英语冠名构式_article_n_中冠词的认知语义和句法特征_曾国才

2014年1月第35卷第1期

外语教学

Foreign Language Education

Jan．2014

Vol．35No．1

英语冠名构式（Article+N）中冠词的认知语义和句法特征

曾国才

（四川大学外国语学院四川成都610064）

摘要：传统语法研究范式只归纳了冠词的句法使用环境。认知语法认为语言是以使用为基础的模型;意义即概念化;语言的词汇、句法结构和语义是一个象征结构的连续统。在认知语法框架下，冠词的语义功能主要表现在对与之搭配的名词性词语进行定位和量化。冠词的句法结构和冠词的语义概念呈数量象似性特征。冠词的语义概念是依存性的，体现在句法结构上即为冠词与名词的紧密共现关系。冠名构式的构式义不是句法组合而来，而是冠词与名词整合的结果。冠词的认知语法描写丰富了认知语法的理论应用。对冠词的语义和句法结构描写可提高英语冠词的二语习得效率。

关键词：冠词;认知语法;名词性词语;构式

中图分类号：H030文献标识码：A文章编号：1000-5544（2014）01-0012-05

Abstract：Traditional paradigms of grammatical analysis of English articles merely summarize the use conditions of articles on the syntactic level．By contrast，the generalizations of the semantic and syntactic structures of English articles can be captured by a cognitive grammar approach，whose linguistic assumption is based on the usage-based language model．Cognitive grammar claims that meaning is conceptualization，and that lexicon，syntax and semantics form a continuum of symbolic structures．From the perspective of cognitive grammar，articles in Article+N constructions function as the grounding and quantification of the nominals．Syntactically，the increased morphological complexity of the article is an icon of the increased semantic content of the article．Since articles are conceptually dependent，they inherently co-occur with the nominals on the syntactical level．The meaning of Article+N is not the combination of an article and a nominal，but the conceptual integration of the article and the nominal．A cognitive grammar approach to English articles widens the application of cognitive grammar theory and is expec-ted to improve the acquisition of English articles．

Key words：article；cognitive grammar；nominal；construction

1．冠词的传统分析

词类的分析是任何语法学派的基本任务。传统的英语教学中，英语的冠词类是一个学习的难点。传统的语法认为冠词是属于词类中起限定作用的词，冠词分为不定冠词a，an①，定冠词，the和零冠词Φ②（Thomson A．J．＆Martinet1986：15，19）（Andrew Carnie2007：44；梅德明2008：27；张道真2002：66，76）。在对语言现象作句法和语义层面的分析时，语法学家最关注的是语言中的两个大范畴，即表事体的名词和表动作及其过程的动词。因为这两类词可以形成语义表达的基本结构：主位和述位，对应句法层就是主语和谓语部分。语法学家们只是对规定了冠词的使用环境而未做细致的概念分析。传统的语法因而将语言中的词分为实词（content words）和虚词（empty words）两大类。美国结构主义语法把词分为形式类词（form class words）和功能词（func-tion words）两大类（吴刚2006：68）。冠词属于虚词或功能词范畴。

转换生成语法认为冠词是表达功能范畴的限定词，冠词只是表达特征限定的一种途径。转换生成语法（简称TG）把语言分析拆分为原则和参数两部分，具体化为各种语言的规则和词库，并把分析的焦点落在语言的组合规则上。在此理论范式指导下，Φ（零冠词），a和the 没有独立地位，它们是和名词性词作为一个整体参与到语法规则的各种运算之中。系统功能语言学派（SFG）把语言看作是一个意义的选择系统，认为a与one，no，each一样是属于非特指的限定词（non-specific determin-ers），the与those，his，her，whose等属于有特指的限定词（specific ones）（Halliday＆Matthiessen2004：312）。TG和SFG语法研究范式没能对Φ，a，the作细致的认知语义和句法统一概括描写。

2．认知语法的语言分析特点

美国认知语言学家Ｒ．W．Langacker倡导的认知语法的基本思想合符认知语言学的基本主张，即语言不是自足的认知能力；语法就是概念化；语言知识源于语言

的使用（Croft＆Cruse2004：1）。

认知语法认为语言的本质是象征的。语言分析中只有语法象征单位（symbolic unit）。语法就是象征单位的一个清单。语法结构包括语音单位，语义单位和存在于语音和语义之间的表象征关系的单位。认知语法（Langacker1987：3）认为对词汇和语法的划分是没有意义的，词汇、形态，句法形成象征结构的一个连续统。语言结构是基于用法的模型（usage-based model）表征出来的。一个表达式的意义包含人对世界的识解方式和被识解的概念内容（Langacker2008：55）。按照认知语法的观点，语义和句法是连续体，分析句法结构必须分析语言表达的意义的概念结构。单独分析句法层面，而排斥意义的概念内容是TG的致命弱点，因为TG解决不了语言现象中的习语和惯用语语法结构。

