ChapterFour

SyntaxTheStudyofSentence第一頁，共93頁。TeachingObjectiveCriticalThinkingPresentandSolveProblemsUnderstandMacroscopicallyStudyofsentencefromdifferentperspectivesUnderstandMicroscopicallyChomsky:Generativeapproach第二頁，共93頁。第四章句法學(fǎxué)句子是由什么構成的？人們(rénmen)是如何產生和理解句子的？句子在語法系統中處于什么樣的地位？構成句子的成分（如，短語、詞）是如何構成的？不同的句子類型是如何產生的？以上問題是否可以通過形式分析來描述？是否可以用一些普遍的規則概括句子的結構？形式主義對句子結構描述：簡單的操作、雅致的描寫、嚴格、清晰的邏輯。第三頁，共93頁。Syntaxreferstothestudyoftherulesgoverningthewaywordsarecombined

toformsentencesinalanguageorsimply,thestudyoftheformationofsentences.Moreversions,

第四頁，共93頁。Syntaxisthestudyoftherulesgoverningthewaysdifferentconstituentsarecombinedtoformsentencesinalanguage,orthestudyoftheinterrelationships

betweenelementsinsentencestructures.第五頁，共93頁。Whatis

syntax?Whatistherelationshipbetweensyntax,morphologyandphonology?第六頁，共93頁。ThewrittensystemoflanguageSentencesyntaxClausesyntaxPhrasesyntaxWordmorphology第七頁，共93頁。第八頁，共93頁。ExamplesI

think

that

that

that

that

that

student

wrote

on

the

blackboard

was

wrong.

Imetaman(whohadason(whosewifesoldcookies(thatshehadbakedinherkitchen(thatwasfullyequippedwithelectricalappliances(thatwerenew).))))

第九頁，共93頁。Ithink(that

that

that[that

thatstudentwroteontheblackboard]iswrong).第十頁，共93頁。Approaches

tothestudyofsentencesThetraditionalapproachThestructuralapproachThegenerativeapproachThefunctionalapproach第十一頁，共93頁。

SentenceRule-governedsentenceformation

TraditionalapproachWord

Structuralapproach

Generativeapproach

Functionalapproach第十二頁，共93頁。Thetraditionalapproachtakesasentenceas(1)(句子(jùzi)觀)asequenceofwords.(2)(研究視角)Itstudiessentenceformationbystudyingwordsintermsofcategories（范疇）andtheirinterrelationships.

Traditionalapproach

數、性、格、時、體、態一致(yīzhì)、支配第十三頁，共93頁。Sentence:traditionalapproach

simpleSentence complex復合句

non-simple compound并列句第十四頁，共93頁。

Thestructuralapproachregardlinguisticunitsasinterrelatedwitheachotherinastructure(system),notasisolatedbits.Thisapproachtogrammar,basedonSaussure’sideasoflanguage,studiestheinterrelationshipsbetweenwords.

Structuralapproach橫組合(zǔhé)、縱聚合

AsentenceHasa

linear

structure,hierarchical

structure直接(zhíjiē)成分分析法第十五頁，共93頁。Generativeapproachismainlyreferredtotransformational-generativegrammar(TG轉換生成(shēnɡchénɡ)語法)proposedbyNoamChomsky.Chomskyproposesthatthegrammarsofallhumanlanguagesshareacommonframework.

Generativeapproach深層結構(jiégòu)表層結構轉換規則第十六頁，共93頁。JanevisitedJohn’sbrother’swife’smother’sfather’scousin’sfriend’sstore.SNPVP(V+NP)第十七頁，共93頁。

Afunctionalapproachoffersanalternativetostructuralism(formalism)Languagecannotbedescribedwithoutexaminingitsfunction.

Systemic-functionalapproachstartsfromclauseandextendsitselftodiscourse.Itinvolveswhatlanguagecanshow(ideationalfunction),whatkindofrelationcanitestablish(interpersonalfunction),andinwhatway(textualfunction).

