俄语被动句的多维研究

【作者】 王志坚；

【导师】 李勤；

【作者基本信息】 上海外国语大学 ， 俄语语言文学， 2011， 博士

【摘要】 被动句作为俄语中一种重要的句式,在语法研究中受到特别的关注。一般来说,语法研究多是对语言系统中句法现象的研究,而句法体系是句法单位各个层次相互作用、相互联系的封闭体系。俄语被动句的系统研究,不仅要研究句子,还要研究篇章等;不仅需要考虑到被动句的组织结构,还应该考虑到其意义结构或语义结构,这样才能对俄语被动句进行多角度的描写和解释。被动句的构成要素有三个。从句法上讲,被动句是由主语、谓语和补语这些成素构成的。从语义上讲,它包括主体、客体和动作,客体是句子陈述的对象,主语表示受事客体。被动态属于动词词形变化范畴,是及物动词聚合体的构成部分。从功能语义场角度来看,表示被动语义的不同层级要素之间相互联系、相互影响。功能语义场是有层级的,分为中心和边缘部分。功能语义场的核心之一是主动意义/被动意义的对立。被动意义次场的中心是被动动词形式聚合体。俄语还有一些被动句变体形式,但都属于被动句的边缘或非典型现象。这些边缘性被动句中,我们重点研究了性质被动句和意义被动句。性质被动句是俄语被动句中一种特殊形式,其句法特征表现为无施事、未完成体、现在时等,其语义特征是:语法主语通过谓语动词呈现出的某种属性特征。意义被动句严格意义上不属于被动句范畴,它是通过词汇、语调等手段表示被动意义。本文主要研究了表被动意义的动名结构,该结构中,动词的词汇意义已经失去独立性,成为功能性动词。俄语被动句有两种不同意义类型:一种是动态被动句,一种是静态被动句。前者表现为行为的过程性意义,后者表现为行为的结果和行为的状态(静态)。俄语中,绝大多数被动句表示的意义为静态意义。其中静态被动句有可分为结果性意义和静态意义,二者的区别在于能否进行态的转换。在言语交际过程中,句子的产生要经过四个层次:语义角色层→主客体层→主语补语层→主题述题层,其中,二三层次之间的对应关系叫做角色配位,即句法层单位和语义层单位之间的对应模式。角色配位研究关于句法和语义接口问题,跟态关系密切。本文运用普遍语法原则理论来描写被动句的生成过程。俄语被动句的生成条件是:及物动词被动化和NP移位。首先是主动句中的及物动词必须经过被动化处理后,导致NP移位,即客体补语移动到主语位置,提升为主格。其中要经过题元理论、投射原则、格过滤、约束理论等核查检验,最后,通过语音形式和逻辑形式的处理,转换生成为被动句。这就是被动句的生成转换的全过程。被动句的实质是提升客体地位。只要客体变成主语,主体就自动失去了句法第一位,主体被抑制后,成为一个处于核心之外的情景参与者即附加语。要实现多层次地描写句子的句法结构还要考虑到句子的语义结构。语义结构是深层结构,是言语手段进行编码的表现手段。语义模式的研究从分析句子的语义层单位入手。被动句的语义结构的完整模式为:受事客体+被动化动词+施事主体。在这个语义模式中,动词词汇对被动构式的形成有很大的影响,它决定了被动结构之间的关系,是句子其它所有成分的统领者。被动语义结构模式是由三个构成成素(施事、受事和被动谓词)的共同选择决定。这种选择关系主要反映在语法、语义和语用等方面。三者语义角色不同,彼此分工合作,互相制约限制,最终能够彼此兼容、构成一个合格的结构模式。这个模式的语义特征表现为客体对象的受动性以及行为作用下呈现出的结果性或状态性。从认知语言学角度看,被动句不是由主动句转换而来的,而是人类认知发展的结果。认知语法认为,句法是以语义为基础的,而语义是概念或意象的形成过程。选择被动句的动因是凸显被动参与者对事件发生所起的积极作用,因而在该结构中,被动参与者被选择为句子的前景(即主语)。通过前景和背景区分的凸显原则来选择不同的语态。凸显原则对主语的选择有很大的影响。被动句的认知功能是从动作承受者和状态的视角表现事件,把承受者当成关注的对象加以凸显,即凸显事件的结果或受动性。被动句的显著特点是:受事主语的述谓特征表示状态。因此,被动句的理想化认知模式为“致使因素→变化→状态”。致使性事件不仅是主动句典型性事件,也是被动句典型性事件。该事件的前提条件是力或能量的传递,而力的传递具有方向性,在语言上体现为态的变化。主动态和被动态由不同方向的力决定。主动态由右矢量动词体现出来,而被动态则是由左矢量动词体现出来。矢量动词方向的变化导致态的变化。右矢量动词一般为及物动词,而左矢量动词则是通过及物动词被动化后形成的,即通过增加被动形态词缀构成的。象似性原则是人类认知普遍规律的语言表征原则,体现为语言形式和所指意义之间存在一种象似性对应关系。象似性原则同样体现在俄语被动句中,主要表现为顺序象似性、数量象似性、距离象似性和标记象似性等。句法研究跟语体研究的结合是语言研究功能化转向的一个体现。被动结构的研究离不开语体。被动结构在不同语体中出现的频率是不同的,这跟被动结构本身蕴含的语义特征“中立化、客观化”有关。因此,这种特征跟科技、公文事务语体语言特征要求相吻合,被动结构故而较多地出现在这些书面语体之中,而在口语体中则很少见到。不同的句法结构可能造成不同的效果,作家利用这种可能并加以创造发挥,以此实现他的创作意图。从功能修辞角度来看,俄语语体间的相互作用中,一些语言因素由某一语体进人另一语体后往往发生修辞功能的转化。被动结构常出现在科技、公文语体中,如果频繁出现在文学篇章中,就会形成“陌生化”效果,产生一种新的附加意义。在艺术篇章中,作家有时会故意选用被动结构,聚集使用,巧妙利用句法功能,从而实现被动句在艺术篇章中特有的审美价值。语言的功能是在交际过程即篇章中实现的,而篇章功能则通过交际语用功能来实现篇章的衔接与连贯。篇章的特征表现为语义和形式上的连贯性和完整完整性。被动句可以用于不同的交际目的,通过实义切分手段实现交际语用功能:交际意图功能、突出主题功能、凸显焦点功能等。篇章的连贯性是指篇章构成成素之间的连贯。俄语被动句可以确保篇章的统一和连贯。它在篇章中的衔接与连贯作用主要体现在主题推进、主题转换等方面。本文的研究对俄语语法教学和句法研究具有一定启发作用;在类型学和其它句法语义研究也具有一定的借鉴作用;在人机对话、机器翻译等实用技术领域也会产生积极影响。更多还原

【Abstract】 The passive voice is an important grammatical phenomenon in linguistics, a feature of Russian semantics and the focus of linguistic theory.In general, the grammatical research is often concerned with the syntax of the language system, which is the interaction between syntactic units linked at all levels of the closed system. The multidimensional description and explanation of the passive structure requires the research into both the organizational structure of passive sentences and the semantic structure of the sentence or the semantic structure, because the deep structure of the semantic structure is our way of thinking in the form of communication. Our study needs not only to take into account the various levels of syntactic units and their interactions, but also to take care of extra-linguistic factors or the external factors. This is the multi-level perspective of a systematic study of passive sentences in Russian.The category of states involves the relationship of subject, object and action. It describes the status of the thing concerned: the semantic subject or semantic objects. State is closely related with verb forms. It is a kind of specific grammatical category, with the change of verbal forms as its mark. Accordingly we divide the category of states into state and non- state. The former indicates the relationship of the three elements, while the latter fails to do so because of the absence of one or more elements. States can also be classified into the active voice and the passive voice according to the different relationships of the three elements. Both of them have their own orientation.The passive voice is the category indicative of verb inflections and the constituent element of the polymer of the transitive verb. That is to say, this category is relevant to the transitive verb. This makes the two voices mutually exclusive.From the point of view of the semantic field, those elements at different levels of the passive voice are interrelated. The functional hierarchy of the semantic field is divided into the center and the margin. One core of the semantic field is the antagonism between the active meaning