认知语法在具体的概念分析中充分利用其特有的概念关系：射体—界标（trajector-landmark）、依存—自主（autonomy-dependency）、精细化述位（e-site）与详述（e-laboration）、范畴关系中的图式化与例示（schematization-instantiation）、原型与扩展关系（prototype-extension）、侧显与基体（profile-base）等来分析概念结构从较低层次的成分组合与整合到形成更高层级的合成结构（composite structure）过程。认知语法认为语言中的语法象征单位在详略度（specification），固化度（entrenchment）和图式抽象度（schematization）上有程度上的差异。

3．冠词的认知语义功能

在概念结构分析中，Langacker首先也对语法中的词类做了新的描写。把词类分为描写事体（thingness）的名词性词语如名词，和描写关系（relation）的词语，如表过程的动词，和表非时间关系的形容词、副词和介词等。Langacker（1991：56-64）在讨论名词性词的类与例概念时引出对冠词的简略分析。冠词体现了名词关于类的描写和例子对类的例示之间关系。基于认知语法框架，冠词的语义功能可以被进一步描写为对名词的语义定位（grounding）和量化（qualification）作用。

3．1冠词在冠名构式中的语义定位功能

Φ（零冠词），a，the三者各自的语义定位范围是不同的。随着它们各自承载的语义内容的增加，相反它们对同一个名词性词的定位范围是依次不断缩小的（如图1所示），名词性词的概念内容从类的特征阶过渡到例的特征阶，类的特征不断不缩减，不断被聚焦，最终the 标示的名词性词的概念最具体。冠词使得名词的语义得到逐层定位并被具体化。

如图1所示，Φ标示零冠词，Nominal是名词性词，其中Nominal为同一个词或词组③，例如cat，a cat，the cat；boy，a boy，the boy。图中所示的箭头指向标明了从零冠词到the标示的名词性类特征T不断缩减，例特征不断凸显的过程。如果箭头向上，则可做相反的解释。如果Nominal不为同一词，如：cat，a boy，the book。零冠词Φ和a，the对概念范围的限定是依次缩减的

。

图1．冠词对名词概念的语义范围定位

在句法层面，零冠词，a，the与名词性词搭配形成了冠名构式。从语义范围的大小来看，Φ（零冠词），a和the描述了冠词+名词性词合成构式（article+Norminal）的语义范畴的不同抽象度。在零冠词层级，冠名构式的语义抽象度高，the+N层级，该类构式的语义具体化程度最高。a+N可视为描写了名词性词的语义范围的原型特征。而the+N描写的语义比a+N更具体，可以视为是a+N描述的语义特征的扩展。a+N和the+N都可以对零冠词组配的名词性词作不同具体程度的描写。按Langacker（1991：56）的观点，就算没有指称或没有特别规定（即Φ+N），一个名词性的词也是一个恰当的类的一个例示。Φ+N的这种语义特征实质也是冠名构式语义范围特征的边缘特征。如图2所示

。

图2．冠词范畴中的范畴化关系

图2揭示了冠名构式中使用不同冠词时形成的范畴化关系。Φ+N构式作为代表名词最多的类概念内容，即最抽象语义范围被视作该构式的图式。Φ+N’，a +N，the+N分别例示了该构式，使得该构式的语义内容更具体化。Φ+N构式本身也例子了自己（Φ+N’），图中用虚线椭圆标出。而Φ+N’作为对构式的例示，其地位和a+N和the+N是一样的，图中用双向箭头标示。a+N和the+N分别作为原型概念和延展概念例示了零冠词组配的冠名构式的类概念。

根据图1和图2揭示的冠词与名词性词组配后的范畴化关系，名词boy勾画了一个概念区域，而boy，a boy，the boy描写男孩的具体特征范围不断扩大。Φ+ Boy可以作为boy本身的抽象例示说明boy的特征，如男性、未成年（年龄0—18岁）、性格好动、活跃、家庭关系中是儿子、在学校是学生、体质相对于女生要更强壮、爱体力运动、其社会角色含有传宗接代、男性领导、顶梁柱等等。在这个关于boy的概念集合中，N（boy）是一个图式抽象度很高的概念，它把所有boy的特征通过范畴

