基于学习档案的英语学习者自主能力培养研究
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摘要
本论文为实证研究，旨在探讨在中国这个语言学习环境中实施基于英语学习档案的形成性教学评估机制对提升学习者的自主学习能力的有效性和优化该培养模式的方式方法。
学习者自主学习能力的培养符合以学习者为中心的教学理念，是改革传统的以教师为中心的教学理念和模式的重要途径，在国内最新版的大、中、小学英语教学大纲中均得到体现。形成性教学评估作为教学评估的形式之一，注重学习者的学习过程，是终结性教学评估的重要补充，同样在教学大纲中彰显，是改变应试教育倾向的重要举措。然而，相关研究和笔者的调查显示目前国内大中学生的自主学习能力仍然欠缺，教师依然是教学的中心和主导者，同时受到中考、高考和大学英语四、六级考试的影响，非测试型的形成性教学评估并没有得到真正落实。为此，本研究尝试帮助英语学习者建立学习档案，以此作为教学评估的一个部分，来引导学习者关注自己的学习过程和进展，逐步培养他们的自主学习能力，希冀一举两得。
目前，国内外语学习者自主学习能力的培养主要以学习策略培训和自主学习中心建设来实现，但二者各有利弊；通过学习档案建设来提高自主学习能力的研究在欧美、香港等地越来越受到关注，但以定性研究为主，明确把学习档案作为一种教学评估方式，并以此培养自主学习能力的跟踪性研究非常有限。
本研究旨在回答以下三个方面的问题：1）基于学习档案的形成性评估机制是否能提高学习者自主学习能力？2）该培养方式适合什么样的学习者，在学习动机、学习信念和年龄等学习者个人因素上如何得到体现？3）有哪些外在因素会影响或制约该培养方式的有效性？
为了检验英语学习档案的普适性，研究分别在大学和初中两个不同的学习环境中开展，并均设有实验班和对照班。中学阶段的教学评估改革是某教学改革实验的一部分，研究对象主要为江苏某初中两个年级220名实验班学习者和4位任课老师，跟踪学习者在初一和初二年级的学习过程和效果，研究者主要参与设计、协调、评估等工作，由实验教师具体实施。大学阶段的行动研究是初中阶段实验研究的延伸，研究对象为上海某大学大一新生，在前期以自愿的方式试行学习档案的基础上，通过对实验班36名学生和对照班73名学生进行为期一学期的跟踪研究，研究者作为任课教师，负责方案的设计和实施，其他教师协助评估。
本研究采用定量研究和定性研究相结合的方法，分别采用问卷调查和个案研究的形式来对比学习档案的成效，分析学习者的变化过程。两项子研究采用了类似的调查方法和分析视角。问卷部分将学习档案设为自变量，而学习者自主能力为因变量，学习者的个人因素例如动机、学习信念也为因变量，分别探究学习档案对于提高学习者自主学习能力的有效性，以及对学习者个人因素的影响。在个案研究部分，中学阶段的子研究从学习档案评比结果、教师日志、考试成绩和学生对学习档案的看法等方面通过分层抽样的方式来选取来自不同班级、不同学习程度的六名学习者，通过学生学习周记、访谈等途径跟踪学习进程。大学的子研究通过研究者的课堂观察、学生的档案质量以及学生对档案的认可程度选取四名学习者作为研究对象，通过学生的学习记录和访谈结果来跟踪观摩。考虑到两项子研究中学习者的语言水平，中学生的学习目标计划、周记和访谈都用汉语，大学生的学习记录和访谈等则用英语，两项子研究的问卷都采用汉语，从而保证研究对象准确理解问卷内容。
鉴于自主学习概念的模糊性和灵活性，本研究采取的视角不同于以往的心理认知视角和行为主义的语言学习视角，尝试从社会认知视角来解析自主学习的构成因素，融合研究对象个人的认知心理因素和他们所处的社会文化环境因素，从而为问卷的设计和个案研究的框架奠定理论基础。中学和大学的自主学习问卷先后经过结构效度和内部一致性检验，确立学习者自主学习能力是由学习者学习意愿、学习者个人元认知行为和学习者交流活动构成的三维构念。在实际操作过程中，不同学习环境中的学习档案建设均被置于社会认知视域的框架中，既考虑到了学习者的个人特点、需求和兴趣，又通过档案和同学、教师、家长以及学校产生积极的互动。
