自考英语语言学Chapter 4 Syntax

Chapter 4 Syntax句法学 一、本章纲要

Chapter 4 Syntax 1.Syntax as a system of rules 2. Sentence structure 2.1 The basic components of a sentence 2.2 Types of sentences 2.2.1 The simple sentence 2.2.2 The coordinate sentence 2.2.3 The complex sentence 2.3 The linear and hierarchical structures 2.3.1 The linear word order of a sentence 2.3.2 The hierarchical structure of a 2.3.3 Tree diagrams of sentence structure 3. Syntactic categories 3.1 Lexical categories 3.2 Phrasal categories 4. Grammatical relations 5. Combinational rules 5.1 Phrase structure rules 5.2 The recursiveness of phrase structure 5.3 X-bar theory 6. Syntactic movement and movement 6.1 NP- movement and WH- movement 6.2 Other types of movement 6.3 D-structure and S-structure 6.4 Move α—a general movement rule 7. Toward a theory of universal grammar 7.1 General principles of Universal 7.2 The parameters of Universal

二、本章重点

Syntax is a subfield of linguistics that studies the sentence structure of language. (2002，判断；2003名词解释；2007，4选择)

1. Syntax as a system rules句法规则系统

As a major component of grammar, syntax consists of a set of abstract rules that allow words to be combined with other words to form grammatical sentences.

A sentence is considered grammatical when it is in agreement with the grammatical knowledge in the mind of native speakers.

Universally found in the grammars of all human languages, syntactic rules comprise the system of internalized linguistic knowledge of a language speaker known as linguistic competence. (2005，33名词解释)

The syntactic rules of any language are finite in number, and yet there is no limit to the number of sentences native speakers of that language are able to produce and comprehend.

A major goal of linguistics is to show with a consistent and explicit grammatical theory how syntactic rules account for this grammatical knowledge. A theory of grammar must provide a complete characterization of linguistic utterances(言语)that speaker implicitly consider well-formed, or grammatical, sequences.

1）语言学中，句法学是和语音学，音系学，形态学，语义学等并列平行的次系统，主要是来分析研究语言的句子结构。句法是一个由一套数量有限的抽象规则组成的系统，这些抽象规则称为句法规则。根据句法规则，不同的单词组合在一起，产生符合语法性的句子。句法学的中心是研究句子的结构成分。

2）句子的语法性是指句子的合成必须符合操本族语者头脑中的语法知识。生成的句子必须符合语法性。

3）单词合成句子，单词和句法规则的数量是有限的，但借助抽象的句法规则，可以将单词合成数量无限的句子。一方面，说话者要想说出或理解符合语法性的句子，必须遵循句法规则；另一方面，说话者运用句法规则，可以表达或理解从未听说过的句子。

4）任何一种语言，其句法规则必须能够描述和解释为所有本族语者认为是规范的句子。

2. Sentence structure句子结构

2.1 The basic components of a sentence句子的基本组成

A sentence is a structurally independent unit that usually comprises a number of words to form a complete statement, question or command. Normally, a sentence consists of at least a subject (referring expression被指对象) and its predicate which contains a finite verb or a verb phrase. 句子是由一组单词合成的一个结构独立、完整的语法单位，可以用来进行陈述、提问、命令等。一般来说，句子至少要由主语和谓语构成。

主语是指句子中所被指称的对象，如人、物、事、处所、概念等。

谓语是指对句子中对主语进行表述或判断的部分。通常由限定动词或动词词组构成。谓语要受到人称、数、时态各语气的限制。

2.2 Types of sentences

句子的类型，句子可分为简单句、并列句和复合句三大类。

2.2.1 The simple sentence简单句

A simple sentence consists of a single clause which contains a subject and a predicate and stands alone as its own sentence. （2007填空）指一个句子中含有一个主语和一个谓语。

A clause that takes a subject and a finite verb, and at the same time stands structurally alone is known as a finite clause.（2006，14填空）当句子中只含有一个主语和一个限定动词，并且结构独立完整，这个句子又称为定式句。

The central element in a simple sentence, or in each clause, is the finite verb.

2.2.2 The coordinate sentence并列句

Contains two clauses joined by a linking word that is called coordinating conjunction, such as “and”, “but”, “or”. Two clauses are equal parts rather than being subordinate to the other. (2008，填空) 由连接词（或称并列连词）串联起来的两个句子。如and, but ,or等都是并列连词。

例如：I am reading a book, but he is playing.

