototype-based, rather thanclassical (categorial-attribute), in nature. Each of them contains central, prototypicalmembers and more peripheral (nonprototypical) members. The prototypical membersmainly express aspectual/modal concepts and are eventive verbs so called in literature,which are responsible for the formation of aspectual construction/attitude-evaluationconstruction. The nonprototypical members, which are not typical eventive verbsthough, more or less bear semantic element of aspect/event modality and thus arecharacteristic of lexical semantic paradigm of “aspect/modality+action”. According tothe theory of qualification of SoA (states of affairs), the scope of aspect or eventmodality is conceptually wider than (therefore, must govern) the main eventexpressed by the sentence. In other words, aspect and event modality belong to the category of eventive qualification. Thus, the EAVs in all languages constitute, in asense, a natural semantic class, which is the category of eventive qualificationtentatively named by the author. Besides, the present study shows that the postverbalargument alternations are permitted only when the lexical semantics of main verbssimultaneously meets two requirements: eventiveness and transitivity, while theprevious studies place all weight on the former. In this way, great light is shed on theconditions under which the oppositeness between event and entity in language can becompromised in view of lexical semantic properties of verbs.
     2) The eventive alternations of postverbal argument represent the differentconstrual of the same complex event (namely, the eventive qualification event), andtherefore the event-argument construction (NP1+V1+V2+NP2) and the entity-argumentconstruction (NP1+V1+NP2) are same in meaning but pragmatically different: theformer is used to profile the action process and the latter puts emphasis on the finalstate of the action. Accordingly, in the entity-argument construction, V1and theimplied V2are strictly restricted. Take entity-argument aspectual construction inEnglish as an example, both V1and the implied V2are confined to the verbs whichcan cause the change of state of the entity denoted by NP2and V1are usuallyobject-oriented aspectual verbs such as finish and begin. Based on theabove-mentioned knowledge, the present study constructs the construction network ofverbalized eventive qualification category and depicts the general semanticconstraints of subject (NP1) and object (NP2) in the entity-argument constructionincluding entity-argument aspectual construction and entity-argumentattitude-evaluation construction.
     3) The eventive alternations of postverbal argument in English and Chinese aredifferent in the following aspects:(i) the eventive alternation of postverbal argumentin English is less restricted than that in Chinese, in other words, English EAVs canchoose freely between NP-argument and VP-argument while Chinese EAVs tend to befollowed by VP-argument.(ii) The prototypical members of EAVs in English aregreater in number than those in Chinese, which can be lucidly displayed in the EAVsof aspectual category.(iii) Eventive alternations occur to some Chinese verbs such as verbs of “pao” type (including pao, shuai, qiang, dao) and “gan” type while theircounterparts in English can not undergo eventive alternations.
     4) The differences in eventive alternations of postverbal argument betweenEnglish and Chinese are interpreted in the Lexical-Constructional Model ofmacro-event typology. In English, the main information construction (MIC) of theeventive qualification macro-event tends to be lexical, that is, the main verb (the EAV)lexicalizes the main information of the macro-event (MI=aspect/modality+EVENT).The MIC of the eventive qualification macro-event, in Chinese, tends to be ofschematic construction, that is, the main verb doesn’t lexicalize the MI, and, to put itin more detail, part of the MI (aspect/modality) is expressed by the main verb, part ofit (EVENT) by the supporting construction (SIC). What’s more, theLexical-Constructional Typological Model is also employed to analyze thepseudo-attributive occurring in “ni jiao ni de ying wen”(“NP1+V+np1de NP2”sentence pattern) in Chinese which is called “Latent Eventive Alternation” in thepresent study. The present study considers this sentence pattern as a special evaluativeconstruction and hence illuminates in a better way its syntactic-semantic andtypological properties.
     The theoretical implication of the present study resides in discovering thesemantic clustering of the EAVs, a natural semantic class of verbs named eventivequalification verbs, and having a systematic interpretation of the logical metonymyfrom the perspective of the aspectual and attitude-evaluation construction. Besides,the Lexical-Constructional Typological Model is testified to be feasible in explicatingthe differences of eventive alternating phenomena between English and Chinese, andtherefore promises to be used for reference in future typological studies from theconstructional approach.
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