【作者】 高航；

【导师】 严辰松；

【作者基本信息】 中国人民解放军外国语学院 ， 外国语言学及应用语言学， 2007， 博士

【摘要】 名词和动词被认为是两个普遍的词类范畴,在分布上存在一系列的对立。当一个通常被用作名词的语言单位出现在应该使用动词的语法结构中时,或者一个通常被用作动词的语言单位出现在应该使用名词的结构中时,它们的范畴地位发生改变。这一现象称作转类。本文关注的焦点是现代汉语名词和动词互相转类(以下简称互转)的模式和机制。以往与名动互转有关的研究主要关注两个问题。首先是如何判断一个语言形式的范畴地位发生变化,这主要涉及主宾语位置的动词的性质问题,即所谓名物化问题。另外一个问题是名词和动词发生转类的动因和机制,开始出现了少量从功能语法和认知语言学角度进行的实证研究。以往研究在很大程度上受制于客观主义语义学的影响,没有考虑到一般认知能力在语言结构和意义中的作用,过分注重理论探讨而忽视语料考察,对于转类的机制和动因的探索不够深入。本文在认知语法框架内考察了与名动互转有关的5类现象,包括汉语主宾语位置的动词的性质、“N的V”结构、动词的转指、名词的动词化、名词谓语句。这一探索主要取得以下发现。首先,作为一般认知能力的概念物化是汉语动词发生名词化的根本机制。无论是单音节动词还是双音节动词,都凸画一个过程,概念物化作用的对象是构成该过程的各个成分状态,在概念层面上发生作用,与单、双音节没有必然联系。在概念组织的各个层面上,从光杆动词到动词短语,再到限定小句,都可以发生名词化。它们的名词化都可以看作名词,都是象征结构,只不过在象征复杂程度、语义具体程度、固化程度和规约化程度4个方面存在量的差别,而不是质的差别。其次,参照点能力和概念自主是描写和解释“N的V”结构的主要因素。“N的V”结构与典型的领属结构本质上存在相同之处,都是以一个事物为参照点来访问另一个事物。基于语料库的调查表明,单音节动词的名词化在参照点结构中的出现受到限制。这主要与概念因素和语体因素有关。此外,概念自主程度是影响参照点结构能否成立的最重要的因素。概念自主程度高的动词倾向于在参照点结构中出现,概念依存程度高的动词则很难在其中出现。所有的不及物动词都可以在这一结构中出现,这并非偶然,原因是它们凸画的过程在概念上是自主的。第三,概念转喻是动词名词化中发生转指的根本机制,转喻的作用在于使语言表达式的凸画从过程转移到与过程有关的语义角色。过程所转喻的各类语义角色中,出现频率最高的是移动者和产物,然后是施事、工具和数量,其他语义角色的转喻极其少见。本文的调查表明,仅仅基于凸显程度的解释不能充分说明汉语名词化中的转指现象。第四,名词的动词化同样是概念转喻起作用的结果,不同语义角色在转喻过程的频率和可接受程度上差别很大。在各类语义角色中,工具、产物和移动者转喻过程的频率较高,其他角色则较少发生转喻。从认知处理的角度看,施事和受事作为参照点来访问事件不是一个有效率的认知策略。在名词的动词化中,工具是出现频率最高的语义角色,大部分工具都能够转喻它们所参与的事件。决定一个工具名词能否动词化的3个主要因素是该工具的可操纵程度、对于受事的影响程度和该工具与其他工具的相似程度。第五,汉语的谓语名词表现出动态性,这一性质是主观化和心理扫描的结果。概念化主体在一个抽象路径(即量级)上进行心理扫描,而扫描的终点是主语名词短语所凸画的事物在该路径上的位置。小句的可接受程度与量级的凸显程度存在直接的相关,量级的凸显程度可以通过对比语境来加强。现代汉语名动互转问题在以往研究中存在众多观点与争议,在很大程度上源自语言学家们在不同研究范式下对同一现象做出的不同观察。无论采取哪一种研究范式,关键是看对语言现象的描写和解释是否符合语言事实。从本文的研究来看,用认知语言学研究范式观察汉语的词类问题,能够使我们对这一问题产生新的认识,从而有助于解决许多传统的争议。更多还原

