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The Application of Schema Theory to the Analysis of Literary Discourse. Guy A theory of discourse deviation: the application of schema theory to the analysis of literary discourse. Guy William Davidson Cook Submitted in accordance with the requirements for the degree of PhD. The University of Leeds, School of English. June 1990. - ii - Abstract. Schema theory suggests that people understand texts and experiences by comparing them with stereotypical mental representations of similar cases. This thesis examines the relevance of this theory (as developed in some Artificial Intelligence (AI) work of the 1970s and 1980s) to literary theory and the analysis of literary texts. The general theoretical framework is that of discourse analysis. In this approach, the usefulness of schema theory is already widely acknowledged for the contribution it can make to an explanation of 'coherence': the quality of meaningfulness and unity perceived in discourse. Building upon this framework, relevant AI work on text processing is discussed, evaluated, and applied to literary and non-literary discourse. The argument then moves on to literary theory, and in particular to the 'scientific' tradition of formalism, structuralism and Jakobsonian stylistics. The central concept of this tradition is 'defamiliarization': the refreshing of experience through deviation from expectation. In structuralism, attention has been concentrated on text structure, and in Jakobsonian stylistics on language. It is argued that whereas AI work on text pays little attention to linguistic and textual form, seeking to 'translate' texts into a neutral representation of 'content', the literary theories referred to above have erred in the opposite direction, and concentrated exclusively on form. Through contrastive analyses of literary and non-literary discourse, it is suggested that neither approach is capable of accounting for •literariness* on its own. The two approaches are, however, complementary, and each would benefit from the insights of the other. Human beings need to change and refresh their schematic representations of the world, texts and language. It is suggested that such changes to schemata are effected through linguistic and textual deviation from expectation, but that deviations at these levels are no guarantee of change (as is often the case in advertisements). Discourses which do. effect changes through text and language are - ill - described as displaying 'discourse deviation*. Their primary function and value may be this effect. Discourse categorized as 'literary' is frequently of this type. Discourse deviation is best described by a combination of the methods of A1 text analysis with formalist, structuralist and Jakobsonian literary theories. In illustration of these proposals, the thesis concludes with analyses of three well-known literary texts. - iv - Contents List of figures and tables xi Symbols and abbreviations. xiii Ac knowledgements. xv A note on earlier publications. xvi Chapter 1: Schema Theory: Its general principles, history and terminology. 1.0 Introduction. 1 1.1 Summary of the argument and main areas of inquiry. 1 1.2 An interdisciplinary study. 4 1.2.1 Necessary exclusions. 5 1.3 Schema theory: general principles. 6 1.3.1 Examples demonstrating schemata in discourse processing. 8 1.4 Evidence for schemata. 11 1.4.1 Recall of default elements. 11 1.4.2 The definite article for default elements. 12 1.4.3 Interpreting homonymy and polysemy: 'expectation-driven understanding'. 13 1.4.4 Ordering and selection. 15 1.5 The origins of schema theory. 1® 1.5.1 Bartlett's Remembering (1932). 13 1.5.2 The eclipse of schema theory. 19 1.5.3 The revival of schema theory. 20 1.6 The terminology of schema theory. 21 1.7 The power of schema theory. 23 Fotes to Chapter 1. 24 Chapter 2: Discourse Analysis 1: formal approaches and their capacity Ifl characterize 'literariness* 2.0 Introduction. 2.1 Definitions: 'text', 'context' and 'discourse'. 26 2.1.1 Discourse analysis and linguistics. 28 2.1.2 'Scientific' and 'post-scientific' approaches to discourse. 29 - v - 2.2 Acceptability above the sentence. 31 2.2.1 Zellig Harris' <1952) investigation of discourse. 35 2.3 Cohesion. 37 2.3.1 Parallelism. 38 2.3.2 Verb form. 40 2.3.3 Referring expressions. 41 2.3.4 Repetition, 'elegant repetition', reduction and lexical chains. 42 2.3.5 Substitution and Ellipsis. 44 2.3.6 Conjunction. 45 2.4 The role of cohesion in discourse. 45 2.4.1 Meaning as encoding/decoding versus meaning as construction. 48 2.5 Conclusion. 49 Notes to Chapter 2. 