Chapter 6 Functional Syntax第六章功能语法

Chapter6FunctionalSyntax

（功能句法）November2010contentsVilem

MathesiusFrantišek

DanešMicheal

HallidayVilem

Mathesius(1882-1945)Oneoffoundingmembersandlife-longchairmanofthePragueLinguisticCircleHisfunctionalideasonsyntaxisseeninhispublication‘AFunctionalAnalysisofPresentDayEnglishonaGeneralLinguisticBasis’(1975).Mathesius’ideasofSubjectPredication(述谓)ObjectSubject-predicaterelationsObject-predicaterelationsFunctionalsentenceperspectiveSixaspects6.1.1SubjectfunctionofsubjectIdeasofSubject:selectionprincipleofsubject(1)FunctionofSubjectInhistory,subject(=theme)expressedtheagent（施动者）ofactionofverbs.But,inpresentdayEnglish,subjectmaybethenon-agenttheme,butpatient（受事者）:Theblacksmithforgedthehorseshoe.

agent/subject/themeThehorseshoewasforgedbyblacksmith.

patient/subject/themeagentSubject=theme;subject≠agent

inEnglishInCzechlanguage,subjectstillexpressesthefunctionofagent.InEnglish,subjectacquiresthematicfunction,butnottheagentofaction,functionofthemeisemphasized.Thefunctionofexpressingtheagentoftheactionhasbeenweakened.Note:AccordingtoHalliday’sthemetheory,subjectmaynotbetheme.(2)Subject:animateorinanimate?

(achoice)Subjectmaybeanimate(person)orinanimate(non-person).MathesiusthoughtEnglishtendstochoose

sth

concreteassubject,especiallyperson.E.g.Ifeelcold.C.f.Mir

ist

kalt.(Tomeiscold)6.1.2Predication(述谓)4typesofpredication(Mathesius)ActionalQualifyingExistentialpossessive(1)ActionalpredicationMathesius’sapproach:fromformalandsemanticFormalperspective:whatmanneristheactionalpredicationisexpressed?Usually,theyaretwowaysinEnglish:Thefiniteverbform:toverbTheverbo-nominalpredication:verb+noun(=averbinCzech)Theverbo-nominalpredicationTheformsofverbo-nominalpredicationcanbedividedinto2categories:1)agentorpatient+action(mergedintoasyntheticexpression)=subject:E.g.Therewasasteadycomingandgoingofhisauntsanduncles.2)The2ndcategoryisfurtherdividedinto4subtypes:possessiveCausative（使役的）AdverbialadjectivalIhave

awasheveryday.(possessive)Youshalldotheshoppingand...(causative)Theyarecriticalofthenewmove.(adjectival)Actionisexpressedbyanoun(washing,shopping)oradjective(critical).Verb’sfunction:jointhesubjectandaction.Action=Iwash...Action=youperformshopping...action=theycriticize...SemanticPerspective:thesemanticclassificationofactionalpredication:Active:causality,perceptivity

Hemadehercry.(action:causality)Passive:1)be+ed;2)qualifying;3)adverbial;4)possessive;5)perceptiveTheshipsareunderconstruction.(passive:adverbial)(seeP232-233,16-24)(2)Qualifyingpredication(修饰述谓)

=copulative(系动词)be+noun(Heisadreamer.)be+adjectiveBe+adverboftime(3)Existentialpredication:there-construction(4)Possessivepredication:possessorandthethingpossessed6.1.3ObjectOfaccusativetype(受格/宾格):Ofthedativetype（与格/间接宾语）Ofthegenitivetype（生格/所有格）OthertypesObjectofaccusativetype

(受格/宾格):3sub-types:affectedobject;createdobject;temporaryobjectTocorrecthomework(verb‘correct’affectstheobject‘homework’,whichexistsbeforethestartingoftheaction)Tobuildahouse(theactionoftheverb‘build’resultsinthecreationofanobject‘house’)Toweeptears

(objectexpressesmerelythecontentoftheactionwithwhichitbothcomesintoexistenceandceasestoexist)The3sub-typesofaccusativetypeofobjectcanbefurtheragainsubdivided,seeP235-236.(2)Objectofthedativetype

（与格/间接宾语类型）Classification:Preposition‘to’（介词to宾语）:tobelongtoPositionaldative（位置宾语）:tofindsb.aseat,VariablePositionaldative(avariableofPositionaldative):togivesth.tosb.）