研究结果表明，英语学习档案对不同学习环境下不同年龄段学习者的自主能力培养均有助益。问卷结果显示初中和大学的实验班和对照班学习者在自主学习能力方面均产生显著差异，其中实验班学习者在个人的元认知行为和学习交流方面的优势尤其明显。在个人的元认知行为方面，通过建立学习档案，初中生在自我管理方面的能力进步明显，而大学生在计划和反思方面的进步显著，从而体现了学习档案的元认知策略功能。研究还发现，学生对课外学习的信念与其自主学习能力呈正相关，初中生在实验前后的变化非常明显，而大学生的目标动机和自主学习能力显著相关。个案研究进一步说明学习档案建设和自主能力培养相辅相成，学习档案建设中的模板、指令、示范和指导等可以满足学习者在临近发展区域内的自我发展，逐步学会掌控自己的学习进程；学习档案的目标设置部分则可以督促大学生明确自己在大学阶段的英语学习目标和定位，改变以往在中学由考试或老师牵着走的现象。个案研究还发现，学习者的目标动机越复杂，自主能力提高越快，语言能力也提高越快；学习信念主要是受教师和学习环境的影响。学习档案建设的过程可以加强学生对课外学习重要性的认识，但不是改变学生目标动机的根本原因。总之，研究发现学习档案建设在中国对不同年龄的学习者都适用，拥有明确的目标动机的学习者都适合建设学习档案，而且目标动机复杂的学习者在学习档案的建设和运用上表现更加出色，更加能接受自主学习的理念，从根本上理解和支持通过学习档案来培养自主学习能力这条途径。
本研究发现中国的英语教学大纲对各地学校的英语课程设计的影响非常有限。学习者自主能力的培养主要受到社会大环境、学校、教师和同学的影响，所有这些因素构成了所在学校的隐性课程。因此，在设计、实施和推行英语学习档案时，应该因地因时制宜，对不同环境下不同年龄段的学习者根据个人特点和所处的社会和学校环境度身定做对应的方案，通过学习档案这个载体把他们培养成为善学乐学的学习者。本文中两个子研究方案的差异正好印证了这一点。
此外，基于学习档案的学习者自主学习能力培养模式对教师和学校提出了较高的要求，也就是教师的教学改革需要得到学校层面的重视和鼓励，在档案实施过程中的时间和精力的投入需要有相应的支持。教师自身的教学经验、发展需求和培训经历等也都会影响方案的设计和实施。理想的自主学习培养方式是互动型的，是由上至下和由下至上两种途径的交融，是团队合作的成果。本文描述的中学阶段的研究和大学阶段的研究分别代表这两种模式。如果在中学的研究中教师能够更多地参与到设计环节，大学的研究中有更多的教师参与组成团队，效果会更加理想。因此，文章最后提出了一个基于学习档案的互动式的自主学习培养模式，在自主学习的培养中考虑到各种社会和个人的制约因素，并在形式上突破纸质档案的单一格局，尝试建立超时空、立体化的电子档案，从而在最大程度上发挥学习档案的个性化特点和社会化功能。
This thesis is an empirical investigation into the effectiveness of ELP-based assessment infostering learner autonomy in the Chinese context.
In the past decade, learner autonomy, as a remedy for the conventional problem ofteacher-centeredness, has already found its way to the Chinese national English curriculums atthe primary, secondary and tertiary levels. Also, in a counterattack against the test-orientedteaching and learning, formative assessment, has been recommended as an alternative meansto summative assessment. However, neither of the problems has been resolved until now. Toaddress the concerns, this study endeavors to integrate the ELP (English learning portfolio), ameans of formative assessment, into the assessment system for EG (experimental group)learners both in a secondary school and a university in the hope of killing two birds with onestone: to promote LA (learner autonomy) and to track the learning process rather than thelearning result.