化纳入进来，并形成一个关于boy的范畴；与之相比，a boy例示了boy的类概念的原型特征，the boy更加具体化了boy的概念，是boy类概念范畴的边缘特征（如姓名、家庭地址、学习、习惯等），the boy标示的boy语义范畴中没有被明确的特征。

再如，Φ+cat本身可以作为cat的类的一个例子，而a cat标示的猫的特征（如毛茸茸、抓老鼠、家养、动作快、夜间活动等）比cat标示的特征（即与其它的类特征相比得出，如一种动物、食鼠、全球分布广、有毛等）更具体，cat的概念更易被定位在单个个体上。而the cat则标示了一只特定的猫的特征（如名叫Mimi、眼睛特大、胡须特长、不爱捉老鼠，喂养在家的后院、冬天尤其爱钻进被窝睡觉等等），这些特征比起对cat，a cat的描写更具体化，对猫的概念定位范围被逐级缩小，直至被特定个体所确指。

物质在空间上具有压缩性，在时间上具有延展性（Langacker1991：13）。零冠词Φ标示的名词在时间和空间上标示的概念区域较a，the标示的名词性词要宽广。a boy，a dog等a+N结构的语义焦点落在了单个例子特征范围上。a+N标示的名词类概念内容虽然减少了，但N的属性在时空中的分步仍然是离散的。而the +N结构的概念范围相比Φ+N和a+N组配要密集压缩的多。如The boy的语义已经聚焦在具体的实体身上了。

3．2冠词在冠名构式中对名词性词语的量化功能

从冠词对名词的语义定位特征可以看出，冠词对名词是通过对类概念进行量化来定位的。类别标示概念的内容，例子标有概念的实体（Langacker1991：55）。Φ+N标示了一个类概念（type concept）并勾画了一个概念例示域空间DI（Domain of Instance）。一个例子被认为是在例示域（DI）里有一个特定的位置（Langacker 2008：268）。认知语法认为，通过一个例示域一个类型的被特指的实体的某些特性得到具体描写，如时空上的物质性状；而一个例示把这个例示域当作是有足够的时空延展区域，可容纳多个实体（a+N）的共现。被突显的实体（the+N）则是位于这个域里面的一个特定位置，这个位置是相对于其它可能的实体（a+N）位置而言的。这样，单个任意个体（a+N）在域中如同漂浮一样，只是在这个例示域中没能与说话者的心智进行接触，因而在这个域内单个个体具有在任何地方被说话人提取的潜能。而当具体化被定位在特定的一个位置的时候，单个个体（a+N）的这个潜能就实现了，一个例示概念就被获取了。如图3所示。

在图3中，上面一个框图中的a+N，也即含t的虚线圆例示了更上一层次的含t的实线圆。而含有实心点作为下标的t的实线圆更加具体化了带t的虚线圆

。

图3．冠词对名词概念的量化

图3展示了例概念通过例示关系（instantiation）具体化了一个类概念。Φ+N，a+N，the+N都处于同一个例示域中。只是在这个域中被突显的数量是不同的。Φ+N所处的域是无数例子的集合④，N在这个层级没有被量化。而a+N可以量指例示域中的任意单个个体。在a+N层级，a对N实施量化。N的概念被a切分成一个个样品。在the+N层级，N被量化并体现在被特定抽取的样例身上。如boy标示的是一个有男孩特征的概念集合。a boy标示了符合boy概念的任意一个个体，这个个体的总量是无限的，但是以单个个体体现的。the boy标示了a boy中的特定个体。boy的范围此时已被量化为‘特指’，即具体的‘一’。

按认知语法的观点，名词勾画了一个有界的或无界的认知概念域。量与质、有界与无界分别是名词的概念连续模式上两个极端的认知特点，其间存在各种过渡状态（张媛、刘振前2011：4）。零冠词Φ，不定冠词a和定冠词the分别对名词的量化作用体现了名词从类的宽泛概念到具体概念的过渡状态。

4．冠词的认知句法特征

认知语言学认为人类语言的表达式是有动因的。按认知语言学的观点，语言的表达不是与客观世界一一对应的，研究人类语言必须考虑人的认知参与。认知体验哲学主张人的心智具有体验性，认知是无意识的（La-koff＆Johnson1999：3）。在认知体验的哲学基础上，人类形成识解世界的特有认知方式（imagery）。认知语法认为人对客观世界的识解方式和概念内容反映在了语言的表征结构上。认知语法框架中，名词勾画事体。冠词在冠名构式中的句法层面体现了认知语言学关于概念的认知体验观。冠词在语言结构上表征了名词的类与例概念关系。冠词的语义结构是和名词性词的概念内容一起被映射到句法层面的。Φ+N，a+N，the+N 结构中，从零冠词，不定冠词a，an，到定冠词the的词法构造与相应的语义结构呈句法在数量上的象似性。句法表征中，冠词在概念上依存名词，冠词与名词在句

