柴同文

(中國石油大學,北京,102249)

1. 引言

韓禮德(Halliday 1985,1994;Halliday & Matthiessen 2004)的及物性系統(tǒng)(Transitivity)把人類經(jīng)驗識解成六個過程類型:物質(Material)、心理(Mental)、關系(Relational)、言語(Verbal)、行為(Behavioural)和存在(Existential)①。每個過程都有自己的語義配置方式。例如,

(1) The lion [動作者]caught[過程:物質] the tourist [目標].

(2) Mary [感知者]liked[過程:心理] the gift [現(xiàn)象].

從語法(即識解)的角度來看,韓禮德的分類堪稱經(jīng)典,因為他把紛繁復雜的人類經(jīng)驗高度抽象并概括為有限的幾個過程類型,從而使我們通過意義(這里指詞匯-語法)識解經(jīng)驗變得簡單可行(試比較:Quirketal. 1985;Lock 1996;Taylor 2002;Dirven & Verspoor 2004)。例如,要表達“第五天他們到達了山頂”這一意義,說話人或作者既可以選擇物質過程,如(3a),也可以選擇心理過程,如(3b),完全取決于說話人的交際意圖和語境。

(3) a. On the fifth day they arrived at the summit.

b. The fifth day saw them at the summit. (Halliday 1994: 344)

但是,從語義(即編碼)的角度來看,韓禮德對過程的分類還值得商榷。因為,在我們(彭宣維2003,2010;柴同文2010a)看來,物質過程和心理過程均可以還原為物質(外部)和心理(內部)兩種經(jīng)驗域。相反,其他過程則無法向上一層經(jīng)驗域還原,或者還原得不夠徹底。例如,一部分關系過程可以還原為物質經(jīng)驗域,而另一部分可以還原為心理經(jīng)驗域(Halliday & Matthiessen 2004:120-212)。試比較:

(4) a. My name is Alice.

b. She is in the dining room.

c. Emily has a piano

(5) a. She is happy.

b. It seems encouraging.

c. His behavior is amusing (to her)

2. SFG及物性系統(tǒng)新模式

對于過程與經(jīng)驗域之間的矛盾,彭宣維(2010:131)提出了自己的看法。他認為,上述問題的出現(xiàn)主要是因為經(jīng)典及物性理論②“沒能把編碼前不成形的經(jīng)驗域和編碼本身的識解和表征區(qū)別開來”。換句話說,通常意義上的經(jīng)驗還處于一種抽象的“前語法化”階段(Palmer 1964:130;另見Halliday 1966/1976:98),還是一種零散混沌的東西,因而并無形式可言;只有通過某些表征手段,才能使之成為可識別的經(jīng)驗知識,從而表現(xiàn)為各種范疇,進而成為具有交際功能的命題或提議。因此,彭宣維(2005,2010)認為所謂的“關系”不應該是一個過程,而是一種構式化了的表征手段(structural representation),即構式(construction)。只有這樣,我們才能說“關系”過程是對“所有經(jīng)驗域”的識解(Halliday & Matthiessen 2004:214)。依據(jù)這一思路,彭宣維(2005,2010)提出了及物性研究的新思路。

首先,他沿用了韓禮德的物質、心理經(jīng)驗二分法③,但把物質經(jīng)驗進一步分成了物理(physical)、生理(physiological)和社會(societal)三個次類。物理經(jīng)驗指的是人類對客觀世界里非生命體(non-animate)的經(jīng)驗表征,如the sun rises in the east and sets in the west。與物理經(jīng)驗不同,生理經(jīng)驗和社會經(jīng)驗所關涉的是有生命體(animate)的行為、活動或狀態(tài)。前者側重于個體活動,如thebirdflewaway,后者具有一定的社會性和交互性(interactive),例如,my parents always praised me when I did well at school。

