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1、中南民族大学 硕士学位论文 关联理论视角下的哈利波特中的幽默乖讹与消解 姓名：刘洋 申请学位级别：硕士 专业：外国语言学及应用语言学 指导教师：许菊 2011-05 Humor Incongruity and Resolution: A Case Study of Harry Potter from the Perspective of Relevance Theory iv 摘 要 哈利.波特是英国女作家罗琳女士所作的一系列共七本魔幻小说，虚构 的角色但其语言包含了丰富的幽默表达。幽默研究属于复杂的认知语用现象，其 历史可以追溯至古希腊。柏拉图、亚里士多德、康德、佛洛依德、奥图多等世界 著名
2、学者都曾对这一现象进行研究。这些学者从社会学，心理分析和认知的角度 做了许多研究并发展出许多颇具影响力的理论分支，如：优越论、乖讹论、宽慰 论等。迄今，关于哈利.波特国内和国外的学者做了许多研究，然而他们极 少涉猎小说中的幽默言语特别是从认知和语用的角度。为了弥补这一不足，本文 旨在由乖讹消解理论和关联理论所构成的框架下对哈利.波特中的幽默言语 进行阐释。 根据乖讹消解理论， 乖讹是幽默产生的先决条件。 理解幽默涉及三个步骤即： “设置-乖讹-消解” ，被称为 SIR 模型。但对一些学者而言乖讹和消解两个过程 是同时发生且相互融合的。本文以哈利.波特中的幽默会话片段为例，从认 知乖讹，语义乖讹
3、，逻辑乖讹和心理乖讹的角度详细阐释幽默的形成机制。小说 中幽默的消解过程是框架转移和概念整合的过程。在幽默分析过程中，阐释者使 输入言语形成一个框架，但是言语本身和阐释者心理期待相反因而会形成认知、 心理、语义和逻辑的乖讹，这时阐释者就把旧的框架转换成新的，因此使之前形 成的乖讹得以消解。 另外幽默的消解过程也是一个潜意识的过程涉及整合不同心 理空间中形成的概念。 根据关联理论的观点， 哈利.波特中的幽默对话也是一个明示-推理的过 程。说话者明示他的信息意图和交际意图，听话者通过在不同的认知环境中整合 编码的语言信息和语境假设推理出说话者幽默言语建构的交际意图。 小说作者为 了达到幽默制笑的交
4、际目的，给听话者提供了一系列的言语明示以建构认知，心 理，语义和逻辑的乖讹，而读者通过消解这些乖讹来达到语境效果和幽默效果。 小说中的对话者追求的是最佳关联而并非最大关联。 结论指出，幽默制笑的机制是值得广泛和深入研究的问题，本文的研究希望 可以帮助读者更深入的理解哈利.波特小说中的幽默，拓展这一系列小说的 研究领域。 关键词：幽默；乖讹；消解；关联理论； 哈利 波特 Humor Incongruity and Resolution: A Case Study of Harry Potter from the Perspective of Relevance Theory ii Abstrac
5、t Harry Potter is a series of seven fantasy novels written by the British author J. K. Rowling, which contains a plenty of humorous language expressions and fictional characters. Humor is a complicated cognitive and pragmatic phenomenon and its history can be traced back to ancient Greek. Many world
6、-famous scholars such as Plato, Aristotle, Kant, Freud, Attardo have extended great interest in such a phenomenon. Previous researches on humor have been conducted mainly from sociological, psychoanalytic and cognitive perspectives, which have yielded a variety of influential research products such
7、as the classic humor theories of Superiority Theory, Incongruity Theory and Relief/Release Theory. So far, domestic and foreign scholars have done a lot of reseaches on Harry Potter. However, they have seldom touched upon its humorous language, especially from cognitive and pragmatic perspectives. T
8、o fill such a gap, this present thesis is aimed to interpret the humorous language in Harry Potter series within the theoretical framework constituted by Incongruity-Resolution Theory and Relevance Theory. According to the Incongruity-Resolution Theory, humor is perceived at the moment of realizing
9、the existence of incongruity. The understanding of humorous messages involves a three-step process, that is, Setup-Incongruity-Resolution, which is called SIR model. But to some scholars, the incongruity and resolution steps happen simultaneously and are integrated together. In the humorous snatches
10、 of conversations chosen from Harry Potter series, cognitive incongruity, semantic incongruity, logical incongruity and psychological incongruity are revealed in detail in the interpretation of the machanisms for humor formation. The resolution of humor incongruity in Harry Potter is a process of fr
11、ame-shifting and conceptual integration. In the process of humor interpretation, the humor perceivers first try to construct a frame-based representation of the inputted sentence meaning, which, however, results in a cognitive, psychological, semantic or logical incongruity with what they have expec
12、ted or understood, and then they shift from the old frame to a new one in order 中南民族大学硕士学位论文 iii to resolve the incongruity. Besides, resolution of humor inconguity is also a subconscious process which involves the integration or blending of some concepts originating from different mental spaces. Fr
13、om the perspective of Relevance Theory, the humorous conversations in Harry Potter also belong to a kind of ostensive-inferential communication, which involves the speakers ostension of his informative and communicative intentions and the hearers inference of the speakers communicative intention of
14、humor construction through the combination of the encoded linguistic message and the contextual assumptions drawn from their cognitive environments. The writer of Harry Potter series makes her communicative intention of constructing humor and eliciting laughter manifest to the readers through produc
15、ing a variety of ostensive linguistic stimuli to establish a cognitive, psychological, semantic or logical incongruity while the readers get the contextual effect or humorous effect of the conversations in Harry Potter through the relief of the cognitive, psychological, semantic or logical incongrui
16、ty. The humor communicator of Harry Potter is oriented towards optimal relevance rather than maximal relevance. This thesis is concluded by pointing out that the working mechanism for humor production and interpretation is a problem worthy of more extensive and penetrating researches and extending the hope that the present research could make some contribution to the readers better understanding of the humor feature in Harry Potter and to the extension of the research field