并列句中的两个子句在结构上是平行同等的，不存在主属之分，各自在结构上是独立的。

2.2.3 The complex sentence复合句

A complex sentence contains two, or more, clauses, one of which is incorporated into the other. (2001,填空)

The incorporated or subordinate clause is normally called an embedded clause (子句), and the clause in which it is embedded is called a matrix clause (主句). （2004，判断；2005，14提阿空）由两个或两个以上的子句构成，各个子句在句中的结构地位不同，其中之一为主要子句即主句，其余为从属子句。

例如：(1) Mary told Jane [that John like linguistics]

（2）Mary saw [John reading a linguistics book]

通过以上可以看出：

1) Embedded clause functions as a grammatical unit in its matrix clause. Therefore, the relationship between the embedded clause and its matrix clause is one of a part to a whole. (2004，判断) 首先，从属子句是复合句中的一个语法单位。因此，从属子句与主句之间是部分与整体的关系。

2) most embedded clauses require an introductory word that is called a subordinator (引导词), such as that, if, before; 其次，多数的从属子句需要连接附属词将自身与主句相合起来，构成完整的句子。连接附属词不仅仅标志从属子句的起始，更为重要的是标志从属子句在主句中的语法功能。

3) an embedded clause may not function as a grammatical well-formed sentence if it stands independently as a simple sentence unless its form changes. 再者，一旦从属子句要作为简单句独立存在，其语法结构是不完整的，除非要进行适当的调整变换。

2.3 The linear and hierarchical structures of sentences句子的线性排列与层次结构

Language is a highly structured system of communication. Sentences are not formed by randomly(随意)combining lexical items, but by following a set of syntactic rules that arrange linguistic elements in a particular order to make a string of words not only meaningful but also linearly- and hierarchically--structured.(线形结构和层次结构) . 语言是高度结构化的系统，句子的组建不是一个随意性的过程，而要遵循一定的句法结构来构成有意义的语句单位。(2002，24判断)

2.3.1 The linear word order of a sentence (words in sentence one after another in a sequence) 句子的线性排列

当说出或写下一个句子，句中的词单位是按照线性排列在一起的；当听到或读出一个句子，也是按照线性一个词一个词地延展下去的。

例如：The student dislikes that boring lecture.

2.3.2 The hierarchical structure of a sentence句子的层次结构（2006，33名词解释）

Sentences are organized by grouping together words of the same syntactic category, such as noun phrase (NP) or verb phrase (VP). 表面来看，词在句子中的组合是按线型排列的，但并不表明句子的结构是线性的。实际上，句子结构的本质具有一种层次性。试对比下面对句子层次的划分。

a. The /student dislikes/ that boring /lecture. b. The student// dislikes/ that boring lecture.

上面每个句子都有两种层次不同的划分，对一个母语是英语的人来说，他会毫不犹豫地认为b句和d句的层次划分是可接受的。如进一步地对b句和d句进行分析研究，会发现这种结构层次划分不是随意的，而是遵循着一定的规则。

Hierarchical structure: the sentence structure that groups words into structural constituents and shows the syntactic categories of each structural constituent, such as NP and VP. 其实，也正是名词词组、动词词组等句法成份单位构成了句子的层次性结构。（2006，2008名词解释）

2.3.3 Tree diagrams of sentence structure句子结构树形图（问答题）

句法学家通常用“成分结构树形图”来揭示或表现句子的层次性结构请看下面图例：

这种“成分结构树形图”不仅可以揭示句子的线形关系，也能揭示句子的层次性。

同时，同一句子所含的不同层次结构，可用树形图来解释句子的多种含义。 例如：A. The old men and the women danced. B. Visiting relatives can be tiresome.

上面两句的层次结构是含糊不明确的，每句都可分别理解为：

A (1): The old men and the old women danced.

A (2): The old men and the women (who were not old) danced.

B (1): Relatives who are visiting can be tiresome. B (2): To visit relatives can be tiresome.

上面每句的两种不同理解可用“成分结构树形图”来清楚明了地区分。 A (1) The old men and the old women danced.

A (2) The old men and the women (who were not old) danced.

B(1) Relatives who are visiting can be tiresome.

B (2) To visit relatives can be tiresome.

