【作者】 吴淑琼；

【导师】 文旭；

【作者基本信息】 西南大学 ， 英语语言文学， 2011， 博士

【摘要】 转喻作为人类的思维方式和认知机制,分布于语言结构的各个层面(包括音位、词义、语法、语篇、语用等),但语法中的转喻研究一直未能得到足够的关注和重视,其研究成果较为零散,未成体系。有鉴于此,本研究以认知语言学的概念转喻理论为基础,尝试把语法转喻视为概念转喻的一个分支,从理论构建和语言事实分析两个方面,对其加以系统探讨和阐发,旨在揭示隐匿于语法结构背后的认知机制,丰富和拓展概念转喻的理论研究和应用范围。本研究主要关注三个问题：一是语法转喻的含义和本质特征；二是语法转喻的运作模式；三是语法转喻在汉语句法结构中的体现。本研究的主要发现如下：第一,对语法转喻的定义、动因、本质特征、功能、始源的实现方式等进行了系统描述和阐释。基于对以往语法转喻定义的评述,本研究根据语法的内涵提出,语法转喻有广义和狭义之分。广义的语法转喻指语法系统中所体现的概念转喻；狭义的语法转喻则指对句法成分的分布或整体句法结构的形成产生影响的概念转喻。本研究持狭义的语法转喻观,认为句法结构是具有典型语法特征的语言现象,并将语法转喻置于句子层面来分析。语法转喻的产生有其深层的多重动因。语言思维的产生过程和体验哲学为其提供了哲学基础,完型趋向理论和扩散激活理论是其产生的心理学基础,语言的理据性和语言经济性原则为其提供了语言学基础。作为概念转喻的一个分支,语法转喻的本质特征主要体现如下：1)语法转喻是一种认知机制,属于概念现象；2)语法转喻具有语法效应,必定会对语法结构产生影响。语法转喻与系统功能语言‘学所称的语法隐喻截然不同：前者是一种概念现象,后者是一种语言现象。通过与其他转喻类型的对比分析发现,部分指称转喻在改变始源语义的同时,也改变了其语法属性,从而导致句法成分分布的变化,因此当属于语法转喻的范畴；语法转喻具有层级性,有高层和低层之分,不只限于Ruiz de Mendoza及其合作者所认为的高层转喻；语法转喻与词汇转喻构成一个连续统,二者间并无明确界限。除概念转喻的一般功能外,语法转喻亦有其独特的功能：1)语法转喻是语法结构意义建构的基本原则；2)语法转喻是语言创新表达的认知理据；3)语法转喻是种句法策略。传统上认为转喻的功能主要是指称,因此,转喻始源的语言表达形式主要是名词。本研究发现,语法转喻始源的实现方式呈多样性和复杂性,名词、动词、形容词、动宾结构、主谓结构、定中结构、整句等均可担任始源。第二,构建了语法转喻的运作模式,阐释了影响其运作的基本要素。本研究认为,语法结构和概念转喻之间呈双向互动关系：概念转喻是语法结构形成的认知理据,语法结构对概念转喻操作起促使或限制作用。本研究提出了“语法转喻链”的概念,认为概念转喻对语法结构的作用通常需经多次认知参照活动方能完成。在语法转喻的运作过程中,语境起着重要的调控作用。语法转喻在句法结构中的具体实现路径有两种：一是通过改变始源的语义和语法属性,从而导致句法成分分布的变化；二是转喻的目标义直接导致句法结构的重构。对于不同句法结构而言,语法转喻的具体操作表现形式各异,各种因素对其影响程度亦不相同。第三,考察了语法转喻在汉语句法结构中的作用。为进一步验证和完善语法转喻的理论探索,本研究选取了汉语中的动结式、形容词谓语祈使句、动宾结构中的宾语变换三类句法现象分别进行个案分析。汉语动结式的语法转喻分析旨在探究语法转喻对句法结构的生成和句法成分配置的影响。研究表明,动结式的句法生成过程体现了“部分激活整体”的转喻思维。动结式是一个同时包含使因事件和结果事件的双表述语义结构,在进行句法表征时,可以突显致使场景的不同侧面,由此形成不同的语法结构。动结式的表层句法结构仅充当认知参照点功能,为通达整个致使场景提供心理通道。汉语动结式致事的实现形式多样,包括典型致事与非典型致事。典型致事表示事件或活动,非典型致事又有内在与外在之分。非典型内在致事体现了“突显的语义角色代使因事件”的语法转喻操作过程,非典型外在致事则牵涉到语法转喻链。语法转喻能够对动结式致事实现方式的多样性和复杂性做出统一解释。汉语形容词谓语祈使句的语法转喻分析旨在探究语法转喻对整个句式结构形成的作用。对“形容词+点”祈使结构的分析表明,静态形容词能为表动作的祈使结构所允准,当归因于语法转喻“结果代动作”；阐明该结构产生的认知动因有助于明晰结构中形容词的语义特征,即形容词的意义限定为动作行为所导致的某种结果或状态,因而必须具有“可控性”和“可度量性”。对汉语动宾结构中宾语变换的语法转喻分析意在表明语法转喻对语法结构形成的综合作用。研究发现,动宾结构中的宾语变换归因于三类语法转喻操作：一是关系项名词实体发生转喻导致宾语变换。担任宾语的名词实体之间存在概念邻近关系,个概念实体可以为另一个概念实体提供心理可及,从而导致宾语之间的相互转换。二是宾语的语义角色发生转喻导致宾语变换。在动作ICM中,各个语义角色之间具有概念上的邻近关系,突显的语义角色可通过转喻操作代替受事占据宾语的位置。三是动词的语义发生转喻导致宾语变换。动词语义通过转喻操作发生变化的过程中,其语法属性也相应发生了变化,与之搭配的宾语类型也随之而变。分析结果不仅展现了语法转喻对句法成分分布的作用,而且表明其对整个动宾结构形成的影响。对三类句法结构的深入分析从不同层面阐释了语法转喻对语法结构的作用,揭示了语法结构背后的认知理据,同时也例证了语法与转喻之间唇齿相依的关系,以及语境对语法转喻操作的制约作用。综上所述,本文将语法转喻视为概念转喻的一个分支,对其进行了较系统的理论阐释,并以几个典型的汉语句法结构为例,对语法转喻的操作过程进行了实例解析。语法转喻研究有助于洞察语法结构内部的认知机制,进一步揭示一般思维方式和语言能力之间的关系。本研究在一定程度上开启了概念转喻研究的新视野,加深了对语法结构本质的认识,同时拓展了概念转喻的应用范围,为概念转喻的认知解释力提供了新的佐证。更多还原

【Abstract】 As a basic way of thinking and cognitive operation, metonymy operates at all levels of linguistic structure including phonology, lexical semantics, grammar, discourse, pragmatics and so on, but research on metonymy in grammar has visibly been underrepresented, and the previous studies lack systematization. Based on the theory of conceptual metonymy, this dissertation attempts to treat grammatical metonymy (GM) as a sub-branch of conceptual metonymy and explore it with reference both to theoretical construction and empirical analysis. It aims at disclosing the cognitive motivation underlying grammatical structures in general and enriching the theoretical research of conceptual metonymy and extending its applicability in particular. This dissertation addresses three aspects of GM:1) the definition and characteristics of GM.2) the operational model of GM.3) the way GM behaves in Chinese grammatical structures. The major findings are summarized as follows:Firstly, a comparatively systematic study has been conducted on GM, ranging from its definition, motivations, characteristics, functions and the realization patterns of its source. Based on the review of previous definitions concerning GM and the implication of grammar, this dissertation distinguishes