法层面是共现的。冠词与名词词性词共同整合形成合成结构，即冠名构式（article+N）。

4．1冠词句法表征的数量象似性

句法层面的语言结构和人的概念结构有象似性。象似性是语言形式和意义的主要特征。Haiman（1985：20）提出动因假设：对于意义有紧密联系的两个最小对立形式而言，意义的差异将对应于它们在形式上的差异。Jackendoff（1985：13）指出许多明显的句法限制是根据语义限制形成的。语言的数量象似性是指语符数量象似于概念数量（王寅1999：117）。形式简短象似于语义呈现隐性状态，形式量多象似于语义呈显性状态（王寅1999：134）。语言的形义在数量上的象似体现了语言的经济性。

Φ（零冠词），a和the各自有不同的构词形态。零冠词没有词素表征。但没有词素表征不等于没有概念意义。零冠词给与之搭配的名词性词贡献的概念内容最少，名词性词在带零冠词的情况下，语义内容是宽泛的，高度抽象的，零冠词标示的名词性词是从整体上当作类来理解的。通常在传统语法中，人名或地名前要使用零冠词，如，Lu Xun，London等。零冠词标示了鲁迅和伦敦的高度抽象整体概念，它们的具体特征没有在Φ+N的搭配中被刻画出来。而冠词a，在词的形态上，比零冠词多了一个字母，在语义上a比Φ承载了更具体的语义内容。a标示符合N的概念的任意个体。a+N 比Φ+N的概念更具体。再看the的形态，单词the比单词a有更多的字母，因而形态更复杂。通过前面对the 的语义分析可以得知the的概念内容比a的概念内容更具体。the+N包含了Φ+N和a+N中没有突显的概念成分。Φ+N，a+N，the+N，标示的概念定位范围依次缩小，但语义更复杂，更具体。如the boy包含的个体身高，姓名，爱好等具体信息没有突显在boy和a boy的概念成分中。Φ，a，the在句法上的词素量的增加象似了概念在具体内容上的显性增加。an在形态上的构词数量比a复杂（即多一个字母），这也象似了an比a承载了更多的语音知识。

4．2冠词与名词性词语之间的依存—自主关系

认知语法认为如果一个结构A详述了另一个结构D中的一个突显的次结构（substructure），那么结构D依存于结构A（Langacker1987：300）。在认知语法的框架中，名词标示某个概念区域中的一个抽象区间（Langack-er1991：15）。冠词则可以被识解为标示一种关系，即对名词的定位和量化。N的存在不依赖于冠词的存在，因而是概念自主的。而冠词不单独使用，冠词的概念则是依附于名词的概念。

4．3冠词与名词性词语之间的整合关系

认知语法坚持语言的网络层级观。语言组织是一个有层级的象征单位系统。层级性是人类认知的根本属性。认知过程涉及到多层组织，某一个层次的要素组合形成一个更复杂的结构，该复杂结构在接下来的一个层级整合中是一个单元整体实体（Langacker1987：310）。冠名构式是冠词和名词整合的结果。如图4

：

图4．冠词与名词的整合图式

按照Langacker（2008：161）的观点，一个语法象征结构（∑）包含一个语音结构、一个语义结构及其之间的象征关系。象征结构是双极的。象征结构经组合可以构成更精细的象征结构，即［∑

1

］+［∑

2

］=［∑

3

］。［AＲ-TICLE］标示冠词的语义极，而［…］标示冠词的音位极。［THING］与［…］分别标示名词勾画的事体和它的语音极。两个成分整合成新的结构［［AＲTICLE］/［…］—［THING］-［…］］。按认知语法的观点，经整合形成的结

构［∑

3

］的语义不是构成成分［∑

1

］和［∑

2

］的简单相加，而是两者整合的结果。认知语法用射体（trajector）和界标（landmark）来分析一个表关系的概念。射体（tr）是关系侧显中的图形。关系中的其他实体被视作界标（lm）或参照点。在冠名构式中名词是射体，名词勾画了一个例示域（DI）。名词为冠词提供了一个详述位（e-site）。冠词通过对名词的定位和量化功能详述了名词，冠词被视为是名词的界标（如图5所示）。在图5中，冠词刻画了名词的量（每个箭头标示一个量）。a标示一个任意量，the标示一特指量。Φ不标示具体的量。名词与冠词搭配实现了冠词的量化功能。同时，在例示域内冠词侧显了名词的任意个例（a+N）或特定个例（the +N），即名词的例概念在类概念域中被定位。图5表明冠词与名词之间的概念不是组合关系而是整合关系

