【作者】 陈辉；

【导师】 孙有中；

【作者基本信息】 北京外国语大学 ， 英语语言文学， 2021， 博士

【摘要】 20世纪90年代初,冷战结束。美国成为世界上唯一的超级大国,成为一个主导世界格局并具有话语霸权的国家。国情咨文演说代表了美国政府的政治议程,本文探讨了其话语策略,旨在揭示美国政治话语策略的合法化本质以及隐藏在合法化话语中的价值体系和意识形态。作为重要的政治话语,国情咨文演说的政治本质和交际意图是使美国政府的政治议程合法化,以获得国会议员和公众的认可和支持。然而,迄今为止,很少有学者对国情咨文演说的话语合法化策略1进行过系统研究。而且,关于政治话语合法化策略的现有研究主要是从批评话语分析视角展开,在研究视角、研究理论、研究方法和研究深度方面还有很大的完善空间。本文将悉尼学派的语类分析视角运用于国情咨文演说的合法化策略研究中,提出了四个各有侧重但又相互关联的研究问题:1)作为政府工作报告,国情咨文演说关注的优先事项是什么?优先事项的历年变化折射出哪些政策变迁轨迹?2)演说者如何在独白式语篇中与受众进行对话以获得期待的对话空间和协商空间?3)为了实现既定的交际意图,国情咨文演说的语类结构由哪些部分组成并具有哪些突出特征?4)国情咨文演说作为政治话语语类,其语类特征具有哪些合法化功能?语类特征的合法化功能与传统的话语合法化策略之间的联系是什么?前三个问题从语类分析视角全面分析了国情咨文演说的语类特征,为回答第四个问题提供了实证依据;第四个问题以语类分析为主导视角探讨了语类特征的合法化功能及其表现形式,并结合批评话语分析视角识别了传统的合法化策略(van Leeuwen,2007;2008)在文本中的实现方式和作用。本文选择了 1989年至2020年期间五届政府的国情咨文演说作为分析语料。根据不同的研究问题,本文运用相关的理论框架对语料进行标注和编码,对语料文本进行定量和定性分析,从演说者阐述的优先事项、与受众互动表现出的对话性以及演说语篇呈现的高度规约化的语类结构这三个维度对国情咨文演说的语类特征进行了系统分析,旨在探究隐藏在这些语类特征背后的话语合法化功能和策略。首先,本文通过语料库分析软件PowerConc提取了在分析语料库中能凸显话题特征的前50个主题词,归纳了美国五届政府共同关注的十类优先事项:国土安全、经济、社会保障、教育、家庭、就业、科技、犯罪、能源和价值观。上述议题体现了美国历届政府在优先事项上的延续性。然后,以同样的方式提取主题词,本文将在每届政府的语料文本中能凸显话题特征的前10个主题词,分别和在分析语料库中能凸显话题特征的前10个主题词进行比较。分析语料库中的这10个主题词涵盖了就业、家庭、社会保障、教育、国土安全(反恐)和经济六类优先事项,是五届政府共同关注的优先事项。结果显示,除开克林顿政府,其他四届政府都有除了这六类优先事项之外特别重视的工作事项,体现了这四届不同政府在优先事项上的时代性。具体表现为,乔治·布什政府重视推行“自由”价值观和打击毒品犯罪;乔治·沃克·布什政府同样强调“自由”价值观的重要性;奥巴马政府视能源问题为影响国家利益和安全的重要因素;特朗普政府将打击毒品犯罪、推行移民新策、加强基础设施建设和提高妇女地位列为其政治议程中的重要事项。其次,基于评价理论的介入系统框架,本文探究了演说者运用不同的介入方式和介入资源在独白式语篇中和受众进行互动并为自己赢得协商空间的对话过程。国情咨文演说的对话性主要表现在四个方面:二个对话模式,即对话性压缩和对话性扩展;二个主要介入方式,即“否认”和“接纳”;三个核心话题,即“计划”、“问题”和“处事风格/价值观”;二个关键因素,即话语主体责任和对话空间。随后,基于Martin(1992)提出的“语类图式结构”概念,本文在宏观和微观层面还原了国情咨文演说的语类结构,即由一系列可识别的五个“阶段”组成:问候^序曲^政府工作报告^宣言^致谢,其中阶段3“政府工作报告”是其最重要的组成部分,由12个核心“步骤”组成:社会问题、优先事项、新政策、成就、民族自豪感、团结、挑战、价值观、政府责任、嘉宾、故事、国际担当2。国情咨文演说的语类结构在整体上呈现出规律性、灵活性和递归性。最后,基于前三个研究问题的发现,本文解构了演说者运用一系列话语合法化策略来证明其政治议程的合法性的过程。结果显示,国情咨文演说的语类特征本身就具有合法化功能,包括优先事项的意识形态本质、构建理想受众以及高度规约化的语类结构所蕴涵的传统的合法化策略(包括“授权”、“合理化”、“道德评价”、“叙事化”和“情感诉求”)。语类特征的合法化功能占据着主导地位,而传统的合法化策略(van Leeuwen,2007;2008)作为更具体的方式来辅助和提升语类特征的合法化功能,其中“道德评价”、“授权”和“情感诉求”成为贯穿演说始终的主要话语合法化策略。本文是针对政治话语合法化策略进行的一次具有创新性的探索。本文剖析了语类特征的合法化功能,并将语类特征的合法化功能与传统的话语合法化策略联系起来,还扩展了具有开创性意义的van Leeuwen(2007;2008)的分析框架,增添了属于“授权”类别的“机构权威”和“宗教权威”子类别、属于“神话虚构”3类别的“叙事故事”子类别和独立的“情感诉求”类别。另外,本文以语类分析视角为主导视角,并结合批评话语分析视角,原创性地构建了一个专门用于分析政治话语合法化策略的研究路径,弥补了传统的话语合法化策略研究在研究视角、研究理论、研究方法和研究深度上的不足。更多还原

【Abstract】 In the early 1990s,the Cold War ended and the United States became the only superpower in the world,a country that dominates the world order and has the discursive hegemony.The State of the Union addresses represent the political agenda of the American government,and this study explores the discursive strategies of the addresses in order to reveal the legitimation nature of American political discursive strategies and the hidden value system and ideology in the legitimation discourse.The political essence and communicative intention of the State of the Union addresses,an important genre of political discourse,are to legitimize the political agenda of the American government in order to gain approval and support from Congresspeople and the public.However,so far,few scholars have systematically studied the discursive legitimation strategies of the addresses.Moreover,the existing research on the legitimation strategies of political discourse is mainly from the perspective of critical discourse analysis,and there is still much room for improvement in research perspectives,research theories,research methods and research depth.This study applies the genre analysis of the Sydney School to the study of the legitimation-strategies of the State of the Union addresses,and proposes