So far in China, language strategy training and self-access are the main approaches forEnglish language learners to develop LA, but each has its own weakness. Another approach,developing LA through a language portfolio, has gained increasing popularity in Europe, USA,HK, etc., and qualitative methodology is usually employed. In China, however, limitedresearch is available into the ELP-based approach to develop LA.
The present study thus aims to investigate three research questions: whether ELP iseffective in fostering LA; whether ELP-based LA development is influenced by someindividual factors like goal-oriented motivation, learner belief and age; what external factorstend to impact ELP-based LA development.
In response to these questions, the research is conducted in two Chinese settings, asecondary school and a tertiary institution respectively. In Study1, ELP-based assessment ispart of a language curriculum innovation in a junior high school with220EG learners and4EG teachers involved in the longitudinal study since Sept.2009in a local city of JiangsuProvince. The researcher is reponsible for the research design, coordination and evaluationand the EG teachers practice ELP. In Study2, the follow-up action research is conductedamong36EG learners in comparison with the other73CG learners among the university freshmen for a semester since Sept.2011. The researcher is also the teacher, responsible forthe design and treatment with the help of her colleagues in the process of evaluation.
With regard to methodology, the research is carried out both quantitatively andqualitatively, combining questionnaire surveys and case studies. In the analysis ofquestionnaire data, ELP is taken as an independent variable, LA as a dependent variable, andlearner motivation and learner belief as dependent variables to testify the effectiveness of ELPin fostering LA and to tell the influence of individual factors. In case studies, the stratifiedcase sampling method is used to select six sample learners of diverse language proficiency inStudy1and four EG learners in Study2. The learning journals and interview notes are themain sources to perceive learner development. The data in the two studies are gathered andanalyzed in a similar way, and one slight difference lies in the language learners used in theirELP. In Study1, EG learners are allowed to make plans and keep learning journals in Chinese,but in Study2, EG learners keep ELP in English. However, in both studies, questionnaires aredesigned and administered in Chinese to avoid misunderstandings and misinterpretations ofthe specific items.
As LA is elusive in its definition and measurement, it is necessary to operationalize theconcept. Theoretically, the present study is set in the socio-cognitive framework, integratingthe cognitive-psychological individual factors and socio-cultural factors in the learningenvironment. The validity and reliability of the LA scale are ensured via the factor analysisand Cronbach alpha coefficient, further justifying the three dimensions of LA: individuallearning willingness, individual metacognition, and communicating. Correspondingly, ELPdevelopment takes into account individual learners‘characteristics and needs as well asinteractions between learners and their peers, teachers, parents and the school.
The findings in the study reveal that ELP is conducive to LA development for learners indifferent age brackets and in different Chinese learning settings. In both studies, the results ofthe LA scale show the significant difference between EG and CG in LA. In the LA subscale ofmetacognition, the JHS EG learners greatly outperform CG learners in self-management andthe university EG learners stand out in planning and reflecting. Also, LA is positivelycorrelated with learner belief in out-of-class learning and the JHS EG learners show perceivedchanges in learner belief in Study1. For the EG learners in Study2, LA and motivation areclosely correlated. Case study results further prove the positive relationship between ELP and LA development. The ELP template, guidelines and guidance from the teacher and peers canfacilitate learner development in ZPD, learning to take control of his or her learning; the goalstatement in ELP can help university learners orient English learning on their own. After all,they have been driven by tests all these years. Besides, the more complicated learners‘motivation is, the faster their LA is fostered, the faster their language proficiency is improved.The framing of learning belief is greatly affected by teachers and the learning environment.The ELP development can strengthen learner belief in out-of-class learning but cannot bringabout fundamental changes in goal-oriented motivations.
