Nominalization and Grammatical Metaphor
Q?Bai Ruixue, PlA Foreign Languages University, 471003Q?
摘要Q语法隐MC语义和语法之间关pȝ转化Q在成h语篇中大量存在。名词化是语法隐ȝ主要来源Q是U技p最重要的特征之一。英汉两U语a在Ş态、意念上有所不同,名词化程度也不一栗?
关键词:(x)名词化; 语法隐喻Q?一致式Q?U变?
Abstract: While grammatical metaphor, transference of the semantic-grammatical relation in essence, is abundant in all adult discourse, nominalization, as one of the major sources of grammatical metaphor, is characteristic of scientific discourse In particular. English and Chinese, due to the difference in both notion and form, behave differently with respect to nominalization.
Key Words: nominalization; grammatical metaphor; congruent form; rank shift
1.引言
语法隐喻是hc认识世界的一U重要手D,它可以把事g、活动、情l、思想{{化ؓ(f)实体QentityQ(Lakoff & Jonson,1980Q。HallidayQ?985Q指出,语法隐喻不是用一个词M替另一个词Q而是用某一语法cd或语法结构去代替另一语法cd或语法结构?
q两个类别分别代表了一个给定意义的两种表达变异Q一致式Qcongruent formQ,即通常所说的“^白体”(literalQ语aQ和隐喻式(metaphorical formQ,即与一致式相对应的Q在某种E度上经q了“{义”(transferredQ的语言。一致式和隐d的关pd以用下面的图C来表示Q?
表一
“自上而下?
many people [protested]
a large number a flood
[of protests] [of protests]
一致式 隐喻?
韩礼?993q分析科技语篇Ӟ借用了雅式(AtticQ和土式QDoricQ两个概忉|替代隐喻式和一致式的区别。在对“一致性”概늚q一步解析上Q韩Cd谈到Q“让我们首先回到一致性表辑Ş式—请注意Q一致性是指语义和语法层面在他们共同进化的起始阶段的相互关pZ。语a作ؓ(f)一U社?x)符号学pȝQ由表达层和意义层构成,分别表现汇—语法(lexicogrammaticalQ和语义QsemanticQŞ式。一般情况下语义层的实现是和特定的表辑ֱ相对应的。这U语义和语法之间的固定对应关p被UCؓ(f)一致性关p(congruent relationshipQ(Halliday,1996Q?
表二 语义--语法一致性关p?
Content/semantic
Expression/lexicogrammar
ranks
(U?
status
(功能)
Sequence
Figure
Element
process
participant
quality
circumstance
logical relation
assessment
realized by
?
realized by
clause complex
clause
group/phrase
verbal group
nominal group
adjective
adverbial group or
prepositional group
conjunction
modal verb
在一致性关p里Q动词用来表C动?q程Q名词用来表C参与者,形容词表C特征等。但在语a的实际应用中Q我们常常发现原关系的变化,Z可以把动词、Ş容词转化为名词,句子转化l。这U变化被UC语法隐喻。Halliday (1985) 指出Q名词化QnominalizationQ是语法隐喻的主要来源。例如:(x)
Q?aQThe brakes failed. (1b) brake failure
participant process classifier entity
(1a)为非隐喻形式Q其中的the brakes是表C参与者的名词Qfailed则是表示物质q程的动词,但在(1b)中句子{化成了名词短语?
除了动词的名词化外,形容词的名词化也是一U常见现象:(x)
(2a)The thermoplastic is atactic. (2b)the actacticity of the thermoplastic
participant quality entity classifier
名词化可视作一个小句“打包”(packQ成词组Q或两三个小句“打包”成一个小句的q程。下面的例子清楚地表Cq个q程Q?
(3a) In order to argue that this is not so he simple points out that there are no synonyms in mental language.
(3b) The argument to the contrary is basically an appeal to the lack of synonymy in mental language.
a句包?个小句,词汇密度?.5[1]。b句是一个关p过E(relational processQ的句Q词汇密?lexical density)?. 那么上例中的隐喻化是怎样实现的呢Q隐d中有两个名词l:(x)the argument to the contrary和an appeal to the lack of synonymy in mental langrageQ都是名词化的结果。否定的存在句there are no synonyms 名词化ؓ(f)the lack of synonymyQ投句lhe points out that there are no synonyms 名词化ؓ(f)his appeals to the lack of synonymy…;句this is not so名词化ؓ(f)the contraryQ投句lto argue that …not名词化ؓ(f)the argument to the contrary。上qC个例子中的a句和b句分别代表的Q就是所谓的一致式和隐d?/FONT>
名词化结构是U技p最重要的特征之一。科技p的“技术性”和“说理性”是名词化大量存在的理据。正如Halliday所_(d)名词化实际上已经逐渐成ؓ(f)M成h语篇的一个重要特炏V?
