汉语被动范畴的重新认识与比较研究

【作者】 阮文善；

【导师】 刘大为；

【作者基本信息】 华东师范大学 ， 汉语言文字学， 2004， 硕士

【摘要】 主动与被动是人类语言中十分重要的两个范畴。同其它范畴一样，人们也可以通过对主动范畴和被动范畴的研究来揭开人类如何认知外部世界的奥秘。本文的目标是从认知角度对汉语被动范畴进行重新认识，进而对现代汉语被动句式做进一步的比较研究。 本文分四章进行讨论。 第一章，理论建构。本章从人类的认知心理角度对行为事件、意象、事件的方向性等问题进行理论性的探讨。同时，从不同层面对参与者与行为以外的对象、发出者与接受者、受影响者与间接受影响者加以界定。本文根据人类的认知方式建立了“主对象”和“次对象”这一对概念并以此作为参照去确定认知方向；以作用力的作用顺序为参照去确定世界中的行为的方向。接着，去论证人类的另一个理想化的认知模式，即“接受者(受影响者)—(←)负方向行为←发出者／使因者”这一负方向认知模式，并指出负方向认知模式与正方向认知模式是相互独立的，人们一般通过这两种认知模式去认识包括人类在内的世界。本章最后小节集中论证被动意象产生的认知基础，进而揭开被动句式、主动句式、负方向行为事件、正方向行为事件的内在联系。本章所讨论的这些论点将直接关涉到人类语言如何描述被动意象的问题。 第二章，类型分析。我们考察了越南语、汉语、英语、法语等语言的被动句句法结构及语义结构并参考了大量的有关文献，将研究结果做类型学上的分析，特别论述语法标记这一手段在不同语言的类型及其功能，并以此为理论和实践的依据对现代汉语被动句式的语法标记提出了关于助词“被”、介词“被”及“给”和“所”两个助词三条假设。 第三章，汉语解释。本章在认知语言学的理论基础上就现代汉语的被动句式进行讨论，指出汉语被动句式在语言类型学上的共性与个性。第一节，讨论目前引人关注的两个问题，即“被”字的词性问题与“被”字的语法化问题。本节首先从“被”字的语用功能及语法功能论证了[Np+“被”+Vp]句型中的“被”不是介词而是个助词。“被”字附着在动词或动词性词组前作为一个语法标记表示动词方向的改变，即表示认知方向上的被动意义。在这个意义上，“被”字应该是个助词。本节进而从汉语“被”字的演化历程讨论助词“被”的形成及“被”字语法化的相关问题。本文认为，“被”字的发展演变是个分化的连续统，从动词“被”虚化成助词“被”的认知动因是动词宾语词义的突出与负方向动词“被”意义的虚化相结合而形成的。第二节，集中对现代汉语被动句式的两种语法标记一助词“被”与介词“被”进行讨论。第一小节主要论证助词“被”的语用功能及语法功能，确立助词“被”在被动句式中的功能。助词“被”的建立既有汉语言研究的意义，也有语言类型学上的意义。第二小节中，就汉语介词“被”的语法功能进行讨论并指出，介词“被”的语法功能是引介施事者作为标记表示行为方向的改变，句法因此而具有了被动意义。此功能是本文目前所了解的一些屈折语言和粘着语言的介词所没有的。为了讨论的深入，本章第三节就汉语被动句式的主语成分的语义角色问题进行探讨，从而建立汉语被动句式的语义等级。第四节，探讨现代汉语被动句式的话题化语用手段。据研究，这是汉语和越南语的被动句式的一大特点，是这些语言利用词语无形态变化的优势将经验临时组合起来表达被动意义的有力手段之一。对这类被动句的表达和理解要靠句法成分之间的语义关系和语用标记。 第四章，类型描写与总结。本章以越南语为主分三节对一些语言的被动句式做进一步的描写和分析。第一节，集中描写现代越南语表达被动范畴的各种语言手段，指出汉越两种语言的被动句式之异同。第二节，从语言类型学角度探讨人类语言中，间接被动句存在的普遍性。第三节，对汉语和越南语两种语言中被动句式的语义结构进行探讨，指出语义结构是因语言而异的，语义结构是建立在约定俗成的意象基础之上的。 本论文仅仅是对现代汉语的被动句式做了一些尝试性的研究，为现代汉语助词“被”的语用功能及语法功能建立一个理论框架，论证了助词“被”和介词“被”是构成现代汉语被动句式的两个语法标记。两者在语用功能上是相同的，但语法功能则不同。助词“被”附着在动词或动词性词组前起着改变正方向行为动词的方向的作用而介词“被”则要通过引介行为的发出者或使因者来表示该行为的作用方向的改变，从而对受影响者或间接受影响者施加影响，造成了行为的被动意义。因本人的汉语水平及研究能力所限，对许多论点的讨论触其皮毛，尚未深入。敬请老师们批评指征。在此，深表谢意l更多还原

【Abstract】 This research paper is based on the theory of cognitive grammar and aimed at studying passive voice with "bei" in modern Chinese in the angle of typology. The objective of this research paper is to clarify in what ways the auxiliary verb is similar its partners (auxiliary verbs and participle) in infecting languages or those in agglumutive languages while functioning as a signal of grammar markedness in building passive sentences in Modern Chinese.So far, a number of linguists, both inside and outside China, have studied passive sentences in the Chinese language, yet their results have not reached an agreement. In Viet Nam, there have been various researches on this issue and most of them are carried on by description, comparison and contrast. After studying linguistic methods concerning passive voice in Modem Chinese, Viet Nam, French, English, Japanese, Korean, Latin and some other dialects of China, we have realized that Modern Chinese and Modern Vietnamese belong to the group of isolating languages, but they both share grammar modes with agglumutive and infecting languages; that is they use a certain grammar markedness Ur create passive sentences.In chapter I, we concentrate on philosophical and psychological theories related to the creation of passive voice. Time and sphere are two typical characteristics of any activities; therefore, all activities, including acquisitive action, happen in a certain direction (orientationX Wbgn acquisitive orientation goes vice verse with that of the activity, there will be a passive image expressing gestures out of someone’s intention and these gestures will affect the subject. Each language bears one or several grammar markednesses to express this passive image.In chapter II, we consider grammar markedness in passive sentencesof modem Chinese in the angle of typology. Through the analysis of grammar functions, grammar correlation of grammar markedness in passive sentences of agglumutive, infecting and isolating languages, we believe that grammar function of "bei" in the Chinese language is, to some extent, similar to that "bi" in Vietnamese; modal verbs + past participial in English, French, Spanish, German, Japanese and Korean. From this analysis we can say for sure that "bei" is an auxiliary verb; one of grammar markednesses in Chinese. Furthermore, we study preposition "bei" basing on this result and use prepositions to express the relation between the agent and action, thus pointing out the passive state of subject. This can be considered common grammar methods in isolating languages.In chapter III, we carry out the research on grammar markedness of auxiliary verb "bei" in grammaiticalization from verb "bei" in old Chinese and "bi" in Vietnamese. As the result, the structure ( bei/ bi +verb), (verb bei/bi expresses the acquisition, verb expresses the affect and the main reason for creating auxiliary verb "bei" and "bi")This research paper combines methods of studying cognitive languages, typological languages, and grammarticalization on the basis of description, comparison and contrast. We would like to express a belief that this research paper will not only focus on auxilaryverb "bei" but also open a new trend of language phenomena with typology basing on grammaiticalization and explanation of these phenomena with modem philosophy.更多还原