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1.1 Kiparsky & Kiparsky(1970)对叙实性问题的提出

Kiparsky & Kiparsky(1970)首先指出,在英语中存在叙实谓词(factive predicates)和非叙实谓词(non-factive predicates)之别。例如:

(1)

叙实谓词:significant, odd, tragic, exciting, relevant, matters, count, make sense, suffices, amuses, bothers

非叙实谓词:likely, sure, possible, true, false, seems, appears, happens, chances, turns out

他们指出叙实动词和非叙实动词在语法上存在一系列成系统的差别,有些结构只允许叙实动词出现。具体情况如下所示。

1)只有叙实动词充当的谓语允许用that从句作补足语(complement)或用带上动名词(gerund)的fact替换that从句。例如:

(2)

a.The fact that the dog barked during the night is significant/bothers me .

b.*The fact that the dog barked during the night is likely/seems to me .

(3)

a.The fact of the dog's barking during the night is significant/bothers me .

b.*The fact of the dog's barking during the night is likely/seems to me .

(2)和(3)的后面可以接由叙实动词充当的谓语,不能接由非叙实动词充当的谓语。

2)只有由叙实动词充当的谓语允许用动名词作主语,或用形容词经过后加-ness变成的名词性成分替换that从句。例如:

(4)His being found guilty.

(5)John's having died of cancer last week.

(6)The whiteness of the whale.

(4)至(6)可以充当叙实动词的主语,不能充当非叙实动词的主语。3)只有叙实动词才允许作为其宾语的名词fact带上动名词或that从句。例如:

(7)

a.I want to make clear the fact that I do not intend to participate.

b.*I assert the fact that I do not intend to participate.

(8)

a.You have to keep in mind the fact of his having proposed several alternatives.

b.*We may conclude the fact of his having proposed several alternatives.

(7a)和(8a)中的叙实动词make clear、keep in mind允许作为其宾语的名词fact带上动名词或that从句,而(7b)和(8b)中的非叙实动词assert、conclude则不能。

4)对于叙实动词来说,外置(extraposition)是非强制性的(optional),而对于非叙实动词来说则是强制性的(obligatory)。例如:

(9)

a.That there are porcupines in our basement makes sense to me .

b.It makes sense to me that there are porcupines in our basement.

(10)

a.*That there are porcupines in our basement seems to me .

b.It seems to me that there are porcupines in our basement.

包含叙实动词的(9a)和(9b)两种结构都是合语法的,而包含非叙实动词的(10a)和(10b)中只有采用了外置句的(10b)是合语法的。

5)动名词可以作叙实谓语的宾语,但是不能自由地作非叙实谓语的宾语。例如:

(11)

a.Everyone ignored Joan's being completely drunk.

b.*Everyone supposed Joan's being completely drunk.

(11a)中的动名词可以作叙实谓语的宾语,但是不能作非叙实谓语的宾语。与之相反的是,有些结构只允许非叙实动词出现,不允许叙实动词出现。

6)大多数的非叙实动词都允许主语提升,而所有的叙实动词都不允许主语提升。例如:

(12)

a.It is likely that he will accomplish even more.

→He is likely to accomplish even more.

b.*He is relevant to accomplish even more.

(12a)中的非叙实动词likely允许从句的主语提升到主句主语的位置上,而(12b)中的叙实动词relevant则不允许这种操作。

7)只有非叙实谓词允许宾格(accusative)和不定式结构,而叙实谓词不允许。例如:

(13)

a.I believe Mary to have been the one who did it.

b.*I resent Mary to have been the one who did it.

(14)

a.He fancies himself to be an expert in pottery.

b.*He comprehends himself to be an expert in pottery.

(13a)中的非叙实谓语believe允许后面出现不定式结构,而(13b)中的叙实谓语resent不允许;(14a)中的非叙实谓语fancy允许后面出现不定式结构,而(14b)中的叙实谓语comprehend不允许。

Kiparsky & Kiparsky(1970)所指出的英语中的叙实动词和非叙实动词的语法差别是非常明显的。然而由于动名词、不定式等结构是英语中有而汉语中没有的语法现象,因此他们所揭示出来的这些差别对于现代汉语中叙实动词和非叙实动词几乎没有适用性。要研究现代汉语中叙实动词和非叙实动词的语法差别还得另辟蹊径。

Kiparsky & Kiparsky(1970)接着又指出,上面所揭示的种种语法差别都与一种语义上的差别存在紧密联系,这种语义差别就是预设(presupposition) 。请比较:

(15)

a.It is odd that it is raining.

b.It is likely that it is raining.

(15a)包含了叙实谓词odd,(15b)包含了非叙实谓词likely,它们在语义上的重要区别在于:(15a)预设(presuppose)了“正在下雨”(it is raining),而(15b)则没有这种预设。所有的叙实谓词都有这种语义特征,而所有的非叙实谓词都没有这种语义特征,这是叙实谓词和非叙实谓词的基本差别。

为了解释叙实谓词和非叙实谓词在语法和语义上的种种差别,Kiparsky & Kiparsky(1970)假设:叙实谓词和非叙实谓词在语法和语义上的差别源于其补足语的预设在深层结构上的不同。可以图示为:

图1.1 叙实动词和非叙实动词补足语在深层结构上的差异

从这个假设出发,他们认为最接近叙实句深层结构的句子是如下类型的句子:

(16)I regret the fact that John is ill.

如果将补足语小句改写为动名词结构可以得到(17):

(17)I regret the fact of John's being ill.

如果删除fact会得到(18):

(18)I regret John's being ill.

如果将fact删除后直接应用于(16)那样的基础形式,就会形成简单的that小句:

(19)I regret that John is ill.

有了这样的假设就可以将前面所示的叙实谓词表现出来的语法特点串联起来。为了证明这一假设的正确性,他们又从叙实小句的句法孤立(syntactic insulation)、中性的和歧义的谓语以及代名化等方面阐述了叙实谓词和非叙实谓词在语法特点上的差别。

Kiparsky & Kiparsky(1970)最后讨论了叙实性和情感义(emotive)的关系。情感义是去掉跟叙实性相关的语义特征后剩下来的意义,情感义补足语表达说话人主观的、情感的、评价性的反应(reaction)。叙实谓词和非叙实谓词内部都存在情感义与非情感义的区分,如表1.1所示:

表1.1 谓词的叙实性和情感义的关系

从能否表达情感义角度来细化对叙实谓词和非叙实谓词的研究,对研究现代汉语中叙实动词和非叙实动词语法语义上的差异是很有启发作用的,后面我们会专门说明情感义和叙实性强弱的关系。

总体而言,Kiparsky & Kiparsky(1970)从叙实性这样一个比较新颖和独特的角度来研究动词语法语义关系上的差别是非常有意义的,它对于深化对动词的认识以及开拓较新的研究视角是意义深远的。可惜的是,文中虽然提到了叙实性、叙实谓词、非叙实谓词等概念,却并未对其作出明确的界定。该文讨论的是英语动词的叙实性,由于英汉两种语言对于同一语义所采用的语法手段并不相同,因此其揭示的叙实谓词和非叙实谓词的语法差别对于研究现代汉语动词的叙实性适用性较低,而他们从预设这一语义角度揭示叙实谓词和非叙实谓词最基本的差别,以及将叙实性跟情感义挂钩,对于研究现代汉语动词的叙实性则有较大的借鉴价值。 iQdXu/FRcJxZyS0+05x4llcY54836HsdQV4llYjKdispX9JYrTOwOIjbnV7Oq+xS

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