GM in the broad sense and in the narrow sense. The former refers to conceptual metonymies reflected in the grammatical system, and the latter refers to conceptual metonymies which have an impact on the distribution of syntactic elements or the overall organization of the sentences. This dissertation holds GM in its narrow sense and takes syntactic structures as the prototypical grammatical structures. Therefore, the research explores GM on the sentence level.The operation of GM is motivated on multiple dimensions. The production of thinking for speaking and the embodied philosophy provide the philosophical basis, and the Law of Pragnanz and Spreading Activation Theory lay the psychological foundations. Furthermore, the conceptual motivation of language and the principle of economy in linguistic expression constitute the linguistic grounding for grammatical metonymy.As a sub-branch of conceptual metonymy, GM is characterized by the following two features:1) GM is understood as a conceptual phenomenon and serves as a cognitive mechanism; 2) GM has grammatical reflections and is bound to have an impact on grammatical structures. GM, conceptual in nature, differs from grammatical metaphor in Systemic and Functional Grammar, which is regarded as a kind of linguistic phenomenon. A comparative study of GM and other kinds of metonymies shows that some referential metonymies are categorized into GM for they not only change the semantic meaning of source but also its grammatical meaning, which leads to the change of the distribution of syntactic elements. It is also discovered that GM is hierarchically structured from the high-level metonymies to the low-level metonymies, which differs from the view of Ruiz de Mendoza and his collaborators that GM is limited to high-level metonymy. The research evidences that GM and lexical metonymy form a continuum and the boundary between them is blurry and fuzzy.Apart from the general functions of conceptual metonymies, GM plays crucial roles in the following aspects:1) GM is a general guiding principle of meaning construction for grammatical structures; 2) GM is the cognitive motivation for creative expressions; 3) GM is a kind of syntactic strategy. The linguistic realization of the source in GM is multifarious and complicated. Nouns, verbs, adjectives, verb-object constructions, subject-predicate constructions, modifier-head constructions and even whole sentences can all act as the source of GM, which differs from the traditional view that the source of metonymy is restricted to nouns.Secondly, the operational model of GM has been constructed and some important factors related to its operation are elaborated. It is argued that bi-directional interaction exists between grammatical structures and conceptual metonymy. On the one hand, conceptual metonymy has an important regulatory and motivating role in grammar, which in turn can license and constrain metonymic processes on the other. This dissertation puts forward the notion of chained GM, indicating that GM may work in chains and that grammatical structures may be motivated by a sequence of reference and mental access. Context can accommodate and regulate the operation of GM. There are two ways in which GM motivates grammatical structures:1) GM changes the grammatical meaning as well as the lexical meaning of the source, which has consequences on the distribution of grammatical elements; 2) The target meaning of metonymy licenses the reconstruction of grammatical structures.Thirdly, the research elaborates on how GM behaves in Chinese grammatical structure. Three case studies are carried out in order to testify and complement the theory of GM.The case of Chinese resultative construction (RC) from the perspective of GM aims to