英语冠词系统习得中的标记理论与语言迁移研究
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摘要
本论文运用标记理论和母语迁移理论，考察了英语冠词系统的习得情况。英语冠词作为限定词的一种，与名词或名词词组连用,在语言交际中使用频率较高，对语言交际能否成功起着一定的限定作用，因此英语冠词系统习得是二语学习者1英语语言习得中的重要组成部分。冠词主要存在于印欧语系及闪语当中，而汉语属于汉藏语系，并没有冠词系统，因此不同母语背景下的语言学习者可能会由于母语迁移的作用对冠词的习得产生差异。对于冠词系统的研究，在国外著述颇多，从冠词系统的分类、指称意义到冠词的习得顺序、再到第二语言对冠词习得体系的影响。在国内，近年来对英语冠词的研究主要分为三类：对英语冠词语义功能的研究，英语冠词的教学研究和英语冠词的习得研究。这些研究主要以描述性、探索性为主。本研究将以国外二语习得环境中不同母语背景下的语言学者作为研究对象，就二语学习者在相同的语言环境下由于母语体系中是否存在冠词系统的差异对语言学习者冠词系统的习得所产生的影响进行研究，并从标记理论和语言迁移的角度出发，就可能存在的差异进行分析，以期能够找到英语冠词习得中标记理论与母语迁移所产生的作用，并找出相应的解决办法。本研究要解决的问题有三：冠词系统中的母语迁移何时发生，冠词系统中的母语迁移如何发生，母语迁移的心理认知是任意性的，还是选择性的、系统性的。
本论文从语言迁移理论、标记理论及二语习得中冠词的实验研究出发，以国外二语习得环境中不同母语背景下的43名非英语专业本科生（母语分别为英语、西班牙语、法语和汉语的学生）作为研究对象，通过对试题成绩的统计分析、冠词频数的语料库分析以及试后回访的定量与定性研究相结合的方法，就不同母语背景下的语言学习者在冠词习得过程中所存在的母语迁移现象从标记理论的视角进行分析，将思辨性、理论性研究与实证性研究方法相结合，从而进行多层次的横向对比研究。论文采用实验研究的方法，共分成两项实验研究：单项选择成绩分析和短文填空的成绩分析。
第一项实验为冠词单项选择。按着Huebner对冠词以二项对立特征，即名词词组语义环境特指(specific reference, abbreviated to[±SR])和听者知识(Assumed known/not known to the hearer, abbreviated to[±HK])）为参照的分类方法将冠词分为四类：定指，类指，不定指，无指，实验运用SPSS统计软件，对相同母语背景下的语言学习者在不同的冠词词类中的成绩是否存在差异和不同母语背景下的语言学习者对于相同的冠词词类的掌握是否存在差异进行定量分析。
第二项实验为短文填空。此项实验要求参与者在需要的地方用适当的限定词进行填空。由于冠词的复杂性，冠词习得的掌握难度较大，作为限定词的一种，其它限定词在名词短语中起到了与冠词相似的限制作用，因此实验2中将其它限定词的研究包含在内。本项实验主要研究冠词的使用与其它限定词的掌握是否存在差异；语言学习者为了避免错误的产生，在习得冠词的过程中是否存在避免使用冠词而存在冠词缺省的现象，或由于学习者知晓冠词使用频率较高而存在过度使用的现象。
在两项实验后，实验者从前两项实验不同母语背景下的学生中每组抽出一名进行试后回访，并进行录音，转写。回访目的是了解学生选择不同冠词或其他限定词的原因，进一步了解不同母语背景下的语言学习者对冠词的掌握情况。
论文通过对实验结果和试后回访的总结和分析，主要有以下几点发现:
一、母语中的无标记项会发生迁移。这一发现回答了冠词系统中的母语迁移何时发生的问题。实验1的结果中，母语中存在冠词系统的西班牙语、法语的语言学习者与母语中不存在冠词系统的中国语言学习者成绩之间存在着显著性差异说明了这一点。在实验1中the在类指项中的高错误率说明了目的语中不同于母语,标记性又比母语强的地方对于语言学习者来说是困难的。这一实验结果验证了Eckman的标记性差异假说（Marked Differential Hypothesis，abbreviated to MDH）对学习者在二语习得过程中对即将遇到的困难的第一项预测。
二、母语与目的语之间冠词系统的标记性差异度决定冠词习得的相对难度。这一发现回答了冠词系统中的母语迁移怎样发生的问题。实验1中不定代词an在不定指项[+SR][-HK]中的高错误率说明，英语中的a与an的选择是按其后单词是否为元音的发音标准去分辨，与法语、西班牙语中的不定代词un/une、un/una按名词的阴阳性的标准区分的标准不同。这说明语言标记的相对难度较大意味着语言学习者掌握这一用法的相对难度也较大，这一实验结果印证了Eckman的MDH对学习者在二语习得过程中对即将遇到的困难的第二项预测。
三、标记理论视角下母语迁移的心理认知是选择性的、系统性的，不是随意发生的。试后回访通过对学习者提供答案的内在心理原因的划分，说明语言学习者对于母语存在着一种天生的直觉，而这种直觉会促使语言学习者迁移母语中的典型形式。实验2中西班牙语和法语的学生在定冠词类指项中的过度运用和中国学生在无指项中较高的正确率也说明了这一点。
论文对今后二语习得研究中通过标记理论和母语迁移分析英语冠词系统的实证研究以及对国内英语冠词系统的教学也具有一定的参考意义。例如，促进教师在教学中对冠词系统标记性差异的对比，尽量减少母语负迁移。论文对冠词不同类别掌握的差异也进行了研究，对于教师在分析学生在类指、回指等不同类别的教学中就其特点采用不同的教学方法，从而有效地提高学生对冠词的掌握具有一定的促进作用。此外，本文的研究方法也可用于对英语中其它语言现象的研究以及其它语种的跨语言研究。但由于本文属于在标记理论和语言迁移方面对冠词习得进行的探索性研究，在样本数量、不同语言能力层次的对比上存在一定的局限性，未来的研究应扩大样本数量以及对不同语言能力的学习者进行纵向研究。
