【作者】 李金莲；

【导师】 盛玉麒；

【作者基本信息】 山东大学 ， 语言学及应用语言学， 2010， 博士

【摘要】 汉语和日语中都有被动句,然而我们在汉日对译或日汉对译文本中会发现有时候二者并不能相互对译,中日被动句存在明显差异。本文在真实文本双语平行语料库的支持下,从对比语言学的视角,运用当代语言学理论,以被动句的三个组成要素：主语、施事和谓语动词为切入点,对中日被动句进行了全面的考察、分析和对比。发现被动句不是单一句法问题,在言语交际中它的使用受到语义、语用等非句法因素的调控和制约。这是中日被动句产生差异的根本性原因。全文共五章。第一章绪论；第二章研究综述；第三章非句法因素对主语选择的限制；第四章非句法因素对施事选择的影响；第五章非句法因素对谓语动词的限制。第一章阐述本课题的研究缘起、目标和意义,介绍本文的理论基础、研究方法、语料的来源和处理方法。第二章从被动句的范围、语义特征、谓语动词的限制等方面,分别对中日被动句的研究现状进行了概述。第三章对中日被动句的主语进行了全面的考察和分析。中日被动句在主语的选择上存在明显差异：汉语受“有定性”条件的限制,日语受“视点与名词等级”原则的制约。汉语在叙述某事件时,通常把最旧的信息(有定的成分)作为主题(主语)放在句首,把信息的新旧反映在语序上,这关系到主动句与被动句的选择,当把动作的承受者放在句首时,这就是所谓的被动句。日语在叙述某事件时,把什么作为主题(主语)受“视点”的制约,所谓视点即说话人的立场,说话人站在谁的立场上叙述该事件,这关系到主动句与被动句的选择,当说话人站在动作承受者的角度来叙述事件时,便使用被动句。日语的被动句担当了明确说话人立场的作用。视点的确立与说话人对谈话参与者感情移入的强弱度有关,它们形成所谓“名词等级”,处于等级上位者被选为视点的优先度要高于处于下位者。这个等级是以“我”为中心的,是由“内”向“外”的等级。日语是从以“我”为中心的视点来把握事件的,所以说日语在表达上比汉语主观的多。主语选择原则的不同是中日被动句产生差异的最重要的原因,依此中日被动句存在的很多差异都得到圆满的解释。第四章从施事名词的语义特征和施事所充当的题元角色两个方面对中日被动句的施事进行了考察和分析。发现语义因素对被动句施事的选择等是有影响的。不管汉语还是日语,被动句施事所充当的题元角色都呈现出多样性。但汉语的被动标记“被”等没有引进“依据”和“起点”这两个题元角色的功能,这与“被”等的来源及本义有关,也可以说是汉语被动句的基本语义使然。正是因为被动句的施事不仅可以承担“施事”(动作行为主体)这一题元角色,还可以承担其他多个题元角色,所以充当被动句施事的名词在语义特征上也呈现多样性,这在汉语和日语中都是一样的。日语被动句施事标记有若干个：■等,在表示不同的题元角色时它们的优先度是不同的,这与其本义有关。第五章从及物性的有无和语义特征两个方面对中日被动句的谓语动词进行了考察和分析。一、不管在汉语中还是在日语中,充当被动句谓语的,绝大多数是及物动词,只有极少数是不及物动词(汉语还有形容词)。在中日双语中,不及物动词被动句(汉语包括形容词被动句)都是被动句在语用上扩展,但二者存在不同。在日语的不及物动词被动句中,在语义上谓语与主语没有支配关系,主语是谓语所表动作行为的间接受影响者,而且所受影响都是不好的。日语的不及物动词被动句,在语用上是用来表示主语因某事件的发生间接地遭受麻烦或受害的。在汉语的不及物动词被动句中,在语义上谓语与主语也没有支配关系,这一点与日语相同,但主语一般是谓语所表状态等的主体,而“被”后成分是引发该状态的原因,“被”起了引进“原因”的作用。二、在被动句谓语动词(及物动词)的语义选择上,中日双语存在差异。在汉语中受语义、语用等因素的影响,有些动词不容易进入被动句,如给予类动词、生产类动词和放置类动词。但日语被动句却不受以上因素的影响。结语部分阐明了本文的研究结论,概括了创新点及意义所在,并指出了研究中存在的不足之处及今后努力的方向。本文使用中日双语平行语料库,对所检索到的权威规范译文的中日被动句用例进行双向对比,取得了定量定性分析结果。发现中日被动句都不是单一句法问题,不但受到语义、语用因素的制约,还与认知模式有关。被动句的非句法因素在不同语言中表现不同,在汉语中主要表现为被动句主语选择的“有定性”原则,在日语中主要表现为被动句主语选择的“视点与名词等级”原则。本文从根本上揭示了中日被动句存在的差异以及产生差异的原因。本研究成果可以直接应用于日语教学、对外汉语教学和翻译等领域。我们也希望本研究成果能够对语言类型学的研究等有所贡献。更多还原

