【作者】 南潮；

【导师】 韩景泉；

【作者基本信息】 中南大学 ， 外国语言文学， 2012， 博士

【摘要】 论文旨在从最简主义视角出发,运用对比方式,对英汉语中受事提升结构的推导展开探讨。这些结构都由及物结构派生而来,表达被动含义,包括被动、作格和中间结构。生成语法内,最简主义倡导语言和语言研究的基本理论应该满足解释性、简单、自然、雅致和可学性原则。受事宾语提升涉及名词性成分NP从动词逻辑宾语原位向句首的句法移位,是语言完美性的外在体现。强最简主义认为,句法移位是语言和语言使用两个系统协同的最优化手段：满足行为系统的要求,语言的无解特征驱动句法操作,界面上删除这些特征。无解特征从两个方面影响语言：满足界面条件而驱动句法操作；功能语类对这些特征的不同选择会导致语言间差异。这些无解特征包括：结构格特征、EPP特征、动词性特征和φ-特征。其中,功能语类的φ-特征在语言运算中的作用尤为重要；结构格特征只针对NP而言,反映探针与目标在φ-特征上的协约,通过配伍方式删除。EPP特征只针对功能语类,为制造输出效应的句法移动提供“安全舱口”。基于经济原则和词缀性特征考虑,语段中心语的φ-特征必须由非语段中心语继承。语段中心语的无解特征直接驱动句法移位,满足语言使用系统强加的界面条件被动结构的推导始于被动化,原生及物动词与包含被动语素的Tr合并,生成一个负值的v,动词的施事角色被压制。随之,受事宾语要么前移到主语位置,为功能语类的无解特征赋值；要么保留在原位,通过配伍方式给Vdef和T的数特征赋值,T的人称特征在英语中由虚词通过合并或移动方式赋值,在汉语中通过间接或领属宾语前移到主语位置进行赋值。英语被动句以be为标记,包括长、短和原位宾语三种句式。汉语的被动句以系词“被”为标记,“被”的另一个字素变体是个引导施事角色的介词,句中因重音而省略。汉语被动结构复杂,划分为五类,以间接被动句和保留宾语被动句为特色。作格结构的推导始于非使役化。原生使役动词与Tr中的非宾语素合并,v的及物性和外部题元角色被压制,v变成不及物。作格结构的事件性特征强,受事宾语前移到主语位置,给T的强EPP和φ-特征赋值。语义上,从使役动词到作格动词的变异受三点制约：及物动词具有使役义、属于状态变化动词、有介词短语或语用手段表达的外因。尽管英汉语中的作格结构以相同句法方式推导而成,汉语作格结构内部构成复杂：汉语中的所有动词,包括非作格动词,都可以在结果结构中出现,结果分析在汉语中并不适用。句法上,受LA的结构限制,汉语有三类作格结构,以保留宾语结构为特色。中间结构的生成基于两个句法操作：状态化下,原生及物动词与包含中间语素的Tr合并,动词施事角色被压制,受PRO定理的限制,只有PRO以外的施事角色可以以介词补语形式在句法中显现,充当降级的题元。主题化下,受事宾语前移到句首,充当话语的主题,而不是为结构格赋值,因为v的数特征可以通过配伍,由原位的受事宾语赋值。与被动和作格结构不同的是,由于INFL-V不同标,加之中间结构的类指、情态和非事件等特性,中间结构中的T的时体特征弱,因此不能充当派生的探针,不能与受事宾语形成配伍关系,后者不具有结构格特征；是T和v的EPP特征驱动受事宾语前移,经Tr、Pr、T的标识语位置,最终到达[Spec, TopP],执行为满足界面条件的主题化。在这个过程,功能语类的EPP特征起着关键作用,确保下层的功能语类提供NP向上移动的“安全舱口”,为上层功能语类的无解特征赋值。v和T的EPP特征激活受事宾语从逻辑原位移动到[Spec, TopP],成为主题,为Top的[+topic]和φ-特征赋值。C选择Top而不是T。语义上,中间动词由具有复杂事件结构的完成性动词派生而来。语用上,中间结构的类指特征主要体现在话题上。基于强最简主义理论,这种句法移位显示,语言本身有提供外部行为系统可用的指令的机制。现代汉语典型中间结构为‘NP+V-起来+AP’。其中,NP为提升的受事题元,充当句子的主题；AP主要表述提升受事题元的固有特征。考虑到中间结构具有的类指、情态和非事件特征,‘-起来’是包含在T里面,表示时体特征的屈折语素。更多还原