The present dissertation studies the acquisition of English articles from theperspective of Markedness Theory and language transfer. In spite of high frequency,the English article system remains a marked feature and difficult item for secondlanguage learners2especially for Chinese learners. Articles mainly exist inIndo-European and Semitic languages, whereas Chinese belongs to the Sino-Tibetanlanguage family in which there is no article system. Overseas studies on the articlesystem mainly focus on the classification of article system, semantic referentiality, theacquisition order and the significance of the article system. Studies on the Englisharticle system in China are mostly descriptive and exploratory, with particular interestin the semantic functions, pedagogical implications, and the acquisition order ofEnglish articles, which mainly fall into the descriptive and exploratory-based study.
This dissertation investigates the article acquisition process within theframework of Markedness Theory and language transfer. It centers on the semanticfeatures of definiteness and specificity of noun phrases (NPs) and typologicaldifferences in the degree of markedness to investigate when and how languagetransfer takes place to affect the acquisition of articles. The study will help us to gainan insight into how language learners can acquire the English article system moresystematically and successfully.
The study takes43overseas undergraduates from University of CentralLanchashire (Uclan) in UK as the subjects of the study, with an attempt to investigatethe differences among the language learners with different native languages. It willfurther explore the underlying factors that contribute to the differences and find therole that language transfer and markedness may play in the process of articleacquisition. The study employs a mixed quantitative and qualitative method. Twoexperiments, a multiple-choice task and a blank-filling task, as well as an interview constitute the main body of the dissertation.
In this dissertation, articles are classified into four categories based onBickerton's (1981) Semantic Wheel Model as well as Huebner’s (1983,1985)Semantic Wheel for NPs reference. The four types of articles include referentialdefinites; generics, referential indefinites, and nonreferentials. The one-way analysisof variance (ANOVA) is made in experiment1to analyze the differences among thelanguage learners with different native languages and in different semantic types ofarticles.
A comprehensive qualitative and quantitative analysis of other determiners isinvolved in Experiment2. The participants were required to finish a blank-filling taskby filling in the necessary determiners, including articles. This experiment is designedto explore whether there exist differences in the usage between articles and othertypes of determiners, and whether there are instances of overuse or underuse ofarticles. Frequency of articles used correctly is also counted.
