汉语零形回指的认知研究

汉语零形回指的认知研究

论文摘要

熊学亮(1998)在认知语法的框架下,很好地解释了汉语语篇中第一人称零形回指的机制。但是这种“自我贬低策略”无法解释汉语语篇中第三人称零形回指。此外,van Hoek(1995,1997,2003)抛开c-command等语法手段,将其导师Langacker早年提出的指称点模型(Reference Point Model)应用于句内回指的解释,获得了成功。但是van Hoek虽然多次称其指称点模型同样适用于句间回指,但迟迟没有付诸实践。因此,本文仍在认知语法的框架下将熊学亮(1998)的零形回指研究推及汉语语篇第三人称零形回指,但不是从意识形态图式化的角度,而是从指称点模型的角度。为了避免以理论为中心的研究模式,本文中的研究紧密联系自然语言现象,所采用的例证绝大部分来自21部汉语小说,2部散文集,以及《文汇报》上的叙述文。由于van Hoek的指称点模型中的概念大多限于句内,在推广到语篇层面时需要重新定义。本文以小句为研究的基本单位,采用了定量统计的方法。将《芙蓉镇》、《二马》、《洗澡》3部小说各取前40页作为语料进行初步分析,共计76,800字。在此基础上,提出了语篇层面领地(dominion)的两条划分规则:(1)当指称发生了转换时,新建一个领地;(2)当用名词短语指称原有的指称点实体时,虽然没有发生指称转换,仍然新建一个领地。本文认为,领地有两个层面:在小句层面,每个小句单独构成一个领地;在语篇层面,小句按照上述两条规则组成领地。句内的指称点依然为主语,语篇层面的指称点则是领地中最突显的那个语篇实体(discourse entity)。在对语料进行回指间隔距离等初步研究的基础上,本文提出了两个概念:突显性阶列(Prominence Hierarchy)和宏观联系性(Macro-Connectivity)。突显性阶列是由先行词和零形代词各自的位置所组成的。语篇指称实体所在的位置表明其突显程度,因此直接跟回指所采用的形式以及零形回指的确认有关。经过统计,作者发现了以下的突显阶列:Subject-Subject>Object-Subject>Subject-Object/Modifier of the Subject-Subject>Topic-Subject/Object-Object>Nominal in the existential/presentative sentence-Subject.宏观联系性反映了领地之间的联系性,包括领地内和领地间的宏观联系性(intra-dominion macro-connectivity & inter-dominion macro-connectivity)。在汉语语篇中,宾语从句前的主要动词往往将其影响投射到包孕句(embedding clause)之后的小句。这些被投射的小句与宾语从句一起组成内含领地(embedded dominion)。单独的宾语从句不构成内含领地。领地间的宏观联系性包括两种,一类是在两个指称对象相同的领地之间插入另外一个领地,其指称对象不与这两个领地同。依据这两个指称对象相同的领地之间联系性的强弱,其中第二个领地的指称点采取不同的回指形式。零形回指只出现在联系比较紧密的情况下。领地间的宏观联系性中的第二类指的是小句层面上各个领地之间的联系性,或称为关系(relations)。这些关系在汉语和英语中都有。零形回指的语句中,新信息基本来源于谓项。这些关系是谓项提供的信息的一部分。谓项提供的另外一些信息则指导读者在阅读过程中建立对应于语篇的情景模型。谓项信息构成的语义关系和情景模型都有助于零形回指的确认。基于对突显阶列和宏观联系性的充分研究,本文提出了三条回指确认原则(recovery principle),并且对另外八本小说各取前40页进行研究,有效确认了发现的2234例零形回指中的2231例,有效率达99.87%。由此可见,本文不仅将熊学亮(1998,1999)的零形回指研究继续推进到汉语语篇第三人称零形回指的认知研究,而且还提出了可行的回指确认方案,为计算机处理零形回指提供了参考方案。

论文目录

  • 摘要
  • Abstract
  • Chapter 1 Introduction
  • 1.1 The definition of zero anaphora
  • 1.2 Literature review
  • 1.2.1 The syntactic perspective
  • 1.2.2 The pragmatic approach
  • 1.2.3 The discourse analysis approaches
  • 1.2.4 The cognitive approach
  • 1.3 Comments
  • 1.4 Basic Assumption and Methodology
  • 1.5 Organization of the dissertation
  • Chapter 2 A Cognitive Perspective
  • 2.1 Preliminary
  • 2.1.1 Profile and base
  • 2.1.2 Figure and ground
  • 2.2 Langacker's point of view on anaphora
  • 2.2.1 Reference point model
  • 2.2.2 Nominal elements in Langacker's reference point model
  • 2.2.3 "Topic" in Langacker's reference point model
  • 2.2.4 CG on discourse: the Current discourse space (CDS)
  • 2.2.5 Interpreting anaphora in the framework of CDS
  • 2.3 van Hoek's Reference Point Model
  • 2.3.1 Prominence
  • 2.3.2 Linear order
  • 2.3.3 Connectivity
  • 2.3.3.1 Tight Connectivity
  • 2.3.3.2 Non-Connectivity
  • 2.3.3.3 Loose Connectivity
  • 2.4 Summary
  • Chapter 3 Data Collection and Preliminary Analysis
  • 3.1 Preliminary
  • 3.2 Source of materials and criteria of data collection
  • 3.3 Basic unit in analysis
  • 3.4 Basic statistics
  • 3.4.1 Referential distance and zero anaphors
  • 3.4.2 Dominion and reference point in Chinese discourse
  • 3.4.2.1 Dominion
  • 3.4.2.2 Reference point
  • 3.4.2.3 Reference point and dominion in discourse
  • 3.5 Other findings
  • 3.6 Summary
  • Chapter 4 Prominence Hierarchy
  • 4.1 Preliminary
  • 4.2 Positions of the antecedent
  • 4.2.1 Subject
  • 4.2.2 Object
  • 4.2.3 Nominals in the existental/ presentative sentence
  • 4.2.4 Modifier of the subject
  • 4.2.5 Topic/subject in the double-subject construction
  • 4.3 Positions of the zero anaphor
  • 4.4 Prominence hierarchy
  • 4.5 Summary
  • Chapter 5 Macro-Connectivity
  • 5.1 Preliminary
  • 5.2 Intra-dominion macro-connectivity
  • 5.3 Inter-dominion macro-connectivity
  • 5.3.1 Type 1
  • 5.3.2 Type 2
  • 5.4 Psychological mechanism of the Macro-Connectivity
  • 5.5 Summery
  • Chapter 6 Resolving zero anaphora in Chinese discourse
  • 6.1 Recovery Principles
  • 6.2 Testing the Recovery Principles
  • 6.3 Summery
  • Chapter 7 Conclusion
  • 7.1 Achievements
  • 7.2 Limitations and Suggestions for Future Research
  • Bibliography I
  • Bibliography II
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    汉语零形回指的认知研究
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