言语交际的关联优选模式及其应用
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摘要
1986年Sperber & Wilson提出关联理论,将认知与语用研究结合对言语交际做出解释,描写自然语言的理解过程,在语用推理研究领域有不可撼动的地位,但本质上也存在一些问题,认知关联与交际关联两条指导原则过于宽泛、限制性极弱,导致理论笼统性与应用主观化,一方面无法在语言操作的微观层面给出具体操作方案,对现象的解释力不足,另一方面界定上的模糊引发追随者对该理论应用的随意性,对佳联假设的主观解释、在关联话语解读机制运作过程中的偷换概念等现象时有发生。
     本研究以关联理论中的核心假设——最佳关联假设及其派生关联话语解读机制为出发点,旨在通过对语言学其它领域方法论的借鉴与融合,改良现有关联理论运作机制,并在此基础上提出一种关联优选推理模式,使其与原有关联理论相比,对言语现象具有更强的解释力,与现有关联推理机制相比,具有更高的可操作性,在理论精细化的道路上更进一步。
     现有绝大多数关联理论与其它推理学说的整合研究从理论互补角度出发,避开各理论的内在问题,通过扬长避短的方式进行理论结合,能从真正意义上修正、完善关联研究的理论结合还较少见。而本研究有别于现有相关研究之处,就在于此处的理论结合不采取问题回避策略,不以理论融合为根本宗旨,而以对关联理论的修正为目的,因此本文建构的“关联优选推理模式”中关联与优选不是并列的成分,而应被理解为“关联话语解读之优选推理模式”。
     概言之,本文的核心主要有两部分——对优选推理模式之关联前提的建构和对关联话语解读之优选模式的建构。
     具体而言,本文首先将关联理论主观性强、可操作性差等宏观问题落实到微观操作层面,分析了关联理论对言语交际解释力的三大主要制约因素:由关联理论对格莱斯主义交际观的继承及其从释话人角度出发对话语解读的研究二者间矛盾造成的关联期待与说话人意图不一致问题;因为忽视释话人对话语隐含意图确定性程度这一问题,造成的对隐义界定的简化;由“关联”的对象与所指、“说话人的能力与喜好”等关键概念界定朦胧、严谨程度不够造成的关联解读机制中的多重矛盾问题。
     对关联优选模式之关联前提的建构,一方面要确保将要建构的模式能够有效避免现有关联推理存在的上述问题,为对关联推理的优化以及基于关联优化的优选推理模式根本理念的提出做准备,另一方面要为关联优选模式生成、评估机制中各类具体制约条件及其等级排序的建构提供素材。这部分对被关联理论忽视或误视的、而在优选模式建构中又是举足轻重的三大关键概念进行精细化阐释及拓展性分析——关联期待的动态性及其在推理过程中的运作、认知效果性质分类的复杂性及其对推理性质的影响、语境假设调用的多元性及其在推理进程中的体现。
     基于上述关联前提的建构,在优选推理模式中我们从释话人角度出发通过原型范畴概念对言语交际内容进行描述(对语用推理对象的重新界定);对最佳关联假设底线与上限假设分层分步进行具体化描述(修正原佳联假设中模糊含混及内部矛盾的问题);将修正后的佳联假设降级为释话人话语解读机制中的子原则(对关联话语解读机制与佳联假设间被派生与派生关系的更正)。这便是关联优选推理模式的根本理念。
     鉴于动态在线推理与优选静态性的冲突,关联话语解读之优选推理模式的建构为优选方法作了变通,主要体现在生成机制的独立运作、评估机制中制约条件的动/静态性和相对/绝对性、生成机制与评估机制间的互动、候选项进入评估机制的顺序性、优选项的非唯一性。在此基础上对关联优选推理模式的建构主要分为以下几步:对生成机制内语境假设调用制约条件序列的建构;对评估机制内静态制约条件序列、动态制约条件变化方式及动静态条件间互动关系的描写建构;对生成机制与评估机制间互动关系的描写。如此建构的关联优选模式对语境假设调用中的协商性、认知效果候选项生成的有序性、认知效果优选项的产出及性质判定、认知效果数量的有定性、关联期待的动态满足方式、话语解读的终止位置及各类终止方式等均能做出确切描述。
     最后,该模式被应用于对不同层面语言现象的分析,以检验其解释力。一方面探讨了词汇语用层面上关联理论无法解释、至少是无法解释透彻的在线交际中词义突变和词义增强现象,另一方面涉足了关联理论从未涉及过的句法—语用界面现象——论元结构构式。在此过程中本研究发现,由于关联优选模式涵盖了现有关联推理研究不具备的对认知效果性质的描写,因此对词汇语用学的解释力度超越了原关联理论,不但能实现后者在该领域无法兼顾的解释概括性与精细性的并重,还能为后者不能解释的临时词义突变现象及一类特殊的临时词义扩充现象做出解释;另外,关联优选对论元结构构式研究也有一定的启示,通过基于关联优选的线性构式分析,可以为构式的原型性研究提供新的解释,同时也能为构式语法难于解释的、句内语境或情境语境下同结构异构式现象提供描写与判定机制。
Relevance theory(RT) was first presented by Sperber & Wilson in 1986. Originating from Gricean studies on cooperative principles and conversional implicature,it exhibits great advancement through expounding verbal communication and the interpretation of natural language from the unprecedented perspective of cognitive pragmatics.It proposes to regard the context as cognition-oriented and mutual manifest,and divides cognitive effects into explicatures and implicatures.Besides,it also verifies contextual variability and the constancy of relevance,and identifies pragmatic inference as nontrivial,nondemonstrative and deductive.In a word,RT makes revolutionary contributions to inferential studies.In the past two decades, relevance theory has drawn much attention and been well discussed in the fields concerned.