2Q名词化l构分析
名词化,作ؓ(f)用某一语法cd或语法结构去代替另一语法cd或语法结构的形式Q在本质上涉?qing)到一pd的变化过E。下面几个小节将分别描述名词化过E中U的变化、语义功能的变化和部分语义成分的变化?/FONT>
2Q? 名词化结构的U变?
如表二所C,韩礼h语义分成三Q分别ؓ(f)“言辞列”(sequenceQ、“言辞”(figureQ和“成分”(elementQ。言辞是对事件的语义表达Q因Zhcȝ验主要由发生的事构成Q语法通过句的构建把q些发生的事件{换ؓ(f)语义。若q表CZ件的a辞构成言辞列Q由句l体现。阶理论容许向下移动的“转移”(rank shiftQ,即一个已知单位可U至下一U,但下U单位不能上UR?/FONT>
名词化结构用名词或名词词l代替了一致式中的句或句l,因此“转移”是名词化的重要内容。例如,在下面的两个句子中:(x)
(4a) The driver drove the bus too fast down the hill, so the brakes failed.
(4b) The driver’s overrapid downhill driving of the bus caused brake failure.
(4a)是一致式Q?4b)通过语法隐喻?4a)的两个小句向下{UMؓ(f)两个名词性词l结构。其q程可以图解如下Q?/FONT>
表三
(4a)sequence
[relator]
figure1 figure2
nominal nominal
the driver’s overrapid downhill caused brake failure
driving of the bus
2.2 名词化的语义功能变化
伴随着U向下{U,名词化结构生了有别于一致式l构的功能意义变?changes in status)。韩CdQ?995aQ指出,我们在进行语义分析时Q要看语义功能、语法功能和语法cd三个斚w的变化。就上例而言Q动词drive转化成drivingӞ语义功能由process转化为entityQ语法功能由transitivity转化为thing Q语法类别则由动词{化ؓ(f)名词。而too fast转化为overrapid后,语义功能由circumstance转化为qualityQ语法功能由manner转化为epithetQ语法类别则由副词{化ؓ(f)形容词?/FONT>
语法隐喻几乎可以所有的其他语义功能转化为实体。这U现象被UCؓ(f)语义的物质化q程Qthe drift toward thinginessQ。韩Cd对各U语义{化ؓ(f)实体的\径作q如下图C:(x)
表四Q?/FONT>
relater ?circumstance ?process ?quality ?entity
韩礼徯指出以上各类语义向名词化转变的过E是一个从左到右的q程Q而不是相反。也是_(d)图中某一语义可以由处在它左边所有的语义转化来,而不能从在它双的语义{化而来。这同样是一个下移q程Q如果发生逆向q动Q则有背名词化结构的生成原则?/FONT>
2.3 语义成分的变?
韩礼德在1985q指出,句被“打包”ؓ(f)名词或名词组后,其语义成分不是不变的Q部分信息会(x)丢失。例如,is impaired by alcohol名词化ؓ(f)alcohol impairment之后Qalcohol impairmentq没有表明其中两个成分之间的语义关系Qalcohol既可以解Mؓ(f)Actor (alcohol impairs)Q也可以视作Goal (alcohol is impaired)?
3. 名词化语功能分?
韩礼L(fng)元功能是三分的,x念功能,人际功能和语功能。在概念功能和h际功能中存在概念隐喻和h际隐喻,那么语篇功能中似乎也有理由存在语隐喅R对于这一点,马丁Q?993Q专门提到“语法隐喻通过展开一个语的Ml构和信息结构,成ؓ(f)l篇的工兗”在他论?qing)的隐喻性主?Metaphorical Theme)和隐L新信息(Metaphorical News)两种语篇隐喻中,名词化都是必不可的手段和实现方式?/FONT>
前文已经提及(qing)Q名词化在成,其是科技文体中大量存在。因U结构既可减句子或分句的出玎ͼ又能包容大量的信息,能反映科技zd的严肃性和客观性。下面就以科技文体ZQ来说明名词化的语篇功能?/FONT>
(5) a. Global demand for butadiene, isobutylene, and butene- will climb to 11.2 million metric tons, 18.8 million metric tons, and 1.7 million metric tons, respectively, by 2010..
b. But, because the rate of butadiene demand growth will continue to be outstripped by ethylene demand, more hydrogenation capacity will be needed to absorb the surplus of C4 streams, according to the firm.
c. In order to maintain price stability, these surplus C4s are likely to be hydrogenated.
d. Selective hydrogenation will be used to convert butadiene to butenes, where there is adequate downstream C4 olefin upgrading capability.
e. Continued investment in new naphtha-based ethylene capacity in Asia and the potential for the U.S. to crack heavier feedstocks may result in investment in more localized C4 processing capacity and a regionalization of C4 markets.
f. Chem systems stresses that integration and assessing value-added options is the key to C4 upgrading.
g. However, there is still emphasis on adding value to C4s throughout the chain by judicious integration of C4 processes and also enhanced cracker-refinery integration.
