先秦汉语的意合语法及其发展

【作者】 任永军；

【导师】 张文国；

【作者基本信息】 山东师范大学 ， 汉语言文字学， 2010， 博士

【摘要】 本文旨在探讨如何建立一个先秦汉语的意合语法体系以及该语法体系在汉代以后是如何发展变化的。但是,由于该课题是开放性的,需要研究的内容有很多,因此,限于时间和精力,本文只选取了四个专题为例来讨论,以期抛砖引玉,能够引起大家对先秦汉语意合语法及其发展这个课题的重视,从而将该课题的研究引向深入。全文共分七章。除第一章“绪论”外,其余六章是基于下面的想法来选择安排的。什么是意合语法至今尚没有一个公认的看法,因此,我们设第二章“什么是意合语法”讨论了此问题,并作为以下各章内容的理论基础。先秦汉语中,实词一音多义的现象非常普遍,弄清同一实词诸义之间的关系以及诸义之间的转化条件就显得尤为重要。因此,第三章“先秦汉语的名词动用及其发展”就以最为常见的名词动用为例对此问题作了探讨。可以看出,本章是从词这一级语法单位的层面上来讨论先秦汉语的意合语法的。先秦汉语中存在有大量的谓词句法化转指的现象。关于谓词的指称化问题,首要的任务就是要搞清谓词的词汇义和指称义之间的关系以及转指实现的条件,因此,就有了第四章“先秦汉语谓词的转指及其发展”。实际话语中的名词性成分都是有所指称的,可以是有指,也可以是无指。这就需要探讨名词性成分到底实现的是哪一类的指称,条件又是什么,各类指称对句法结构有什么影响,因此,就有了第五章“先秦汉语的名词指称及其发展”。可以看出,四、五两章是从句法的角度来讨论先秦汉语的意合语法的。先秦汉语中存在着大量的主语省略现象,而此种语法现象与先秦汉语意合语法的关系尚需进一步探讨,因此就有了第六章“先秦汉语的主语省略及其发展”。很明显,此章是从篇章的角度来讨论先秦汉语的意合语法的。最后,先秦汉语的意合语法有无发展变化；如果有,又有什么规律。这就是第七章“从意合到形合：汉语语法发展趋势探究”所要讨论的。可见,本文虽然只选择了四个有代表性的专题作了研究,但是却涵盖了从词到句法又到篇章的内容,形成了一个相对完整的先秦汉语语法体系。下面是各章的主要内容：第一章“绪论”简要介绍了选题价值、研究现状和研究方法。重点是研究现状。本节从意合定义、汉语意合现象、意合特点、意合规律,汉语的意合语法体系和汉语意合的哲学思维基础等六个方面简要评述了学界对汉语意合问题的研究。认为虽然取得了较大成绩,但大部分结论却来自与西方形态语言的简单比附,尚需作进一步的研究。第二章“什么是意合语法”在检讨传统语法观的基础上,对意合语法观、意合语法的内涵和特点等问题进行了探讨。认为语法理应研究语音形式与意义内容之间的对应关系,而不应该像传统语法一样只研究语法形式和语法意义之间的对应关系。从语音形式和意义内容的对应关系来看,意合型语言一般是运用语音形式来直接表达意义内容,因而其语音形式和意义内容之间多为一对多的关系,即一音多义。相应地,意合语法就只能研究-音所表的多义之间的关系及其造成这种一音多义的条件,即其研究应着眼于意义。本文的研究主要是基于此种理论来展开的。第三章“先秦汉语的名词动用及其发展”主要讨论了先秦汉语名词动用的语义基础及其在汉代以后的发展。先秦汉语中,名词动甩；即一词二性(名词和动词),一词二义(事物和动作行为)的现象很常见。研究表明,决定名词能否经常动用的主要因素是名词的概念结构：“特性义+类别义”。如果特性义来自名词所表人或事物的功用特性,则名词还能作动词使用；反之,特性义来自名词所表人或事物的性状特性,则名词不能动用。汉代以后,先秦汉语的名词动用现象除一少部分得到继续沿用外,大部分都发生了向名词或动词的单一词性的分化,明显反映出了汉语语法由意合到形合的发展趋势。第四章“先秦汉语谓词的转指及其发展”主要讨论了先秦汉语谓词句法化转指实现的条件及其在汉代以后的发展。先秦汉语中,谓词性成分在一定的句法条件下可以转指与动作行为或性质状态有关的人或事物,即一词二义(动作行为和人或事物)。这就是谓词的句法化转指。研究表明,谓词性成分只有出现在并列结构、对举结构、宾语位置等特定句法结构中时,才会发生句法化的转指。汉代以后,先秦汉语谓词的句法化转指逐渐消失,大多被“者”字结构、“所”字结构或谓词作定语的定中结构等体词性成分所取代。从音、义对应的角度来说,这一点明显体现出了汉语语法由意合向形合发展的趋势。第五章“先秦汉语的名词指称研究”主要讨论了先秦汉语中名词的指称对主谓结构性质的影响及其在汉代以后的发展。先秦汉语中,实际话语中的名词性成分可以分为有指和无指。一个主谓结构的性质,即是短语,还是句子,完全取决于名词主语的指称。当光杆名词主语有指时,主谓结构就是句子；无指时,主谓结构就是短语。而且,此种意义上的主谓短语是汉语特有的“套盒”结构产生的根本原因。根据指称,名词可以分为本体名词和附属名词两类。前者常以有指的身份充当主语,后者则常以无指的身份充当主语。根据指称在句法结构中的巨大作用,我们认为“名词重点说”是能够成立的。汉代以后,名词指称的用法大都被继承下来,体现了古今汉语典型的意合语法的特点。第六章“先秦汉语的主语省略及其发展”讨论了先秦汉语主语省略的种类、方式、条件、影响及其在汉代以后的发展。先秦汉语中,主语省略可以从各种角度进行分类：承前省、蒙后省和背景省,单一省与错杂省,连续省与间隔省,对话省与叙事省等。主语可以承前或蒙后省时,对应成分可以是句子的成分,如主语、宾语、定语、兼语、谓语等；也可以是句子成分的成分。这些均说明主语省略的方式多种多样。分析表明,主语承前省略一般都会有词汇方式(包括词汇复现与词汇同现)的辅助,反过来说,词汇方式是主语承前省略的重要条件。主语省略可以把省略所在的语句与其对应成分所在的语句有机地衔接为形式上的一个整体、意义上的一个单位,是先秦汉语“连句成章”“连章成篇”的关键因素。汉代以后,主语省略明显减少,显现逐渐增加,反映出汉语语法从意合到形合的发展趋势。第七章“从意合到形合：汉语语法发展趋势探究”实际上也是本文的结论。本章通过总结上文,说明汉语语法存在着由意合向形合发展的趋势。另外,又简要列举了三种语法现象来说明了这一点儿：先秦汉语介词“于”的隐显问题、先秦汉语的“N+N”结构和先秦汉语名词作说明谓语的现象。更多还原

【Abstract】 This dissertation is aimed to explore how to construct a system of grammar of parataxis of Chinese in pre-Qin and its change and development of the system of grammar after Han. However, due to openness of the problem and multitude of content to be researched, we choose only four special subjects as examples to discuss in order to make more people to pay a heavy attention to the problem and to deepen the research of the problem.The whole dissertation is made up of seven chapters.Except the first chapter, the other six chapters are arranged in consideration of following reasons.Since there is not an agreement about what is grammar of parataxis, we arrange the second chapter "what is grammar of parataxis" to discuss the problem and take it as theoretical foundation for the various chapters following it.Since the phenomena of one word possessing many meanings are ubiquitous in pre-Qin, it seems to