第4章　句　法

4.1　复习笔记

本章要点：

1．Prescriptive approach and descriptive approach

规定法和描述法

2．Immediate constituent analysis

直接成分分析

3．Constituent structure grammar

成分结构语法

4．The “Standard Theory”

标准理论

5．Transformational grammar

转换语法

6．Systemic-functional grammar

系统功能语法

常考考点：

句法的定义；词类；乔姆斯基的经典理论；标准理论；深层结构；表层结构；成分；直接成分分析法的定义；句子成分；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等。

本章内容索引：

I. Syntax

1．Definition

2．Word Classes

II. Two Approaches

1．The Prescriptive Approach

2．The Descriptive Approach

III. Structural analysis

1．The Constituent structure grammar

2．Immediate constituent analysis

(1) Definition

(2) Advantages

(3) Problems

IV. The Transformational grammar

1．Chomsky’s Classical Theory

2．The “Standard Theory”

(1) Deep structure and surface structure

(2) The “standard theory”

3．Syntactic Movement

(1) NP-movement

(2) Wh-movement

(3) Aux-movement

4．Move-α rule

V. Systemic-Functional Grammar

1．General Account

2．Three General Functions of Language

I. Syntax (句法)

【考点：名词解释】

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．Word Classes (词类)

The general word classes include：nouns, adjectives, verbs, adverbs, prepositions, pronouns and conjunctions.

常见的词类包括：名词、形容词、动词、副词、介词、代词和连词。

II. Two Approaches (两种研究方法)

1．The Prescriptive Approach (规定式)

It is an approach taken by some grammarians, mainly in eighteenth-century England, which views grammar as a set of rules for the “proper” use of a language, and it is still to be found today and may be best characterized as the prescriptive approach.

规定式把语法看成使语言正确应用的一系列的规则。

2．The Descriptive Approach (描写式)

Throughout the 20th century, linguists collect samples of the language they are interested in and attempt to describe the regular structures of the language as it is used, not according to some view of how it should be used. This is called the descriptive approach and it is the basis of most modern attempts to characterize the structure of different languages.

描写式就是描述实际应用中的语言的结构，而不是规定怎样正确运用。它是近代语言结构探究的基础。

III. Structural analysis (结构主义研究)

【考点：名词解释】

Its main objective is to study the distribution of linguistic forms in a language. The method involves the use of ‘‘test-frames’’ which can be sentences with empty slots in them. By developing a set of test-frames of this type and discovering what forms fit the slots in the test-frames, we can produce a description of some aspects of the sentence structures of a language.

结构主义最主要的目标是研究语言的形态结构。它的研究方法包括“语言框架测试”。通过语言框架测试，我们能够发现哪些适合某个语言框架，并对这些句子特征进行描写。

1．The Constituent structure grammar (结构成分语法)

A grammar which analyzes sentences using only the idea of constituency, which reveals a hierarchy of structural levels, is referred to as a constituent structure grammar.

结构成分语法是指只用成分来分析句子的语法，它揭示了句子成分的层级结构。

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.

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) Advantages (优点)

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

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) 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。

IV. The Transformational grammar (转换语法)

1．Chomsky’s Classical Theory (乔姆斯基的经典理论)

In the earliest version of transformational grammar sometimes now called the “classical theory”-Chomsky put forward a model which consisted of three parts: a set of phrase structure rules, transformation rules and morphophonemic rules.

(1) The phrase structure rules were based on constituent structure analysis but formalised as a set of rules. Chomsky emphasized the generative aspect of such rules although any constituent structure grammar is generative by definition, that is, it can produce many sentences.

(2) Chomsky then introduced the idea of a set of transformation rules which could transform these simple “kernel” sentences S→NP+VP into a number of related sentences.

(3) The morphophonemic rules would apply to the output of the transformational rules. Their function was to provide the correct morphological shape to the various parts of the structure and finally to give the appropriate phonological description.

乔姆斯基早期的转换语法理论包括三个部分：短语结构法则、转换法则和形态法则。

(1) 短语结构法则基于结构成分分析，并制定一系列法则。而乔姆斯基的短语结构法则更生成的方面。

(2) 乔姆斯基介绍了把核心句型S→NP+VP转化成其他相关句子的准则，即转化法则。

(3) 形态法则应用于生成法则的结果，它使得各个结构在形式上更合理，能够给出合适的音系描写。

2．The “Standard Theory” (标准理论)

(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) The “Standard Theory” (标准理论)

3．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。

4．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. Systemic-Functional Grammar (Halliday’s approach) 功能学派 (布拉格语言学派)

1．General Account概述

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。

2．Three General Functions of Language  (语言的三个功能)

①The function in which we conceptualize the world for our own benefit and that of others is called ideational function.

②Language serves to set up and maintain social and personal relations, including communication roles such as questioner and respondent, and to express the language user’s own attitudes and comments on the content of an utterance. This function of language is called interpersonal function.

③Language also makes links with itself and with features of the situation in which it is used. This is what enables the speaker or writer to construct a text, and enables the listener or reader to distinguish a text from a random set of sentences. This function of language is called textual function.

①我们根据个人或他人需要用语言把物质世界概念化的功能叫做概念功能。

②语言用来建立或保持身份和社会地位的功能叫做人际功能。比如交际角色中的发问者和回应者，表达说话人的观点，以及对一段话的评论。

③语言也把言语本身与情境连接起来，这使得说话者或写作者能够形成语篇，也使得听话人或读者能够区分杂乱无章的语句与有条理的语篇，这种功能叫做语篇功能。