其次,他從眾多的語言實例中識別出兩種典型的表征方式:關系(relational)和作為(operational)?！瓣P系”表征方式仍然遵從韓禮德模式:包孕型(intensive)、屬有型(possessive)和環(huán)境型(circumstantial)(Halliday 1985,1994;Halliday & Matthiessen 2004)?！白鳛椤北碚鞣绞浇栌昧薞endler(1957)的分類模式:活動、完結、達成和狀態(tài)(見主持人語)④。這樣,以“物質”和“心理”兩種經(jīng)驗域為縱坐標,以“作為”和“關系”為橫坐標,就可以生成四個新的過程類型:物質-作為、物質-關系、心理-作為和心理-關系。

3. 對存在過程的重新審視

在經(jīng)典及物性理論中,韓禮德將存在過程看作是一種次要類型,“位于物質過程和關系過程的交界處”,表征的是“事物的存在或發(fā)生”(Halliday 1994:107),屬于物質經(jīng)驗的范疇。請看下例:

(6) a. There is a dog in the garden.

b. There is a man at the door.

同關系過程一樣,存在過程也可以用來識解心理經(jīng)驗域(柴同文2008,2009,2010a,b)。例如:

(7) a. There was littleunderstandingof acoustics.

b. There is nodoubtabout the answer.

c. There stirred in his mind an oddfeelingofannoyancewith Roderick for having thus peremptorily enlisted his sympathies.⑤

基于此,我們認為存在過程應該與there be構式區(qū)分開來:前者是個語義范疇,后者是個語法范疇。兩者之間的關系如下圖所示:

圖1therebe構式的語義-語法特征

那么,為什么要做此區(qū)分呢？在回答這個問題之前,我們有必要先來回顧一下韓禮德的“擴展模式”(extended model,該術語是韓禮德與彭宣維私下交流時使用的)。該模式(Halliday 1995/2002:254-255)主張將“語言實例”(instance)從“語言系統(tǒng)”(system)中分離出來。具體說來,他用語義(semantics)、語法(lexicogrammar)、音系(phonology)來指稱語言的系統(tǒng),而用意義(meaning)、措辭(wording)和語音(sounding)來指稱語言的實例(另見Eggins 1994/2004:19)。這就形成了“實體化/層次化矩陣”(instantiation/stratification matrix)(Halliday 1995/2002:254)⑥。基于這一模式,彭宣維(2003)主張將經(jīng)典理論中的詞匯-語法層一分為二:語義范疇應該是語言的語義層,而語法范疇則屬于語法層。例如,在小句的概念元功能層面,可以將實例性的及物性意義和實例性的主語語法范疇區(qū)別開來。換句話說,在小句層面上,及物性是它的語義范疇,而相應的語法形式范疇是“主語構式”(subject construction):由主語和謂語兩部分構成(subject+predicate)⑦。請看下面的例子:

(8) a. He broke the window. [物質]

b. She likes the gift. [心理]

c. The cat is on the mat. [關系]

d. She laughed heartedly. [行為]

e. I said that you should keep quiet. [言語]

在這里,盡管各小句的過程類型不同,經(jīng)驗域也不同,但它們共享一個高度抽象的句法形式:“主語+定式操作語+述語+補語+狀語”,即主語構式(彭宣維2006)。

那么,存在過程的主語構式如何呢？且看下例:

(9) a. There is a fly in the soup.

b. Is there a fly in the soup?

c. There is a fly in the soup, isn’t there?

按照韓禮德的分析,例(9)中的主語應該是there,因為它和操作詞is一起構成了該小句的語氣:主語在前,操作詞在后,小句選擇直陳語氣;操作詞在前,主語在后,小句選擇疑問語氣。但這里有兩個問題,第一,本例中的there并不承擔任何經(jīng)驗意義(Halliday & Matthiessen 2004:257);第二,做主語的通常是一個名詞(詞組)或者代詞。顯然,there不符合主語的條件。這樣一來,勢必要求小句的其他成分來充當主語。那么,誰能成為小句的主語呢？通常情況下,我們可以通過兩條規(guī)則來判斷小句的主語:(1)作主語的名詞詞組與操作詞之間有“數(shù)”的一致關系;(2)主語在附加疑問句中以代詞的形式出現(xiàn)。試比較:

(10) a. There are five boys in the class.

b. There are five boys in the class, aren’t there?