A series of interviews followed the two experiments. In order to find support forthe quantitative research and to shed light on the subjects’ metalinguistic knowledgewith regard to the use of articles, semi-structured interviews were conducted in theinterview to investigate the reasons underlying the learners’ choice of articles.
The present study has yielded the following main findings:
1. The unmarked items in language learners’ native languages will be transferredin the process of article acquisition. This finding answers the question when thelanguage transfer will happen. It has been confirmed by the experimental results inExperiment1. Experiment1finds significant differences between Spanish and FrenchL2learners, whose native language has an article system, and Chinese L2learners,whose native language has no article system. It proves that the accuracy of Spanishand French L2learners whose native languages have article system ([+ART] group) ishigher than Chinese L2learners whose native language has no article system (the[-ART] group). The high error rate of the in the semantic type of genericsdemonstrates that when the target language is different from and is more marked thanthe native language, it will be difficult for the language learners to acquire. It confirms the first prediction of Markedness Differential Hypothesis (MDH) proposed byEckman (1977).
2. Different degrees of markedness between the target language and the nativelanguage will affect the difficulty of acquiring the English article system. This findinganswers the question how the language transfer happens in the process of articleacquisition. The high error rate of the indefinite article an indicates that the standardof distinguishing a and an is based on whether the following word begins with avowel, but the measure of distinguishing different choice of indefinite articles inFrench and Spanish depends on gender. It implies the difficulty to compare themarkedness, which means more difficulty to acquire an for French and Spanish L2learners. Therefore, the relative degree of difficulty is closely related to thecorresponding degree of markedness, which is consistent with the second predictionof Eckman’s MDH.
3. The psychological process of language transfer from the perspective ofmarkedness is selective and systematic in article acquisition. By further categorizingthe learners’ response to the interviews, the findings of the interviews prove that thelearners have intuitive perceptions of their native language, and that accounts for thetransfer of some native language features to the second language. The intuitiveperception of the learners can also be proved by overuse of the definite article amongFrench and Spanish learners in the context of generics and the high accuracy ofindefinite article in the context of nonreferentials among Chinese learners.
These findings have some theoretical and pedagogical implications.Theoretically, it offers a new approach to studying the process of acquisition of theEnglish article system, namely, from the perspective of language transfer andmarkedness. Pedagogically, the instruction of the article system can follow the naturalorder of article acquisition and the degree of markedness through cross-linguisticcomparison. In a word, the systematic acquisition of the English article system isfound to be influenced by language transfer and markedness lying in the semanticfunctions of noun phrases. With the knowledge of markedness and language transfer,teachers will be able to predict more successfully the difficulties learners are likely to encounter while acquiring articles.
