【作者】 毛颢；

【导师】 翟汛；

【作者基本信息】 武汉大学 ， 语言学及应用语言学， 2013， 博士

【摘要】 回指一直被看作是“大脑之窗”,是日常语言信息传递和交流中的一种普遍现象,是语篇连贯的一种重要手段,涉及到句法、语义、语用、认知等语言描写层面上的多维限制。在各种语言理论中回指问题都是关键问题。回指研究之所以具有经久不衰的魅力,因为它不仅是一个透视许多语言理论的窗口,更在于它不同寻常的广泛性和复杂性。为满足交际活动的需要,几乎所有的语言都形成一套复杂而完备的回指语系统,汉语和英语也不例外。作为指称研究的一个重要组成部分,回指现象是当代语言学,特别是自然语言处理的一个研究热点和难点问题。以往的回指研究中基于语篇的汉英回指对比研究尚不多见。目前还没有人对英汉语篇回指使用分布、回指释义确认做过系统的实证性的对比研究。有鉴于此,本文系统性、多维度、深层次地研究了汉英叙事语篇回指。本课题主要研究目的有两项；(一)为回指的使用和识别确认提出一个统一的分析框架；研究汉英两种语言在回指使用上所具有的不同分布、特性和规律；进一步应用该框架解析英语和汉语语篇中的回指；建立一种明细的表征手段和形式化操作模式,使语言研究在微观层面的分析更为精细化,具有更高的可操作性。(二)探讨回指与句法、语义、语用、认知等语言描写层面基础理论问题；提出一种面向语篇的回指选择、回指解析思路；建立能够把形式、功能和认知有机结合起来的理论路径。第一个问题回指的应用研究为课题的研究主线,第二个问题基础理论的研究则始终贯穿和蕴涵于前者。本课题的研究是一个关涉普遍语言问题和普遍语言理论问题的研究。本文以回指释义、回指选择、回指解析等相关经典问题为主线展开；运用了定量与定性相结合的研究方法,以语料分析为基础对英汉叙事语篇回指进行对比研究；比较了汉英两种语言在回指使用上所具有的不同分布、特性和规律；分析了汉英回指分布、回指解析的共性和个性。对汉英回指选择的重要方面进行了对比；揭示了汉英回指现象背后隐藏的语言类型的重要作用；加深了对语言本质的认识。对汉英语篇回指系统、深入、多视角研究,丰富了汉英回指的研究方法和研究案例。经过深入细致的论证和分析,参照向心理论、深层认知心理机制等相关理论和观点,首次建立了具有可行性和有效性的回指分析框架——“主题—谓语动词语义规则”,对回指解析研究具有普遍的指导意义。以“主题—谓语动词语义规则”回指解析模式弥补了以往回指解析研究方面的弱势,具有普遍的解释力。结果表明：本文推导出的语篇回指分析框架是可行的、有效的,本文的语篇回指分析框架和规则能用来识别、确认和解释语篇回指。这种模式不仅对回指的现状做出解释,而且对回指将要发生的连续或转移状态做出动态预测,并论证了该模式的有效性,解决了当前回指解析研究对语篇回指不能完全解析的问题。全文共七章。第一章,研究引论。对以往的回指研究进行了富有批判性的综述,对具有代表性的回指理论流派如生成语法的约束理论、新格莱斯主义进行述评,总体上介绍了本次研究的理论背景、理论意义和应用价值、研究目的和内容、研究方法和语料来源以及研究思路等。第二章对研究对象进行全面的描述,阐述和分析了回指的基本概念、回指特征和回指分类以及零形回指与省略等零形式的关系。第三章至第六章是论文的主体部分。第三章结合句法、语义和语用理论,从回指的句法语义、层次分析、认知思维与语篇理解等不同角度探析回指的释义问题,明确回指的释义和制约机制,为解释语篇中大量的回指现象提供有力的基本依据。深化对回指现象的认识,进一步探求和揭示回指的使用规律,为回指及零形回指解析提供理论基础。第四章以语料分析为基础对英汉叙事语篇回指进行对比分析研究,以语料为支撑分别对英汉语中的名词回指、代词回指和零形回指进行考察和具体对比分析。通过定量定性分析找出英汉回指的共性和个性并且做出合理解释。第五章分析了向心理论解析模式对英语语篇回指的解释力,从语篇回指的微观层面探索语言内部机制与外部机制(信息结构、认知机制、语用机制、语境因素及社会文化规约等)如何相互制约、相互影响,共同完成言语交际行为。第六章参照向心理论、深层认知心理机制等相关理论和观点,首次建立了具有可行性和有效性的回指分析框架。针对向心理论的局限,对向心理论引入两点修正,重点剖析“主题规则”和“谓语动词的语义指向规则”对回指确认的影响,从而建立回指解析的规则。为验证修正后的回指解析模式在自然语篇中的表现,选用真实自然的语料对“主题规则”和“谓语动词的语义指向规则”模式进行了实证性研究。结果表明：本文推导出的语篇回指分析框架是可行的、有效的。第七章,结语。总结了本研究的主要发现和价值并展望未来研究方向和前景。本研究用语料数据展示了英汉语篇回指的共性和个性,建立了具有可行性和有效性的回指分析框架——“主题—谓语动词语义规则”,对回指解析研究具有普遍的指导意义。其发现可以帮助人们更好的理解英汉语篇结构,也可以应用到第二语言教学、语言对比与翻译等研究领域。本研究可以为语言现象的解释提供新颖观察视角；为不同语言理论的比较与发展提供基础研究素材；为第二语言教学提供语言结构对比思路；为语言信息处理提供理论支持；属于前沿研究,具有理论意义和实用价值。更多还原

【Abstract】 Seen as "the window onto the mind", anaphora is a universal phenomenon in the transmission of information and the exchange of language. It is an important means of discourse coherence, which is related to the multidimensional restriction of syntax, semantics, pragmatics, cognitive and other levels of language description. And it is always a key issue in a variety of the language theories. The reason that anaphora study keeps timeless charm is, not only because it is the window onto many linguistic theories, but also because it possesses unusual extensiveness and complexity.To meet the needs of communicative activities, almost all languages have formed a complex and comprehensive anaphora system. Chinese and English are no exceptions. As an important part of the reference study, anaphora is a research hotspot and difficult problem in contemporary linguistics, in particular, natural language processing. Previous comparative study of English and Chinese from the perspective of discourse anaphora is still rare. No comparative empirical study on the distribution, interpretation and resolution of English and Chinese discourse anaphora has been done.In view of this, a systematic, multi-dimensional and in-depth study of the English and Chinese narrative discourse