Functionalapproach第十八頁，共93頁。Functionalsentenceperspectivedenotestheanalysisofasentenceinrespecttoitscommunicativefunction.Thebasisofthesentenceisknowninformation,calledthetheme(topic,given),whilethatwhichissaidabouttheknowninformationisconsideredtobetherheme(comment,new).第十九頁，共93頁。Sentence:functionalapproach

Yes/noInterrogativeIndicativewh-DeclarativeSentence

Imperative

第二十頁，共93頁。AnalysisofgenerativeapproachChaptercontentsThegirlateanapple.4.2howtodefineeachwordinthesentence?4.5Howisthesentenceformed?4.3,4.4Howtodescribethephrasesinvolved?第二十一頁，共93頁。ArevisedoutlineforChapter4

4.2Wordcategories（word-formationrules[morphology]）4.3&4.4Phrasecategoriesphrase-formationrules(4.3)Phraseelements(4.4)4.5&4.6SentencecategoriesSentence-formationrules(4.6)第二十二頁，共93頁。4.2WordCategories（范疇(fànchóu)）Categoryreferstoagroupoflinguisticitemswhichfulfillthesameorsimilarfunctionsinaparticularlanguagesuchasasentence,anounphraseoraverb.第二十三頁，共93頁。4.2.1

Word-level(Lexical)categories

Major

English

lexical

categories實義語類Noun

(N)

student,lecture,JohnVerb

(V):

like,read,goAdjective

(Adj):

tall,lovely,redPreposition(P)about,over,on第二十四頁，共93頁。Englishminorlexicalcategories功能(gōngnéng)語類Minor

English

lexical

categoriesDeterminer(Det):

the,a,this,thoseDegreewords:quite,very,more,soQualifier(Qul):often,always,seldom,almostAuxiliary

(Aux):

can,will,do,do,be,haveConjunction

(Conj):

and,or,butComplementizer(C):that,if,for,whether第二十五頁，共93頁。Thecriteriaonwhichcategoriesaredetermined(textbook,p.43-44)MeaningInflectionDistribution

Forexample,Thegirlateanapple.第二十六頁，共93頁。Summaryofcategory詞屬于不同的類別；傳統語法中稱為(chēnɡwéi)“詞性”(partofspeech)或“詞類”(wordclass),生成語法中多稱為(chēnɡwéi)句法類（syntacticcategory)或語法類（grammaticalcategory),簡稱語類(category)第二十七頁，共93頁。詞可劃分為十個語類：名詞、動詞、形容詞、副詞、介詞、限定詞、代詞(dàicí)、助動詞、標記詞和連詞。根據它們是否具有詞匯意義、是否屬于開放性語類，這些單詞語類又可分為兩大類：實義語類(contentcategory;contentive）和功能語類(functioncategory;functor)。實義語類在句中主要表示詞匯意義，基本都屬于開放性語類；功能語類主要表示語法功能，都屬于封閉類語類。第二十八頁，共93頁。4.3Phrasecategories

4.2.2Phrasestructure4.3PhrasestructureruleXPruleCoordinationrule4.4PhraseelementsSpecifiersComplementsModifiers第二十九頁，共93頁。PHRASEisasingleelementofstructurecontainingmorethanoneword,andlackingthesubject-predicatestructuretypicalofclauses.第三十頁，共93頁。ThephrasecategoriesThemajortypesofphrasesNPVPAPPP第三十一頁，共93頁。PhrasestructurerulePleasegroupthefollowingphrasesintocategories:thosepeoplefinishassignmentsthefishontheplatealwaysplaygamesontheshelfveryclosetoquitenearthestation(textbook,p.45)第三十二頁，共93頁。PhrasestructureruleNP(Det)+N+(PP)…e.g.thosepeople,thefishontheplate,prettygirls.VP(Qual)+V+(NP)…e.g.alwaysplaygames,finishassignments.AP(Deg)+A+(PP)…veryhandsome,verypessimistic,familiarwith,veryclosetoPP(Deg)+P+(NP)…ontheshelf,intheboat,quitenearthestation.(textbook,p.45)第三十三頁，共93頁。Istherearuletogeneralizeallthephrasestructures?第三十四頁，共93頁。Tobemoreabstract,XPruleamoreabstractbutsimplerformulas:XP(specifier)X(complement)第三十五頁，共93頁。Anythingwronginthefollowingsentences?Whichphraseruledoeseachofthefollowingsentencesinclude?

