汉语语用标记之语用法化研究 ——基于语料库对“不过”与“X看”结构的历时、共时侧面所做的探究

论文摘要

本研究依托古代、现代汉语语料库,通过对“不过”与“X看”两个案的研究探讨了汉语语用标记的历史形成过程。“不过”与“X看”这两个结构最初只是作为非语用性质的动词词组,随着时间的推移,进而演变为具有篇章语用功能的语用标记。本文认为语用标记以及其他相似语言成分的历史形成过程属于语用法化(pragmaticalization)范畴而非语法化(grammaticalization)。后者被许多学者错误地用来涵盖诸多语言演变现象。本研究具有双重目的。首先,本文旨在探讨“不过”与“X看”结构的篇章语用变化是如何发生的以及为何会产生这种历史变化。如众所知,前人大部分相关研究都是以共时语料为基础(主要是现代汉语),无法对相关历史过程提供具体而又令人信服的证据。有鉴于此,本文采取共时、历时相结合的研究方法对“不过”和“X看”进行分析。在共时分析中,我们着重强调了“不过”与“X看”的语用标记地位并探讨了它们在现代汉语中的语用功能。在历时分析中,我们通过利用古汉语语料库(从西周至清朝),深入分析了这两个结构在汉语各个阶段的使用状况,以及伴随它们各自语用法化过程所发生的语义、句法等变化。我们希望能够藉此对“不过”与“X看”的语用法化路径进行重新建构。本研究指出这两个结构由最初非语用性质的动词词组演变为语用标记是经过了连续的语义、句法等演变过程。本研究的另一目标是证明语用标记的历史形成过程属于语用法化而非语法化范畴。对于语用标记的历史形成,学者们所持的意见截然不同。有人认为语用标记的形成与语法化的典型案例不一致,因此提出了“语用法化”的概念来解释语用标记等的历史发展过程。然而,大多数学者坚持Traugott的观点,认为这一历史过程属于语法化的范畴,因为主观化(subjectification)作为独立的语义演变模式为语用标记、语法范畴形成所共享。为了证明我们关于语用标记的历史演变属于语用法化的论断,我们将“不过”和“X看”共时、历时分析的结果与Lehmman(1995)的语法化六参数以及Traugott的语法化理论进行了对比研究,结果表明这两个语法化的主要理论都无法成功解释“不过”与“X看”向语用标记演变的历史过程。本研究的意义主要体现在以下五个方面:1)基于现代汉语语料库,并结合韩礼德对语言功能的划分以及语用学、话语分析等相关理论,本研究对语用标记“不过”与“X看”的语用功能进行了归纳、分类。2)基于古汉语语料库(从西周至清朝),对“不过”和“X看”结构由最初的动词性词组向语用标记转化的语用法化过程、步骤以及它们在各个历史时期语料库中的分布和语用、语义、句法特征等进行了详细描述。3)结合认知语言学、语用学、语义演变等相关理论,本研究探讨了“不过”与“X看”结构语用法化的动因,并从语义、句法两个层面对历时演变的相关机制进行了分析。4)通过对“不过”和“X看”向语用标记演变过程及所体现出的特点与Lehmman和Traugott等的语法化理论进行对比分析,本研究发现这两个语法化的主流理论都不能成功解释语用标记的历史形成过程。基于此,本研究指出语用标记的历时演变属于语用法化范畴而非语法化。这对于认清语用标记的性质以及语法化理论的范围等都有一定的意义。5)本研究对语用法化的定义、可能路径以及语用法化与语法化的关系进行了尝试性探讨。