(3)Objectofthegenitivetype

（生格/所有格）Theobjectofthegenitivetype

isexpressedbytheconstructionwiththepreposition‘of’.Itistheformofanounornounphrasewhichusuallyshowsthatthenounornounphraseisinapossessiverelationwithanothernounornounphraseinasentence.Overthereisthehouse

ofthemayor.Myfather’scarthegenitivetype:figurativerelationHehasnevertasted

ofsuccess.(品尝成功)Hehasdrunkdeeplyof

flattery.（陶醉在恭维之中）More:thinkof,speakof,complainof,etc.Inthiskindofobjects,thegenitivemeaningislacking.Classificationofdoubleobjectofverb:

3models1.TogiveDative(与格/间接宾语)+Sb.(benefactee)Accusative(受格/宾格)Sth.(contentofaction)2.Dative+Genitive

(生格/所有格)TotellSb.(benefactee)Ofsth.(contentofaction)3.Accusative(受格/宾格)+GenitiveToaccuseSb.Ofsth.6.1.4Subject-predicaterelations3typesofsubject-predicaterelations(toMathesius):Performanceofanaction:Ilookedatthepicture.Sufferingofanaction:Iwasscolded.Experiencingofanaction:IsawhimonthestreetwhenIwentshopping.AgentandactionAffectecdbyactionExperiencingwhatisbeyondhispowerSemanticrelationbetweensubj.-predi.Constitutesascale(极阶）:

performing-experiencing-suffering

Hecontinuedhiswalk.(agent,performing)HereadsEnglishverywell.(agent,performing)Hefailedtocomeatthefixedhour.(agent,performing)Hecontinuedtobevisitedbyhisfriends.(neutrallyexperiencing)Thisbookreadsverywell.(goal)Hetriedtopersuadeherbuthefailed.(passivelyexperiencing)Subjectisagent,

verbisanintentionalactionSubjectisthegoal,contentofaction,orsubjectneutrallyorpassivelyexperiences

sth.Conclusion:

Semanticrelationbetweensubj.-predi.Englishverbscanpassfromonecategoryintoanotherwithoutanyformalchange.E.g.Continued-ContinuedReads–readsFailed-failed6.1.5Object-predicaterelations3types:Subjectiveverbs(=intransitiveverbs)Objectiveverbs(=transitiveverbs)Reflectiveverbs(1)Subjectiveverbs(=intransitiveverbs(2)Objectiveverbs(=transitiveverbs)

Asubjectiveverbexpressesanactionwhichiscompleteinitself:Isleptverywelllastnight.TheyarevisitinginBoston.c.f.Theyarevisiting

Bostonnow.Notes:Englishverbscanbeusedbothtransitivelyandintransitivelywithoutanyformalchange.c.f.CzechandChinesetoEnglish

(formandmeaning)Torun:vt.Tocausesthtorun,keepgoingRidit,经营，开动Torun:vi.TomovefasterthanwalkingBezet,跑DifferentwordsareusedinCzechandChinese.(SsdofurtherobservationsinChinese.)(3)ReflectiveverbsAverbusedtoimplythatthesubjectisdoingsomethingtohimselforherself.E.g.Theyhurtthemselves.Butthesamemeaningmaybeexpressedbytheverbonitsown:Iwasshaving.6.1.6Functionalsentenceperspective(FSP)功能句子观Formalpatterningofasentence:Subject+PredicateFunctionalpatterningofasentence:Theme+RhemeTheme+Rhemeisafunctionalanalysisofsentences.Sentenceisapproachedandexaminedasatoolofcommunication.MathesiusandhisFSPMathesiusbelieved:Majorityofsentencesconsistof2parts:Thebasis

ofutterance+nucleus

ofutterance

(vychodiste

vypovedi)+(jadro

vypovedi)Heusedthreetermsfirst:vychodiste(pointofdeparture),tema(Theme);zaklad(basis,foundation).Thenhedroppedthefirstone,kepttemaandzaklad.Later,thetwotermswerereplacedby

‘Theme’and‘Rheme’,introducedbyFirbasin1057.PatterningofasentenceToMathesius,sentenceispatternedina‘theme+rheme’twopartsfromfunctionalview,itisdeterminedbythefunctionofsentence.Heused‘akktuani

cleneni

vetne’(actualsentencedivision句子实义切分),thenreplaceditwith‘functionalsentenceperspective’.‘theme+rheme’arrangement1)theaddresserstartsfromwhatisknowntowhatisnew.(theorderingconformstoourcognitiveprocedure,usuallyusedinunemotionalnarration—‘objectorder’客观顺序)2)theaddresserstartsfromwhatisnew,toadditionalknownelements(theorderingisusuallyusedinemotionalnarration—‘subjectiveorder’主观顺序)Mathesiusthought:themeandrhemebelongtofunctionalanalysisofthesentence;Subjectandpredicatebelongtoformalanalysisofthesentence.Comparison:Subject,agentandthemeCzech:English:Chinese:Tatinek(T)//napsal