依據(jù)第一條規(guī)則,five boys應該是主語;依據(jù)第二條規(guī)則,there應該是主語。綜合考察上述兩條規(guī)則,我們(彭宣維2003;柴同文2010a)認為there be構式中的主語應該是位于動詞之后的那個名詞詞組,而非there,后者只是一個語氣“互動成分”(彭宣維2003),它所承載的只有人際意義和語篇意義,沒有概念意義。另外,教學語法的有關知識也告訴我們,there be構式一直被看做是英語的基本句型之一(Bolinger 1981;Quirketal. 1985;Biberetal. 2000;Huddleston & Pullum 2002)。

據(jù)此,經(jīng)典功能語法理論中所說的“及物性”其實是一個經(jīng)過詞匯-語法手段識解或構式化了的經(jīng)驗意義范疇,而“主語”及其相應的構式關系,即“主語構式”應該是一個經(jīng)驗性的措辭(wording)范疇,二者之間的關系是“及物性→主語構式”(彭宣維2003)。依此,經(jīng)典及物性系統(tǒng)中的存在過程也是個意義范疇,而對應的there be構式則是一種構式化了語法表征手段,是一種特殊的主語構式⑧。

4. there be構式的隱喻系統(tǒng)

至此,我們解決了經(jīng)典及物性理論中經(jīng)驗域與過程之間的矛盾關系,也從理論上界定了there be構式的本質特點。下文將在SFG及物性新模式框架下,詳細探討這一構式的語義特征,尤其是它的隱喻表征系統(tǒng)。

語料分析表明,典型的there be構式是表征“物質-關系”經(jīng)驗的,具體說來,應該是“物理-環(huán)境”過程(即xis ata)。但它可以隱喻識解“物質-作為”過程、“心理-作為”過程、“心理-關系”過程、以及“生理”和“社會”類“物質-關系”過程。換言之,“物質-作為”經(jīng)驗、“心理-作為”經(jīng)驗、“心理-關系”以及部分“物質-關系”經(jīng)驗均可以通過there be構式而得以重新識解(reconstrue),產生多種隱喻。如圖2所示。

圖2therebe構式的隱喻系統(tǒng)

4.1 there be構式識解“物質-關系”經(jīng)驗

總的說來,該類隱喻是表達“物理-環(huán)境”經(jīng)驗的there be構式(即xis ata)作為源范疇使用,被“映射”(mapping,見Lakoff & Johnson 1980/2003)或/和“整合”(blending,參見Fauconnier & Turner 2002)到“物質-關系”目標域上而產生的。根據(jù)表征方式,我們把它們分成了三類:包孕型,屬有類和環(huán)境類。每個類型都有自己的次類范疇。分別舉例說明如下。

先來看包孕型,主要有三種次類。

ⅰ. “物理-包孕”類

(11) a. There are three rooms available: one double, one single and a family room.

b. Three rooms are available: one double, one single and a family room.⑨

ⅱ. “生理-包孕”類

(12) a. [...] about his body there was a peculiar springiness, or resiliency, almost catlike.

b. It was springy, or resilient; it is almost like a cat.

ⅲ. “社會-包孕”類

(13) a. There is present in this hall today a number of people who are concerned with the future of Skelton.

b. A number of people are present in the hall today.

再來看“屬有”類“物質-關系”過程的隱喻識解,也有三種類型。

ⅳ. “物理-屬有”類

(14) a. For Fraser, there were model aeroplanes.

b. Fraser had model aeroplanes.

ⅴ. “生理-屬有”類

(15) a. For most birds, there is a distinct to build nests.

b. Most birds have a distinct to build nests.

ⅵ. “社會-屬有”類

(16) a. But there were so many choices in front of you.

b. Now, you have so many choices.

最后是“環(huán)境”類。共有兩種情況。

ⅶ. “生理-環(huán)境”類

(17) a. There were two other dogs on the ship.

b. Two other dogs were on the ship.

ⅷ. “社會-環(huán)境”類

(18) a. There were three ladies in the room and one gentleman.

b. Three ladies and one gentleman were in the room.