【Abstract】 This dissertation presents a contrastive study of constructions containing a raised Theme object between modern English and mandarin Chinese from the minimalist perspective. These constructions include passive, ergative and middle constructions that are derived from their relevant transitive constructions and convey the passive meaning.In Generative Grammar, minimalism advocates that an essential theory of language and language study be justified by the principles of explanatoriness, simplicity, naturalness, elegance and learnability. As an instance of displacement, the Theme object raising in this dissertation is referred to a seeming imperfection of language where a NP with a Theme θ-role ends up in the sentence-initial position, while its canonical or logical position is postverbal. To account for this superficial imperfection of language, displacement is regarded as an optimal solution to the disparity between language and language use given SMT:language possesses uninterpretable features as mechanisms to trigger syntactic operations and delete these features at the interfaces to satisfy requirements imposed by the performance systems. Uninterpretable features influence language from two aspects:to trigger syntactic operations to satisfy the interface conditions, and to produce cross-linguistic variants resulted from different selections of these features of CFCs. Uninterpretable features include structural Case-, EPP-, V-and ф-features:ф-features of CFCs play the decisive role in computation; Case feature is unique to the NP goal undifferentiatedly reflecting agreement of ф-features between the probe and goal and deleted by the ф-complete probe via Agree; EPP feature is unique to CFCs, mainly providing an ’escape hatch’ for further movement and producing an effect on output;ф-features of phase heads are inherited by non-phase heads for economy considerations and the verbal affixal properties of the phase heads. Uninterpretable features of the phase heads trigger displacement directly in order to satisfy the interface conditions imposed by language use. In passive derivation, computations start with passivization, the base-generated transitive verb merges with the passive morpheme contained in Tr, which absorbs the Agent θ-role and produces v with a negative transitivity feature. As follows, either the Theme object is preposed to the grammatical subject position to value uninterpretable features of CFCs, or it keeps in-situ and values number feature on vdef and T via Agree, person feature on T is valued by an expletive via Merge or Move in English while it is valued by the preposed dative or possessor object in mandarin Chinese via Move. By contrast, English passives are marked by be and composed of short, long and object in-situ passives. Mandarin passives, however, are marked by the copula bei, which is a graphemic variant of bei heading a PP adjunct and introducing the Agent and deleted via haplology; they are more complicated in structure and divided into five subtypes, characterizing in indirect and object-retained passives.Ergative formation starts with decausativization where the unaccusative morpheme contained in v suppresses [+Tr] and [+ext arg] features of v when the basic causative verb merges with Tr to be inflected first, producing a vdef and thus detransitivizing the verb. Since the ergative construction has a strong eventive feature, the Theme object has to prepose to the grammatical subject position to value the strong EPP and (ф-features on T. Semantically, the causative-ergative alteration is constrained by the semantic features of the causative verbs in three aspects:(ⅰ) they have the [+cause] feature,(ⅱ) they are dynamic verbs of change-of-state,(ⅲ) an external causer is represented syntactically by a PP-adjunct or pragmatically as an implicit Argument. Although ergative constructions in both English and mandarin Chinese are derived in a similar syntactic manner, mandarin ergative constructions are more complex in structure, and the resultative diagnosis is not applicable in mandarin since all verbs, including unergative ones, can be used in resultative constructions. Syntactically, besides the causative-ergative alteration, mandarin ergative constructions are determined by compositions of LAs as well:mandarin ergative constructions are realized as three varied sentential patterns, with the retained object construction being Chinese-specific. Middle formation involves two syntactic operations. Stativization detransitivizes an underlying transitive verb by suppressing its Agent θ-role when the transitive verb merges with the middle morpheme contained in Tr, and produces an intransitive v. Given the PRO theorem, any other Agent role rather than PRO may be realized syntactically as a demoted argument in a PP-adjunct although it is suppressed and cannot be realized overtly in its logical position. Topicalization preposes the Theme object to the sentence-initial position as topic for discourse-related purposes, and valuing Structural Case feature is not obligatory since number feature of a defective v may be valued by the Theme object via Agree while the theme object still keeps in situ. Different from passive and ergative constructions, Tense and aspect features on T in middle constructions are weak due to the failure of INFL-V coindexation, together with the generic, modal and noneventive properties of the middle construction; T can neither act as a derived probe of C nor establish an agreement relation with the Theme object. Therefore, no structural Case feature is said about the Theme object. It must be the EPP-feature of v, T that activates the Theme object to move to Specs of related CFCs to implement topicalization required by the interface conditions. In this process, EPP-feature of CFCs plays the decisive role, which guarantees lower CFCs to use their Specs to provide the’escape hatch’for further movement of NPs to value uninterpretable features of the higher CFCs. v and T have the EPP feature to activate the Theme object to move from its logical position until to the [Spec, TopP] position to become the topic and value [+topic] and ф-features of Top. In topicalization, rather than T, C selects Top that probes. Semantically, to be qualified as middle verbs, the transitive variants are accomplishment verbs and have a complex event structure. Pragmatically, genericity is represented in the grammatical subject position as a discourse-oriented topic, since given SMT, displacement is implemented to demonstrate that language has its own mechanisms to provide instructions that are available to the performance systems related to language use. The prototypical middle construction in mandarin Chinese is ’NP+V-qilai+AP’ pattern where NP is the preposed Theme argument acting as topic, AP expresses inherent properties of the Theme argument generally,-qilai is an inflectional morpheme contained in T expressing tense and aspect features given the generic, modal and noneventive properties of the mandarin middle construction.更多还原