3. Syntactic categories句法类型

所有的词都有某种词类属性即词性。词可分为主要词类和次要词类两种。

Apart from sentences (S) and clauses (C), a syntactic category usually refers to a word (called a lexical category) or a phrase (phrasal category) that performs a particular grammatical function, such as the subject in a sentence. Constituents that can be substituted for one another without loss of grammaticality belong to the same syntactic category. 句法类型多指词类型和词组类型，它们在句子中都起着语法功能，如作主语或宾语。而且，同属一个句法类型的词或词组在相互替换时不失句子的语法性。

3.1 Lexical categories词类型

(2005，24 判断； 2008单选) Words are organized into groups of lexical categories, commonly known as parts of speech (词类).

（2006，24判断）Major lexical categories are open categories in the sense that new words are constantly added, including 4 – noun, verb, adjective, and adverb. Minor lexical categories are closed ones as the number of lexical items are fixed and no new members are allowed for, including 6.

所有的词都有某种词类属性即词性。词可分为主要词类和次要词类两种。 1）主要词类又称开放词类，可以不断地出现新词。在英语，它们主要有四类：

名词（N）： student linguistics lecture 动词（V）： like red go 形容词（adj）： tall lovely red 副词（adv）： loudly constantly hard

2）次要词类又称闭合词类。这些词的数量一般来说是固定不变的，也不允许有新词加入。在英语中，它们主要有六类：

限定词(Det.)：the, a, this, his 助词(Aux)：can, will, do, be, have 介词(Prep)：in, at, to, on

代词(Pron)：he, she, us, mine 连词(Conj)：and, or, but, while 叹词(lnt)：oh, ah, eh

Phrasal categories词组类型

词类不同的词可以合成某一词组，在英语的句法分析中，常有四种词组类型，它们分别为： Four: NP, VP, PP (prepositional), AP (adjective). NP and VP, which are essential components of a sentence, form the two major syntactic categories, that is, the subject and the predicate of a sentence.

名词词组(NP)：a red brick, the beautiful lake 动词词组(VP)：sing a song, write in ink 介词词组(PP)：on the table, at the gate

形容词词组(AP)：very clever, quite able

词组是一个句法概念。它可以由一个或一个以上的词组成。无论哪一类词组，都必须含词组名称所表示的词，及名词词组必须含一个名词，动词词组必须含一个动词，介词词组必须含一个介词，形容词词组必须含一个形容词。名词词组和动词词组属句子中最主要的词组。

4. Grammatical relations语法关系

A distinction between the structural and logical functions relations of constituents called grammatical relations. It concerns the way each noun phrase in the sentence relates to the verb. (who does what do whom). Structural vs. logical subject, object. (2002，34名词解释) (**)语法关系是指句子中名词词组与动词的关系，其中涉及到主语和宾语的结构关系和逻辑关系。 从结构关系上看，英语句子中的主语往往出现在动词之前，宾语往往出现在动词不达意之后。这种置动词之前的主语叫作结构主语，置动词之后的宾语叫作结构宾语。结构主语和结构宾语只是句子的形式主语和形式宾语。

从逻辑关系上看，意义起了决定作用。真正意义上的主语和宾语才是句子的逻辑主语和逻辑宾语。逻辑主语指动作的执行者或发出者；逻辑宾语是动作的接受者。逻辑主语和逻辑宾语在句子中的位置并不是固定不变的，它们可能同形式主语（结构主语）与形式宾语（结构宾）位置相同，也可相异。

5. Combinational rules组合规则

5.1 Phrase structural rules短语结构规则

The combinational pattern in a linear formula may be called a phrase structural rule, or rewrite rule.（2001，3 选择） It allows us to better understand how words and phrases form sentences, and so on.

S → NP VP “()”means optional NP → (Det) (Adj) N (PP) (S) VP → V (NP) (PP) (S) AP → A (PP) (S) PP → P NP

一个句子是由一个名词词组和一个动词词组构成。

我们可以用线性公式“S NP VP”（“”读作“可重写为?”）对句子的组合模式加以重写。这种句法重写规则称为短语结构规则。这些规则是支配词的可能结合以形成具有不同语法范畴的短语的结构规则。