在这一D|章中Q词汇密度是相当高的Q有大量名词或名词组Q如integration, processing, regionalization{等。这些名词或出现在每一个句子的C息中Q或作ؓ(f)对前一句的归纳Q成Z一句的M?
上例中的斜线部分是新信息Q在其中名词化通过压羃多种语义Q成ZC息的重要部分。例如,e句中的新信息a regionalization of C4 markets.的一致式原先Z个小句,如:(x)(The result of …is that) the C4 market will be regionalized.
由黑UK分即名词化成分充当的M不难看出Q它们都是对前一句所q的归纳。例如,b中的the rate of butadiene demand growth是a句中C息will climb to 11.2 million metric tons, 18.8 million metric tons, and 1.7 million metric tons, respectively, by 2010的ȝ和经q名词化转换的结果。c句的C息these surplus C4s are likely to be hydrogenated则名词化为d句的M Selective hydrogenation。因此,我们可以说名词化不仅在语的信息l构中D重,而且也和其他语法或词汇衔接手D一P对语的q诏、流畅v着重要的衔接作用?
4Q?英汉名词化对?
最后,我们通过一l英汉对译的句子Q来看一下汉语中的有x形?/FONT>
(6a) Although the production of such transgenic strains of animals carrying foreign genes is now a relatively routine technique in many laboratoriesQit is unlikely that such method s will be extended to human embryosQ?both for moral and technical reasons.
(6b)管目前在许多实验室里,培养q种携带异体基因的动物{基因株是一U比较常规的技术,但由于u理及(qing)技术方面的原因Q这些方法不可能扩展应用于h体胚胎上?/FONT>
原文中“the production of such transgenic strains of animals carrying foreign genes”是个名词化的结构,如果照搬译成“……的生”势必拗口难懂,甚至Ҏ(gu)无法译出Q而用动词l构处理Q不仅把原文的意义表达了出来Q汉语译文也通顺。类似的例子q有Q?/FONT>
(7a) A thrombus may cause sudden closure of the vessel with complete obstruction of the blood flow.
(7b)血栓可能会(x)引v血突焉塞,造成血完全中断?/FONT>
(8a) The use of the term “terminal?must also take into account the effectiveness of current medical therapeutics.
(8b)使用“(f)l状态”这个术语时Q还需考虑现有ȝ手段是否有效?/FONT>
以上3例中Q原文划UK分均为名词化l构。用这U结构除前文谈到的客观性、严肃性特点外Q还可避免提?qing)无关紧要的施动者,而把注意力放在动作的对象或结果上面,使表达更加清晰、具体。名词化l构在英语中h重要CQS.Potter在“Changing English”一书中曾指语“名词优势于动词”(preponderance of nouns over verbsQ的們。而通过汉语译文我们发现Q汉语更們于用动词结构,或者说是保留小句结构。这个不同点体现了两U语a在意c(din)结构上的相异,有其深层原因?/FONT>
首先Q汉语作ZU最~Z屈折形态的语言Q其语法l构在各个方面都表现强的象似?iconicity)。例如,汉语里说“地球表面”,是遵循“先整体后部分”这个象似性原则的l果。而英语既有”the earth’s surface”,又有”the surface of the earth”,可见在这里,q个原则对英语不hU束力。又如,戴浩一比较令h信服地证明了Q现代汉语较严格地受“时间顺序原则”的制约Q而英语的表现不如汉语强烈。显而易见,以动词和其他成分l织的小句更易于体现q些象似性原则,而通过名词化“打包”的语言则不然?/FONT>
此外Q汉语中名词化不甚显著,也和汉语“以动词Z心”的语法特征密切相关。对此,冯胜利(1997Q有如下的论qͼ(x)
…事实支持了q种推测Q汉语以“动词ؓ(f)中心”的语法特征Q吕叔湘先生在《中国文法要略》就有所Q?3)。陈健民先生在《汉语口语》中又进而提出:(x)北京口语有些句法的变化,如:(x)“排?sh)媄”、“搓肥皂”、“买头个儎쀝、“歇C拜”等{,则是׃中国人“动词ؓ(f)中心”的语言心理造成的?
因此Q汉语在很多情况下保留动词结构、“拒l”名词化Q是有其深层理据的?/FONT>
5Q结束语
语法隐喻是语a里客观存在的现象Q名词化l构是这U语法隐d用的代表。其作用在于利用隐喻手段把一U语法类型或语法功能转化成另一c,从而生成新的经验类别。名词化是科技p的重要特征,体现了语体对成分功能的选择Q而英汉两U语a在名词化上表现的不同Q又反映了两U语a在意c(din)结构上的差异。当Ӟq些差异l不意味着汉语里缺乏语法隐喅R相反,语法隐喻在汉语中是常见的Q比如把字句Q“一块西瓜就把我吃病了”)Q就已经qؓ(f)接受Q成为“无标记?unmarked)的语法隐d。这些问题都值得q一步研I?/FONT>
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