four interrelated research questions with their own particular focus.1)As typical government work reports,what priorities do the State of the Union addresses focus on?What policy changes are reflected in the priorities over the years?2)How does the speaker interact with the audience in the monologue discourse in order to obtain the desired space for dialogicity and negotiation?3)What are the core components and salient features of the generic structure of the State of the Union addresses in order to achieve the communicative intention?4)As a typical genre of political discourse,what legitimation functions do the State of the Union addresses have in terms of their genre features?What is the connection between the legitimation functions of the genre features and the traditional discursive legitimation strategies?The first three questions systematically analyze the genre features of the State of the Union addresses from the perspective of genre analysis,which provides the empirical evidence for answering the fourth question.By adopting genre analysis as a dominant perspective,the fourth question explores the legitimation functions of these genre features and the realization patterns of these functions.Besides,from the perspective of critical discourse analysis,the fourth question identifies the realization patterns and functions of the traditional legitimation strategies(van Leeuwen,2007;2008)in the addresses.This study selects the State of the Union addresses from 1989 to 2020 of five successive administrations as the analytical data.In accordance with different research questions,this study applies the relevant theoretical frameworks to annotate and code the data,and makes quantitative and qualitative analysis of the texts.This study systematically analyses the genre features of the State of the Union addresses in three dimensions:the priorities elaborated by the speaker,the dialogicity between the speaker and the audience,and the highly structured and regular generic structure of the addresses,in order to explore the discursive legitimation functions and strategies hidden behind these genre features.Firstly,by using the corpus analytical software Power Conc,this study extracts the top 50 keywords that highlight the subject matters of the 32 observed addresses,and then generates ten categories of priorities of the five successive administrations in the data:homeland security,economy,social security,education,family,employment,science and technology,crime,energy,and values,which reflects the continuity of the priorities of the successive administrations.Then,in the same way of extracting the keywords that highlight the aboutness,this study respectively compares the top 10 keywords of the addresses of each incumbent administration with the top 10 keywords of the 32 addresses.The 10 keywords of the 32 addresses cover six categories of priorities:employment,family,social security,education,homeland security(counter-terrorism)and economy,which are the common priorities of the five administrations.The result shows that except the Clinton administration,the other four administrations have their own particular priorities that they attach more importance to,which reflects the timeliness of the priorities of the four different administrations.Specifically speaking,the George Bush administration attached special importance to promoting the value of freedom and cracking down on drug crimes;the George W.Bush administration also stressed the value of freedom;the Obama administration regarded energy as an important issue affecting national interests and security;the