【Abstract】 Nouns and verbs are considered to be two universal grammatical categories, and they are opposed to each other in distribution. When a linguistic unit normally used as a noun occurs in the position of a verb, or vice versa, its lexical class changes. This is what is known as conversion in morphology. This dissertation focuses on conversion between nouns and verbs in modern Chinese.Previous studies of this phenomenon have concentrated on two areas. The first one is concerned with how to judge whether the lexical class of a linguistic unit has changed. In particular, this involves the nature of verbs that occur as subjects or objects in a clause, a controversial topic known as the issue of nominalization in Chinese linguistics. The other area is what motivates conversion between nouns and verbs and what mechanisms are responsible for it. Some researchers have begun to explore this area from perspectives of functional grammar and cognitive linguistics.Most previous studies, constrained by objectivist semantics, have ignored the role of general cognitive abilities in shaping linguistic structure and meaning. Most researchers have focused their attention on theoretical discussion without sufficient attention to corpus analysis. And the few studies on mechanisms of conversion have not offered a comprehensive description and explanation within a coherent framework. This dissertation has explored conversion between nouns and verbs in modern Chinese within the framework of Cognitive Grammar (CG), concentrating on five issues, including the nature of verbs in the position of subjects or objects, the“N de V”construction, transferred designation in nominalization, verbalization of nouns, and predicative nouns. We have made the following discoveries in our exploration.First, conceptual reification as a general cognitive ability is the fundamental mechanism responsible for nominalization of verbs in modern Chinese. Whether monosyllabic or disyllabic, a verb always profiles a process. And conceptual reification, working on component states of a process, operates on the conceptual level. Consequently, there is no link between nominalization and the number of syllables. Processes on the various levels of conceptual organization, from verbs, verb phrases to finite clauses, can all be reified as a thing. Their nominalizations can all be considered nouns in CG, their differences residing in degrees of symbolic complexity, specificity, entrenchment, and conventionalization.Secondly, reference-point abilities and conceptual autonomy are the most important factors for description and explanation of the“N de V”construction. This construction, like typical possessive constructions, can be analyzed as a reference-point structure whereby one entity is used as a reference point for accessing another. And a corpus-based survey indicates that nominalization of monosyllabic verbs in this construction is highly restricted, and this can be attributed to conceptual and stylistic factors. Besides, conceptual autonomy is the most important factor that affects the acceptability of this construction. The higher the degree of conceptual autonomy of a verb, the more likely its nominalization occurs in the construction. All intransitive verbs can occur in this structure precisely because they profile autonomous processes.Thirdly, conceptual metonymy is a fundamental factor in nominalization, serving to shift the profile of a process to various semantic roles that participate in the process. In terms of frequency of metonymic reference, movers and products are the most important roles, followed by agents, instruments, and quantity, while other semantic roles are rarely accessed via processes. A corpus analysis reveals that the previous theory based on prominence alone is not sufficient to account for metonymic reference in nominalization.Fourthly, conceptual metonymy also works in conversion of nouns to verbs, and various semantic roles exhibit considerable difference in frequency of conversion and acceptability of metonymy. Nouns designating instruments, products, and movers are frequently converted to verbs, compared with those designating other roles. In terms of cognitive processing, accessing a process via an agent or patient is not an effective or efficient strategy. Instrument nouns are especially important in conversion, most of them capable of referring to a process via metonymy. There are three factors that determine whether an instrument noun can be converted to a verb, namely, manipulability of an instrument, its similarity with other instruments, and affectedness of patient.Finally, nouns in Chinese have a dynamic nature if serving as predicates in a clause. And this nature can be attributed to subjectification and mental scanning. A conceptualizer mentally scans along an abstract path (i.e. scale), and arrives at a particular position on the path. Acceptability of clauses with predicative nouns correlates with degrees of salience of the path, which can be reinforced by a contrastive context.In previous studies of conversion between nouns and verbs in modern Chinese, linguists have made their observations from perspectives of various research paradigms. Naturally, this has led to numerous views and disputes. Whatever paradigm one is working within, one’s description and explanation of this phenomenon must conform to reality of language. As this study indicates, a cognitive grammar analysis of conversion in Chinese will produce many new and interesting ideas and throw light on many traditional problems in Chinese.更多还原