【作者】 徐来娟；

【导师】 杨炳钧；

【作者基本信息】 西南大学 ， 英语语言文学， 2013， 博士

【摘要】 评价,作为一种普遍的社会现象,指说话者/作者对待自己所言及的实体或者命题的态度。鉴于评价现象在语言交际中的普遍性和重要性,学者们从各种视角、运用各种方法对其进行了描写和解释。其中影响最大的是Martin等人在系统功能语言学框架下建立起来的评价理论。该理论有三大系统,分别为态度、介入和级差,它们在语篇语义层面表达人际意义。评价系统由于其可操作性高、系统性强的特点,目前已被广泛应用于分析各种语类的评价特征。英语学术讲座指演讲者以英语为媒介、就专业课或某个专题在大学校园内所进行的学术演讲。目前国内外有关该语类的研究主要从以下三个方面进行：讲座理解过程、讲座话语和讲座输入变量。其中有关讲座话语的研究近年来很受重视,主要偏向于语篇的宏观结构和微观特征的描写。话语是一种动态的意义协商过程,包括语篇的生产和理解。要了解英语学术讲座话语的本质,就有必要考察演讲者和听众之间的互动特征。本研究以系统功能语言学为理论基础,其目的是在评价系统的框架内研究英语学术讲座话语的评价及其语类结构。因此,本研究主要回答以下三个的问题：(1)评价资源在英语学术讲座话语中的分布规律及其原因是什么?(2)评价资源是如何体现演讲者和听众之间的互动关系的?(3)英语学术讲座话语的语类结构及其评价特征是什么?本研究采用基于语料库的量化研究方法,所采用的语料是来自外语教学与研究出版社出版的六名世界著名认知语言学家在北京几所高校中所作的30场讲座的录音转写稿。通过深入研究,有以下发现：第一,从介入系统来看,对话性收缩资源的使用频率远高于对话性扩展,表明英语学术讲座是主观性相对较强的语类,演讲者更愿意缩小对话空间,否定或者反对或者修正持不同意见者的观点,而主要不是扩展对话空间。在对话性扩展资源中,接纳远高于归属,说明演讲者更愿意为命题负责,他们多从自己的角度来表达对命题的一种可能的立场,但较少引用来自外部声音的观点。英语学术讲座话语的一个突出特征是演讲者极少使用疏远资源,表明演讲者一般不愿将自已与所表述的命题之间的距离拉大,以免使其变得可疑。从态度系统来看,鉴赏资源远远多于判断和情感资源,其中判断资源最少。这种分布特征与英语学术讲座话语的语场密切相关。本研究中的英语学术讲座都是认知语言学方向的,演讲者注重的是对语言现象或者观点的评价,通过使用鉴赏资源,可以使听众把握重点和难点；就判断而言,演讲者讨论的是语言的认知规律或者现象,一般不会对人类行为作出表扬或者谴责；就情感而言,由于讲座是为了传递语言科学信息,一般和演讲者的情感无关。态度资源在本研究语料中的分布规律表明在英语学术讲座话语中只有两种基调,即通讯员声音和评论员声音,没有记者声音。这同样证明英语学术讲座话语是一种相对主观的语类：演讲者扮演的不是一个客观的、不偏不倚的信息传递者,他们运用各种态度手段表明自己的立场,以争取听众的立场,和听众形成一致关系。在级差资源使用上,演讲者倾向于使用语势资源,其子系统强化资源往往被用来对态度意义进行调节,级上升强化资源可以增强演讲者对命题的投入程度,缩小对话空间,而级下降强化资源可以减少演讲者对命题的投入程度,扩展对话空间。同属于聚焦资源的锐化和柔化的评价功能分别和级上升和级下降强化资源类似。第二,英语学术讲座话语的语类结构可表征为15个相,分布于3个片段之中。其中提出讲座分话题/研究问题和论述分话题/研究问题是必要成分,提出讲座主题和概述讲座主题两个相必须出现其中之一。从语类来看,每个阶段的目标都可以由相应的相去体现。每个相都体现着说话者/作者一定的意图或者目的,这种意图或目的对整个语篇来说是一种修辞效果。我们将这种修辞效果看成是语篇结构成分的评价意义,隶属于语类层面。该种评价制约语域层面演讲者和听众之间的关系。从语旨来看,演讲者和听众在15个相中的角色不是一成不变的。在英语学术讲座话语中,演讲者与听众之间主要表现为一致关系。每个相都充满了各种评价资源,这些评价资源使演讲者和听众之间的一致关系得以实现。另外,演讲者通过策略性地使用评价资源可以使权力关系转化为一致关系。第三,演讲者和听众的互动方式表明,语旨的两个变量,即权力和一致关系,两者之间不是非此即彼的关系,在一定条件下可以相互转化。这种转化主要通过调节对事物或者命题的投入得以实现。从系统功能语言学的层次理论来看,在上的层次制约在下的层次的意义选择,但是英语学术讲座话语中演讲者和听众之间的互动方式表明,在一定语境下,在下的层次的选择会产生变异,这种变异可以影响在上的层次的系统关系。本研究主要有以下三个方面的启示：首先,本研究可以为高校教学提供重要参考。随着国际学术交流活动的逐步推广,英语学术讲座必将成为高校教学的重要形式。目前由于教学设备和学生英语技能的不断提高,学术听力已不成为主要障碍。而如何说服听众,站到自己的学术立场应成为演讲者要考虑的重要因素。英语学术讲座话语中评价意义的配置方式及其在词汇语法层面的一些典型体现方式可以为演讲者使用评价资源提供重要依据；另外,英语学术讲座话语的语类结构潜势表达式可以为演讲者实现语类目的提供具体可行的步骤。第二,本研究是专门针对语言学学科的英语学术讲座话语评价意义的研究,其评价对象、评价者都有自身的特征,这些特征对英语学术讲座话语的一些评价资源的判定和评价资源的配置都产生了重要影响。因此,本研究将评价理论的应用进一步细化的同时,也在一定程度上补充了评价理论。第三,本研究从评价的视角详细地探讨了语类层面的评价意义及其体现方式,将评价概念扩展到语类层,进一丰富了评价研究。另外,本研究对系统功能语言学的层次思想作了一定的补充。更多还原