tenhle

dopis(R).Tenhle

dopis

napsel(T)//tatinek(R).Father(T)//wrotethisletter(R).*Thisletterwrote(T)//father(R).Thisletter(R)//waswrittenbyfather.父亲(T)//写了这封信(R)。*这封信写好了(T)//父亲(R)。这封信(T)//写好了(R)。捷克语的词序弹性较大，‘信’可以做主语施动者和主位，英语的主语可以不是施动者，而是受动者；主语与主位常常一致。汉语的‘信’可以做主语施动者。SummaryMathesius’theoryischaracterizedas:Theprincipleoffunctionalapproach(use‘functionalsentenceperspective’toseesentencestructure)Theprincipleofsynchronicapproach(组合法原则):theme+rheme

→sentence.Theprincipleofcontrastiveapproach:‘Czech’iscomparedto‘English’.6.2František

Daneš(1919-)ImportantCzechlinguistofthepresent-dayPragueSchoolHeiswell-knownforhis‘three-levelapproachtosyntax’,apaperpublishedin1964.6.2.1Daneš’

‘Athree-levelapproachtosyntax’:

basis:logicrelationGrammaticalrelationandsemanticrelationaretwodifferentconcept.E.g.Johniseasytoplease.Grammaticalsubj./logicalobject/patientofaction‘please’Johniseagertoplease.Grammaticalsubj./logicalsubject/agentofaction‘please’Note:‘Subject’or‘object’isagrammaticalconcept.Logicalobject,orlogicalsubject,‘agent’or‘patient’aresemanticconcept.ToChomsky,thetwostructuresarethesame.Hefailedtodistinguishthem(toDanes).ThreelevelsofsyntaxproposedLevel1:grammaticallevel:basedonsyntacticform,thegrammaticalcategoriesare:subject,object,predicate,etc.Level2:semanticlevel:basedonthegeneralizationsofconcretelexicalmeanings(从具体词汇意义中的抽象概括）.Thegeneralizationsareabstractcategories:action,state,agent,patient,etc.Level3:theorganizationallevel:akindofpatternwhichcanbefilledinwithwords.Thissentencepatternisrealizedthroughconcreteutteranceinrealcommunication.

3-leveltheoryhaditsinfluence:onHalliday(his3metafunctions);onDick(3layersoffunctionalnotions)6.2.2sentencepatternsandpredicateclasses:GSP,SSP,CSP3assumptions:Sentenceasaunitofgrammaticalsystemisdistinctfromitasaminimalutteranceofatext.Constructionofsentenceisbasedonpredication,unitsareorganizedintomutualrelationsbyapredicate(verb).Thestructureofsentencetypesmaybebestperformedintermsofsentencepattern.GSP,SSP,CSP:correlationpatternThestructureofsentencemaybedescribedbythecorrelationofaformalgrammaticalsentencepattern(GSP句子语法模式)andasemanticsentencepattern(SSP句子语义模式).SuchacorrelationofpatternsiscalledasComplexsentencepattern(CSP句子模式复合体).Daneš：句子结构依靠语法、语义和句型关联起来，我们从这三个方面对句子结构进行描述。e.g.

Thefarmerkilledaduckling.NVF

(finiteverb)NAgentActionPatient

↓↓↓↓CSP:N/Agent←

VF/Action

→N/Patient

(Finiteverbisthe

centreoforganization)Grammaticallevel:GSPSemanticlevel:SSP:(Finiteverbdominatesthenumberandroleofparticipants.)Problem:N←VF→N(=SVO)patterncan’tdescribethethreekindsofsemanticsentencepattern(SSP),whichHallidayrepresentsitinhisthreemetafunctiontheory:(seetextbook80-82,P250)So,GSPhasapolysemouscharacter（多义特征）.polysemouscharacterofGSPThepolysemouscharacterofGSPisshowninthat:thesameGSPmayrepresentdifferentSSP(semanticsentencepatterns).1GSP(SVO)vs

3SSPThefarmerkilledaduckling.

