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巴赫金理论视域下的外语对话课堂理论探究
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摘要
进入新世纪,我国外语教与学的理论研究进入到发展创新的新阶段。虽然外语教与学的理论研究成果斐然,但是多数理论研究都是对学习者因素的关注,具体而言,即对学习策略、学习动机、自主学习等外语学习理论的建构与验证,却少有对中国外语教育的宏观理论的建构与探究。外语课堂是中国学生外语学习的最主要场所,对于外语课堂的宏观理论进行建构符合中国本土化外语教学的实际。理论是我们分析问题的起点,对于外语课堂的具体问题的研究只有上升到理论的应然层面,才能使教育者与研究者对外语课堂有更全面、更深入的认识,也才能使外语课堂实践更具指导性。因此,外语课堂教学的宏观理论在外语教学理论与实践中具有举足轻重的地位。
     任何理论都不是凭空建构的。西方哲学的研究焦点从认识论转向语言哲学对于主体间性的对话教育提出诉求,巴赫金的语言符号理论成为二语研究领域备受推崇的对话理论之一。国外学者对巴赫金的理论与教育/教学展开了很多研究。作为二语习得对话研究传统的重要代表,巴赫金的理论也为二语研究者所重视。本研究正是在这样的研究背景之下,参考大量国外二语习得领域的研究文献,结合国内外语教育理论研究实际,拟
     对如下几个方面的内容进行探究:
     1.对话应用于课堂的研究现状、存在问题及解决办法;
     2.外语对话课堂理论建构的理论及实证依据;
     3.外语对话课堂理论建构、理论构成要素及各要素之间的关系;
     4.外语对话课堂理论建构的方法论取向。
     本研究首先通过对对话理论和课堂话语研究现状的综述,以“对话”的多维定义为切入点,指出已有研究存在着“对话”在理论与实证层面的定义不一致、对话与对话性的理解混同;相关研究缺乏整体系统的理论建构等问题。针对这些问题,本研究论证了外语对话课堂理论建构的必要性,并描述了外语对话课堂理论建构的研究设计与研究步骤。然后本研究对巴赫金对话理论应用于二语习得中的理论性研究和实证性研究进行了系统的梳理与反思,为外语对话课堂理论的建构提供了理论依据与实证参数。在确定了外语对话课堂理论建构的理论依据与实证参数之后,对巴赫金与维果斯基的理论在“语言、文化、自我”三个层面进行深入探析,从而为外语对话课堂理论建构提供了必要的哲学思想源泉。按照本研究提出的外语对话课堂理论建构的研究步骤,对国内外的课堂话语研究现状进行了总结与反思,进而为外语对话课堂理论建构提供启示。在论证了外语对话课堂理论建构的哲学思想源泉,界定了其建构的理论依据与实证参数之后,对外语对话课堂理论的构成要素进行阐释,并对它们之间的关系进行说明,提出了外语对话课堂理论的五个(组)概念、四个简化命题、多个变量与一个假设,最终完成了外语对话课堂理论的建构。然而,任何理论建构均应具有与之匹配的方法论取向,所以本研究随后对外语对话课堂理论的方法论展开讨论,根据国外理论建构与方法论的研究文献,本研究认为外语对话课堂理论的研究方法论应采用定性为主、定量为辅的研究范式;提出其方法论取向的五个原则:层级性原则、多变量原则、开放性原则、差异性原则、二维原则;并认为批评性话语分析,特别是费尔克劳的批评性话语分析与巴赫金的理论相匹配,有助于研究者对实然课堂对话进行研究。而访谈法作为研究者与师生的一种对话,可以帮助研究者倾听师生主位声音,从而找出影响某种课堂实践的潜在因素与背后声音。
     本研究是针对外语课堂宏观理论建构的探索性研究,希望该理论研究不仅会对我国本土化外语课堂理论建构起到抛砖引玉的作用,扩大国内学界对巴赫金对话理论与课堂话语的认识与研究,也希望本研究可以对外语课堂教学实践具有启示意义。
As the new century unfolds, the theoretical research of foreign language teaching and learning has received much attention in China. Though the research has yielded a lot of outstanding results, most of the studies focus on the learners'individual factors, such as learning strategies, motivation, automatic learning, etc. Few studies have explored localized foreign language educational theories in China. Foreign language classrooms are the most important, if not the only site for the Chinese students'L2learning, so it is absolutely necessary to explore suitable or local-sensitive theory(ies) of foreign language classrooms in order to upgrade foreign language education in China. In other words, classroom discourse theory construction is in accordance with the Chinese foreign language educational realities. Theory is the starting point of most studies. As long as specific research questions in the foreign language classroom are raised to the reflection on the theoretical level, the educators and researchers will have a more comprehensive understanding and practice of the foreign language classroom. Therefore, the foreign language classroom theory plays a vital role in the foreign language educational theory and practice.