and the passive meaning. The center of the sub-field of the passive meaning is the polymer of passive verbal forms. The typical passive sentence structure is the dual-element passive structure, namely the structure which lacks an agent. Tri-element and mono-element passive structures are atypical. Based on the presence or absence of the subject, the passive sentence is divided into two categories: personal and non-person passive structures.There are also other variations of the passive structure, but they all belong to the marginal or atypical phenomena of the passive structure. Among these passive structures, we study the essential passive sentence and the semantic passive sentences. The essential passive sentence is a special form of Russian passive sentence. Its syntactic form is NP + (Adjuct) + VP-ся; its syntactic feature is as follows: the imperfective tense with-сяverbs, the simple present tense, the absence of the agent complement, the subject with non-animal nouns. Its semantic characteristics are: its grammatical subject involves a predicate with-сяverb; it indicates constancy and universality; it does not describe specific events, but summarizes the main features of imaginary events; its pragmatic function is the comment on the grammatical subject and the major participants. Its cognitive motivation is to highlight the role of the participants and shadow the role of agent object. Therefore, the structure does not allow the emergence of the thematic role of the agent.The semantic passive sentence lacks the normal markers of the passive voice. The passive implication derives from words, tone and other means. The verb’s lexical meaning has lost its independence and become functional verbs. Strictly speaking, this does not belong to the passive sentence category.Russian has two different types of passive structure, the static and the dynamic. The former represents the result and the state of the action, while the latter describes the process of the action. Most of the passive structures in Russian are static. The passive sentence structure denoting the result of action is also different from the static passive sentence structure. Their difference lies in the fact whether there is any tense conversion.In the process of verbal communication, the production of sentences has to go through four levels: the semantic roles→subject and object→subject complement→subject statement. In accordance with the four levels, this dissertation studies the Russian passive structure. It is divided into the following parts: the conversion of the passive structure, the semantic structure, the communicative structure and the pragmatic structure. Although the overall idea of our research is based on these four levels and progresses from the forms to the meanings, we also employ onomasiological methods. The relationship of the second and third levels is called the role coordination. The syntactic and semantic levels correspond to each other. This also involves the correspondence of the deep structure with the surface structure. Therefore, the role coordination theory can be said to be concerned with the interface of semantic and syntactic issues. The role coordination is a common concept in universal human languages and belongs to the deep abstract level. The verb in any language has at least one role in coordination, but the means of coordination are usually decided by the specific language and the concrete words. The marked role coordination is called the state, which is the means of mark for the verb. This is the essential difference between the role coordination and the state. This shows that the scope of the role coordination is greater than that of the state category. The latter is included in the former.The passive structure is a conversion of the active structure and the passive structure can also be converted to the active structure, but this is subject to certain conditions. The condition for the establishment of the passive sentences in Russian is the semantic structure of the verb. This structure must be causative. For example: those verbs which are not independent and transfer no energy can not be converted to a passive sentence. In the process of converting an active voice sentences into the passive voice, all the elements which have close ties with the subject will affect the semantic explanation of the sentence. Such conversion cannot be achieved when the subject and object of the action are those nouns representing animals and have the features of life, or when the sentences include some adverbs denoting emotions, attitudes and consciousness. The passive structures describing the static condition or other states emphasize the state or attributes of things and do not refer to the object of the