Trump administration put the priorities of fighting against drug crimes,implementing new immigration policies,strengthening infrastructure construction and improving women’s status at the top of his political agenda.Secondly,based on the engagement system of Appraisal Theory,this study explores the interaction process in which the speaker uses a variety of engagement modes and engagement resources in the monologue discourse to interact with the audience in order to win negotiation space for himself.The dialogicity of the State of the Union addresses is mainly manifested in four aspects:two dialogic modes,i.e.,dialogic contraction and dialogic expansion;two main engagement modes,i.e.,disclaim and entertain;three core topics,i.e.,plans,problems and work styles/values,and two key factors,i.e.,the responsibility of the language userfor the current proposition and the space for dialogicity.Thirdly.based on the concept of schematic structure ofgenre proposed by Martin(1992),this study works out the prototype of the State of the Union addresses at the macro-and micro-level.The prototype consists of a series of five identifiable stages:Greetings^Prelude^Government Work Report^Declaration^Thanks,of which Stage 3 Government Work Report is the most important part,consisting of 12 core phases:social problems,priorities,(the need for)new policies,achievements,national pride,unity,challenges,values,government responsibility,(acknowledging)guests,storytelling and responsibilities for international affairs.On the whole,the generic structure of the addresses shows the characteristics of regularity,flexibility and recursion.Finally,based on the findings of the first three research questions,this study decodes the process in which the speaker employs a series of discursive legitimation strategies to prove the legitimacy of his political agenda.The results show that the genre features of the State of the Union addresses have the legitimation functions,including the ideological nature of priorities,the construction of an ideal audience and the traditional legitimation strategies used in the highly structured and regular generic structure(including authorization,rationalization,moral evaluation,narrativization and emotional appeal).The legitimation functions of genre features play a dominant role,while the various traditional legitimation strategies(van Leeuwen,2007;2008)serve as more specific ways to assist and enhance the legitimation functions of genre features.Among them,moral evaluation,authorization and emotional appeal are the three main discursive legitimation strategies throughout.This study is an innovative exploration of the legitimation strategies of political discourse.This study explores the legitimation functions of genre features,connects the legitimation functions of genre features and the traditional discursive legitimation strategies,and also expands the groundbreaking analytical framework of van Leeuwen(2007;2008)with the addition of institutional authority and religious authority under the category of authorization,narrative story under the category of narrativization and an independent category of emotional appeal.In addition,by combining the perspectives of genre analysis and critical discourse analysis(with the former as a dominant one),this study creatively constructs a research path to specially analyze the legitimation strategies of political discourse.This study makes up for the deficiency of traditional research on discursive legitimation strategies in terms of research perspectives,research theories,research methods and research depth.更多还原