be especially important to clarify the relationships between various meanings of the same notional words and the transferring conditions between them. Therefore, the third chapter "The phenomena of nouns being used as verbs in Chinese of pre-Qin and their development" takes the most common phenomena of nouns being used as verbs as exampels to explore the problem, from which we can see that it is on the level of grammatical unit of words that the chapter discusses the grammar of parataxis in Chinese of pre-Qin. There exited numerous phenomena of transferred-designation of predicate words in sentential constructions in Chinese of pre-Qin, about which problem the most important task is to make clear relationships between its vocabulary meaning and its nominal meaning and the conditions of realization of transferring of designation, so we have arranged the forth chapter "the phenomena of transferred-designation of the predicate words in Chinese of pre-Pin and their development".The nominal elements in real utterances have their referential,being specific elements or non-specific ones, so it is necessary to explore which kind of referential the nominal elements have realized, its conditions being what, the influences of the various kinds of referential on sentential constructions being what, of which the fifth chapter "reference of nouns in Chinese of pre-Qin and its development" explores.It can be seen that the forth and fifth chapter discuss the grammar of parataxis in Chinese of pre-Qin in terms of sentential grammar. There exited multitude of ellipses of subjects in Chinese of pre-Qin. A further exploration of relationships between ellipses of subjects and grammar of parataxis in Chinese of pre-Qin are still required to make, about which the sixth chapter "ellipses of subjects in Chinese of pre-Qin and their development" discusses. Evidently, it is in terms of text that the chapter discusses the grammar of parataxis in Chinese of pre-Qin. Finally, did the grammar of parataxis in Chinese of pre-Qin have developed and changed? What laws did it have if it had developed and changed? About which the seventh chapter "from parataxis to hypotaxis:the exploration of developmental tendency of Chinese grammar" discusses. It is thus evident that, although the dissertation chooses only the four representing special subjects to research the problem about grammar of parataxis in Chinese of pre-Qin, it covers the comprehensive problems from words to sentential grammar and text, which forms a comparatively integrated system of grammar of Chinese of pre-Qin.The main contents of every chapter as following:The first chapter "introduction" introduces briefly the value of research of the problem, the situations of the research, and the methods of research, among which the important is the latter. We introduce and comment the previous research of problems about parataxis in Chinese by scholars from the six respects:the definition of parataxis, the phenomena of parataxis, characteristics of parataxis, laws of parataxis in Chinese, the system of parataxis grammar of Chinese and the philosophical and thinking foundations for parataxis of Chinese. We hold that, although the previous researches have attained many achievements, the most conclusions have resulted from simplifying contrasting with morphologic languages in the west, therefore the furthermore research is necessary.The second chapter "what is grammar of parataxis" explores the problem about the viewpoint of parataxis grammar, the connotation and