disclose the impact of GM on the generation of grammatical structures and the rearrangement of grammatical elements. The generation of RC embodies the metonymic thinking PART FOR WHOLE. RC is a semantic structure consisting of caused event and causing event. When it is represented explicitly, profiling different aspects of the whole scenario will lead to different grammatical forms. Explicit linguistic coding merely acts as a reference point to provide mental access to the whole scenario. The causer in RC can be realized in various ways, which allows a distinction between the prototypical causer and the non-prototypical causer. The former generally indicates event or activity, while the latter can be further divided into the internal and the external non-prototypical causers. The internal non-prototypical causer is motivated by grammatical metonymy SALINET SEMATIC ROLES FOR CAUSING EVENT; By contrast, the external counterpart is motivated by the chained grammatical metonymies. GM can provide a unified explanation for the variety and complexity of causers in RC.The investigation of Chinese imperative construction with adjective acting as predicate aims, on the other hand, to testify the impact of GM on the whole construction. The analysis of imperative construction ("Adj+dian") shows that it is the grammatical metonymy RESUTL FOR ACTION that sanctions the stative adjectives to enter action constructions. It is much easier to characterize the adjectives in the construction when its cognitive motivation is disclosed. The adjectives are restricted to those denoting the resultative state brought about by the action, so "controllable" and "measurable" are the typical properties of these adjectives.The analysis of object change in Chinese verb-object construction is expected to explore the overall impact of GM on the shaping of grammatical structure. It is found that object change is motivated by three kinds of grammatical metonymies. First, the object change is caused by the metonymic operation on nouns acting as object. The nouns acting as object are conceptually contiguous and one of them can provide mental access to the other. Second, the object change is caused by the metonymic operation on the semantic roles in action ICM. The semantic roles are conceptually contiguous, so the salient semantic role can take the place of patient by means of metonymic operation. Third, the object change is caused by the metonymic operation on verbs. The metonymic operation changes not only the semantic meaning of a verb but also its grammatical properties. Accordingly, the object followed the verb is changed. The findings not only display the impact of GM on the distribution of grammatical elements, but also its shaping effect on the whole construction.The analysis of the above structures has illustrated the consequences of GM on grammatical structure on different levels and disclosed the cognitive motivation underlying the grammatical structures. Moreover, the study evidences that GM and grammar are mutually dependent and that context plays a crucial role in accommodating the metonymic operation.To sum up, this dissertation proposes that GM is a sub-branch of conceptual metonymy. The study not only makes a detailed investigation of the theory of GM but also analyzes the operational mechanism of GM in several Chinese syntactic structures. The study is of significance in shedding light on the cognitive mechanism of grammatical structures, disclosing the relationship between the basic way of thinking and language faculty. Furthermore, this study opens up new avenues of research on conceptual metonymy to some extent, extends conceptual metonymy to its wider applicability, and provides further evidence for its explanatory power.更多还原