4.2 there be構式識解“物質-作為”經(jīng)驗

同樣,當表征“物理-環(huán)境”經(jīng)驗的there be一致式被作為源范疇使用,被映射或/和整合到“物質-作為”經(jīng)驗目標域時,也會產生語法隱喻。根據(jù)經(jīng)驗類型,我們將它們分成了三類:物理類、生理類和社會類。分別舉例說明如下。

先來看“物理-作為”類,主要有四種情況:

ⅰ. “物理-活動”類

(19) a. There was a strong wind blowing that day too, out of a dark, cloudy sky.

b. A strong wind was blowing that day too.

ⅱ. “物理-完結”類

(20) a. There was a change of climate here.

b. The climate has changed here.

ⅲ. “物理-達成”類(physical-achievement)

(21) a. Suddenly, there was an explosion.

b. Suddenly, something exploded.

ⅳ. “物理-狀態(tài)”類

(22) a. And in the latter of the garden there grows a very fine example of a Judas tree.

b. A very fine example Judas tree grows in the latter part of the garden.

再來看“生理-作為”類,主要有四種次類型:

ⅴ. “生理-活動”類

(23) a. There came a roar and a rumbling from behind us.

b. Some was roaring and rumbling from behind us.

ⅵ. “生理-完結”類

(24) a. There must have been an increase in the number of different kinds of animals and plants since the Precambrian.

b. The number of different kinds of animals and plants are increasing since the Precambrian.

ⅶ. “生理-達成”類

(25) a. There has been a death in his family.

b. Someone in his family has died.

ⅷ. “生理-狀態(tài)”類

(26) a. There lives a grass snake in a small pond.

b. A grass snake lives in a small pond.

最后是“社會-作為”類,也有四種情況:

ⅸ. “社會-活動”類

(27) a. And there was such a scuffling, and hugging, and kissing and crying, with the hysterical YOOPS of Miss Swarts.

b. People were scuffling, hugging, and kissing and crying with the hysterical YOOPS of Miss Swarts.

ⅹ. “社會-完結”類

(28) a. There has been unprecedented industrial expansion.

b. The industry has been expanded unprecedentedly.

ⅹⅰ. “社會-達成”類

(29) a. There has been a promise that prosperity will be permanent.

b. The government promised that the prosperity will be permanent.

ⅹⅱ. “社會-狀態(tài)”類

(30) a. At the end of the Boulevard there sits the enormous Catherine Palace, baroque and three times the size of the Alexander Palace.

b. The enormous Catherine Palace sits at the end of the Boulevard.

4.3 there be構式識解“心理-作為”經(jīng)驗

此類隱喻是將表征“物理-環(huán)境”經(jīng)驗的there be一致式(xis ata)當作源范疇使用,映射或/和整合到“心理-作為”經(jīng)驗目標域時產生的。從經(jīng)驗類型上來看,也有三種類型,每一類都有自己的次類范疇。先來看“情感-作為”類經(jīng)驗的隱喻識解,共有四種情況:

ⅰ. “情感-活動”類

(31) a. There was a cheer as Abuelo Freitas and Constance Richards stood up together.

b. The audience were cheering as Abuelo Freitas and Constance Richards stood up together.

ⅱ. “情感-完結”類

(32) a. While all this was hugely satisfactory, there was a longing for a winner from closer to home.

b. People were longing for a winner from closer to home.

ⅲ. “情感-達成”類

(33) a. There was a satisfaction about it.

b. I was satisfied with it.

ⅳ. “情感-狀態(tài)”類

(34) a. There is a fear that some of young people don’t want peace, at any price.

b. People usually fear that some of young people don’t want peace, at any price.

再來看“認知-作為”類經(jīng)驗的隱喻表征,共有四種情況:

ⅴ. “認知-活動”類

(35) a. However, there is still a lingering doubt about the justification for such a rise.

b. The experts are still doubting about the justification for such a rise.

ⅵ. “認知-完結”類

(36) a. There is always a recall of the gory accident in his life.

b. He always recalls that gory accident in his life.