【Abstract】 There are passive sentences in both Chinese and Japanese, but as we can find in Chinese-Japanese translation and Japanese-Chinese translation, passive sentences in the two languages are sometimes not equivalent to each other and they exhibit great differences. From the perspective of comparative linguistics, this dissertation, based on authentic texts from two bilingual parallel corpora and focusing on the indispensable components of subject, agent and predicate, makes a comprehensive study, analysis and comparison of passive sentences in Chinese and Japanese. It is found that passive sentence is not just a syntactic phenomenon and that its use in verbal communication is adjusted and restricted by such non-syntactic factors as semantic and pragmatic features. This is the essential reason for the difference between Chinese and Japanese passive sentences.The dissertation consists of five chapters. Chapter 1 is introduction; chapter 2 is the literature review; Chapter 3 is on restrictions of non-syntactic factors to the choice of subject; Chapter 4 is on the influence of non-syntactic factors on the choice of agent; and Chapter 5 is on the restrictions of non-syntactic factors to the predicate verb.Chapter 1 presents the background, objective and significance of this research and introduces the theoretical basis, methodology and the source and processing method of the corpora.Chapter 2 is a review of the studies of passive sentences in China and Japan from the aspects of the range of passive sentences, semantic features, and restrictions to the predicate verb, etc.Chapter 3 conducts a comprehensive study and analysis of the subject of Chinese and Japanese passive sentences. The difference in the choice of subject of passive sentences in Chinese and Japanese can be analyzed as follows:in Chinese the subject is determined by the principle of "definiteness", while in Japanese the subject is determined by the principle of "viewpoint and noun hierarchy". When relating an event in Chinese, the oldest information (definite element) is usually regarded as the theme (subject) and thus put at the beginning of a sentence. Therefore, whether the information is old or new is expressed by word order and it determines the choice between active and passive sentences. When the patient of the action is put at the beginning of the sentence, a passive sentence is used. When relating an event in Japanese, the theme (subject) of passive sentences is determined by the principle of "viewpoint and noun hierarchy". The viewpoint, i.e. the standing point of the speaker when relating the event, influences the choice between active and passive sentence pattern. When the speaker takes the position of the patient, the passive sentence is used. That is to say one function of the Japanese passive sentences is defining the speaker’s position. The viewpoint is related to the speaker’s degree of empathy to the interlocutor. They form a so-called "noun hierarchy", and compared with the lower class, the upper class has a prior claim to the viewpoint. The so-called "noun hierarchy" centered around "I" with rating from "inside" to "outside" shows that Japanese takes "I" as the center of viewpoint when relating events. So it can be said that Japanese is more subjective than Chinese in terms of expression. The difference principle guiding the choice of subject in Chinese and Japanese is the most important reason for the difference in passive sentences in the two languages, by means of which many differences in passive sentences in Chinese and Japanese can be explained satisfactorily.Chapter 4 studies and analyses the agent of passive sentences in Chinese and Japanese from two aspects:the semantic features and the thematic roles of agent. It is found that semantic factors influence the choice of agent of passive sentences. The diversity of the thematic roles of agent occurs in both Chinese and Japanese, but the passive mark "被" in Chinese does not have the function of introducing the two thematic roles of "basis" and "starting point". This is closely related to the origin and original meaning of the word; in other words, it is attributable to the basic semantic features of Chinese passive sentences. Because the agent of passive sentence may not only undertake the thematic role of "agent" (subject of the action), but many other thematic roles as well, the noun agent in passive sentence exhibits diverse semantic features. This is true in both Chinese and Japanese. There are several agent marks in Japanese passive sentences, such asに、かぅ、で、にょって、のをめに, etc., which are preferred as different thematic roles according to their original meanings.Chapter 5 explores the predicate verb of passive sentence in Chinese and Japanese from the aspect of transitivity and semantic features. First, in both Chinese and Japanese, the vast majority of predicates of passive sentences are transitive verbs, and only a few are intransitive (also adjectives in Chinese). The intransitive passive sentences in Chinese and Japanese (including adjective passive sentences in Chinese) are both pragmatic extensions of passive sentences, but they are different. In intransitive passive sentences in Japanese, there is no semantic governing relation between the subject and the predicate, and the subject is influenced indirectly and negatively by the action of the verb. From a pragmatic view, intransitive passive sentences in Japanese indicate the subject experiences trouble or damage indirectly due to a certain event. Like that in Japanese, in intransitive passive sentences in Chinese, there is no semantic governing relation between the subject and the predicate but the subject is usually the subject of the action or state indicated by the predicate, and the element after is used to introduce the cause, so "被" performs the function of introducing cause. Second, there is difference in the choice of the meaning of the predicate verb (transitive verb) of Chinese and Japanese passive sentences. Some verbs in Chinese, such as verbs of offering, producing and placing, are not used in passive sentences due to the influence of semantic and pragmatic factors, but such influence does not exist in Japanese passive sentences.The conclusion reports the results of the research, summarizes originality and significance of the research, and points out the limitations of the present research and directions for further research.The dissertation makes a two-direction comparison of the authoritative translations of example passive sentences in Chinese and Japanese found in two Chinese and Japanese parallel corpora, and has obtained quantitative and qualitative analysis results. It is found that passive sentence is not just a syntactic phenomenon in both Chinese and Japanese; it is not only restricted by semantic and pragmatic factors, but also related to the cognitive pattern. Non-syntactic factors show different ways of expression in different languages. In the choice of subject of passive sentence, in Chinese, they are expressed by the principle of "definiteness", while in Japanese, they are expressed by the principle "viewpoint and noun hierarchy". The dissertation reveals the differences in passive sentences in Chinese and Japanese and the essential reasons for these differences. The findings of the present research can be directly applied to fields of Japanese language teaching, teaching Chinese as a foreign language and language translation, etc. We also hope that the results of this study would be helpful to the research in typological linguistics.更多还原