characteristics of it on the basis of checking the traditional viewpoint of grammar. We hold that the grammatical theories should study corresponding relationships between phonetic forms and semantic contents, instead of only studying corresponding relationships between grammatical forms and its meanings as traditional grammar did.In terms of corresponding relationships between phonetic forms and semantic contents, the languages of parataxis usually exploit phonetic forms to express semantic contents directly, which results in that the relationships between phonetic forms and their semantic contents are that of one form corresponding many meanings, accordingly, the grammar of parataxis should only research the relationships between various meanings expressed by one phonetic form and conditions that cause the phenomena, namely, the research should see from the angle of meanings. The research in the dissertation is based on this kind of theory.The third chapter "nouns functioning as verbs in Chinese of pre-Qin and its development" mainly discusses the semantic foundations for nouns functioning as verbs in Chinese of pre-Qin and its development after Han. In Chinese of pre-Qin, the phenomena of nouns functioning as verbs, in other words, one word to two speech types(noun and verb) or on word to two meanings(thing and action) are ubiquitous. It is proven that the main factors determining the usualness of nouns being used as verbs are the conceptive structure of nouns:"meanings o special properties + meanings of type".If the meaning of special properties of a noun comes from the properties of functions of the thing designated by the noun, the noun can be used as verbs, otherwise, the special properties from the properties of nature or shape of the thing designated by the noun, the noun can not be used as verbs. After Han, the phenomena of nouns functioning as verbs had changed mostly to one word being used only as one speech type, namely one word functioning only as noun or verb, except a few of them, which shows apparently that the developmental trend from parataxis to hypotaxis of Chinese grammar.The forth chapter "transferred designation of predicate words in Chinese of pre-Qin and its development" mainly discusses the conditions of realization of transferred designation or constructions and its development after Han. In Chinese of pre-Qin, the predicative elements may transfer to designate the relevant persons or things concerning motions and actions or properties and states, namely one word to two meanings (motions or actions and persons or things), which is so-called transferred-designation of sentential grammar. It is proven that transferred-designating could not happen except the predicative elements appear in particular constructions such as coordinate constructions, contrastive constructions,the positions of objects etc. The transferred-designation of sentential grammar had disappeared after Han, which were substituted for mostly by substantial elements such as constructions with "zhe(者’)”,that with "suo(所)”,or attributive-head constructions in which predicative elements acting as attributives, etc.,which shows that there is a conspicuous tendency from parataxis to hypotaxis of Chinese grammar in terms of corresponding relationships between phone and meaning.The fifth chapter "research of reference of nouns in Chinese of pre-Qin" mainly discusses the influences of reference of nouns on the properties of subject-predicate constructions in Chinese of pre-Qin and its development