ⅶ. “認知-達成”類

(37) a. Increasingly, then, there is a recognition that the products of education and business are the twin pillars...

b. People recognize that the products of education and business are the twin pillars...

ⅷ. “認知-狀態(tài)”類

(38) a. There is a widespread belief that when we are born we are like a blank sheet of paper on which life began to write.

b. Most people believe that when we are born we are like a blank sheet of paper on which life began to write.

最后是“感知-作為”類經(jīng)驗的隱喻識解,共有兩種情況:

ⅸ. “感知-完結”類

(39) a. There was watching enough, now.

b. They have watched it enough.

ⅹ. “感知-達成”類(perceptive-achievement)

(40) a. There was now appearing a sort of fourth estate of little red-and-white rough-cast villas.

b. Now, we saw a sort of fourth estate of little red-and-white rough-cast villas.

4.4 there be構式識解“心理-關系”經(jīng)驗

最后,there be構式還可以隱喻識解“心理-關系”過程及其次類。這是表征“物理-關系”經(jīng)驗的there be一致式xis ata被映射或/和整合到“心理-關系”目標域的結果。主要有以下三種類型:

ⅰ.“情感-包孕”類

(41) a. ... there are disappointments and frustration, but I find it fun!

b. Sometimes I felt disappointed and frustrated, but I find it fun!

ⅱ. “認知-包孕”類

(42) a. There’s a confidence in the people that heretofore wasn’t there.

b. People are confident that heretofore wasn’t there.

ⅲ. “感知-包孕”類

(43) a. There were houses in sight on the right.

b. On the right, many houses are in sight.

以上我們探討了there be構式的隱喻系統(tǒng),共涉及到了四個類型的33種隱喻類型,如圖3所示:

圖3therebe構式的隱喻系統(tǒng)

至此,我們得到了一個較為精密的關于經(jīng)驗意義與其相應形式范疇(即there be構式)之間的對應模式。還里有幾點說明。

首先,所有隱喻類型均屬于韓禮德的語法隱喻范疇,因為隱喻的目的都是通過擴展語義來識解人類經(jīng)驗。具體說來,there be構式涉及的所有隱喻都是在實例化,即從系統(tǒng)成分到實例性構式的生成過程中產生的。從根本上來說,那些已經(jīng)進入系統(tǒng)的隱喻也是從實例化過程中編碼過來的。

其次,所有隱喻都涉及到一個語義域重構為另一個語義域的問題。從認知的角度來看,所有隱喻都是“物質-關系”,具體說是“物理-環(huán)境”始源域(主要是包孕和屬有型)向“物質-關系”、“物質-作為”、“心理-作為”和“心理-關系”目標域及其次類范疇映射或/和整合的結果。

最后,所有隱喻都是以構式的形式體現(xiàn)出來。事實上,所謂there be構式中的隱喻,就是表達“物質-關系”經(jīng)驗的there be一致式(xis ata)被隱喻性地當作“物質-關系”構式(xisa,xhasa),“物質-作為”構式(xdoesa),“心理-作為”構式(xsensesa)以及“心理-關系”構式(xisb,xhasb)來使用,進而識解人類各種經(jīng)驗的。

5. 結語

本研究回顧和梳理了韓禮德的經(jīng)典及物性系統(tǒng),指出了過程類型與經(jīng)驗域之間的矛盾,重新界定了關系過程,將它看作是一種構式性的表征手段。進而詳細介紹了系統(tǒng)功能語法及物性研究的新模式,在此基礎上探討了英語存在過程的語義和語法特征,認為存在過程是個語義范疇,而對應的there be構式則是它的詞匯-語法體現(xiàn)形式,是一種語法化了的構式表征形式,一種特殊的主語構式。基于這一論斷,本文采用功能-認知研究方法,對這一語法構式所涉及的33種隱喻進行了詳細描寫和解釋。研究發(fā)現(xiàn),there be構式所引發(fā)的隱喻是從語義系統(tǒng)到語法構式的實例化過程中產生的,是物質-關系域對物質-作為、心理-作為以及心理-關系域的重構,屬于語法隱喻范疇,但具有認知屬性,以構式為基礎。