action, so they can not be converted to the active structure. Those fixed structures with the passive voice can not be converted to the active voice, either.In the language structure, the active structure is original, while the passive structure is derivative. This is a product of the process of human cognitive development. The bounding theory can be used to describe the production and conversion of the Russian passive structures. First of all, the active sentences should be generated. Then the transitive verbs in them undergo the passivation process. The object is moved forward (i.e.NP shift) to the subject position and the original subject is forced into the complement position. When the phonetic and logical changes are carried out, the active voice is converted to the passive sentence. This is the generation and conversion of the passive sentences. The nature of the passive structure is to enhance the status of the object. When the object becomes the subject, the subject will automatically lose its status as the first element and the core of the syntax and become a participant.The study of the syntactic features of speech units is not sufficient for the achievement of a multi-level description of the syntactic structure of sentences. The study of the semantic structure of sentences is also necessary. The semantic structure is both the deep structure and the indication of encoding means of the speech. The study of the semantic pattern begins from the semantic unit. The verb which undergoes the passivation process determines the semantic roles of the subject and the object of the passive structure. In other words, the scene structure determines the semantic structure of the passive sentences. The complete model is: the affected object + the passive form of the verb+ the causative subject, or P + VP + A. The semantic features of the model denote "non-automaticness", "passivity", " results”,“state ", "process" and so on.In this semantic model, words have great influence on the generation of the passive structure, because the polymer of the state of each verb is determined by the lexical meaning. The verb determines the relationship between syntactic structures and commands all other units of the sentence. The semantic features of these verbs are transitivity, autonomy, controllability, activity, result, causation and so on.The composition of the passive mode of semantic structure is not arbitrary but determined by the choice of three components (subject, object and the passive form of the verb). This choice is affected by semantics, syntax and pragmatics. Each has its own semantic role, but they are also mutually cooperative, restrictive and compatible enough to form a qualified structure. The semantic feature of this semantic structure lies in the passivity, result and state of the object.From the perspective of cognitive linguistics, the passive structure of human language as one of the basic types of sentences is the result of human cognition development. Cognitive grammar holds the opinion that syntax is based on semantics, while meaning is the formation of concepts or images. The image formation depends on choice, perspective, highlight, exactness and other parameters. Parameters change with images, images changes with semantic structures, semantic structures change with sentence structures. The motivation for selecting the passive structure is to highlight the active role of the participants in the passive voice in the development of the event. Therefore, in this structure, the passive participants are selected as the foreground of the sentence (the subject). By the highlight of the distinction between foreground and the background, different voices are selected. The principle of highlight has great effect on the choice of the subject. The cognitive function of the passive voice is to describe the event from the point of view of the object of the action, highlight the object, regard it as the focus, and emphasize the result.The features of the passive sentences are: the predicate of the subject describes the state; even if the verb denoting an action loses such an attribute and describes the state. When the agent is absent, the focus of attention is on the process, mechanism and results of the action. Therefore, the ideal cognitive structure of the passive sentence is "the causative factor→changes→state." Causative events are not only the typical event of the active structure, but also that of the passive structure. The precondition for the event must be the transmission of force or energy and the force transmission is directional. The reflection of this in the language is the change of the state. The generation of the active and passive voices are determined by the different directions of