韩礼德从功能主义视角出发，将语言功能划分为三大类：
概念功能、语篇功能和人际功能（1985）。然而，韩礼德对前
两个功能论述较多，研究比较透彻，但对第三个功能——人际
功能，则只研究了语气、情态和语调，并将其看作是人际意义
的主要内容。如此，忽略了人际意义实现的其他手段。21 世纪
初，李战子博士以敏锐的眼光观察到了人际功能没有得以充分
研究的事实，率先对话语的人际意义展开了研究，并取得了一
系列瞩目的成就，其中标志性的成果是《话语的人际意义研究》
这本专著。受李战子研究的启发，在之后的十几年，围绕着人
际意义，学者们发表了大量论文，取得了丰富的研究成果。但
我们注意到，所有的成果都是以人际意义研究为中心延伸展开
的，虽然实现人际意义的方式不仅有情态动词、语气，还有其
他的手段，但学者们的研究重心大都还是以情态研究为视角来
分析话语的人际意义。另外，我们发现国内外大量的研究都聚
焦于认识情态，而语篇中有关责任情态的人际意义还没有引起
学者们足够的重视。
鉴于此，本书将运用语用身份的概念，以我国首部大型医
疗剧《心术》与美剧《豪斯医生》（第1 季）为语料来源，将
这两部电视剧中的职场语境话语交际原文转录成文本语料，通
过对不同情境下医务人员之间以及医生与患者之间的言语交际
进行分析，重点研究体现责任情态人际意义的词汇、语法层面
和语旨变量的各种选择，以及心理空间的动态构建过程来探讨
言语交际中医务人员角色的形成以及医患之间的关系。通过考
察责任情态的人际意义，我们既可以弄清楚发话人对话语命题
真实性所承担责任的程度和对未来行为做出的承诺或承担的义
务，还可以了解发话者对受话人及相关事件的态度、发话人与
听话者之间的社会距离和权力关系等，以探究情态系统人际意义在不同语用身份的建构条件、体现方式以及主体性因素。我们在编写过程中参阅了国内外有关学者的研究成果，追踪了相关领域研究的最新发展动态。在本书成稿之际，我们要感谢所有关心、支持本书的机构和个人。本书第一、二、三、六章由孙启耀撰写，约 8.8万字；第四、五、七章由王宁撰写，约 8万字，最后由孙启耀统稿。我们希望本书能引起更多人对责任情态研究的关注。由于水平有限，不当之处在所难免，诚挚地希望广大师生和读者提出批评和建议。
孙启耀 王 宁 2015年 1月于哈尔滨

孙启耀、王宁编*的《语用身份构建中责任情态的人际意义研究》以《心术》与《豪斯医生》的电视剧集为语料来源，通过对不同情境下的医务人员之间以及医患之间的言语交际进行分析，了解言语交际中医务人员角色的形成以及医患之间的关系，探讨特定职业身份在职场语境中通过责任情态所表现出的对未来行为做出的承诺或承担的义务以及对行为责任所承担的程度，探究情态系统人际意义在不同语用身份条件下的建构条件、体现方式以及主体性因素。 

前言 ·················································································································i
第一章 绪论 ····························································································· 1
第二章 语言学中的情态研究 ···························································· 5
2.1 情态的定义 ······················································································ 5
2.2 情态的分类 ······················································································ 7
2.3 情态的人际意义研究与研究现状 ··············································· 10
2.4 本章小结 ························································································ 16
第三章 责任型情态及意义 ······························································ 18
3.1 责任型情态的界定与类别 ··························································· 18
3.1.1 道义情态与认知情态的区别················································· 19
3.1.2 现代英语中的责任型情态 ····················································· 20
3.1.3 现代汉语中的责任型情态 ····················································· 24
3.2 责任型情态的人际意义 ······························································· 25
3.2.1 高量值责任情态的人际意义研究 ······································· 25
3.2.2 低量值责任情态的人际意义研究 ······································· 29
3.3 责任情态的心理空间阐释 ··························································· 33
3.3.1 显性责任情态心理空间认知观 ············································ 34
3.3.2 隐性责任情态心理空间认知观 ············································ 37
3.4 评价理论视角下的情态责任研究 ··············································· 40
3.4.1 新闻中的语法隐喻策略与情态责任 ·································· 41
3.4.2 评估理论框架下的新闻英语情态责任 ····························· 43
3.5 本章小结 ························································································ 47
第四章 《心术》中的责任情态意义 ·············································· 49
4.1 《心术》中责任情态词分布研究 ················································· 50
4.1.1 应该 ··················································································· 50
语用身份构建中责任情态的人际意义研究
iv
4.1.2 该 ······················································································· 53
4.1.3 必须 ··················································································· 54
4.1.4 得 ······················································································· 56
4.1.5 需要 ··················································································· 63
4.1.6 要 ······················································································· 65
4.1.7 最好 ··················································································· 71
