（外国语言学及应用语言学专业论文）阅读与反思：读者与作者对话的个案研究.pdf

阅读与反思：读者与作者对话的个案研究 4 摘 要 传统的二语习得研究将语言看作是由一系列固定的结构成分及相关组合规则组成的抽象的封闭体系。二语习得或外语学习则往往被视作学习者内在的心理过程，独立存在于学习者个体的大脑当中， 甚少受社会文化环境因素的影响。 然而在过去的二十年中，这一固有观念不断受到社会文化视角的冲击。 这一视角下的学习的过程被看作是在特定物质、社会环境下的社会实践活动，知识的产生靠学习者的协同共建，与学习者紧密相连。其主要理论来源包括维果茨基的社会文化理论、语言社会化理论、情景学习理论、批判理论及巴赫金的对话理论。本研究正是基于巴赫金的对话理论。巴赫金认为语言具内在的对话性。它既是结构的也是生成的,是实现、维持、改变我们的文化世界的工具。学习外语不应是积累脱离语境的语言形式的过程而应是在特定的经济、 政治及历史环境下进行对话交流的过程。 本研究旨在将巴赫金的对话理念引入中国外语教学与研究， 倡导将语言学习置于真实的对话交流之中的理念，探索学习者在对话环境下各方面的发展与生成。巴赫金的语言观与内在对话的概念对本研究具有重要意义。 研究者选取反思性写作作为本研究中的对话形式，因为这一写作过程包含了阅读、思考与产出，是内在对话的完美外壳。研究环境是以网络为基础的写作课，学生可以将自己的习作发表在网上与同学分享。参与此项研究的是某大学 25 名英语专业学生。研究设计分为两个环节。第一环节是学生与伟人的对话， 这一环节中学生首先阅读美文之后写出反思， 其对话主体是学生与美文作者。第二环节是学生与学生对话，即学生阅读第一环节中的美文反思之后写出第二次反思。两轮对话后，研究者抽取了 5 名学生进行访谈以便更全面了解学生在对话中的生成。 本研究采用了扎根理论对材料进行分析。 研究者对资料进行逐级编码、 抽象、 分类、模块化之后发现在两个环节的对话中，学生都有四个方面的产出。在第一轮对话中，学生的产出包括：视域共融、自我反观、情感共鸣及修辞同化。在第二环节的对话中，学生的产出包括：意义共建、认知技能发展、同辈学习及自我反观。从这一研究结果可以归纳出学生在两轮对话中有三方面的收获： （1）认知技能的运用。学生在对其同学反思文章进行分析时，运用了理解、分析、分类、概括、评价等多种认知技能。 （2）生活信念的完善。通过与伟人及同辈的对话，学生对美文主题有了更深刻的认识与理解，完善了自己的生活信念。 （3）写作技巧的提高。第一轮对话中学生受美文风格影响，在写作过程中运用了大量的修辞。 第二轮对话中学生从同辈身上汲取营养并同时对自己写作技山东农业大学硕士学位论文 5 能进行了反思。此外研究者还探讨了学生所处的对话空间的特点及反思性写作的作用。 本研究对外语教学有以下启示： （1）教师应创设真正的对话空间促进学习过程中的互动交流，这些语境的动态交互能赋予语言结构以意义。2）读、思、写结合的反思写作是学生与文本的真正对话， 对话使新的思想与语言生成。 （3） 要重视对话资源的质量，对话文本中情感、 认知、 语言给学生带来的美感既是促进生成的助推器， 也是语言选择、内化的摹本。本研究的局限性在于资料收集的广度与深度不够，且对学生语言发展方面的探讨不甚充分。 此研究的理论价值在于拓展了中国外语学习语境下二语学习研究的视角和方法。其实践意义在于通过倡导将学习之于真实对话环境当中，焕发了语言在外语教学与学习中的生命力。 关键词：巴赫金；对话；反思性写作；美文 山东农业大学硕士学位论文 1 abstract traditional approaches to second and foreign language research and practice have viewed language as a set of abstract, self-contained systems with a fixed set of structural components and a fixed set of rules for their combination. language learning was viewed as an internal psychological process isolated in the mind of the learner and largely free from the social and cultural contexts where esl/efl learning takes place. however, those approaches have been challenged in the past two decades by various sociocultural perspectives such as vygotskian sociocultural theory, language socialization, situated learning theory, critical theory and bakhtins dialogic perspective. those perspectives, though diverse in research agendas, share a similar epistemological stance that views knowledge as negotiated and co-constructed and learning as situated practices taking place in physical and social contexts. this study, however, is inspired by bakhtins dialogic perspective. the key underlying idea of bakhtins view of social interaction and social relations is that they are inherently dialogic. this view is rooted in bakhtins understanding of language as dialogic at the most basic level. under this perspective, language is seen as a living tool-one that is simultaneously structured and emergent, by which we bring our cultural worlds into existence, maintain them, and shape them for our own purposes. learning language, then, does not mean accumulating decontextualized forms or structures but rather entering into ways of communicating that are defined by specific economic, political, and historical forces. this study seeks to apply bakhtins theory of dialogue, especially his view of language and concept of internal dialogue to the study of education in english class in china. it seeks to find out the effect on learners from the dialogic way of education. rather than face-to-face dialogue, reflective writing is chosen, which takes the process of reading, thinking and writing, because reflective writing is the perfect outer shell for internal dialogue. the context of the study is in a network-based writing class where the students works could be presented and shared on the net. two dialogic rounds, student-author dialogue and student-student dialogue, are designed. 