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Chapter 4 Syntax  句法学

1．             What is Syntax?

Syntax studies the sentence structure of language. The term syntax came originally from Greek. It literally meant arrangement. It means that sentences are structured according to a particular arrangement of words. Well-arranged sentences are considered grammatical sentences. Grammatical sentences are formed following a set of syntactic rules.

句法学研究语言的句子结构。该术语来自希腊语，字意是排列。句子是根据一种特定的排列词的方式构成的。排列正确的句子被认为是合乎语法的句子。合乎语法的句子是根据一套句法规则构成的。句法是一个规则系统。

2. Syntax as a system of rules 句法是规则系统

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 f all human languages, syntactic rules comprise the system of internalized linguistic knowledge of a language speaker known as linguistic competence.

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.

句法是一个由一套数量有限的抽象规则组成的系统，句子由单词组合而成。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。任何一种语言的句法规则都包含了说话者的头脑中的语言知识系统（称为语言能力）。

任何语言的句法规则的数量是有限的，但说话者可以理解和表达的句子的数量是无限的。

3. The basic components of a sentence 句子的构成

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（主语）and its predicate（谓语）which contains a finite verb or a verb phrase.

句子是一个结构独立和完整的语法单位，这一单位通常由一些单词组成一个完整的陈述句、问句或命令。一个句子至少包含一个主语和一个谓语，而谓语又包含一个限定动词或一个动词词组。

The referring expression（被指称的对象）, such as a person, a place, a thing, an idea, or an event, is grammatically called subject. A subject is usually a noun or a noun phrase. The part of sentence which comprises a finite verb or a verb phrase and which says something about the subject is grammatically called predicate. A finite verb, informally called the main verb of a sentence, expresses existence, action or occurrence which is limited by person, number, tense and mood.

主语是指句子中被指称的对象，如人、物、事、概念等。主语通常由名词或名词词组构成。谓语是指对句子中主语进行表述或判断的部分。谓语通常由限定动词或动词词组构成。限定动词常被称为句子的中心动词，表述存在、动作或出现，限定动词送人称、数、时态和情态的限制。

4．Types of sentence 句子的类型

a)       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.

简单句由一个子句构成，该子句包含一个主语和一个谓语，且独立构成句子。

b)      The coordinate sentence 并列句

A coordinate sentence contains two clause joined by a linking word called coordinating conjunction, such as “and”but””or”.

并列句包含两个子句，由and, but, or 等并列连词连接。

c)      The complex sentence 复合句

A complex sentence contains two or more clauses, one of which is incorporated into the other. That is, the two clauses in a complex sentence hold unequal status, one subordinating the other. The incorporated, or subordinate clause is normally called an embedded clause, and the clause into which it is embedded is called a matrix clause.

复合句包含两个或两个以上的子句，其中一个被并入另一个句子。复合句中两个句子的地位是不同的，一个句子从属于另一个句子。被并入或是从属的子句通常被称为子句，而包含子句的子句被称为主句。

5. The linear word order of a sentence 句子的线性词序

When a sentence is uttered or written down, the words of the sentence are produced one after another in a sequence. Meanwhile, they are heard or read as arranged one after another in a sequence. This sequential order of words in a sentence suggests that the structure of a sentence is linear.

我们说出或写下一个句子，其中的词语是按次序一个接一个出现的。同时，对方也是一个接一个次序听到这个词语的。句子中词语的这种有次序的排列表明，句子的结构是线性的。

6. The hierarchical structure of a sentence 句子的层次结构

The superficial arrangement of words in a linear sequence does not entail that sentences are simply linearly structured. Sentence structure is hierarchical in nature.

组成句子的单词表面上的线性排列并不意味着句子仅仅是线性结构的。句子实际上是有层次结构的。

7. Tree diagrams of sentence structure 句子结构树形图

The hierarchical order can be best illustrated with a tree diagram of constituent structure.

句子的层次结构可以用各组成部分的树形图来很好地说明。见课文67－70页。

In addition, the hierarchical structure of sentences can also be illustrated by using brackets and subscript labels.