以名词短语为例，它可能存在以下的结合形式：如：

a. NP N：Clinton b. NP N: book

c. NP Det. N： a/the pen d. NP Det. Adj. N

a/the funny story

e. NP Adj. N：interesting plays

f. NP Det. N. S: the student who studies English g. NP Det. Adj. N PP：an old man with a stick

h. NP Det. Adj N PPS：the handsome boy with glasses that I like

为了使得名词短语结构规则简明扼要，且具有强大的阐释功能，我们把名词词组可能的结合形式浓缩成一条规则。由于各种形式的名词词组中必须包含一个名词，而其它成分是可选择的，所以这个规则可简化为：

NP (Det) (Adj) N(pp) (S)（括号内的成分是可选择的。） 相同的道理，动词词组、形容词词组和介词词组都可最终提取出一条可能的成分组合规则。概括如下：

S NP VP

NP （Det.） (Adj.) N (PP) (S) VP V （NP） （PP） （S） AP A （PP） （S） PP P NP

5.2 The recursiveness (循环性) of phrase structure rules短语结构规则的循环性

The recursiveness (循环性) of phrase structure rules can generate an indefinite number of sentences, and sentences with infinite length, due to their recursive properties. (2003,24判断；2006，10单选；2007，35名词解释)

根据短语结构规则，短语和句子可以无限循环地组合起来。任何一种语言其语法规则是有限的，词汇量再大也是有限度，然而句子的数量却可以是无限的，句子的长度也可以是无限的。例如：

一个介词词组可含有一个名词词组，而这个名词词组也可接另外一个介词词组,如： with his hands in his pockets

一个名词词组中可能有一个介词词组，而这个介词词组中也可以有另外一个名词词组。 a boy with his glasses on his desk

5.3 X-bar theory标杆理论

a. X” b. X’’ → Spec X’

X’ → X compl Spec X’ (specifier)

X Complement

(head)

Commonly known as the X-bar theory, this widely recognized and highly abstract X-bar schema is capable of reducing the redundancies of individual phrasal structure rules and may well capture certain basic properties shared by all phrasal categories across the languages of the world. 短语结构规则有一个共同点，即都有一个必须出现的词，如名词词组中的名词；动词词组中的动词；因此，可以把它们概括为核心词，每个词组结构也是以 核心词来命名的。这样，所有的短语结构规则可泛写为：XP?X?（X指核心词为名词，动词，形容词或介词中的任何一个；P指词组。） 同时也要注意，不同的短语结构规则中，还有一些可选择的成分。居于核心词（X）之前可称作指示语（specifier），其后的可称为补语（complement），上面的公式可进一步写为：

XP （spec） X （compl）

例如：

这一种最终高度抽象综合的短语结构规则称作X标杆规则。

X标杆法则也可用树状图或公式表示：

X标杆理论也可以用公式来表示:

x’’ x’

Spec x’ x Comp1

这种高度抽象综合的X标杆理论可减少各个具体短语结构规则的繁杂，揭示所有短语结构规则的本质属性，语言学家借此来描述和解释世界上各种语言的共同属性。

6. Syntactic movement and movement rules句法移位和移位规则

Syntactic movement occurs when a constituent in a sentence moves out of its original place to a new position, the sentence involving which cannot be described by phrase structure rules. It was governed by transformational rules, the operation of which may change the syntactic representation of a sentence (句法的表达方式). 短语结构规则是难以用来描述句法移位现象。当一个句子中的一个成分从其原位移向一个新的位置，就产生了句法移位。句法移位是遵循一定的转换规则的。

6.1 NP-movement and WH-movement名词词组移位和WH移位(2006，4单选)

NP-movement occurs when, for example, a sentence changes from the active voice to the passive voice (postpose, prepose).

WH-movement is obligatory in English. It changes a sentence from affirmative to interrogative. 这是英语中两个主要的句法移位。

名词词组从原先所处的位置移至另一位置的句法现象叫作名词词组移位。请看下面一组例子:

A. The teacher taught the student. B. The student was taught by the teacher.

一般认为B句是A句执行名词短语移位的结果。在主动语态句中充当主语的名词词组和充当宾语的名词词组可以逆向移位，使句子转换成被动语态。

另一种常见的移位现象叫作WH-移位，即带WH词的成分从在句子中所处的原位移至另一位置。英语中WH词移至句首是将陈述句转变为特殊疑问句的必要条件。例如： A. He bought the book from the bookstore yesterday.

a:. What did he buy from the bookstore yesterday? b. Where did he buy the book yesterday?

c. When did he buy the book from the bookstore?

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