     The shift of research focus in Western philosophy from epistemology to language philosophy calls for dialogic education. Bakhtin's dialogism becomes one of the hottest dialogue theories in the research circle. As one of the representatives in the dialogic turn of SLA, his theory is paid great attention by the second language acquisition researchers. Based upon a critical review of current literature of L2theoretical and empirical studies, the present study aims to address the following aspects in order to construct a foreign language dialogic classroom theory from a socio-cognitive perspective:
     1. The status quo of the L2classroom research both theoretical and empirical, existing problems and solutions;
     2. The theoretical foundation and empirical evidence of the foreign language dialogic classroom theory construction;
     3. The constituent elements in the constructed foreign language dialogic classroom theory and their relationships;
     4. The relevant methodology orientation and the foreign language dialogic classroom theory.
     The present study, first of all, reviewed current literature of classroom dialogic research with a focus on the multi-dimensional definitions of "dialogue" and the various studies in which dialogue is applied metaphorically in classroom. Based on the review, the study points out that the existing studies are contradictary in terms of the definitions of "dialogue" at both the theoretical and the empirical level. Besides, these studies haven't distinguished "dialogue" from "dialogicality" and their arguments lack of systematicity theoretically. In order to solve these problems, the study provides a systematic research procedure and stages for the theory construction of foreign language dialogic classrooms. In order to provide the theoretical foundation and empirical evidence for the theoretical construction in question, the thesis summarizes the studies of Bakhtin's theory in SLA and provides the theoretical and empirical foundations for the theory construction. Based upon these, the present study interprets Bakhtin's and Vygotsky's three core concepts 'language, culture and self', and shows that the two thinkers' philosophical understandings or explanations of the three fundamental theoretical concepts are strikingly similar. Thus the thesis highlights its implications for the theoretical basis of the foreign language classroom theory construction.
     According to the systematic research procedure mentioned earlier, the thesis summarizes the domestic and international research of classroom discourse with implications for the present study. Based on these implications and the theoretical foundations discussed earlier, the thesis move to introduce the socio-cognitive perspective of the foreign language dialogic classroom theory, and then interprets the constituent elements and their relationships. After that, the author puts forward five major concepts, four simplified propostions, multi-variables and one hypothesis. Some additional explanations are provided after the theory construction for readers' further understanding. The present study also recommends and discusses the research methodology which is believed to be compatible to the constructed theory. The thesis demonstrates that the qualitative research, complemented by the quantitative research paradigm would be more compatible to the dialogic classroom theory, and proposes five principles for the adoption of the methodology; these are Hierarchy Principle, Multi-variable Principle, Openness Principle, Difference Principle and Two-Dimensional Prinicple. Besides, the author holds the view that critical discourse analysis, especially, Fairclough's critical discourse analysis can be used for research of the classroom practice and the interview can enable the researcher listen to the students' and the teachers' voices and find out the hidden factors affecting a certain kind of the classroom practice.
     The present study is about theory construction of the foreign language classroom in China, and it is exploratory in nature. However, it is hoped that it can contribute to theoretical studies of foreign language dialogic classrooms, and it can expand the discussion and better understanding of Bakhtin's dialogic theory in relation to classroom discourse in China. It is also hoped that it can have implications for classroom teachers to upgrade their foreign language classroom pedagogical practices.
引文
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