【作者】 王劼；

【导师】 王军；

【作者基本信息】 苏州大学 ， 外国语言文学， 2015， 博士

【摘要】 自美国科学家扎德(Zadeh)于1965年首次提出“模糊集(Fuzzy Sets)”理论以来,模糊科学的研究成果被广泛运用到哲学、数学、自然科学、社会科学、语言学等诸多领域。从20世纪末开始,近几十年来,国内外学者针对模糊语言问题进行了大量的研究。回指现象在国内外语言学界亦是个经久不衰的话题,各个语言学流派里都有回指的影子,回指研究始终与语言学科的发展息息相关。随着语言学从对孤立小句的关注逐步转向对实际篇章的思考,回指研究开始更多地关注句法之外的语义、功能、语用及认知因素,人们对回指的认识也越来越全面和深刻。国内学者从多个角度针对汉语语篇中的回指现象进行了广泛而深入的研究,取得了丰硕的成果。与此同时,融合了模糊语言特点的模糊回指现象却未引起研究者的足够重视。我们在前人相关研究的基础上,通过文献分析、理论探究、现象阐释等手段,对模糊回指现象进行了系统研究,从认知功能视角对其进行了深入解读。本论文的研究对象并非传统意义上的歧义回指,而是聚焦于具有普遍意义的回指关系,以及在回指关系建立过程中反映出的语篇构建方式。综合英汉叙事语篇中的语料,我们将说话者因为语法失误而造成的模糊回指,由于客观事物恒动性导致的带有广义模糊特征的同形回指,以及零回指排除在本研究之外,然后聚焦和分析异形回指。模糊回指是语言模糊性表达的重要组成部分,是一种常态化的语篇现象,不同模糊程度的模糊回指,在语篇中分别承担着特定的语篇衔接和概念传递功能。传统回指研究的基本假设是先行项和回指项之间的同指关系,而先行项与回指项在非同指基础上建立的模糊回指关系在很大程度上改变了人们的这一传统认识。传统回指研究将回指视作一种衔接或连贯的工具,并不深究这一工具内在的运作机制。伴随着模糊回指现象的研究,我们将深入到这一工具的内部,详细探寻语言在篇章形式、概念语义等方面的内在运行机制。本研究由五个相互衔接的部分组成:文献回顾是对国内外回指研究的成果和特点,模糊语言学研究的成果和特点,以及模糊回指研究的零星成果的回顾及评述。其次,我们对语言的模糊性本质及产生根源进行了思考。认知主体在认识客观世界的动态过程中,主观世界与客观世界不断发生互动。当人类运用语言对客观世界进行范畴划分时,不可避免地会产生模糊性认识和模糊语言表达。随后,我们分析了回指的广义性模糊特征及产生根源,从“同指(co-reference)”概念入手,对模糊回指现象进行了明确界定,并根据先行语和回指语之间关系的模糊程度,将模糊回指分为三个大类。本研究的核心是运用认知语言学理论对模糊回指进行阐释,主要基于两类理论:第一类为“可及性理论”、“认知参照点理论”、“最佳关联理论”和“框棂关系”等经典理论。把这些理论运用于模糊回指的阐释,一方面验证了本研究分类的合理性,同时进一步证明了这些理论的阐释力。第二类理论是以Fauconnior的“角色/值(role/value)”理论为核心,整合“扩散激活”理论与“匹配”原则,构建了本研究的基本理论框架。我们采取图示的方式,从发话者和受话者两方面入手,研究模糊回指的产生和释义过程,从而揭示语言层面模糊的概念在语篇中的动态传递和接收过程。最后,我们对模糊回指的功能进行了多层次的分析和阐释。模糊回指是由成分因素、关联因素以及影响因素相互作用共同构成的,随后对模糊回指功能的分析涉及语篇、语用和修辞三个方面。本研究的创新性表现在以下四个方面:第一,对模糊回指现象进行了系统整理,将其视作一种普遍的语篇现象,从不同的模糊层面以及不同的理论视角进行详细阐述,确立了模糊回指在回指研究中的核心地位。第二,我们顺应篇章发展的自然方向,采取“右取向”的研究方法,对Fauconnior的“角色/值”理论进行了创新性应用,并将其作为理论核心,结合“扩散激活”理论和“匹配”原则,揭示了模糊回指的概念连通机制,为衔接与连贯研究做出了补充和发展。第三,回指、模糊、认知及语篇功能往往被放在不同研究层面研究,鉴于模糊回指的特点,我们将把这几个方面进行整合讨论,探求它们彼此之间的协同、制约关系。最后,本研究是对模糊语言研究的补充和发展。模糊回指的研究与模糊指称以及模糊语言研究一脉相承,因为它们都反映了作为符号的语言在进行指称时通常所具有的一种不确定性。模糊指称以及模糊语言涉及的是语言符号与所指概念或实体之间的关系,而模糊回指首先涉及的是篇章内部两个语言成分之间的所指关系,这是整个指称关系中的重要一环。由于语言符号与符号之间的关系触及概念语义层面,因此这种关系更具有复杂性。对模糊回指现象的研究,还可以对模糊指称以及模糊语言研究带来诸多有价值的启示。更多还原