25 participants volunteered to present on the net their reflections on the classic proses (defined as the student-author dialogue in the research) and subsequently, reflections 阅读与反思：读者与作者对话的个案研究 2 on their peers reflections (defined as student-student dialogue in the study). a semi-open interview was carried out after the two rounds of dialogues to make a more comprehensive understanding of students gainings from the dialogues. the data collected were treated with the grounded theory method. after a laborious work of coding, conceptualizing, categorizing and patterning, the researcher systemized four characteristics, respectively, from the students two rounds of reflections. in the first dialogic round, the classic-prose-reading reflection, the students voices reflected four features, namely, fusion of horizon, self-reflection concerning the theme of the prose, emotional resonance and assimilation of rhetoric devices. and in the second dialogic round, the emergence from the students included the joint-construction of meanings, employment of cognitive skills, learning from peers and self-reflection on ones own writing skills. these results show that from the two kinds of dialogues both with great minds (the author of the classic prose) and that with their peers, the students have developed themselves from three aspects: development of cognitive skills, perfection of their living philosophy and development of their english writing skills. the students cognitive development is shown in their effective processing of the reading materials where skills of comprehension, classification, generalization and evaluation were involved. the students also perfected their living philosophy or beliefs in the multivoiced dialogic space by dialoging with great minds and their peers. the students writing skills are also developed in the two rounds of dialogues. in the first dialogic round, the students produced abundant sentences with different rhetoric devices and in the second dialogic round, the students learned from each other and reflected on their own writing skills. moreover, the characteristics of the dialogic space and the function of reflective writing are also explored in the thesis. on the basis of these findings, some suggestions are put forward for efl teaching in china. firstly, a genuine dialogic space should be set up to promote classroom interaction. secondly, reflective writing may be adopted as a method to encourage students interaction with curricular material. finally, proper teaching materials should be chosen to promote students motive in learning. the charm of the text in language and ideas is the engine to promote students emergence. the limitation of the study exists in the range and longitudinality of data collection and insufficiency of the exploration of students language 山东农业大学硕士学位论文 3 development. this study has both theoretical and practical significance. theoretically, the dialogic approach to efl teaching and learning has enriched the sla research. practically, it helps to revive the life of language in efl teaching and learning by opening a dialogic space in class. key words: bakhtin; dialogue; reflective writing; classic prose ilist of abbreviations efl english as a foreign language sla second language acquisition esl english as a second language gt grounded theory iilist of tables and figures table 3.1: four stages of analysis in gt 23 table 4.1: rhetoric devices in reflections 36 table 4.2: cognitive skills demonstrated 40 table 4.3: learning from peers 42 figure 3.1: the research procedures 24 figure 4.1: the fusion of horizons 27 figure 4.2: self-reflection of students 34 figure 4.3: the extended utterance links in student-student dialogue 39 figure 5.1: the development of students as a whole person 47 关于学位论文原创性和使用授权的声明 本人所呈交的学位论文，是在导师指导下，独立进行科学研究所取得的成果。对在论文研究期间给予指导、帮助和做出重要贡献的个人或集体，均在文中明确说明。本声明的法律责任由本人承担。 本人完全了解山东农业大学有关保留和使用学位论文的规定，同意学校保留和按要求向国家有关部门或机构送交论文纸质本和电子版，允许论文被查阅和借阅。本人授权山东农业大学可以将本学位论文的全部或部分内容编入有关数据库进行检索，可以采用影印、缩印或其他复制手段保存论文和汇编本学位论文，同时授权中国科学技术信息研究所将本学位论文收录到中国学位论文全文数据库 ，并向社会公众提供信息服务。 保密论文在解密后应遵守此规定。 论文作者签名： 导 师 签 名： 日 期： 阅读与反思：读者与作者对话的个案研究 6 chapter one introduction 1.1 research background traditional sla research has been dominated by the cognitive paradigm that views language learning as primarily an internal psychological process isolated in the mind of the learner and largely free from the social and cultural contexts where esl/efl learning takes place. in the past two decades or so, sla has been experiencing tremendous impact of various sociocultural perspectives, which, though diverse in research agendas, share a similar epistemological stance that views knowledge as negotiated and co-constructed and learning as situated practices taking place in physical and social contexts. thus, participation and context are crucial to learning. bakhtins dialogic perspective is one of the important sources of