本文整合認知語言學中的構式語法理論和系統(tǒng)功能語言學的相關思想來解釋及物性系統(tǒng),主要是因為二者都是基于使用的語法模式,都從整體上分析語言構式,都強調形式與意義的一體性。這一做法的主要目的是從不同的角度來審視和考察及物性系統(tǒng),為隱喻研究提供新思路。但要實現(xiàn)功能與認知研究的真正結合,無疑還有很長的路要走。

附注

① 除了這里提到的六個過程以外,在“存在”過程與“物質”過程的交界處,還有一個和天氣有關的特殊過程范疇:氣象過程(Meteorological)。例如,it’sraining、thewindisblowing、there’sgoingtobeastorm等。

② 本文把韓禮德早期的理論模式(Halliday 1967-1968,1985,1994)稱之為“經(jīng)典理論”,以此與他的“語言擴展模式”(extended model,Halliday 1995/2002)相區(qū)別。

③ 新模式沿用韓禮德(Halliday 1985,1994)對心理經(jīng)驗的分類:感知(perceptive)、認知(cognitive)和情感(affective)。其中,情感范疇借用了馬丁(Martin & White 2005)的分類模式,即情感(emotive)和意愿(desiderative)。

④ 根據(jù)“體”(aspect)特征,即事件內部的時間特征,Vendler(1957)將動詞分成了四類:“活動”動詞、“完結”動詞、“達成”動詞和“狀態(tài)”動詞。其中,“活動”動詞表達的是“沒有自然終結點的持續(xù)性動作”,如walk、swim等;“完結”動詞用以指稱“有自然終結點的持續(xù)性動作”,如build a house、eat an apple等;“達成”動詞指稱的是“有自然終結點的瞬間動作”,如die、reach等;“狀態(tài)”動詞則用來指稱“具有持續(xù)性的靜止狀態(tài)“,如be tall、have a book等。將Vendler(1957)的動詞模式整合到系統(tǒng)功能語言學的及物性系統(tǒng)以后,我們發(fā)現(xiàn),動作類型(如doing、sensing、saying、being、having等)在時間維度上得到了具體化,這使得原本抽象的及物性系統(tǒng)變得更加精密了。例如,對于物質過程,我們可以把它分成四種類型來描述:(1)活動類,如acatwaswalkingalongthetopofthefence;(2)完結類,如shehadmadeachocolatecake;(3)達成類,如theyfinallyreachedthecoastafterfiveweekssailing;(4)狀態(tài)類,如hesmokeseveryday。

⑤ 本文部分例句來自作者(柴同文2010a)的博士論文“系統(tǒng)功能語法及物性新模式視角下的英語存在句構式的隱喻系統(tǒng)研究”。

⑥ 該矩陣包括三個單元:(1)系統(tǒng),包括文化、語義和詞匯-語法系統(tǒng)三個層次;(2)子系統(tǒng)/實例類別,包括制度/情景類別、語域/語篇類別三個層次;(3)實例,包括情景、“[語篇作為]意義”以及“[語篇作為]措辭”三個層次。從“系統(tǒng)”到“子系統(tǒng)/實例類別”再到“實例”就是“實例化”,從“語境”層到“語義”層再到“詞匯-語法”層,就是“層次化”。

⑦ 在經(jīng)典理論中,主語被看做是一個“人際”概念,因為它與限定詞一起構成了小句的語氣構式。但彭宣維(2002,2003,2006,2011)和彭宣維等(2007)認為韓禮德從命題和提議出發(fā),將主語分析為一個人際性語法次范疇的做法是不恰當?shù)?。原因在于命題和提議是一個同時具有概念性和人際性的復合概念,韓禮德只看到了人際性的一面,而忽略了其概念性一面,因而是經(jīng)不起推敲的。

⑧ 其他類型的主語構式還有“it-cleft”和“wh-cleft”分裂句等。相關分析,請見彭宣維(2003)。

⑨ 在隱喻實例分析中,我們提供了兩個小句,其中a句是隱喻性的there be小句,b句則是根據(jù)其意義特征還原而成的一致表達式。

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