另外，句子的层次结构还可以用括号和写在下角的标记来标示。见课文71页。

8. Lexical categories 词类

Words are organized into groups of lexical categories, commonly known as parts of speech. A language has major and minor lexical categories. Major lexical categories are open categories that new words are constantly added. Minor lexical categories are closed categories because the number of the lexical items in these categories is fixed and no new members are allowed for. English has four major lexical categories and six minor lexical categories.

所有的词都有某种属性，即词性。词可以分为主要词类和次要词类。主要词类不断有新词加入，它是开放词类，而次要词类是封闭的，因为这类词的词项是固定的，不允许有新词加入。

英语有四个主要词类和六个次要词类。

主要词类：

Noun (N) 名词：student

Verb (V) 动词：like

Adjective (Adj) 形容词：tall

Adverb (Adv) 副词：loudly

次要词类：

Determiner (Det) 限定词：the, a, this, his

Auxiliary (Aux) 助动词：can, do, will

Preposition (Prep) 介词：in, at, over

Pronoun (Pron) 代词：he, she, us, mine

Conjunction (Conj) 连词：and, or, but, while

Interjection (Int) 感叹词：oh, ah, eh

9. Phrasal categories 词组类型

Four phrasal categories are commonly recognized and discussed, namely, noun phrase (NP), verb phrase (VP), prepositional phrase (PP), and adjective phrase (AP).

NP and VP are essential components of a sentence, comprising the subject and predicate.

Important note: NP just contain a noun, VP just contain a verb, PP just contain a preposition and AP just contain an adjective.

通常讨论的词组类型有四种，分别是：名词词组，动词词组，介词词组和形容词词组。

名词词组和动词词组是句子中最重要的词组，因为它们构成了句子的主语和谓语。

重要：一个名词词组只包含一个名词，一个动词词组只包含一个动词，一个介词词组只包含一个介词，一个形容词词组只包含一个形容词。

10. Grammatical relations 语法关系

The structural and logical function relations of constituents are called grammatical relations. The grammatical relations of a sentence concern the way each noun phrase in the sentence relates to the verb. In English and many other languages, the subject usually precedes the verb and the direct object usually follows the verb. Strictly speaking, this statement is true only in terms of the structural subject（结构主语） and the structural object（结构宾语）. The logical subject （逻辑主语）and the logical object（逻辑宾语） may have different positions.

语法关系是指句子中名词词组和动词的关系，其中涉及到主语和宾语的结构性和逻辑性。从结构上看，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止回。这种置动词之前的主语叫结构主语，置动词之后的宾语叫结构宾语。结构主语和结构宾语只是句子的形式主语和形式宾语，而意义上的主语和宾语才是句子的逻辑主语和逻辑宾语。逻辑主语是实施者，而逻辑宾语是受事者。逻辑主语和逻辑宾语在句子中的位置可以同形式主语和形式宾语在句子中的位置相同，也可以不同。如英语被动句中的形式主语是逻辑宾语，而形式宾语是逻辑主语。

11. Phrasal structure rules 短语结构规则

The combinational pattern in a linear formula may be called a phrase structural rule, or rewrite rule.

短语结构规则是一组句法重写规则。

Example 1:

S → NP VP. The arrow is read as “consist of”, or “is rewritten as” 。

The rule is: a sentence consists of, or is rewritten as, a noun phrase and a verb phrase.

在本例中，箭头读作“包含”或“重写为”。这样的规则就读作：一个句子包含或可以重写为一个名词词组和一个动词词组。

Example 2:

NP → (Det)(Adj)N(PP)(S)

A noun phrase consists of, or is rewritten as, an optional determiner, an optional adjective, an obligatory noun, an optional prepositional phrase, and/or an optional sentence.

这就是名词词组的短语结构规则，读作：一个名词词组包含或可以重写为一个限定词、一个形容词、一个名词、一个介词词组和（或）一个句子，其中名词是必须有的，其它是可选成分。

Example 3:

VP → V(NP)(PP)(S)

AP → A(PP)(S)

PP → P NP

12. The recursiveness of phrase structure rules 短语结构规则的循环性

Significantly, these rules can generate an infinite number of sentences, and sentences with infinite length, due to their recursive properties.