In addition to the individual factors, ELP-based LA development is also influenced bysuch contextual factors as the society, the institution, teachers and peers. It is discerned thatthe latest National English Curriculum Standards has not exerted expected influences on theEnglish curriculum in local schools. Therefore, researchers and practitioners of ELP need totailor ELP to learners in a certain setting when designing and implementing it. A case in pointis the two independent yet interrelated studies available in this thesis.
It is also found that the ELP-based LA development cannot be achieved without sufficientsupport from school leaders as well as full understanding about ELP rationale and workingprincipals from teacher-practitioners. Ideally, an interactive approach is optimal to developLA through ELP. If we combine a top-down approach just as the school principal initiates aproject in Study1and a bottom-up approach just as the teacher initiates an action research inStudy2, the study might yield better results. Apart from it, ELP will be more accessible andinteractive if developed electronically. Thus, further research is expected into fostering LAthrough ELP, bringing individualization and social interaction to full play.
学习者自主学习能力的培养符合以学习者为中心的教学理念，是改革传统的以教师为中心的教学理念和模式的重要途径，在国内最新版的大、中、小学英语教学大纲中均得到体现。形成性教学评估作为教学评估的形式之一，注重学习者的学习过程，是终结性教学评估的重要补充，同样在教学大纲中彰显，是改变应试教育倾向的重要举措。然而，相关研究和笔者的调查显示目前国内大中学生的自主学习能力仍然欠缺，教师依然是教学的中心和主导者，同时受到中考、高考和大学英语四、六级考试的影响，非测试型的形成性教学评估并没有得到真正落实。为此，本研究尝试帮助英语学习者建立学习档案，以此作为教学评估的一个部分，来引导学习者关注自己的学习过程和进展，逐步培养他们的自主学习能力，希冀一举两得。
目前，国内外语学习者自主学习能力的培养主要以学习策略培训和自主学习中心建设来实现，但二者各有利弊；通过学习档案建设来提高自主学习能力的研究在欧美、香港等地越来越受到关注，但以定性研究为主，明确把学习档案作为一种教学评估方式，并以此培养自主学习能力的跟踪性研究非常有限。
本研究旨在回答以下三个方面的问题：1）基于学习档案的形成性评估机制是否能提高学习者自主学习能力？2）该培养方式适合什么样的学习者，在学习动机、学习信念和年龄等学习者个人因素上如何得到体现？3）有哪些外在因素会影响或制约该培养方式的有效性？
为了检验英语学习档案的普适性，研究分别在大学和初中两个不同的学习环境中开展，并均设有实验班和对照班。中学阶段的教学评估改革是某教学改革实验的一部分，研究对象主要为江苏某初中两个年级220名实验班学习者和4位任课老师，跟踪学习者在初一和初二年级的学习过程和效果，研究者主要参与设计、协调、评估等工作，由实验教师具体实施。大学阶段的行动研究是初中阶段实验研究的延伸，研究对象为上海某大学大一新生，在前期以自愿的方式试行学习档案的基础上，通过对实验班36名学生和对照班73名学生进行为期一学期的跟踪研究，研究者作为任课教师，负责方案的设计和实施，其他教师协助评估。