after Han.In Chinese of pre-Qin, the nominal elements in real utterances can be classified into specific ones and non-specific ones.The properties of subject-predicate constructions, namely, it being phrases or sentences, are determined completely by the reference of noun acting as subject:when the noun acting as subject is specific, the subject-predicate construction is a sentence; when the noun acting as subject is non-specific, the subject-predicate construction is a phrase. Moreover, this kind of subject-predicate phrases is the essential reasons for the creation of so-called box structures characteristic of Chinese. According to reference,the nouns can be classified into two kinds:attached ones and non-attached ones,the former of which usually act as subjects in capacity of the specific, the latter of which usually act as subjects in capacity of the non-specific. We consider that the doctrine of "nouns being the most important" is reasonable in terms of the great functions of reference of nouns in sentential constructions. The usages of references of nouns had been succeeded mostly after Han, which embodies the characteristics of typical parataxis grammar of Chinese in the ancient and the present.The sixth chapter "ellipses of subjects of Chinese in pre-Qin and their development" discusses the kinds, manners, conditions, influences of ellipses of subjects of Chinese in pre-Qin and their development after Han. In Chinese of pre-Qin, the ellipses of subjects can be classified from varied perspectives into different kinds:ellipses in reference to front element of text, those in reference to back elements of text, and those in reference to background knowledge; the ellipses of only on elements and those of more than one; continuous ellipses and discontinuous ones; ellipses in dialogues and those in narratives. When ellipses of subjects may reference to front or back elements, the corresponding elements may be the elements of sentences such as subjects, objects, attributives, concurrent elements, predicates, etc. or may be the elements of elements of sentences, all of which show that the manners of ellipses of subjects are manifold. Analyses show that the ellipses in reference to front elements of text are assisted usually by methods of vocabulary (containing reiterating and concurrence of vocabulary),in other words, the manners of vocabulary are the important conditions of ellipses of subjects in reference to front elements in text. Ellipses of subjects may combine the sentences in which the ellipses exit with those in which the elements corresponding ellipses into an integrity in form and a unit in meaning, which are the key factors of "combining sentences into paragraph" and "combining paragraphs into text". After Han, ellipses of subjects had decreased evidently, and appearing of them increased gradually, which shows that there is a developmental trend from parataxis to hypotaxis in Chinese grammar.The seventh chapter "from parataxis to hypotaxis:exploration of development of Chinese grammar" is in reality the conclusions of the dissertation. Through summarizing of the above discussions, the chapter exposes that there exits a developmental trend from parataxis to hypotaxis in Chinese grammar. In addition, we take other three grammatical phenomena as examples to expose the viewpoint:the problem of appearing and disappearing of preposition "yu (于)" in Chinese of pre-Qin, the constructions of "N+N" and phenomenon of nouns acting as exposing predicate in Chinese of per-Qin.更多还原