Although these rules are part of the rules and regulations of the grammar, they suffice to explain how language is “creative”, and how speakers with “finite” minds have the ability to produce and understand an infinite set of sentences. That is, the recursive property captures the ability of language to generate more constituents to a sentence and enables speakers to repeat syntactic constituents within the same sentence.

由于这些短语规则的循环性，运用它们可以造出无数句子，这些句子又可以是无限长的。

这些规则虽然只是语法规则的一部分，却足以解释为什么语言具有创造性，为什么说话人的记忆力是有限的，却能表达并理解无限的句子。这就是说，循环性体现了语言中的句子能够有更多的成分，并且使说话者能够在同一个句子中重复一些句法成分。

13. X-bar theory   X标杆理论

NP/VP/AP/PP all must contain one obligatory word, we call XP. This means that XP must contain X, where XP stands respectively for NP/VP/AP/PP and X stands for N/V/A/P.

The rule modified as: XP → (Specifier)X(Complement).

X 标杆理论是将各种短语结构规则高度抽象地综合成单一的X标杆规则理论。根据该理论，短语由指示语、核心词和补语组成，其中指示语和补语可有可无，但核心词却不可缺少。

14. Syntactic movement and movement rules 句法位移和移位规则

a)       NP movement 名词词组位移

NP-movement occurs when a sentence changes from the active voice to the passive voice.

Example: The man beat the child. / The child was beaten by the man.

Not all NP-movement are related to changing a sentence from the active voice to the passive voice.

Example: It seems they are quite fit for the job. / They seem quite fit for the job.

NP “they” has moved from the subject position of the embedded clause to the matrix clause.

名词词组从原先所处的位置移至另一位置的句法现象叫做名词词组位移。例如，在主动语态句中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。

并不是所有的名词词组位移都和主动语态转被动语态相关。示例中的they由从句的主语位置位移到了主句的主语位置。

b)      WH movement WH位移

WH-movement is obligatory in English which changes a sentence from affirmative to interrogative. WH-movement is syntactically required when the sentence changes from a statement into a question.

WH位移能把句子从肯定句变为疑问句，在英语中不可缺少的。

c)      Other types of movement 其它类型的位移

（1）       General questions (一般疑问句) in English may also involve syntactic movement with AUX-movement. AUX-movement is the movement of an auxiliary verb, such as be/have/do/will/can/should, to the sentence-initial position.

Example: She is an English professor. / Is she an English professor?

一般疑问句也会通过助动词移位引起句法移位，助动词移位即助动词移到句首的移位，助动词有be/have/do/will/can/should。

（2）       For stylistic purposes, a post-verb adjective in an adverbial clause beginning with “though” may propose to the sentence initial position.

Example:

Though she was sick, the woman fought with the wolf and saved her children. /

Sick though she was, the woman fought with the wolf and saved her children.

由于文体的原因，以though开头的状语从句中位于动词后的形容词可以移到句首。

15.  D-structure and S-structure  深层结构和表层结构

What syntactic movement suggests for the study of the grammar is that a sentence structure may have two levels of syntactic representation, one that exists before movement takes place, and the other that occurs after movement takes place. In formal linguistic exploration, these two syntactic representations are commonly termed as D-structure (the deep structure) and S-structure (the surface structure). It is believed that phrase structure rules, with the insertion of the lexicon, generate sentences at the level of D-structure, while the application of syntactic movement rules transforms a sentence from the level of D-structure to that of S-structure.

句法位移对语法研究的启示是，一个句子结构可以有两个层次的句法表现，一个存在于位移发生之前，一个存在于位移发生之后。在正规的语言学研究中，这两种句法表现称为深层结构和表层结构。短语结构规则通过插入词汇在深层结构上生成句子，而应用句法位移规则又把句子从深层结构转化到表层结构。

Since syntactic movement does not occur to all sentences, the D-structure and S-structure of some sentences look exactly the same at different levels of representation.

