第4章　句法：从语词到篇章

4.1　复习笔记

本章要点：

1．The traditional approach, the structural approach

传统学派，结构主义学派

2．Immediate constituent analysis

直接成分分析

3．Endocentric and exocentric constructions

向心结构和离心结构

4．The generative approach

生成语法

5．The functional approach

功能学派

6．Systemic-functional grammar

系统功能语法

▼7. Cohesion and Coherence

衔接与连贯

常考考点：

句法的定义；句法关系；向心结构；离心结构；深层结构；表层结构；成分；直接成分分析法的定义；并列结构与从属结构；句子成分；范畴(性、数、格)。用实例进行分析，用直接成分分析法以及树形图分析句子的结构；衔接与连贯等。

本章内容索引：

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

▼VII. Beyond the Sentence

1．Discourse and Text

2．Cohesion and Coherence

I. Syntax (句法)

1．Definition (定义)

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.

句法就是研究语言不同成分组成句子的规则或句子结构成分之间的关系。

2．Syntactic Relations (句法关系)

(1) Positional Relation (位置关系)

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.

(2) Relation of Substitutability (替代关系)

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.

(3) Relation of Co-occurrence (同现关系)

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.

(1) 位置关系或词序指的是一门语言中词语的排列顺序。

位置关系是任何人类语言中的基本句法关系，也是语言的句法可接受性和语义可理解性的要求。

(2) 替代关系指在相同的句子结构中，语法上可以互相代替的词类或语词的集合，它还可指由多个词组成的词组，语法上代替特定集合中的单个语词。

(3) 共现关系指不同词类的不同词汇集合允许另一个词类或集合的词出现构成一个句子或句子的某一特定成分。

II. The Traditional Approach (传统语法学派)

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.

传统语法认为句子是词的序列。因此句子构造的研究涉及了对词的大量研究，例如词类是对词进行的分类，主语、谓语是对词的功能的描写等。这些词类和功能有时叫做范畴。

1．Number, Gender, Case (数、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) 数是用来分析词类的语法范畴，有单数、双数和复数等。在英语中，数主要是名词的范畴，包括两种形式：单数和复数。数还体现在代词和动词的屈折变化上。

(2) 性指的是依照性别把名词分成不同类别的语法范畴。性主要也是名词和代词的范畴。在英语中，性的差别是自然的，由动物本身的生理性别决定。然而准确地讲，性在这里指的是语法性，语法性主要有阴性、阳性和中性三种。

(3) 格主要是名词的屈折范畴，它典型地标识着它们和句子其他部分之间的关系。在英语中，代词一般有三种格。即：主格、宾格和属格；名词只有两种格：普通格和属格。

2．Tense and aspect (时态与体)

【考点：区分Tense和Aspect的区别】

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.

时态与体是动词的两个重要范畴，传统语法没有对它们加以区分。时态与体之间的区别在于：时态是指示性的，也就是说指明的时间与说话的时间相关；体则不是指示性的，指明的时间与说话的时间没有关系，却与叙述中描写或暗示的另一个事件的时间相关。

3．Concord and government (一致关系与支配关系)

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.

一致关系是指在一个给定的语言结构中，词和短语之间利用至少它们中的一个所携带的屈折形式互相匹配的句法关系。

支配关系是指句法结构中某些词的形式受另一种其他类型词的控制。它与一致关系有所不同，就某个范畴而言，它是指某类词决定其他词形式的关系。

III. The Structural Approach (结构主义学派)

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

结构主义学派的创始人索绪尔认为语言单位在结构(或系统)之中是互相关联的，不是孤立的单位。

1．Syntagmatic and paradigmatic relations (组合关系和聚合关系)

(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) 组合关系是指一个词项和同一序列中的其他词项之间的关系或者说是共现的所有成分之间的关系。这些处于组合关系中的词，必须满足一些句法和语义条件。

(2) 聚合关系，或称联想关系，是指在结构的某个位置彼此可以互相替换的成分之间的关系。它们能够相互替换而不违反句法规则。处于聚合关系中词语只是在句法关系上可以比较。它们有共同的句法特征，但是在语义上不能相互替换。

(3) 组合关系和聚合关系就像坐标的两根数轴，共同决定语言符号的身份。组合关系也称为水平关系或链状关系。聚合关系也称为垂直关系或选择关系。

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

【考点：简答——直接成分分析法的利弊】

(1) Definition (定义)

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.

(2) Advantages (优点)

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

(3) Problems (问题)

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) 直接成分分析法先把句子分析为直接成分——词组(或短语)，再把这些直接成分依次切分，得到各自的直接成分，层层切分，直到最终成分为止。实际操作中，为了方便，通常切分到词为止。直接成分分析法可以用括弧或树形图表示。

(2) 通过IC分析法，句子的内在结构可以清晰地展示出来，如果有歧义也会被揭示出来。

(3) ①开始的时候，一些提倡者坚持二元切分。任何结构体在任何层面都分成两个部分。但实际上并不总是如此。

②含有不连续成分的结构体会给IC分析法的树形图造成技术困难。最严重的问题是有些结构的歧义不能用IC分析法来揭示和分析。

3．Endocentric and exocentric construction (向心结构和离心结构)

【考点：判断——短语属于向心结构还是离心结构】

(1) Endocentric construction (向心结构)

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 includes 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.