1.Helenputonherclothes,wearingherhatandwentout.2.Mymomboughtmeareddressandanewbagandanewphoneaspresent.3.Theboyismovingwithcarethehugestone.4.Iverymuchlikeyou.第三十六頁，共93頁。CoordinationruleCoordinationstructures-----thestructuresthatareformedbyjoiningtwoormoreelementsofthesametypewiththehelpofaconjunctionsuchasand,or,etc.E.g.,Thereare…,…and…Youmayhave…,…or…HowwillXPindicatestructuressuchas:Apples,orangesandbananas

第三十七頁，共93頁。Coordinationrule第三十八頁，共93頁。4.4phraseelements:revisedXPrule

HowwillXPrulesdescribemorecomplexphrasestructuressuchas:Mymomboughtmeanew…Therefore,morerevisionsoftherulebelow:第三十九頁，共93頁。ExpandedversionsofXPrule4.4.2(p.48)Howtoillustratephraseswithmorethanonecomplement?(textbook,p.47-49)Sendme

anemailPutit

onthewallComplement:TheXPrulerevisedXP(specifier)X(complement*)Complements,howevermanythereare,occurtotherightoftheheadinEnglish.第四十頁，共93頁。Howtoillustrateasentence-likecomplement?第四十一頁，共93頁。Complementizer+complementclause4.4.2Howtoillustrateasentence-likecomplement?E.g.,Iwasafraid

thatnobodywouldbelieveme.

Matrixclause[CP]CP=Complementizer+complementclause

Complementizercomplementclause第四十二頁，共93頁。4.4.3ModifiersA

verycharming

lady

atthecarexhibition

(Specifier)(modifier)head(complement)第四十三頁，共93頁。WhatisthepositionofmodifiersintheXPrulestructures?TheexpandedXPrule:XP(specifier)(Mod)X(complement*)(Mod)

Amodifiercanoccureitherbeforeorafterthehead.Wherethereisacomplement,amodifierthatoccursaftertheheadwilloccurtotherightofthecomplementaswell.E.g.,a

carefulgirl,readcarefully,read

abookcarefullyopenthecan

withcare第四十四頁，共93頁。Now,SrulesTherulesgoverningtheformationofsentencesTHESRULESNPVP第四十五頁，共93頁。4.5&4.6ThestructureofSentencesHowaredifferentsentencepatternsproduced?Whatisthedifferenceofthefollowingthreesentences?Henrywashappytohearit.Maryiseasytoteach.Theclothesareeasytowash.剩女產生(chǎnshēng)的原因：一是誰都看不上，二是誰都看不上在屋頂上發現了小王第四十六頁，共93頁。Atreediagramusedtolabelthephrasestructure樹形圖最為直觀，不僅(bùjǐn)顯示出句子的線性結構(linearrelationship)，而且清楚地表明其階層結構（hierarchicalstructure）上面(shàngmiɑn)講的這些規則都是通過線性的方式實現的。下面將介紹生成語法中最常用的直接成分分析法(ICanalysis)，該方法對短語或句子結構的分析表現為樹形圖（treediagram）第四十七頁，共93頁。TheanalysisofsentencescanbecarriedoutinwaysofICAnalysis(直接成分分析法)通常通過bracketing(方括號分析法)和treediagrams(樹形圖）實現。ICAnalysisreferstodivisionofasentenceupintoimmediateconstituentsbyusingbinarycuttinguntilobtainingitsultimateconstituents.（把句子按其組成部分/成分用兩進制切分法/二分法一直劃到最小的語法單位(dānwèi)－又稱最終成分。）

