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1.2
国外的动词叙实性研究

1.2.1 Kiparsky&Kiparsky(1970)和叙实性研究的发端

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

(1)叙实谓词:significant,odd,tragic,exciting,relevant, matter,count,makesense,suffice,amuse,bother

非叙实谓词:likely,sure,possible,true,false,seem, appear,happen,chance,turnout

他们指出叙实谓词和非叙实谓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谓词出现,例如:

1.只有叙实谓词充当的谓语允许that从句作补足语(complement)或用带动名词(gerund)的fact结构替换that从句,例如:

(2)a.T he fact that the dog barked during the night is significant/bothersme.

b.*T he fact that the dog barked during the night is likely/seemstome.

(3)a.T he fact of the dog's barking during the night is significant/bothersme.

b.*T he fact of the dog's barking during the night is likely/seemstome.

2.只有叙实谓词充当的谓语允许用动名词结构或形容词后加-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

3.只有叙实谓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 m ake clear the fact I do not intend to participate.

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

(8 )a.Y ou have to kee p in m in d the fact of his having proposed several alternatives.

b.* W e m ay conclu de the fact of his having proposed several alternatives.

(7a)和(8a)中的叙实谓词“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)中的非叙实谓词“assert,conclude”则不能。

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

(9 )a.T hat there are porcupines in our base m ent m akes sense to me.

b.It m a k es se n se to m e that there are porcupines in our basement.

(10 )a.*That there are porcupines in our base m ent see m s to me.

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

包含叙实谓词的(9a)和(9b)两种结构都是合语法的,而包含非叙实谓词的(10a)和(10b)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词的宾语,但是不能自由地作非叙实谓词的宾语,例如:

(11)a.Everyone ignored Joan's being completely drunk.

b.*Everyone supposed Joan's being co m pletely drunk.

(11)中的动名词可以作叙实谓词的宾语,但是不能作非叙实谓词的宾语。

与上述情形相反的是,有些结构则只允许非叙实谓词出现,不允许叙实谓词出现。

6.大多数的非叙实谓词都允许主语提升,而所有的叙实谓词都不允许主语提升,例如:

(12)a.It is likely that he will acco m plish even m ore.

→ He is likely to accomplish even more.

b.* He is relevant to accomplish even more.

(12a)中的非叙实谓词“likely”允许从句的主语提升到主句主语的位置上,而(12b)中的叙实谓词“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 M ary to have been the one w ho did it.

b.*I resent M ary to have been the one w ho did it.

(14)a.H e f a n cies him self to be an expert in pottery.

b.* H e co m prehends him self to be an expert in pottery.

(13a)中的非叙实谓词“believe”允许后面出现不定式结构,而(13b)中的叙实谓词“resent”不允许;(14a)中的非叙实谓词“fancies”允许后面出现不定式结构,而(14b)中的叙实谓词“comprehends”不允许。

Kiparsky & Kiparsky(1970)所指出的英语中的叙实谓词和非叙实谓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,所以他们所揭示出来的这些差别对于现代汉语中的叙实动词和非叙实动词研究则没有多少适用性。要研究现代汉语中的叙实动词和非叙实动词的语法差别还得另辟蹊径。

Kiparsky & Kiparsky(1970)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)预设了“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语法和语义上的种种差别,他们假设:叙实谓词和非叙实谓词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:

从这个假设出发,他们认为最接近叙实句的深层结构的将是如下类型的句子:

(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将得到(18):

(18 )I regret John's being ill.

如果fact删除直接应用于(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语法特点上的差别。

Kiparsky & Kiparsky(1970)最后讨论了叙实性和感情义(emotive)的关系。感情义是去掉跟叙实性相关的其他语义特征后剩下来的意义,感情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感情义与非感情义的区分,如下表所示:

表1-1谓词的叙实性和感情义的关系

从能否表达感情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句法语义上的差异是很有启发作用的,后面我们将会专门说明感情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(factivity”)“叙实谓词”“非叙实谓词”等概念,却并未对其做出明确的界定。该文讨论的是英语谓词的叙实性,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,所以其揭示的叙实谓词和非叙实谓词的语法差别对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,以及将叙实性跟感情义挂钩,对于研究现代汉语动词的叙实性则有较大的借鉴价值。

1.2.2 Leech(1987/1983)对叙实性的研究

Leech(1987/1983:427-452)专设“叙实性”一章,主要讨论了如下几个问题:叙实性动词的三分,纯叙实性词和有条件的叙实性词,叙实性链和从属述谓结构的三种抽象。

1.2.2.1叙实性、非叙实性和反叙实性谓词的区分

Leech(1987/1983:427-452)依据谓词对从属述谓结构(subordinate predication)所规定的性质(叙实性、非叙实性、反叙实性,)将谓词分为叙实谓词、非叙实谓词和反叙实谓词(counter-factive predicate)三类,例如:

(20 )a.Marian realized that her sister was a witch.(玛丽安意识到她妹妹是个巫婆。)

b.Marian suspected that her sister was a witch.(玛丽安怀疑她妹妹是个巫婆。)

c.Marian pretended that her sister was a witch.(玛丽安假装她妹妹是个巫婆。)

(20a)中的“realize”能确保其后从属述谓结构的真实性,因而是叙实谓词;(20b)中的“suspect”不能确保其后从属述谓结构的真实性,因而是非叙实谓词;(20c)中的“pretend”之后的从属述谓结构一定是个假命题,而其否命题则是真命题,所以“pretend”是一个反叙实谓词。