anaphora has been done in the thesis. This study has two main purposes:(i) to bring forward a unified analytical framework for the distribution, interpretation and resolution of English and Chinese discourse anaphora; to investigate different distribution, features and patterns of English and Chinese discourse anaphora; to further resolve English and Chinese discourse anaphora with the analytical framework; to put forward a detailed characterization methods and formal modes of operation; so that the study of language analysis at the micro level is more refined and more operational.(ii) to explore basic theory of anaphora and syntactic, semantic, pragmatic and cognitive aspects of language; to describe basic theoretical issues; to propose a thought of discourse-oriented anaphora selection and anaphora resolution; to establish a theoretical path to combine the form, function and cognitive. The former one is the main line of the research, the latter one always runs through and among the first one.This study concerns with the universal language issue and general language theory. Based on English and Chinese narrative discourse corpuses and the combination of quantitative and qualitative research methods, this thesis takes anaphora interpretation, anaphora choice and anaphora resolution as the main line, makes a comparative study of English and Chinese narrative discourse anaphora. It investigates different distribution, features and patterns of English and Chinese discourse anaphora;it analyzes the commonalities and individualities of English and Chinese anaphora distribution and anaphora resolution; it reveals the important role of language type hidden behind the phenomenon of anaphora; it deepens the understanding of the nature of language. All of these enrich the research methods and case studies of the systematic, in-depth, multi-angle study of English and Chinese narrative discourse anaphora.With the reference to the Centering theory, the deep psychological mechanisms and relevant theories, the thesis, for the first time, establishes a feasible and effective anaphora analysis framework of "theme-verb semantic rules", which has universal significance on the anaphora resolution research.With the framework of "theme-verb semantic rules", the present anaphora resolution mode makes up for the weakness of the previous research in anaphora resolution, acquires universal explanatory power. The results show that the derived discourse anaphora analysis framework is feasible and effective to identify, verify and interpret discourse anaphora. This model can not only explain the status of anaphora, but also make a dynamic prediction of a continuous or metastasis of anaphora. The effectiveness of the model has been demonstrated to solve discourse anaphora resolution which the current anaphora research can not fully resolve.The full text is divided into seven chapters.The first chapter, which offers a critical overview of the typical genres such as Binding Theory of Generative Grammar and New Grice Marxism, is an overall introduction of theoretical background of this study, the research significance, research status, research methods, sources of corpus, and research framework.The second chapter, a comprehensive description of the object of this study, elaborates the basic concept of anaphora, anaphora features, anaphora classification, zero anaphora and its relationship with ellipsis and other zero forms.The