SSP1:actor–materialprocess–goalThemilkcontainswater.SSP2:possessor–relationalprocess–possessedFatherhateslie.SSP3:sensor–mentalprocess-phenomenonSynonymyofGSPSynonymyofGSPisrepresentedintheidenticallexicalitemsandidenticalrolesofparticipants.Thefarmerkilledtheduckling.Theducklingwaskilledbythefarmer.The2Agents:Thefarmer;thefarmerThe2Patients:theduckling;TheducklingThesemanticdifferencebetweenthetwostructurescanberevealedthroughphonologicalmeans:intonation(fallingstressesonduckling;farmer).Sameword,sameroleMichaelHalliday(1925-)AsaBritishlinguist,HallidayisthemostimportantrepresentativeoftheSystemic-FunctionalSchool.Heiswell-knownforhisideathatlanguagehasthreemetafunctions:Ideational,interpersonal,textual.Ideational,interpersonal,textualIdeationalfunction:languagerepresentspatternofexperienceoftheworld.Itenableshumanbeings“tobuildamentalpictureofreality,tomakesenseoftheirexperienceofwhatgoesonaroundthemandinsidethem”.Heusesthetermof“transitivity”（及物性）todescribethisfunction.Systemof“transitivity”

（及物性系统）“transitivity”specifiesthedifferenttypesofprocessesthatarerecognizedinthelanguage.Thesemanticframeworkforprocessesconsistsof3parts:Process,participants,circumstanceTherearesixtypesofprocesses:Material,mental,relational,behavioural,verbal,existentialTransitivity(systemconstruestheworldofexperienceintoamanageablesetofprocess)Materialprocess(externalworld)Mentalprocess(innerexperience)Relationalprocess(classifying&identifying)Behaviouralprocess(manifestationsofinnerworkings)Verbalprocess(sayingandmeaning)Existentialprocess(phenomenaofallkindsaresimplyrecognizedto‘be’—toexistortohappen)MaterialProcessRepresentstheexperienceofexternalworld.E.g.Thelionsprang.Thelioncaughtthetourist.(actorprocessgoal)2participants:thelion;thetourist1stparticipantdoesthedeed,thuscalledactor;2ndparticipantisalsocalled‘goal’.Implication:theliondidsomething.Mentalprocess（心理过程）Mentalprocessconsistsof2participants:senserandphenomenon.Itscategorytypesarethree:processofperception(seeing,hearing);ofaffection(liking,fear);ofcognition(thinking,knowing,understandingetc).E.g.Iheardhimcoming.Ibelieveyou.(senserprocessphenomenon)

Relationalprocess（关系过程）Itisaprocessof‘being’,‘sthis....’thereare3types:intensive集约式,circumstantial,possessive.‘intensive’means“xisa”.Maryispretty.CarrierprocessattributeCircumstantial(环境式)

possessive(所属式)Circumstantialmeans:xisataTheclassoflinguisticsisonFriday.Possessivemeans:xhasaLilihasacar.Or,ThecarisLili’s.Eachofintensive,circumstantial,possessiveareintwomodes:attributive（属性）,identifying（识别）.Thedifferencebetweenthemisthat:identifyingclauseisreversible,theotherisnot.Tomisthechairman.(identifyingclause,intensive)Reversible:ThechairmanisTom.C.f.Liliispretty.Reversible?PrettyisLili?Behaviouralprocesses行为过程Theyareofphysiological

behaviour(生理行为):breathing,dreaming,smiling,coughing,andactionswhichreflectmentalstates:laugh,cry,gasp,etc.Typically,thiskindofprocesshasoneparticipant:thehumanbehaverWealllaughed.Hestared.BehaverprocessVerbalprocesses(言语过程)Theyareofsayingprocesses,consistingof3participants:sayer,receiver,verbiage.Hesaid.Heaskedmesomequestions.SayerprocessreceiververbiageExistentialprocesses(存在过程)Itisaprocessrepresentingsthexistsorhappens.Thereisonlyoneparticipant:existentMaybethereis

someotherdarkerpattern.

processexistentExistentialprocessisrelatedtomaterialprocessesofthe‘happen’type.Maybesomeotherdarkerpatternexists.actorprocessof

material6.3.2participants参与者Participantsineachtypeofprocesses:Material:actor,goalMental:senser,phenomenonRelational:carrier,attribute,identified,identifierBehavioural:behaverVerbal:sayer,receiver,verbiageExistential:existentOtherparticipantsBeneficiary受益者(=indirectobjectintraditionalterm):itcanappearwithallprocesstypesexceptexistentialprocesses.=recipientorclientinmaterialprocess=receiverinverbalprocessIboughtthemcomputergameslastyear.actor-process-beneficiary/client-goalHegaveabooktome.Actor-process-goal-beneficiary

Ssdo