【作者】 张峰辉；

【导师】 周昌乐； Istvan Kecskes；

【作者基本信息】 浙江大学 ， 语言学及应用语言学， 2009， 博士

【摘要】 预设是意义研究的重要内容。弗雷格于1892年在“论涵义与意谓”一文中指出,命题“开普勒死于贫困”及其否定“开普勒没死于贫困”都预设“存在开普勒”。现代的预设研究由此产生,并得到了蓬勃的发展,形成了逻辑预设、语义预设和语用预设三个研究维度,取得了丰硕的研究成果。语用预设分析预设命题真值在话语行为中的理解,形成了预设的公共背景论,预设命题被视为话语的公共背景(语境集)或说话人的公共背景信念。但是,预设动态性并没有得到有效的解释分析,预设调整问题形成了对传统语用预设理论的极大挑战。因此,预设的动态性分析是推动预设研究的关键。本文的研究目标就是揭示语用预设的动态性并在此基础上建立新的语用预设理论。本文研究以预设动态性为主线,围绕三个基本内容展开:提出新的语用预设理论,考察预设与公共背景的关系,解决预设调整问题。其中语用预设理论是预设动态性分析及理论发展的关键,预设与公共背景关系考察是预设动态性系统分析的拓展,预设调整问题是对上述理论的检验。Kecskes & Zhang(2009)的社会-认知交际观和假定公共背景理论是本文研究的主要理论来源;他们对以往语用学理论和公共背景理论进行了修正、整合,充分揭示了话语交际中认知、语用、文化因素的辩证关系,相比传统语用预设的理论基础——Grice合作原则理论和Stalnaker的公共背景理论——更加全面系统地揭示了话语交际的动态性,为预设的动态性分析以及预设与公共背景的关系考察提供了理论依据。公共知识模型的形式方法是本文采用的主要分析手段;话语交际是一个多主体认知的过程,通过对交际者在具体情境下认知状态的形式分析可以帮助我们深入系统地认识预设动态性并进一步阐释预设与公共背景的关系。全文共分六章,各部分内容如下:第一章为绪论。简述预设研究的三个维度,论述预设的动态性为语用预设研究带来的问题和挑战,指出预设动态性分析是推动语用预设研究、认识预设与公共背景关系、解决预设调整问题的关键。提出本文的研究目标、理论来源及研究方法,最后提供全文的组织结构。第二章是基于预设动态性的说话人主导预设理论建构。首先介绍预设动态性分析的三个重要概念(信念、意图、公共背景)。提出说话人主导预设的定义,指出预设是说话人关于公共背景的提议,说话人在预设行为中根据真诚性准则、意图性准则对预设命题进行命题态度和交际意图的指派;说话人主导预设可分为真诚性预设和假定性预设两种类型。然后详细分析交际者在认知加工预设时需遵循的行为准则,包括真诚性准则和意图性准则。最后,建立说话人主导预设的工作机制——预设认知加工原理,形成预设在话语交际过程中的整个动态认知加工全貌;预设是说话人对公共背景的提议,预设可能但并不一定成为公共背景部分。第三章基于说话人主导预设理论重新探讨预设与公共背景关系。首先阐述根据说话人主导预设理论形成的预设动态性认识,然后介绍假定公共背景理论以及公共背景动态性的认识。在此基础上重新探讨预设与公共背景关系。最后根据预设与公共背景关系认识提出语用预设、文化预设、会话涵义、逻辑前提等的区别应给予重新理解。第四章对预设调整问题给予重新解释。旨在运用说话人主导预设理论及预设与公共背景关系认识重新解释预设调整问题,并以此验证理论研究及关系探讨的解释性、正确性。首先介绍预设调整的起源,评述各种调整方案存在的问题与不足,指出其关键问题在于传统语用预设理论对预设及公共背景的动态性认识不够。然后通过形式化推导解决调整问题,阐释交际者认知加工信息预设的原因及方式,并对调整问题进行系统评价。第五章对语用预设的策略性进行分析。首先概述以往的语用预设在语用策略中的应用研究,然后基于本文的理论研究分析预设的策略性,并结合三种语用文本(广告语、幽默语、侦查讯问)进行实例考察。第六章为结论。阐述本文研究的主要创新点,指出本文研究存在的问题,并提出今后研究的展望。更多还原

【Abstract】 Presupposition plays a most important role in the studies of meaning. Ever since Frege claimed in 1892’s On sense and reference that both the proposition "Kepler died in misery" and its negation presuppose that "Kepler exists", presupposition has aroused great interests among philosophers, linguists and pragmatists and has achieved great research findings from three dimensions, namely logic presupposition (logical truth debate of presuppostion), semantic presupposition (formal expression of presupposition), and pragmatic presupposition (pragmatic interpretation of presupposition). Pragmatic research of presupposition deals with truth value of the proposition in terms of its interpretation in the course of communication, and the common ground theory of presupposition is prevailing; presupposition is either the subset of common ground of the conversation or belongs to the speaker’s belief in it. However, the dynamism of presupposition is not sufficiently handled, and the accommodation problem has formed great challenge to the common ground theory. Therefore, analysis of dynamism in presupposition is the key issue: the goal of this paper is to expose the dynamic picture of presupposition and form related theories.The research follows the main line of dynamism and unfolds mainly in three subtasks: to construct speaker-assigned presupposition theory, to investigate relations between presupposition and common ground, and to solve the accommodation problem. In these subtasks the presupposition theory is the central part of the study, the relations investigation is an extension of it, and the accommodation issue is a test for them. The research adopts Kecskes & Zhang’s (2009) socio-cultural communication theory and assumed common ground theory as the theoretical basis. These theories have revised and integrated pragmatic theories and views of common ground, and revealed an integral dialectical relation between cognitive, pragmatic and socio-cultural factors in communication. Therefore, the research can benefit from their integral, dynamic perspective. The research method is the formal analysis of the interlocutors’ cognitive states by the common knowledge model in modal logic. Discourse communication is a multi-agent process, and the formal analysis can offer a deep, systematic description of the dynamic occurrence of presupposition.The paper consists of six chapters. Chapter 1 is an introduction. Three dimensions of presupposition are introduced, in which dynamism has been a great challenge and is the breaking point of the research. Researches goals are proposed, theoretical basis and research methods are introduced, and an outline of the paper is offered. Chapter 2 is the construction of the speaker-assigned presupposition theory. Three important concepts are explained, and the theory is proposed, consisting of three parts: the definition and categorization of speaker-assigned presuppositions, the principles that the interlocutors abide by in presupposing, and the the mechanism for presupposition processing. Chapter 3 investigates relations between presupposition and common ground. Dynamism of presupposition is reanalyzed, the notion of assumed common ground and its dynamism are introduced. Based on this, the relations of presupposition and common ground are revisited, and this calls for more careful treatment of the distinction between presupposition and cultural presupposition, implicature and logical premise. Chapter 4 revisits the accommodation problem. It aims to reinterpret the problem by applying the research findings of Chapter 2 and 3 and test their validity in return. The origins of the problem are reviewed, and problems and weaknesses concerned are analyzed, which reveals that the key point is dynamic understanding of presupposition and its common-groundness. The problem is solved and reevaluated based on the findings. Chapter 5 applies the research to strategic analysis of pragmatic presupposition. Previous analysis is introduced, and stragetic analysis is made both in theory and in case studies of advertisement, humor and interrogation. Chapter 6 is conclusion. It summarizes the innovations of the research, points out weaknesses, and proposes future research.更多还原