本论文从语言迁移理论、标记理论及二语习得中冠词的实验研究出发，以国外二语习得环境中不同母语背景下的43名非英语专业本科生（母语分别为英语、西班牙语、法语和汉语的学生）作为研究对象，通过对试题成绩的统计分析、冠词频数的语料库分析以及试后回访的定量与定性研究相结合的方法，就不同母语背景下的语言学习者在冠词习得过程中所存在的母语迁移现象从标记理论的视角进行分析，将思辨性、理论性研究与实证性研究方法相结合，从而进行多层次的横向对比研究。论文采用实验研究的方法，共分成两项实验研究：单项选择成绩分析和短文填空的成绩分析。
第一项实验为冠词单项选择。按着Huebner对冠词以二项对立特征，即名词词组语义环境特指(specific reference, abbreviated to[±SR])和听者知识(Assumed known/not known to the hearer, abbreviated to[±HK])）为参照的分类方法将冠词分为四类：定指，类指，不定指，无指，实验运用SPSS统计软件，对相同母语背景下的语言学习者在不同的冠词词类中的成绩是否存在差异和不同母语背景下的语言学习者对于相同的冠词词类的掌握是否存在差异进行定量分析。
第二项实验为短文填空。此项实验要求参与者在需要的地方用适当的限定词进行填空。由于冠词的复杂性，冠词习得的掌握难度较大，作为限定词的一种，其它限定词在名词短语中起到了与冠词相似的限制作用，因此实验2中将其它限定词的研究包含在内。本项实验主要研究冠词的使用与其它限定词的掌握是否存在差异；语言学习者为了避免错误的产生，在习得冠词的过程中是否存在避免使用冠词而存在冠词缺省的现象，或由于学习者知晓冠词使用频率较高而存在过度使用的现象。
在两项实验后，实验者从前两项实验不同母语背景下的学生中每组抽出一名进行试后回访，并进行录音，转写。回访目的是了解学生选择不同冠词或其他限定词的原因，进一步了解不同母语背景下的语言学习者对冠词的掌握情况。
论文通过对实验结果和试后回访的总结和分析，主要有以下几点发现:
一、母语中的无标记项会发生迁移。这一发现回答了冠词系统中的母语迁移何时发生的问题。实验1的结果中，母语中存在冠词系统的西班牙语、法语的语言学习者与母语中不存在冠词系统的中国语言学习者成绩之间存在着显著性差异说明了这一点。在实验1中the在类指项中的高错误率说明了目的语中不同于母语,标记性又比母语强的地方对于语言学习者来说是困难的。这一实验结果验证了Eckman的标记性差异假说（Marked Differential Hypothesis，abbreviated to MDH）对学习者在二语习得过程中对即将遇到的困难的第一项预测。
二、母语与目的语之间冠词系统的标记性差异度决定冠词习得的相对难度。这一发现回答了冠词系统中的母语迁移怎样发生的问题。实验1中不定代词an在不定指项[+SR][-HK]中的高错误率说明，英语中的a与an的选择是按其后单词是否为元音的发音标准去分辨，与法语、西班牙语中的不定代词un/une、un/una按名词的阴阳性的标准区分的标准不同。这说明语言标记的相对难度较大意味着语言学习者掌握这一用法的相对难度也较大，这一实验结果印证了Eckman的MDH对学习者在二语习得过程中对即将遇到的困难的第二项预测。
三、标记理论视角下母语迁移的心理认知是选择性的、系统性的，不是随意发生的。试后回访通过对学习者提供答案的内在心理原因的划分，说明语言学习者对于母语存在着一种天生的直觉，而这种直觉会促使语言学习者迁移母语中的典型形式。实验2中西班牙语和法语的学生在定冠词类指项中的过度运用和中国学生在无指项中较高的正确率也说明了这一点。
论文对今后二语习得研究中通过标记理论和母语迁移分析英语冠词系统的实证研究以及对国内英语冠词系统的教学也具有一定的参考意义。例如，促进教师在教学中对冠词系统标记性差异的对比，尽量减少母语负迁移。论文对冠词不同类别掌握的差异也进行了研究，对于教师在分析学生在类指、回指等不同类别的教学中就其特点采用不同的教学方法，从而有效地提高学生对冠词的掌握具有一定的促进作用。此外，本文的研究方法也可用于对英语中其它语言现象的研究以及其它语种的跨语言研究。但由于本文属于在标记理论和语言迁移方面对冠词习得进行的探索性研究，在样本数量、不同语言能力层次的对比上存在一定的局限性，未来的研究应扩大样本数量以及对不同语言能力的学习者进行纵向研究。
The present dissertation studies the acquisition of English articles from theperspective of Markedness Theory and language transfer. In spite of high frequency,the English article system remains a marked feature and difficult item for secondlanguage learners2especially for Chinese learners. Articles mainly exist inIndo-European and Semitic languages, whereas Chinese belongs to the Sino-Tibetanlanguage family in which there is no article system. Overseas studies on the articlesystem mainly focus on the classification of article system, semantic referentiality, theacquisition order and the significance of the article system. Studies on the Englisharticle system in China are mostly descriptive and exploratory, with particular interestin the semantic functions, pedagogical implications, and the acquisition order ofEnglish articles, which mainly fall into the descriptive and exploratory-based study.
This dissertation investigates the article acquisition process within theframework of Markedness Theory and language transfer. It centers on the semanticfeatures of definiteness and specificity of noun phrases (NPs) and typologicaldifferences in the degree of markedness to investigate when and how languagetransfer takes place to affect the acquisition of articles. The study will help us to gainan insight into how language learners can acquire the English article system moresystematically and successfully.