第四十八頁，共93頁。Immediateconstituents（直接成分(chéngfèn)）:thetwopartsthatareyieldedafterasentenceiscutintoitsconstituentelements.Ultimateconstituent（最終成分(chéngfèn)）:thesmallestgrammaticalunitobtainedthroughthedivision,orsegmentationortheformsattheword-level.第四十九頁，共93頁。這樣的圖形像一棵倒立的樹，故稱為(chēnɡwéi)樹形圖(treediagram)，文獻中常簡稱為(chēnɡwéi)樹（tree)，也叫短語標記(phrasemarker)。下面介紹關于樹形圖的一些基本概念.樹形圖上語類標記所在的點稱為(chēnɡwéi)節點（node)，連接節點的直線叫樹枝（branch)。一個節點向下分成兩條或更多條直線叫分杈該節點叫分杈節點（branchingnode)；只向下延伸出一條直線的節點叫“非分杈節點”，上例中NP,VP,PP是分杈節點,V,P,DET,N是非分杈節點。第五十頁，共93頁。樹形圖上節點間的關系常被形象地喻為親緣關系。分杈節點稱為母親(mǔqīn)節點(mothernode)簡稱母節；分杈產生的節點是母節的女兒節(daughternode)兩個女兒節互為姐妹節（sisternodes)，在上例中，VP向下分杈長出V和NP兩個節點，VP是母節，V和NP是VP的兩個女兒節，兩者又互為姐妹節。反過來，PP又是P和NP的母親(mǔqīn)節，P和NP互為姐妹節，是PP的兩個女兒。第五十一頁，共93頁。

moreexamplesofICanalysis

Thegirlatetheapple(S).the+girl(NP)ate+the+apple(VP)

第五十二頁，共93頁。ImmediateConstituentAnalysis

(ICAnalysis)

(1)bracketing

(((The)(girl))

((ate)

((the)(apple))))第五十三頁，共93頁。ImmediateConstituentAnalysis(ICAnalysis)(2)Thegirlatetheapple第五十四頁，共93頁。

(3)LabeledTreediagram

SNPVPDetNVNPDetNThegirlatetheapple第五十五頁，共93頁。

4.6Transformationrules

IntroductionofTGgrammarDeepstructureandsurfacestructureSometransformationrules4.6.1-4.6.5第五十六頁，共93頁。轉換生成(shēnɡchénɡ)語法Chomsky，1957年提出；1965年，Chomsky將其理論發展為標準理論（standardtheory,簡稱ST）屬形式語言學范疇，依靠演繹、形式、符號、公式等與內容相對的手段(shǒuduàn)來分析語言。“轉換生成”是什么意思？語法可以生成從未用過的正確語句；語法描寫涉及兩種表達式或結構描寫之間的運算和轉換。第五十七頁，共93頁。

Chomsky,whohastaughtattheMassachusettsInstituteofTechnologysince1955,developedatheoryoftransformationalgrammarthatrevolutionizedthescientificstudyoflanguage.Hefirstsetouthisabstractanalysisoflanguageinhisdoctoraldissertation(1955)andSyntacticStructures(1957).Insteadofstartingwithminimalsounds,asthestructurallinguistshaddone,Chomskybeganwiththerudimentaryorprimitivesentence;fromthisbasehedevelopedhisargumentthatinnumerablesyntacticcombinationscanbegeneratedbymeansofacomplexseriesofrules.

NoamChomskyNoamChomskywasbornonDecember7,1928inPhiladelphia,Pennsylvania.HisundergraduateandgraduateyearswerespentattheUniversityofPennsylvaniawherehereceivedhisPhDinlinguisticsin1955.第五十八頁，共93頁。

轉化(zhuǎnhuà)生成語法

轉換生成語法:它產生于20世紀50年代，由形式語法學家喬姆斯基提出。他認為僅僅描寫語法形式是不夠的，而要探索隱藏在語法行為背后的人類普遍的“語法能力”，這種語言能力通過一套“深層結構”向“表層結構”的轉換規則，從而把意義和形式結合起來，把靜態描寫提高到動態描寫。轉換生成語法認為，語言是受規則支配的體系，人具有天生的語言習得機制和語言能力。人類使用語言不是靠機械模仿和記憶，而是不斷理解、掌握(zhǎngwò)語言規則、舉一反三地創造性地運用語言的過程。第五十九頁，共93頁。句子(jùzi)的產生語法→轉換部分→表層結構→語音部分→句子的語音表現基礎部分→深層結構→語義部分→句子的語義表現上圖是一個(yīɡè)轉換-生成語法的理論框圖。語法主要包括基礎和轉換兩個部分，基礎部分生成深層結構，深層結構通過轉換得到表層結構，語義部分屬于深層結構，它為深層結構作出語義解釋。語音部分屬于表層結構并為表層結構作出語音解釋。

第六十頁，共93頁。ThegoalofTGgrammaristofindoutasystemofrulestoaccountforthelinguisticcompetence

ofnativespeakersofalanguagetoformgrammaticalsentences.toprovidetherulesthatcanbeusedtogenerate

grammaticalsentences;toshowhowbasicsentencescanbe

transformedinto

either

synonymousphrasesormorecomplexsentences.