     Though no doubt has been cast on its achievements,RT is not as perfect as its cofounders have expected.One of the principal defects is that a communicative principle of relevance as generalized as the one offered in RT cannot provide specific and detailed description of the process of verbal comprehension at a microcosmic level. All kinds of relevance-oriented inference count on and only on the guidance of cognitive and communicative principles of relevance,which are not only too general but also too weak to regulate the real inferential process.And this leads immediately to the theory's interpretative subjectivity and inadequacy in its explanatory power.What's more,this defect also results indirectly in the randomness of the theory's application. Due to the lack of precise and clear restraints,the presumption of optimal relevance (POR) and the relevance-theoretic comprehension procedure(RTCP) have been employed subjectively by different users to meet different ends.Covert shifts in the reference of certain key notions are made,consciously or not,by RT followers in their studies from time to time.All the above induce to a certain degree the unjustified omnipotence and non-falsifiability of RT.
     The present research takes as its study subjects the core claims of RT---POR and RTCP,the inferential mechanism derived from the former.Through adapting the research method of optimality theory(OT) in phonetics to the pragmatic field,it aims at constructing a highly-constrained relevance-theoretic inferential model based on an amended version of the original RTCP.It is expected that not only can RTCP's maneuverability and RT's explanatory power be promoted in this way,but also RT's applicability should be extended into an even larger range of linguistic phenomena owing to the newly proposed relevance-theoretic model.
     Most integrated studies of RT with other inferential theories are conducted for the sake of their mutual complementarity.All of such studies exploit each theory's strengths while avoiding its weakness.Such studies cannot solve or remove the inherent problems with those theories fundamentally.Integrated studies towards the enrichment and refinement of RT are barely seen in a real sense.Compared with existing studies, our research on theoretical combination features a unique quality:instead of adopting the evading strategy as others do,it faces and confronts relevance-based theoretical problems in a direct way.Through locating then correcting or amending RT's internal defects,it seeks to improve the theory in a substantial way.Since the combination of RT with the other theory ---OT is mainly conducted here for the refinement of RT, relevance and optimality in the inferential model to-be-presented do not share equal status.It would be wiser to regard the model as optimality-based inferential model for relevance-theoretic verbal comprehension(ROIM).
     Generally speaking,there are two principal issues to be settled for the comprehensive presentation of ROIM,the construction of relevance-concerned premises for optimality-based inferential model and the construction of optimality-based inferential model for relevance-theoretic verbal comprehension.
     To be specific,the present study first addresses the issue of high-subjectivity and weak-maneuverability in RT.It attempts to settle these general problems in the specific operating level of RT.And during this process three sources of the theory's presented imperfectness are found:unconformity between the expectation of relevance(ER) and speaker's intention,simplification on defining implicit meaning,and contradictions inside RTCP.While the first problem reflects the mismatch between RT's elaboration on comprehension from the hearer's perspective and its inheritance of Gricean speaker-centered notion---implicature,the second one shows the lack of consideration in RT as to the properties of implicature.Actually,implicature forms a cognitive category with its own prototypicality,which is caused by various degrees of the interpreter's certainty towards an implicature.As to the contradictions inside RTCP, they have a common root,viz.the vagueness and ambiguity in defining the reference of certain key notions such as relevance,the communicator's abilities and preferences,etc.