【Abstract】 Since American scientist Lotfi Zadeh put forward the theory of “Fuzzy Sets” in 1965, fuzzy science theory has been extensively applied to philosophy, mathematics, natural sciences, social sciences, linguistics, etc. In recent decades, international and domestic scholars have been making abundant research on the fuzzy language. Anaphora is a classic topic in international and domestic linguistic studies as well. Scholars of different branches have been studying anaphora from varying perspectives. The development of anaphora study coincided with the development of linguistic studies. When linguists switched their focus from isolated sentences to discourse, scholars started to study anaphora beyond syntax, and do research from semantics, function, pragmatics and cognition perspectives. People are having increasingly insightful understanding of anaphora. Chinese scholars have made extensive and intensive study on anaphora in Chinese discourses.Meanwhile, the study of fuzzy anaphora, to be specific, the anaphora with fuzzy features, has not been paid due attention to. In this dissertation, we carried out research based on the previous studies. We made the systematic research on the fuzzy anaphora phenomenon by making literature analysis and application of the classic theory frames, etc. Theoretically, we explored the phenomenon by cognitive and functional approach.Our research subject is different from ambiguous anaphora of the traditional sense. We focus on the process of anaphora production in the discourse, and try to dig out how discourse is constructed. We use sample sentences collected from English and Chinese narratives, excluding the zero anaphora, improper anaphora due to addresser’s grammar mistakes and the fuzzy anaphora in broad sense, which are caused by the permanent movement of the physical world. We only study the anaphora, in which antecedents and anaphors have different referents.We take fuzzy anaphora as reflection of fuzzy feature of language, and take it as the common discourse phenomenon. We claim that the different kinds of fuzzy anaphora, which the relationships between antecedents and anaphors are different in fuzzy degree, perform certain cohesion and conceptual functions in the discourse. The premise of traditional anaphora study is co-reference, which is challenged by the existence of fuzzy anaphora. Traditional anaphora studies take anaphora as a kind of tool to achieve cohesion and coherence in discourse, and do not pay due attention to the inner structure of the tool. By studying fuzzy anaphora, we digged into the inner system of the discourse, exploring the discourse construction, conceptual processing and the process how semantic meanings are conveyed.The dissertation is composed of five interlocking parts. Literature review went through the history of international and domestic anaphora studies, fuzzy linguistic studies and fuzzy anaphora studies. We focused on the periodical development and made comments accordingly. Then, we focused on language’s unique characteristic ––fuzziness, and tried to figure out how language fuzziness came into being. We hold that when human beings are using language to explore the physical world, the mental world keeps interacting with the physical world. When people are categorizing the physical world by the tool of language, the fuzziness is the unavoidable result of the dynamic interaction. Based on this, we observed the fuzzy feature of anaphora from broad sense, and analyze the causes. In the next part, we started from the concept of “co-reference”, and defined fuzzy anaphora in narrow and specific sense. We categorized fuzzy anaphora according to the fuzzy degree of relationship between antecedents and anaphors.The hard core of the whole dissertation is the interpretation of fuzzy anaphora by cognitive approach. Our interpretation are based on two kinds of theories. The first part is the classic theories like “Accessibility Theory”, “Conceptual Reference Point Theory”, “Relevance Theory” and “Kuang-ling Frame Theory”. We applied these classic theories to our fuzzy anaphora study, not only to testify the logicality of our categorization, but also to testify the applicability of these theories. The second part is the theory structure based on Fauconnior’s “role/value” theory(1997) and complemented by “Spreading-activation Theory” and “Matching Principles”. Using this innovative theory structure, we illustrated how the concepts are conveyed and received in the discourse although antecedents and anaphors do not have the some referents. We illustrated the production processing and resolution process of fuzzy anaphora from both addresser and addressee prospect.Lastly, we studied and summarized the functions of fuzzy anaphora from discourse, pragmatic and rhetoric aspects.The novelty of our study is listed as below:Firstly, we studied fuzzy anaphora phenomenon systematically and take it as common discourse phenomenon. We illustrated the phenomenon in details according to the different degrees of fuzziness from different perspectives. We gave fuzzy anaphora due attention instead of taking it as a marginal phenomenon.Secondly, we took the “right-oriented” approach, which accords the natural direction of information flow in the discourse. We made innovative application of Fauconnior’s “role/value”theory frame, supplemented by the “Spreading-activation Theory” and “Matching Principle”, to reveal the conceptual connection mechanism of fuzzy anaphora. Our research is the complementary and development of cohesion and coherence study.Thirdly, scholars used to study anaphora, fuzzy language, cognition and textual function separately. As fuzzy anaphora is the integration of these elements, we studied them as an organized entity, and tried to explore the collaborative and interacting relationship between them.Lastly, our study is the complement and development of fuzzy language study. Both fuzzy anaphora and fuzzy reference are parts of fuzzy language study as they all study the indeterminacy of language when used in reference. Fuzzy anaphora concerns the reference relationship of two language symbols in the discourse, which is the preliminary of the whole reference process. The relationship between language symbols is the reflection of semantic relationship in cognition, therefore, it is more complicated. Therefore, the study of fuzzy anaphora brought enlightenment to the study of fuzzy reference and fuzzy language as well.更多还原