third chapter, combining syntactic, semantic and pragmatic theory, probes the interpretation and restraint mechanisms of discourse anaphora from the perspectives of the syntactic, semantic, cognitive thinking and discourse analysis. It provides a strong fundamental basis for further exploration of the use and rule of anaphora. And it provides a theoretical basis for the anaphora resolution and zero anaphora resolution.The fourth chapter, based on the corpus analysis, presents a comparative study of English and Chinese narrative discourse anaphora. With support of the corpus, it investigates nouns anaphora, pronouns anaphora and zero anaphora in English and Chinese respectively, offers a concrete comparative analysis. The commonalities and individuality of English and Chinese narrative discourse anaphora are explored and the reasonable causes hidden behind are revealed through quantitative and qualitative analysis.The fifth chapter analyzes the explanatory power of Centering Theory on English discourse anaphora. And it explores how the internal mechanism and external mechanisms of language including information structure, cognitive mechanisms, pragmatic mechanisms, contextual factors and socio-cultural protocol, etc., restraint, influence and act together from the micro level of discourse anaphora to complete the verbal communication.The sixth chapter establishes a feasible and effective anaphora analysis framework of "theme-verb semantic rules" with the reference to the Centering Theory, the deep psychological mechanisms and relevant theories. Contrary to the limitations of Centering Theory, it makes two amendments on the theory. Focused on the roles of "theme rule" and "verb semantic rule" in anaphora resolution, the thesis, for the first time, establishes a feasible and effective anaphora analysis framework on the anaphora resolution. Based on the natural discourse corpus, an empirical research has been done to verify the performance of modified model including "theme rule" and "verb semantic rule". The results show that the modified model is feasible and effective to identify, verify and interpret discourse anaphora. This model can explain the status of anaphora and make a dynamic prediction of a continuous or metastasis of anaphora as well. The effectiveness of the model has been demonstrated to solve discourse anaphora resolution which the current anaphora research can not fully resolve.The seventh chapter is a conclusion. It summarizes the major findings of this study, the value of this study, directions and prospects of future studies. The commonalities and individuality of English and Chinese narrative discourse anaphora are explored through quantitative and qualitative analysis. The feasibility and effectiveness of anaphora analysis framework "theme-verb semantic rules" achieve universal guidance significance on anaphora resolution.The findings can help people better understand English and Chinese discourse and be applied to second language teaching, languages and translation research, etc.. The study may provide a novel viewing angle for the interpretation of linguistic phenomena, a basic research material for the comparison and the development of different languages theories, a contrast idea of language structure for second language teaching, a theoretical support for language information processing. The study is cutting-edge research, with theoretical significance and practical value.更多还原