50 Chapter 3: Discourse analysis 2: pragmatic approaches and their capacity to characterize 'literariness'. 3.0 Introduction. 52 3.1 Functional views of discourse. 52 3.1.1 Macro-functions. 53 3.1.2 Micro-functions. 56 3.2 Interpretation of function 1: conversational principles. 58 3.2.1 The co-operative principle. 58 3.2.1.1 Departure from the maxims of the co-operative principle. 60 3.2.1.2 The co-operative principle and literariness. 61 3.2.2 The politeness principle. 64 3.2.2.1 The politeness principle and literariness. 64 3.2.3 A third function: of cognitive change. 56 3.3 Interpretation of function 2: speech acts. 5® 3.3.1 Speech act theory and literariness. 58 3.4 Discourse structure. 3.5 Discourse as process. 74 3.6 Discourse as dialogue. 3.6.1 Reciprocity in discourse. 77 - vi - 3.6.2 Functional sentence perspective (FSP). 78 3.7 Conclusion. 83 Notes to Chapter 3. 84 Chapter 4: Schema theory 1: conceptual representation; one version of the theory. 4.0 Introduction. 86 4.1 The computational paradigm of language. 86 4.1.1 AI approach to text. 89 4.1.2 Objections to AI text theory. 91 4.2 One system of conceptual representation: Conceptual dependency theory <CD). 93 4.2.1 CD: basic principles. 94 4.2.2 CD: two examples. 96 4.2.3 CD: text representation. 98 4.2.4 CD: conclusions. 100 4.3 CD and semantics. 101 4.4 Problems for conceptual representation as a component of a theory of discourse. 104 4.4.1 Problem One: prototypes and fuzzy concepts. 104 4.4.2 Problem Two: level of detail. 106 4.4.3 Problem Three: principles for omitting inferred connection. 107 4.4.4 Problem Four: failure to account for linguistic choices. 108 4.4.5 Problem Five: linguistic relativity. 109 4.5 A version of schema theory: Schank and Abelson Scripts. Plans. Goals and Understanding (1977). 109 4.5.1 From text to CD. m 4.5.2 Scripts. 112 4.5.3 Plans. 115 4.5.4 Goals and sub-goals. 120 4.5.5 Themes. 122 4.6 Conclusion. *22 notes to Chapter 4. 123 - vii - Chapter 5: Schema theory 2: an application: analyses of a 'literary1 and 'non-literary* text: a modification of schema categories. 5.0 Introduction. 125 5.1 TEXT OSE: The opening of Crime and Punishment (translation). 128 5.1.1 Suggested schemata. 129 5.1.2 Analysis. 130 5.1.3 Discussion of analysis. 133 5.1.4 Contents of schemata. 136 5.1.5 Diagrams of schemata as a representation of coherence. 138 5.2 TEXT TVO: Every Cloud has a Silver Lining (advertisement). 141 5.2.1 Suggesed schemata. 142 5.2.2 Analysis. 142 5.2.3 Discussion of analysis. 143 5.2.4 Contents of schemata. 145 5.2.5 Diagrams of schemata as a representation of coherence. 146 5.3 Conclusions from sample analyses. 149 5.3.1 Literary and advertising discourse. 149 5.4 A modification of the SPGU model. 150 ITotes to Chapter 5. 151 Chapter 6: Literary theory 1: formal approaches to deviation. 6.0 Introduction. 153 6.1 The rise of 'modern literary theory'. 15* 6.2 Theories of pattern and deviation. 158 6.3 The formalist theory of defamiliarization. 159 6.3.1 Impeded form. 1®^ 6.3.2 Bared form. 153 6.3.3 Canonization of the junior branch. 153 6.3.4 'Syuzhet' and 'fabula'. I64 6.3.5 'Skaz'. 165 6.3.6 Theme and motif. I®7 6.3.7 Conclusion: formalism as a theory of deviation. 168 6.4 Patterns in discourse: structures and structuralism. 171 - viii - 6.4.1 TEXTS THREE: Adventure stories. 173 6.4.2 TEXTS FOUR: Concentric narratives. 174 6.4.3 Weaknesses of the structuralist approach. 177 6.4.4 Text structures and text schemata. 181 6.4.5 Roland Barthes' The Structural Study of Narratives ([1966] 1977). 182 6.5 Conclusions. 183 Notes to Chapter 6. 184 Chapter 7: Literary theory 2: Jakobson's 'poetic function'. Stylistics and schema-theorv analyses of a 'literary' and 'sub-literary' text. 7.0 Introduction. 186 7.1 Jakobson and stylistics: poetic function and poetic form. 188 7.1.1 Stylistics and 'representation'. 189 7.2 TEXT FIVE: Elizabeth Taylor's Passion (advertisement). 191 7.2.1 Graphology. 191 7.2.2 Phonology. 191 7.2.3 Lexis. 193 7.2.4 Grammar. 194 7.2.5 Representation. 195 7.2.6 Schemata. 196 7.2.7 Conclusions. 197 7.3 TEXT SIX: First World War Poets by Edward Bond. 198 7.3.1 Graphology and phonology. 199 7.3.2 Grammar. 200 7.3.3 Lexis. 201 7.3.4 Intertextuality. 202 7.3.5 Schemata. 202 7.4 Incorporating the reader. 204 7.4.1 Roman Ingarden's The Literary Work of Art ([1931] 1973). 207 7.4.2 Schemata, 'Alternativity' and 'Super-coherence* : de Beaugrande (1987). 208 - ix - 7.5 Conclusion. 209 Hotes to Chapter 7. 210 Chapter 8;— A theory of discourse deviation 1: schema disruption and refreshment, a function of cognitive change. 8.0 Introduction: the argument so far. 211 8.1 The need for schema change.
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