第六十一頁，共93頁。DeepStructureandSurfaceStructureAccordingtoTG,humanbeingspossesstwogrammars:–aphrasegrammarwhichconsistsoftherulesgoverningidealizedsentenceformation;--atransformationalgrammar,whichenablesustomanipulatesentencestoproducethefullrangeofsentencetypes.Asaconsequence,everysentencehasasurfacestructureandadeepstructure.第六十二頁，共93頁。Deepstructure

Theabstractrepresentationofthesyntacticpropertiesofaconstruction.

--revealstheunderlyingstructureofalinguisticutteranceandspecifiesthegrammaticalrelationsandfunctionsofthesyntacticelements.Ablueprintfortheconstructionofwell-formedsentences.

第六十三頁，共93頁。SurfaceStructureTheactuallyproducedstructurethestructuralorganizationofaconstructionpeopleactuallyproduceandreceivethedirectlyobservableactualformofsentencesastheyareusedincommunication

Asentencestructureresultingfromtheapplicationoftransformationalrules.Lookatthefollowingillustration:

第六十四頁，共93頁。

Howisasentenceproduced?

Surface

Structure(Transformationrules)

DeepStructure

第六十五頁，共93頁。Therepresentationsofthesetwolevelsdon’thavetobedifferent.Whentransformationsarenotnecessary,therepresentationsofthetwolevelslookthesame.第六十六頁，共93頁。4.3.2SentenceTransformationWecangeneratealargenumberofsentenceswithonlyasmallnumberofrules,i.e.,“phrasestructure”rules.Tree-diagramformatcandescribethetransformationprocess.--astaticrepresentationofthestructureofthesentenceatthebottomofthediagram.--a“dynamic”format,inthesensethatitrepresentsawayof“generating”notonlythatonesentence,butaverylargenumberofsentenceswithsimilarstructures第六十七頁，共93頁。Howdoestransformationtakeplace?Twoprocesses：Everytransformationisbasedonthe

deletion

and

insertion

ofconstituents.

Substitution(thedeletionandinsertionofdifferentelementsinthesameplace)andpermutation(thedeletionofanelementfromoneplaceanditsinsertioninanother)areoperationsderivedfromdeletionandinsertionofconstituents.第六十八頁，共93頁。Howdothefollowingtransformationstakeplace?Howarethefollowingstructures/sentencesproduced?Willthetrainarrive?4.6.1auxiliarymovementDobirdsfly?4.6.2doinsertionWhatwillyoutalkabout?Whatlanguagescanyouspeak?4.6.4whmovementAgeneralSrule:Movealpha“α”第六十九頁，共93頁。Anexampleofactive-passivetransformationThepassivetransformationdealswiththerelationbetweenpairslike:

(a)Theboysawcats.

(b)Catswereseenbytheboy.第七十頁，共93頁。

4.6.1Aux-movement（助動詞移動(yídòng)）

Themovementofanauxiliaryverb

tothesentence-initial

position,suchasbe,have,do,will,can,andshould.eg.Johnwillbuyapresent.WillJohnbuyapresent?The

InversionRule第七十一頁，共93頁。第七十二頁，共93頁。4.6.2DoinsertionInsertinterrogativedointoanemptyInflpositioneg.Birdsfly.Birdsdofly.Dobirdsfly?

第七十三頁，共93頁。第七十四頁，共93頁。

4.6.4WH-movement

WH-movementisobligatory

inEnglish,whichchangesasentencefromaffirmative

tointerrogative.eg.Johnwillbuywhat.WhatwillJohnbuy?JohnwillputbookswhereWherewillJohnputbooks?第七十五頁，共93頁。第七十六頁，共93頁。第七十七頁，共93頁。

Moveαandconstraintsontransformations

InversioncanmoveanauxiliaryfromtheInfltothenearestCposition,butnottoamoredistantCposition.Noelementmayberemovedfromacoordinatestructure.第七十八頁，共93頁。第七十九頁，共93頁。SummaryofChapter4WordcategoriesPhrasecategoriesSentence