     Since the simplification or confusion in RT's key concepts is a main source of the problems with the theory,it is necessary to delve into these concepts and provide them with a refined analysis.Being part and parcel of the model-forming process,we call this part of the present research the construction of relevance-related premises for an optimality inferential model,where three decisive factors in a relevance-based inferential process are expounded,which are ER---the dynamic factor determining inferential directions,cognitive effects---the ultimate goal of pragmatic inference,and contextual assumptions---the materials employed in pragmatic inference.Special attention is given to the core functioning of these notions that is ignored or misunderstood by RT,i.e.the dynamicity of ER,re-categorization of cognitive effects, and factors other than accessibility that may affect the selection of contextual assumptions.Through a thorough inspection of these notions,the functions performed by them during the inferential process and their operating mechanisms,are revealed.In this way not only the general framework for pragmatic inference takes shape to a certain extent,but the attempt to solve the targeted problems of RT at the specific operational level also gets fully prepared.
     Based on the above preparations,amendment to RT is conducted in the following three aspects:expansion of the original inferential range by viewing communication from the interpreter's perspective,enrichment of the extant POR by extending each of its two sub-presumptions into several maxims and corollaries at different directions so as to prevent the confusion and contradiction suffered by the original POR,and adjustment of the relationship between POR and RTCP from that of deriving and being derived to that of being dominated and dominating.The above also form the fundamental notions of our optimality-based inferential model for relevance-theoretic verbal comprehension.
     In consideration of RT's subjectivity in application and weakness in its constraining capacity,the relevance-theoretic inferential model here is built in the framework of optimality theory(OT),which enjoys high objectivity and maneuverability thanks to its employment of an evaluating system made of a strict hierarchy of constraints according to their respective significance and suspendibility. However,since a conflict exists between the dynamicity of online inference and staticity of original OT,certain adaptation has to be made on the latter before it can be integrated into the construction of inferential model.To meet the current need,a specialized operating mechanism for the generator(Gen.) in an OT system is proposed, and the constraints in its corresponding evaluator(Eval.)are classified according to features such as dynamicity or relativity.Moreover,special emphases are laid on the interaction between Gen.and Eval.,on the candidates' sequential entrance into the latter from the former,and also on the non-uniqueness of the optimal candidates surviving the evaluation.
     After the adaptation is completed,optimality-based inferential model for relevance-theoretic verbal comprehension is constructed according to the following steps:first,to construct in Gen.a hierarchical sequence of constraints on the selection of contextual assumptions to be employed in the inferential process;then to work out in Eval.an ordered set of static constraints according to their respective relativity for the verification of candidates produced by Gen.;thirdly,to figure out the transforming way of the Evaluator's dynamic constraint during the inferential process,and its interaction with other static constraints in Eval.;finally,to explain the overall interaction between Gen.and Eval..The Generator's inner operational mechanism explains the sequential generation of cognitive effect candidates;the linear sequence of static constraints in Eval.decides the selection of optimal candidates,and it also classifies those candidates according to the certainty of speaker's intention embodied in them.As to the third step in constructing the inferential model,it reflects the online satisfaction of the constantly changing ER.Last but not least,the interaction between Gen.and Eval.(the influence exerted by evaluation outcomes on the Generator's further production of candidates,to be specific),presents the various termination ways of pragmatic inference.After the step-by-step construction,a simplified diagram is given to display the integrated functioning of all these steps in an interpreter-centered inferential process.
     As the last major part of the present research,the newly constructed inferential model is employed in the analysis of certain linguistic phenomena,such as online lexical replacing or intensifying which can not be explained or thoroughly explained by original RT,and argument constructions which have never been touched by RT before. Not only is the optimality-based relevance-theoretic model verified through this way, but studies on the target phenomena can also benefit from such discussions.To be specific,since the newly proposed inferential model contains the amendment on the nature of cognitive effects,its explanatory power in the field of lexical pragmatics surpasses that of the original.Linguistic phenomena such as ad hoc concepts undergoing online lexical substituting and a special case of lexical broadening,which used to be difficult to explain in the framework of RT,are easily analyzed and interpreted in our inferential model.In addition,the amended RT and its newly proposed inferential model offer a new analytical approach---linear analysis to the study of argument construction as well,which besides updating the previous explanation on constructional prototypicality,also provides a mechanism for the description and interpretation of a neglected phenomenon in the field of construction grammar---a single structure representing different constructions or various combinations of constructions.
引文
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