Leech(1987/1983:430)同时也指出了这三类并非界限分明的不同类别,有的谓词可以兼属两类。例如:

(21 )a.It's nice that John has many friends.(约翰有很多朋友,这很好。)

b.It's nice to have many friends.(有很多朋友很好。)

Leech(1987/1983:430)认为(21a)是叙实性的,而(21b)是非叙实性的。

1.2.2.2纯叙实性词和有条件的叙实性词

Leech(1987/1983:431-432)在叙实性词内部分出了纯叙实性词(pure factive predicate)和有条件的叙实性词(conditional factive predicate。)纯叙实性词主要是那些可与that从句和-ing短语相连的谓词,如“realize,besorry,know,amuse”等;有条件的叙实性词主要是后接不定式短语和名词性词组的谓词,如“cause,become,haveto,force”等。

当叙实性词是肯定结构时,这两类叙实性词作用相同,均能使从属述谓结构带有叙实性;当叙实性词是否定结构时,只有纯叙实性词能使从属述谓结构保持叙实性。例如

(22)a.I'm sorry that he lost his job.⇒He lost his job.

b.I'm not sorry that he lost his job.⇒He lost his job.

(23)a.I saw Aunt Agnes down three wiskies.⇒A unt Agnes downed three wiskies.

b.I didn't see Aunt Agnes down three wiskies.*⇒Aunt Agnes downed three wiskies.

Leech(1987/1983:433-434)认为“besorry”的肯定形式和否定形式都蕴涵“He lost his job”,所以是纯叙实性词;而“see”的肯定形式蕴涵“Aunt Agnes downed three wiskies”,否定形式却不蕴涵该小句,所以是有条件的叙实性词。

1.2.2.3叙实性链

Leech(1987/1983:435-437)指出,在一个句子中,一个述谓结构可以看作是另一个述谓结构的条件,每个谓词的叙实性保证了蕴涵关系保持到链锁的最后一节。这就是“叙实性链”(factive chain)。

(24)a.MariocompelledFredatolethimdriveherhome.

b.Fredahadtolethimdriveherhome.

c.Freda let him drive her home.

d.He drove her home.

e.Shewenthome.

(24a)-(24e)每一句都蕴涵下一句。

当否定了主命题以后,所有的蕴涵关系由于连锁反应而消失,非叙实谓词也有同样的连锁反应。如果在从属层次中间的某处引入一个非叙实性词,叙实性链也会中断。

1.2.2.4从属述谓结构的三种抽象

根据支配谓词的性质,从属述谓结构可以代表不同的抽象性,受有条件的叙实性词支配的述谓结构指的是事件或状态(事件、状态、过程、行动等,)受非叙实性词支配的述谓结构指的是述谓结构(思想、观念、概念,存在于人们的头脑里,)受纯叙实性词支配的述谓结构指的是事实(知识范畴的“事物”,即所知道的事,永恒的和到处存在的。当事实与现实相对应时,事实与事件更接近。事实可以看作具有绝对叙实性的命题,不能被否定,没有“真事实”与“假事实”之分)。

1.2.3 Givón的感知、认知及话语动词

Givón(2001:153-155)指出,感知(perception)、认知(cognition)及话语(utterance)动词(PCU动词)的主语或者是感觉或认知一个状态或事件,或者是陈述一个关于状态或事件的命题。由于它们的逻辑特点,PCU动词可以进一步分为叙实动词和非叙实动词。叙实动词指不论主句真值为何补足语小句的真值都一定为真的动词,或者不论主句真值为何补足语小句的真值都一定为假的动词,分别对应为肯定的叙实动词(positive factive)和否定的叙实动词(negative factive。)比较:

(25)肯定的叙实动词

a.She knew that John loved her.⇒John loved her.

b.She didn't know that John loved her.⇒John loved her.

(26)否定的叙实动词

a.He pretended that he knew her.⇒He didn't know her.

b.He didn't pretend that he knew her.⇒He didn't know her.

(25)主句的叙实动词“know”使得不论主句的真值为何,补足语小句都是真的;而(26)主句的叙实动词“pretend”使得不论主句的真值为何,补足语小句都是假的。

肯定的叙实动词的补足语小句是整个句子的预设,而否定的叙实动词的补足语的否命题才是句子的预设,它们以不同方式确定了补足语小句的真值和句子的预设。Givón(2001:153-155)指出,非叙实动词则没有这种预设,例如:

(27)a.She thought that he was a liar.*⇒He was a liar.

b.She didn't think that he was a liar.*⇒He was a liar.

(27)中的非叙实动词“think”不能决定补足语小句的真值,也没有确定句子预设的能力。

Kiparsky & Kiparsky(1970)讨论了叙实动词和非叙实动词的语法语义特点,然而对叙实动词却未加定义,Givón(2001:153-155)虽然对叙实动词着墨不多,但给叙实动词和非叙实动词下了比较明确的定义;Kiparsky & Kiparsky(1970)没有划分叙实动词和非叙实动词的次类,而Givón(2001:153-155)将叙实动词和非叙实动词都分为肯定的和否定的两类,这对我们进一步了解叙实性是很有意义的,然而他的分类却不如Leech(1987/1983:427-452)那样影响深远,所用的术语透明性也较低,不易从字面上把握其确切含义。 qEL0q2GUtU0eE0vclYHlDnBE+9Rc4s/KSw5Je0bn4//n9v3qyCb9/zOtbZmMbQR8

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