。

图5．冠名构式中的整合过程

5．结语

传统的语法只归纳了英语中能否用冠词的句法环

境。基于认知语法的概念分析方法，冠词（零冠词Φ，不定冠词a和定冠词the）的语义功能主要表现为对与之搭配的名词进行定位和量化。冠词在句法表征中象似于冠词的语义表征。冠词在句法表征中是依附名词性词语的。冠名构式在句法上的组合关系不等于语义上的组合。冠名构式（article+N）与冠词和所搭配的名词在语义和音位两方面是整合关系。冠词的认知概念描写进一步拓宽了认知语法的理论应用并为冠词的习得提供了教学理据。

冠词的习得要紧密联系冠词在冠名构式中冠词的语义和句法特征。语义方面，零冠词是表事体的类属性，由于类属的宽泛性和不确定性，表示类属概念时名词前大多用零冠词，如：Generally，car runs faster than bus．该表达式中，car，bus是类属概念。不定冠词a，an 比零冠词承载了更多的语义信息，an比a揭示了更多的语音信息。表达式I have a cat and a dog表示了认知主体所属物类别中单个的体例。不定冠词以此来标示有别于零冠词揭示的类属概念：认知主体拥有的是此物而非他物。由于语音的作用，不定冠词an比a多了一个书写上的特征n。an apple比a pear蕴含了更多的语音知识：英语的名词性词语如果是以元音读音作为起始音，由于发音需要，则要用不定冠词an放在名词前作语义定位。定冠词the描写的是特定的单个事体。在上下文语境中，the+N容纳了语境中某类事体的最详细语义，是具体的信息。在句法表征中，定冠词the在单词的构造单位数量上比零冠词和不定冠词a，an多。冠名构式中零冠词、不定冠词和定冠词都可以表示类属性，如boys，a boy和the boy，都可以表示‘男孩’的类概念。但是‘男孩’类概念表达的基点是不同的：零冠词从类属的总抽象性表示类属性，不定冠词以任意个体指代类的属性，而定冠词则是以具体的事体指代抽象事体。基于冠词的句法表征象似冠词的语义属性的观点，冠词的认知语法分析范式可以提高学生的英语冠词习得效率。

注释：

①因为an的使用是因为语音上的考虑，故本文只对冠词a进行描写，

an也可做同样分析。②本文中符号Φ表示零冠词。

③为方便分析，后文中用N标指名词性词语nominal。

④为方便分析，图中只列出3例。

参考文献

［1］Carnie，A．Syntax：A Generative Introduction（2nd Edition）［M］．Ox-ford：Blackwell，2007．

［2］Croft，William＆D．Alan，Cruse．Cognitive Linguistics［M］．Cam-bridge：Cambridge University Press，2004．

［3］Haiman，John．Natural Syntax［M］．Cambridge：Cambridge Universi-ty Press，1985．

［4］Halliday，M．A．K．＆Matthiessen，Christian．An Introduction to Functional Grammar（3rd Edition）［M］．London：Hodder Education，2004．

［5］Jackendoff，Ｒ．S．Semantics and Cognition［M］．Cambridge，MA：MIT Press，1985．

［6］Lakoff，G．＆M．Johnson．Philosophy in the Flesh—The Embodied Mind and Its Challenge to Western Thought［M］．New York：Basic Books，1999．

［7］Langacker，Ｒ．W．Foundations of Cognitive Grammar（Vol．I）：Theo-retical Prerequisites［M］．Stanford：Stanford University Press，1987．［8］Langacker，Ｒ．W．Foundations of Cognitive Grammar（Vol．II）：De-scriptive Application［M］．Stanford：Stanford University Press，1991．［9］Langacker，Ｒ．W．Cognitive Grammar：A Basic Introduction［M］．New York：Oxford University Press，2008．

［10］Thomson，A．J．＆Martinet，A．V．A Practical English Grammar ［M］．Oxford：University Press，1986．

［11］梅德明．现代句法学［M］．上海：上海外语教育出版社，2008．［12］王寅．论语言符号象似性［M］．北京：新华出版社，1999．［13］吴刚．生成语法研究［M］．上海：上海外语教育出版社，2006．［14］张道真．实用英语语法［M］．北京：外语教学与研究出版社，2002．

［15］张媛，刘振前．认知语法视角下的英语表量结构分析［J］．外语教学，2011（2）：1-5．

作者简介：曾国才，四川大学外国语学院博士研究生，研究方向：认知语言学、构式语法。

收稿日期2013-06-02

责任编校孙毅

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