the sociocultural perspective. over the past three decades, studies of mikhail bakhtins (1895-1975) work have had a widespread impact on scholarship in a number of academic disciplines. recently, scholars have begun to use bakhtins ideas in the debate on various aspects of second and foreign language and literacy learning. bakhtin proposes a new approach to language that is fundamentally different from traditional linguistics and is based on his theory of dialogue. the key underlying idea of bakhtins view of social interaction and social relations is that they are inherently dialogic. this view is based, in turn, on bakhtins understanding of language as dialogic at the most basic level. this is the most significant contribution to sla theory that is derived from bakhtins legacy. further, bakhtins view of communicative interaction opens new possibilities for exploring it from the emic (participant-relevant) perspective. the need for such a new perspective is acknowledged in the field today (cook, 1999, 2002; firth & wagner, 1997; kubota, 2002; lantolf & pavlenko, 2001; pavlenko, 2002; pavlenko & lantolf, 2000). inspired by the great philosopher, the researcher seeks to explore chinese students efl learning from a dialogic perspective. 1.2 research purpose the principal aim in writing this paper has been to explore the emergence of the dialogic learning process in students reflective writing of the classic proses from bakhtins dialogic 山东农业大学硕士学位论文 7 perspective. two dialogic rounds, student-author dialogue and student-student dialogue, are designed. reflective writing is chosen because its the perfect outer shell for internal dialogue. it provides students a chance to dialogue with the others and to look back at themselves. the research questions of the study are rather vague as it has adopted the grounded theory(gt) method which limits any preconceptions before data analysis and emphasizes generation of theory from data in the process of research conducting. thus two general questions are to be answered: (1) what emerged from the author-student dialogue? (2) what emerged from the student-student dialogue? 1.3 research significance this research on students reflective writing from a dialogic perspective has both theoretical and practical significance. theoretically, it makes contributions to the conceptualization of efl learning as dialogue situated in social and cultural context. such a conceptualization transcends the conventional cognitive models of language teaching and learning that place exclusive emphasis on the individual learner and view language learning as purely psychological activity. the dialogic perspective to efl learning informed by bakhtin allows us to view efl learning as social participation and appropriation of voice through which the students are educated as a whole person. it also allows us to examine the dialogic context where learning takes place and the affordances created through interaction. this study also has some practical implications. first, it helps teacher to open up a dialogic space in class and enhance learner participation. the dialogic view of efl learning as participation and dialoguing may enable teachers to view learning as involving roles, relationships and identities. teachers need to strive for the empowerment of learners as legitimate participatory members of community and seek ways to promote the transformation of classroom relationship to make it conducive to learning and participation. second, it helps to revive the life of language in efl teaching and learning. the dialogic view of language as emergent implies that language learning is also a process of creation and construction. the students should be encouraged to come into their own voices and construct their own horizon. 1.4 overall organization of the thesis this thesis is compromised of five chapters. 