向心结构包含一个作为整体结构的中心或核心的成分，该中心或核心可以在最后，也可以在开头。从结构上可以划分为两类：主从结构和并列结构。

①主从向心结构：凡是结构中只有一个支配性主词，其他成分为该主词的修饰成分，这样的向心结构称为主从向心结构。

②并列向心结构：凡是结构中有一个以上句法地位相等的主词，互不依靠，这样的向心结构称为并列向心结构。

(2) Exocentric construction (离心结构)

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.

离心结构是指一个其成分功能不等于它的任何一个成分，没有明显的主词或中心词的结构。

IV. The Generative Approach (生成语法)

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.

生成学派是由美国语言学家乔姆斯基创立的。在1957年他发表了《句法结构》，之后这一理论经历了一系列的变化。

1．Deep structure and surface structure (深层结构和表层结构)

【考点：绘制一句子的深层/表层结构树形图】

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.

深层结构是对一个结构体的句法属性的抽象描述，即不同成分之间的结构关系的潜在层面。

表层结构是结构体句法派生过程的最后阶段，与人们实际发送、接受的结构组织相符合。

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.

句法移位是指一个句子的任意成分从原来的位置移到另一个新位置。

(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移位涉及两种结构：被动句和提升结构。一般认为，被动句是由主动句移位产生的。NP移位不仅发生在被动句，而且发生在提升结构中，主要有两种提升结构：一类是含有提升动词的结构，另一类是含有提升形容词的结构

(2) Wh-movement (Wh-移位)

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

主要发生在wh-问句，包括直接wh-问句和间接wh-问句以及关系分句中。

(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.

是指诸如be, have, do, may, can, shall, should之类的助动词从原来的位置移动到句首。

3．Move-α rule (Move-α规则)

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

这个规则是指任何成分可以移动到任何位置。

V. The Functional Approach (the Prague School) (功能学派 (布拉格语言学派))

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.

功能学派认为句子能从功能的角度分析，也可以从语法的角度分析。一个句子除了可以用主语和谓语来描述外，还可以用主位和述位来分析。主位指“已知的信息或至少在给定语境中明确的，话语起点前的信息”，述位指“说话者陈述的有关，或者涉及话语起点的内容”。主位－述位的顺序在非感情的叙述中是常见的，叫做客观顺序，而在感情叙述中，述位还可以放在主位的前面，叫做主观顺序。

VI. Systemic-Functional Grammar (Halliday’s approach) (系统功能语法)

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.

该理论的特色是系统的和功能的，对聚合关系的关注比对组合关系关注更多，而乔姆斯基更关注组合关系。创新之处是，努力把语言功能跟结构联系起来。认为有三种普遍的功能：概念功能、人际功能和语篇功能。它们跟三种语法系统相联系：及物性、语气和主位。

▼VII. Beyond the Sentence（句子之上的结构）

1．Discourse and Text（语篇和篇章）

Etymologically speaking, discourse refers to spoken language while text means the written documents. In contemporary linguistics, these two terms can be used interchangeably.

A text is best regarded as a semantic unit: a unit not of form but of meaning, which is not composed of sentences but is realized in sentences. Therefore a text is not judged by its size, it is something that differs from a sentence in kind. To make it clearer, a text is more than a random set of words; it should be overtly connected and covertly cohered: it shows connectedness.

从词源学上看，语篇指的是口头语言而篇章指的是书面语言，在当代语言学中，这两个词可以互换。

篇章被视为一个语义单位，关注的是意义而非形式，是通过句子实现的。因此语篇不是单词的随意组合，它本身具有意义的连接性。

2．Cohesion and Coherence（衔接与连贯）

①Cohesion is a concept to do with discourse or text rather than with syntax, it refers to relations of meaning that exists within the text, and defines it as a text. Discourse /textual cohesiveness can be realized by employing various cohesion markers such as reference, substitution, ellipsis, conjunction and lexical collocation.

衔接是一个与语篇和篇章相关的概念，与句法无关。它指的是存在于篇章中的意义关系。通过多种衔接标志词如参照，替代，省略，连词和词汇搭配等可以实现衔接。

②The connectedness of a text depends not only on the cohesion of a text, but also on language users establishing coherence by actively relating the different information units in the text. The connectedness of discourse is a characteristic of the mental representation of the text rather than of the text itself. The connectedness conceived is often called coherence. Coherence phenomena may be of cognitive nature, but that their reconstruction is often based on linguistics signals in the text itself.

文本的意义连接性不仅取决于衔接，也需要语言使用者通过连贯将不同的信息单位联系起来。话语的连通性是文本心理表征的一个特征，而不是文本本身。连贯具有认知属性，但其重建往往是基于文本本身的语言标志。