4.1.8 别 ······················································································· 73
4.1.9 何必 ··················································································· 79
4.2 《心术》中责任情态词的语用特征 ············································ 80
4.2.1 归属于指令类或承诺类言外行为 ································· 80
4.2.2 遵循合作原则及其子准则 ·············································· 83
4.2.3 依照人际交往的礼貌原则 ·············································· 85
4.2.4 关注言语行为的语境恰当性·········································· 89
4.3 《心术》中责任情态心理空间阐释 ············································ 91
4.4 中国医务人员话语责任情态使用研究 ······································ 95
4.4.1 多义情态词偏重认知意义的使用 ································· 96
4.4.2 慎用高量值情态词 ·························································· 97
4.4.3 重客观要求轻主观态度 ·················································· 98
4.5 本章小结 ························································································ 98
第五章 《豪斯医生》中的责任情态意义 ·································· 100
5.1 《豪斯医生》中的责任情态词的分布研究 ······························ 101
5.1.1 can ···················································································· 101
5.1.2 could ················································································ 111
5.1.3 should ·············································································· 116
5.1.4 must ················································································· 122
5.1.5 need ················································································· 124
5.1.6 have to ············································································· 130
5.1.7 责任型情态形容词necessary ········································ 135
5.1.8 责任型情态实意动词require ······································· 136
5.2 《豪斯医生》中的责任情态词的语用特征 ······························ 137
5.2.1 归属于阐述、指令、承诺或表达类言外行为 ·········· 138
5.2.2 遵循合作原则与礼貌原则 ············································ 140
目录
v
5.2.3 关注言语行为的语境恰当性········································ 142
5.3 《豪斯医生》中的责任情态心理空间阐释 ······························ 143
5.4 美国医务人员的责任情态使用研究 ········································ 148
5.4.1 多义情态词偏重认知意义的使用 ······························· 149
5.4.2 高量值情态词比率较大 ················································ 149
5.4.3 突出强调客观性责任人际意义 ··································· 150
5.4.4 情态量值随主语变化而改变········································ 150
5.5 本章小结 ······················································································ 151
第六章 中美医务人员责任情态使用的比较研究·················· 152
6.1 中美医务人员责任情态使用差异比较 ···································· 152
6.1.1 中美医务人员责任情态使用的相同点研究··············· 153
6.1.2 中美医务人员责任情态使用不同点研究 ··················· 158
6.2 中美医务人员责任情态使用差异探源 ··································· 159
6.2.1 中美语言思维模式的差异 ············································ 159
6.2.2 中美文化宏观特征的区别 ············································ 161
6.2.3 中美医疗价值观的不同 ················································ 162
6.3 中国医生语用身份的建构 ························································· 164
6.3.1 医生语用身份构建的动机 ············································ 165
6.3.2 医生语用身份构建的策略 ············································ 167
6.4 本章小结 ······················································································· 169
第七章 余论 ························································································· 171
参考文献 ·································································································· 177
附：语料来源 ························································································· 185
第一部分 《心术》中的责任情态的对话 ······································· 185
第二部分 《豪斯医生》中的责任情态的对话 ······························· 188