阅读与反思：读者与作者对话的个案研究 8 chapter 1 is an introduction of the whole thesis. in the beginning, the research background is introduced and then the researcher presents the research purpose and significance, which justifies the necessity of this research. chapter 2 contains the literature review of the research topic. this chapter begins with an overview of the “sociocultural turn” in second and foreign language learning research, which emphasizes the social, cultural, interpersonal and interactional dimensions of language learning and use. the second part of this chapter has been mainly devoted to the varieties of dialogue to clear up our understanding of dialogue in the present study. then some key concepts of bakhtins dialogic theory are introduced. in the end of this chapter, the researcher introduces bakhtins view of language and discusses its implication in sla. chapter 3 focuses on the research design and methodology. in this chapter, the researcher first introduced grounded theory, which has been applied in the process of data analysis. and then research context, participants, and data collection are elaborated. chapter 4 presents the research results and the discussion provoked. in the first dialogic round, the emergence is summarized from four perspectives: fusion of horizon, self-reflection of students, emotional resonance and assimilation of rhetoric devices. in the second dialogic round, student-student dialogue, four aspects are summarized: the joint-construction of meanings, cognitive skills employed, learning from peers and self-reflection on ones own writing skills. chapter 5 presents the discussion provoked. three aspects were involved in the discussion: the outcome, the environment and the task. chapter 6 brings the conclusion of the thesis. it begins with the summary of major findings and then implications for teaching, research imitations and areas of future studies are presented. 山东农业大学硕士学位论文 9 chapter two literature review in this chapter, the relevant literature of the research topic is reviewed. the starting section is concerned with the sociocultural turn in sla research. section two introduces some varieties of dialogue in the literature concerned with bakhtin, followed by the researchers own interpretation of dialogue in this research. section three and section four introduce some key concepts in bakhtins dialogic theory and bakhtins view of language and its implication in sla. in section five, pervious research is reviewed so as to seek for its research gaps. 2.1 overview of sociocultural turn in sla research traditional approaches to second and foreign language research and practice informed by theories and assumptions in linguistics and psycholinguistics about language and language learning have been preoccupied with the acquisition of linguistic entity as self-contained system and individual learners mental processes in acquiring the linguistic system. these approaches are believed to emerge at the time of chomskian revolution in linguistics, simultaneously with the transition in psychology from behavioral to cognitive theories in the 1960s (marchenkova, 2005). second language learning researchers at the early stage were interested in the linguistic properties of learners interlanguage (selinker, 1972) and the acquisition of grammar. in both linguistic and psycholinguistic approaches, the social, cultural, interpersonal and interactional dimensions of language use and the discursive contexts in which language learning takes place are not acknowledged as important factors, even though they may be regarded as potential variables that can either promote or inhibit the development of purely internal knowledge of language by an individual learner. in one issue of modern language journal, firth and wagner (1997) proposed a reconceptualization of second language acquisition research to enlarge the ontological and empirical parameters of the field (p.285). they called for a significantly enhanced awareness of the contextual and interactional dimensions of language use and for understanding language not only as a cognitive phenomenon, the product of the individuals brain but also as fundamentally a social phenomenon, acquired and used interactively, in a variety of contexts for myriad practical purposes (p.296). similarly, thorne (2000) suggested the need for a shift in second language acquisition from an understanding of language learned as 阅读与反思：读者与作者对话的个案研究 10 context-independent lexical and grammatical meaning to an acknowledgement of the relative and context-contingent nature of language-in-use (p.230). in the past two decades or so, second and foreign language learning and teaching research has become increasingly interdisciplinary, informed by findings and theories not only in linguistics and cognitive psychology, but also in cultur