由于并非所有句子都能发生句法位移，因而一个句子的深层结构和表层结构在不同的表现层次上是完全相同的。

16.            Move α – a general movement rule 移动α规则

Just as there is a general rule for all phrase structure rules, that is, the X-bar schema, there is a general movement rule accounting for the syntactic behavior of any constituent movement. This movement rule is called Move Alpha. Alpha is a Greek symbol used here to represent any constituent, and what Move Alpha says is “move any constituent to any place”.

It is too powerful, so the grammar should include some conditions which will restrain the movement power of the rule and which will stimulate that only “certain constituents” can move to only “certain positions.”

移动α规则是一条支配句法成分位移的普遍原则。如果X标杆理论规则将各种短语结构规则高度抽象地综合起来一样，该规则综合了所有的位移规则，可以解释所有语言中的一切位移现象。

如果一个成分可以移到任意位置，那么就会又不合乎语法的句子出现。规则应该有一些条件来限制移位能力，使得只有“某些成分”可以移动到“某些位置”。

17．Theory of universal grammar  普遍语法理论

Since early 1980s Noam Chomsky developed a theory of universal grammar (UG) know as the principle-an-parameters theory. UG is a system of linguistic knowledge and a human species-specific gift which exists in the mind or brain of a normal human being. UG consists of a set of general conditions, or general principles and also contains a set of parameters.

从八十年代初期开始，乔姆斯基发展了一种普遍语法理论，称为原则与参数理论。普遍语法是一个语言知识体系，是人类特有的天赋，它存在于正常人的头脑中。普遍语法包含一组广义条件，或广义原则，还包含一种参数。

18.  General principles of universal grammar 普遍语法的广义原则

a) Case Condition. As is required by the Case Condition principle, a noun phrase must have Case and Case is assigned by verb or preposition to the object position, or by auxiliary to the subject position. The theory of Case Condition accounts for the fact that noun phrases appear only in subject and object positions.

格条件原则。格条件原则要求名词词组必须有格，宾语的格是由动词或介词决定的，而主语的格是由助动词决定的。格条件理论说明了为什么名词词组只在主语和宾语的位置上出现。

b) Adjacency Condition. As is required by Adjacency Condition principle, a Case assignor and a Case recipient should stay adjacent to each other. This condition explains why no other phrasal category can intervene between a verb and its direct object.

毗邻条件。毗邻条件决定格分派，该条件要求格分派者和格接受者要相互毗邻。这一条件解释了为什么任何别的词组类型都不能插到动词和它的直接宾语之间。

19.  The parameters of universal grammar 普遍语法的参数

Parameters are syntactic options of UG that allow general principles to operate in one way or another and contribute to significant linguistic variations between and among natural languages. Set in one of the permissible ways, a parameter acquires a particular value, for example, a plus or minus value, which allows the grammar of a language to behave in a way very different from that of another language.

参数是普遍语法中的句法选项，它使广义原则能以一种或另一种方式进行操作并造成了不同自然语言之间在语言上的显著不同。一个参数若以某种可允许的方式设置，它就可以得到某种意义，如加或减的意义，这就使一种语言的语法和另一种语言的语法有很大不同。

a) UG is believed to contain a parameter wit the values (+ strict adjacency) and (- strict adjacency) set on the Adjacency Condition. With English-type languages, the Adjacency Parameter is set to the (+ strict adjacency) value, while for French-type languages, the parameter is set to the other.

普遍语法被认为包含一个参数，这个参数的意义是设置在毗邻条件之上的（加严格毗邻）和（减严格毗邻）。英语属前者而法语属后者。

b) Another parameter, the one that involves word order, concerns the directionality of Case assignment, known as the Directionality Parameter. This parameter offers a neat and consistent account for the typological difference in the word order within the VP category between English and Japanese. In English, VP → V NP while in Japanese,  VP → NP V.

另一个参数与词序有关，它涉及格分派的方位，被称为方位参数。这一参数为英语和日语的动词词组的词序的类型差异提供了一个满意的、恰当的解释

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