【Abstract】 Evaluation, as a universal social phenomenon, refers to the speakers’or writers’ attitude or stance towards the opinions, or feelings about the entities or propositions that they are talking of. In view of the importance and universality of evaluation in common language communications, a number of scholars have engaged themselves in describing and explaining it from various perspectives. The most influential approach to evaluation is appraisal theory developed by Martin and his colleagues on the ground of Systemic Functional Linguistics (SFL). Appraisal theory is built around three systems:attitude, engagement and graduation, all of which express the interpersonal meaning on the stratum of discourse semantics. Being highly operational and systematic, appraisal theory has been widely applied to the analysis of evaluative characteristics in different kinds of genres.Academic lecture discourse in English (ALDE) refers to the lecture that is delivered in English on a professional course or a special subject in Universities. Most of the researches conducted in this area so far, have mainly involved three aspects:the lecture comprehension process, lecture discourse, and lecture input variables. Recently, it is lecture discourse that has received increasing attention. However, most of the studies have focused on the description of macro-structure and micro-features. Discourse is a dynamic process of meaning negotiation, including the production and reception of a text. Consequently, it is necessary to investigate the interaction between the lecturer and the audience if we want to capture the essence of ALDE.Based on SFL, the present study aims to explore evaluation and generic structure within the appraisal frame, and is supposed to answer the following three questions:(1) How evaluative resources are distributed across ALDE, and what are the reasons?(2) How do evaluative resources realize the interaction between the speaker and the audience?(3) What is the generic structure of ALDE and its evaluative characteristics?The research is corpus-illustrated and the data are collected from the transcriptions of30lectures made by the world-renowned cognitive linguists and published by Foreign Language Teaching and Research Press. After careful and thorough study, the research arrives at the three main conclusions:First, in terms of engagement, contraction resources are used much more frequently than expansion resources, indicating that the lecturer tends to narrow down the dialogic space, denying or reformulating those different opinions, rather than open it up. In terms of expansion resources, entertainment enjoys much higher proportions, indicating that the lecturer would rather express the opinion from an inner voice. One salient characteristic of ALDE is its rare use of distance resource, which is a manifestation of the lecturer’s unwillingness to distance himself from the proposition so as not to make it unreliable. In terms of attitude, resources for appreciation appear much more frequently than that of judgment or affection, which can be attributed to field. Since the materials in this study are all about linguistics, the lecturers are usually concerned with the linguistic phenomenon, rather than the moral of people. The distribution of attitudinal resources also proves that ALDE is a relatively subjective genre. There are only two voices:commentator’s voice and correspondent’s voice. The lecturer tends to explicitly express his own position for the purpose of establishing solidarity and alignment with the audience. In terms of graduation, the lecturer prefers the force resources, which are usually in the form of upgrading. In this way, the lecturer is able to increase his or her commitment to the proposition so as to narrow down the dialogic space. Sharpen and soften resources perform their respective functions in the same way as upgrading and downgrading resources do.Secondly, the generic structure of ALDE contains15phase distributed across3periods. Only two phases are obligatory:raising sub-topic of lecture/research questions, and explaining sub-topic of lecture/research questions. In each lecture, at least one of the two phases, raising the theme and sketching the theme, must appear. In terms of genre, the goal at every stage can be realized by the corresponding phase. Each phase realizes the speakers’/writers’ intention or purpose, which can be seen as the rhetorical effect of the discourse and is defined as evaluation of the phase, a kind of evaluation belonging to the genre stratum. It shall influence the relationship between the lecturer and the audience. In terms of tenor, the role that the lecturer and the audience play is not fixed. Each phase is loaded with all kinds of evaluative resources realizing solidarity between the lecturer and the audience. Besides, the lecturer can change the power relation into that of solidarity by strategic use of appraisal resources.Thirdly, the mode of interaction between the audience and the lecturer indicates that there is no definite boundary between power and solidarity. Instead, they are interchangeable through the modulation of commitment to the thing or proposition. Besides, according to stratificational theory of SFL, the meaning choice made on upper stratum is in control of the meaning choice on the lower stratum. However, the mode of interaction between the audience and the lecturer suggests that there may be variation in the choice on the lower stratum, which may affect the system of the upper stratum.The present study has important implications as follows:First of all, the result of the study can offer important insights for higher education. With the widespread of international academic exchanges, ALDE is to become the major mode of instruction in higher education. Due to the improvement in both teaching facilities and students’English competence, academic listening is no longer a major problem. It is how to win over the audience that should be the lecturer’s main concern. The typical lexical realization and the configuration of appraisal resources will provide the lecturer with important guidance in utilizing the appraisal resources. In addition, the generic structure formulation of ALDE will provide the lecturer with practical steps to follow.Secondly, the present study selected a specific subject of ALDE, i.e., linguistics. The evaluator and thing evaluated of this subject shall exhibit subject-specific characteristics important to the identification and configuration of appraisal resources. Consequently, the present study has further refined the application of appraisal theory and complemented it to some extent.Thirdly, the present study examined in detail evaluation and its realization on the generic stratum expanding the notion of evaluation to the generic stratum, and thus has further enriched the study of evaluation and stratification to a certain extent.更多还原