The study takes43overseas undergraduates from University of CentralLanchashire (Uclan) in UK as the subjects of the study, with an attempt to investigatethe differences among the language learners with different native languages. It willfurther explore the underlying factors that contribute to the differences and find therole that language transfer and markedness may play in the process of articleacquisition. The study employs a mixed quantitative and qualitative method. Twoexperiments, a multiple-choice task and a blank-filling task, as well as an interview constitute the main body of the dissertation.
In this dissertation, articles are classified into four categories based onBickerton's (1981) Semantic Wheel Model as well as Huebner’s (1983,1985)Semantic Wheel for NPs reference. The four types of articles include referentialdefinites; generics, referential indefinites, and nonreferentials. The one-way analysisof variance (ANOVA) is made in experiment1to analyze the differences among thelanguage learners with different native languages and in different semantic types ofarticles.
A comprehensive qualitative and quantitative analysis of other determiners isinvolved in Experiment2. The participants were required to finish a blank-filling taskby filling in the necessary determiners, including articles. This experiment is designedto explore whether there exist differences in the usage between articles and othertypes of determiners, and whether there are instances of overuse or underuse ofarticles. Frequency of articles used correctly is also counted.
A series of interviews followed the two experiments. In order to find support forthe quantitative research and to shed light on the subjects’ metalinguistic knowledgewith regard to the use of articles, semi-structured interviews were conducted in theinterview to investigate the reasons underlying the learners’ choice of articles.
The present study has yielded the following main findings:
1. The unmarked items in language learners’ native languages will be transferredin the process of article acquisition. This finding answers the question when thelanguage transfer will happen. It has been confirmed by the experimental results inExperiment1. Experiment1finds significant differences between Spanish and FrenchL2learners, whose native language has an article system, and Chinese L2learners,whose native language has no article system. It proves that the accuracy of Spanishand French L2learners whose native languages have article system ([+ART] group) ishigher than Chinese L2learners whose native language has no article system (the[-ART] group). The high error rate of the in the semantic type of genericsdemonstrates that when the target language is different from and is more marked thanthe native language, it will be difficult for the language learners to acquire. It confirms the first prediction of Markedness Differential Hypothesis (MDH) proposed byEckman (1977).
2. Different degrees of markedness between the target language and the nativelanguage will affect the difficulty of acquiring the English article system. This findinganswers the question how the language transfer happens in the process of articleacquisition. The high error rate of the indefinite article an indicates that the standardof distinguishing a and an is based on whether the following word begins with avowel, but the measure of distinguishing different choice of indefinite articles inFrench and Spanish depends on gender. It implies the difficulty to compare themarkedness, which means more difficulty to acquire an for French and Spanish L2learners. Therefore, the relative degree of difficulty is closely related to thecorresponding degree of markedness, which is consistent with the second predictionof Eckman’s MDH.
3. The psychological process of language transfer from the perspective ofmarkedness is selective and systematic in article acquisition. By further categorizingthe learners’ response to the interviews, the findings of the interviews prove that thelearners have intuitive perceptions of their native language, and that accounts for thetransfer of some native language features to the second language. The intuitiveperception of the learners can also be proved by overuse of the definite article amongFrench and Spanish learners in the context of generics and the high accuracy ofindefinite article in the context of nonreferentials among Chinese learners.
These findings have some theoretical and pedagogical implications.Theoretically, it offers a new approach to studying the process of acquisition of theEnglish article system, namely, from the perspective of language transfer andmarkedness. Pedagogically, the instruction of the article system can follow the naturalorder of article acquisition and the degree of markedness through cross-linguisticcomparison. In a word, the systematic acquisition of the English article system isfound to be influenced by language transfer and markedness lying in the semanticfunctions of noun phrases. With the knowledge of markedness and language transfer,teachers will be able to predict more successfully the difficulties learners are likely to encounter while acquiring articles.
引文
Aarts J. and Aarts F. English syntactic structures: Functions and categories insentence analysis [M]. New York: Prentice Hall,1988.
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