forces. The active voice is reflected by the right-vector, while the passive voice is reflected by the left vector. The changes in the directions of the actor verbs result in the changes of the states. The right vector is generally a transitive verb, while the left vector is formed through the passivation of the transitive verbs, that is, by adding the affixes of the passive form.The similarity principle is the embodiment of the general rules of human cognition in language. It finds full expression in the correspondence of form and meaning. The similarity principle also exists in the passive structure of Russian. The main features of this principle are the similarity in order, number, distance, marks and so on. The similarity principle provides an important theoretical support for linguistics and is especially helpful for the study of language typology.The close integration of language study with stylistic research is also a reflection of the functional turn of language research. The study of the passive structure cannot be separated from stylistics, either. The frequency of the passive structure under different styles is different. This is closely connected with the semantic features of the passive voice. That is to say, the passive structure stresses an objective fact and endows the object of description with neutral and objective characteristics. Therefore, this feature is in accord with the stylistic feature of scientific and technological language. So the passive structure more frequently appear in the written language than in spoken language.Different syntactic structures can create different effects, so the writer can take advantage of this possibility, employ it in the literary creation and realize his creative intent. So far as the functional rhetoric is concerned in the interaction of the different Russian styles, the rhetorical function of some styles often change when some linguistic elements move from one style into the other. The passive structure which is often found in science and technology will create the defamiliarization effect and some new implication if it occasionally appears in literature. In literary works, writers sometimes deliberately use the passive structure, put it in the focus, make use of the syntactic function, make the reader truly feel the attitude of writer toward the characters and sense the aesthetic value of the passive voice in the art. It is in this way that the expressive function of the art is realized.Language function is implemented in the communication process. The analysis of the implication of the passive structure in the communication process needs the consideration of the semantic and the pragmatic features. All the characteristics of the language are realized in the communication and embodied in the text. The textual function is achieved through the pragmatic functions of communication in coherence and cohesion. Text is a closed, integrated and advanced communication unit, the main characteristic of which is the coherence and integrity.The passive sentence originates in the active voice, so it is very important for adjusting the angle of the event. This is directly reflected in the division and and distribution of the communicative structure which makes it unique in the discourse of communication: to ensure unity and transition of the text. Although words play an important role in the organization of the text, the passive structure can be used for different communicative purposes, so the passive structure endows the object of description with communicative features and functions. The most remarkable is to realize the actual division of meaning to achieve communicative and pragmatic functions. The passive sentences are cut into two parts, the subject and the comment. The former is what is known, while the latter is what is unknown. This can reveal the communicative intent of the passive structure, highlight the themes, put the pragmatic and communicative functions in the focus. The function of the passive sentences in cohesion and coherence is mainly reflected in the development and change of themes.A comprehensive description of the Russian passive sentence must take into account all the close ties between the syntactic levels. We need to study not only the vocabulary, morphological and syntactic structure, but also the semantic and pragmatic features in order to achieve a multi-angle, multi-level and comprehensive study and description of the passive structure of the Russian language.This study might be stimulating in Russian grammar teaching and syntax study. It may also be useful to the study of syntax, semantics and typology. It might play an active role in the man-machine dialogue, machine translation and other practical technologies.更多还原