论文目录

• Acknowledgements
• Abstract
• 摘要
• List of Figures
• List of Tables
• Chapter One Introduction
• 1.1 Rationale for the present research
• 1.2 Data and methodology
• 1.2.1 Values of corpus-based research
• 1.2.2 Data
• 1.2.3 Methodology for the analysis
• 1.3 Objectives of the present study
• 1.4 Outline of the dissertation
• Chapter Two Historical Review
• 2.1 State of the art and problems
• 2.1.1 Previous researches on diachronic evolution of BUGUO and XKAN
• 2.1.2 Previous researches on synchronic aspects of BUGUO and XKAN
• 2.1.3 Why diachronic?
• 2.1.4 Interim summary
• 2.2 Theories relevant to the present research
• 2.2.1 Grammaticalization
• 2.2.2 Historical pragmatics
• 2.2.3 Pragmaticalization
• 2.2.4 Models of semantic change
• 2.2.4.1 Traugott’s view
• 2.2.4.2 Metaphor and metonymy
• 2.2.5 A thumbnail introduction to Construction Grammar
• 2.3 Pragmatic markers
• Chapter Three Pragmatic Functions of BUGUO: A Synchronic Analysis
• 3.1 Data and methodology
• 3.2 Use and functional distribution of BUGUO in the corpus
• 3.3 Pragmatic functions of BUGUO
• 3.3.1 Metalinguistic functions
• 3.3.1.1 Referential contrast
• 3.3.1.2 Pragmatically inferable contrast
• 3.3.2 Metacommunicative functions
• 3.3.2.1 Functional contrast
• 3.3.2.2 Illocutionary contrast
• 3.4 The relationship between the core meaning of BUGUO and its pragmatic functions
• Chapter Four Pragmaticalization of BUGUO: A Diachronic Analysis
• 4.1 Data, distribution of BUGUO and methodology
• 4.2 Main meanings of GUO
• 4.3 Historical development of BUGUO
• 4.3.1. BUGUO in Old Chinese
• 4.3.1.1 Uses of BUGUO in the Pre-Qin Period
• 4.3.1.2 Uses of BUGUO in the Han Dynasty
• 4.3.1.3 Interim summary
• 4.3.2 BUGUO in Middle Chinese
• 4.3.2.1 Uses of BUGUO in the Six Dynasties period
• 4.3.2.2 Uses of BUGUO in the Tang Dynasty
• 4.3.3 BUGUO in Old Mandarin
• 4.3.3.1 Uses of BUGUO in the Five Dynasties period and the Northern Song Dynasty
• 4.3.3.2 Uses of BUGUO in the Southern Song Dynasty and the Yuan Dynasty
• 4.3.4 BUGUO in Middle Mandarin
• 4.3.4.1 Uses of BUGUO in the Ming Dynasty
• 4.3.4.2 Uses of BUGUO in the Qing Dynasty
• 4.4 Pragmaticalization of BUGUO
• 4.5 Motivations and mechanisms involved in the pragmaticalization of BUGUO
• 4.5.1 Motivations for the pragmaticalization of BUGUO
• 4.5.2 Mechanisms of the pragmaticalization of BUGUO
• 4.5.2.1 Mechanisms at the semantic level
• 4.5.2.2 Mechanisms at the syntactic level
• 4.6 Accompanying changes of the pragmaticalization of BUGUO
• 4.6.1 Phonological changes
• 4.6.2 Semantic changes
• 4.6.3 Syntactic changes
• Chapter Five Pragmatic Functions of XKAN: A Synchronic Analysis
• 5.1 Data and methodology
• 5.2 XKAN: PM use vs. Non-PM use
• 5.3 Use and distribution of WOKAN and NIKAN in the corpus
• 5.4 Pragmatic functions of WOKAN
• 5.4.1 Self-quotation
• 5.4.1.1 Self-quotation I: WOKAN as a politeness marker
• 5.4.1.2 Self-quotation II: WOKAN as an emphasiser
• 5.4.2 WOKAN as a hesitation marker
• 5.5 Pragmatic functions of NIKAN
• 5.5.1 NIKAN as an attention getter
• 5.5.2 NIKAN as a coherence builder
• 5.5.3 NIKAN as a politeness marker
• 5.5.4 NIKAN as a turn yielder
• 5.6 XKAN as markers of interpersonal involvement
• 5.6.1 “Involvement”in the present study
• 5.6.2 Discussion
• 5.6.2.1 Use of WOKAN for addresser-involvement
• 5.6.2.2 Use of NIKAN for addressee-involvement
• Chapter Six Pragmaticalization of XKAN: A Diachronic Analysis
• 6.1 Distribution of WOKAN and NIKAN and methodology
• 6.2 Core meanings of KAN
• 6.3 Historical development of XKAN
• 6.3.1 Historical development of WOKAN
• 6.3.1.1 WOKAN in Old Mandarin
• 6.3.1.2 WOKAN in Middle Mandarin
• 6.3.1.3 Interim summary
• 6.3.2 Historical development of NIKAN
• 6.3.2.1 NIKAN in Middle Chinese
• 6.3.2.2 NIKAN in Old Mandarin
• 6.3.2.3 NIKAN in Middle Mandarin
• 6.3.2.4 Interim summary
• 6.4 Pragmaticalization of XKAN
• 6.5 Motivations and mechanisms involved in the pragmaticalization of XKAN
• 6.5.1 Motivations for the pragmaticalization of XKAN
• 6.5.2 Mechanisms of the pragmaticalization of XKAN
• 6.5.2.1 Mechanisms at the semantic level
• 6.5.2.2 Mechanisms at the syntactic level
• 6.6 Accompanying changes of the pragmaticalization of XKAN
• 6.6.1 Phonological changes
• 6.6.2 Semantic changes
• 6.6.3 Syntactic changes
• Chapter Seven Historical Development of BUGUO and XKAN: Cases of Pragmaticalization
• 7.1 Previous studies on the rise of pragmatic markers
• 7.2 Historical development of pragmatic markers as an instance of pragmaticalization
• 7.2.1 Grammar vs. pragmatics
• 7.2.2 Discussion
• 7.2.2.1 Arguing against Lehmann’s approach
• 7.2.2.2 Arguing against Traugott’s approach
• 7.3 “Pragmaticalization”reconsidered
• Chapter Eight Conclusion
• 8.1 Findings of this study
• 8.2 Limitations of this study and implications for future study
• References
• Appendix: A Brief Chronology of Chinese History