本研究采用定量研究和定性研究相结合的方法，分别采用问卷调查和个案研究的形式来对比学习档案的成效，分析学习者的变化过程。两项子研究采用了类似的调查方法和分析视角。问卷部分将学习档案设为自变量，而学习者自主能力为因变量，学习者的个人因素例如动机、学习信念也为因变量，分别探究学习档案对于提高学习者自主学习能力的有效性，以及对学习者个人因素的影响。在个案研究部分，中学阶段的子研究从学习档案评比结果、教师日志、考试成绩和学生对学习档案的看法等方面通过分层抽样的方式来选取来自不同班级、不同学习程度的六名学习者，通过学生学习周记、访谈等途径跟踪学习进程。大学的子研究通过研究者的课堂观察、学生的档案质量以及学生对档案的认可程度选取四名学习者作为研究对象，通过学生的学习记录和访谈结果来跟踪观摩。考虑到两项子研究中学习者的语言水平，中学生的学习目标计划、周记和访谈都用汉语，大学生的学习记录和访谈等则用英语，两项子研究的问卷都采用汉语，从而保证研究对象准确理解问卷内容。
鉴于自主学习概念的模糊性和灵活性，本研究采取的视角不同于以往的心理认知视角和行为主义的语言学习视角，尝试从社会认知视角来解析自主学习的构成因素，融合研究对象个人的认知心理因素和他们所处的社会文化环境因素，从而为问卷的设计和个案研究的框架奠定理论基础。中学和大学的自主学习问卷先后经过结构效度和内部一致性检验，确立学习者自主学习能力是由学习者学习意愿、学习者个人元认知行为和学习者交流活动构成的三维构念。在实际操作过程中，不同学习环境中的学习档案建设均被置于社会认知视域的框架中，既考虑到了学习者的个人特点、需求和兴趣，又通过档案和同学、教师、家长以及学校产生积极的互动。
研究结果表明，英语学习档案对不同学习环境下不同年龄段学习者的自主能力培养均有助益。问卷结果显示初中和大学的实验班和对照班学习者在自主学习能力方面均产生显著差异，其中实验班学习者在个人的元认知行为和学习交流方面的优势尤其明显。在个人的元认知行为方面，通过建立学习档案，初中生在自我管理方面的能力进步明显，而大学生在计划和反思方面的进步显著，从而体现了学习档案的元认知策略功能。研究还发现，学生对课外学习的信念与其自主学习能力呈正相关，初中生在实验前后的变化非常明显，而大学生的目标动机和自主学习能力显著相关。个案研究进一步说明学习档案建设和自主能力培养相辅相成，学习档案建设中的模板、指令、示范和指导等可以满足学习者在临近发展区域内的自我发展，逐步学会掌控自己的学习进程；学习档案的目标设置部分则可以督促大学生明确自己在大学阶段的英语学习目标和定位，改变以往在中学由考试或老师牵着走的现象。个案研究还发现，学习者的目标动机越复杂，自主能力提高越快，语言能力也提高越快；学习信念主要是受教师和学习环境的影响。学习档案建设的过程可以加强学生对课外学习重要性的认识，但不是改变学生目标动机的根本原因。总之，研究发现学习档案建设在中国对不同年龄的学习者都适用，拥有明确的目标动机的学习者都适合建设学习档案，而且目标动机复杂的学习者在学习档案的建设和运用上表现更加出色，更加能接受自主学习的理念，从根本上理解和支持通过学习档案来培养自主学习能力这条途径。
本研究发现中国的英语教学大纲对各地学校的英语课程设计的影响非常有限。学习者自主能力的培养主要受到社会大环境、学校、教师和同学的影响，所有这些因素构成了所在学校的隐性课程。因此，在设计、实施和推行英语学习档案时，应该因地因时制宜，对不同环境下不同年龄段的学习者根据个人特点和所处的社会和学校环境度身定做对应的方案，通过学习档案这个载体把他们培养成为善学乐学的学习者。本文中两个子研究方案的差异正好印证了这一点。
此外，基于学习档案的学习者自主学习能力培养模式对教师和学校提出了较高的要求，也就是教师的教学改革需要得到学校层面的重视和鼓励，在档案实施过程中的时间和精力的投入需要有相应的支持。教师自身的教学经验、发展需求和培训经历等也都会影响方案的设计和实施。理想的自主学习培养方式是互动型的，是由上至下和由下至上两种途径的交融，是团队合作的成果。本文描述的中学阶段的研究和大学阶段的研究分别代表这两种模式。如果在中学的研究中教师能够更多地参与到设计环节，大学的研究中有更多的教师参与组成团队，效果会更加理想。因此，文章最后提出了一个基于学习档案的互动式的自主学习培养模式，在自主学习的培养中考虑到各种社会和个人的制约因素，并在形式上突破纸质档案的单一格局，尝试建立超时空、立体化的电子档案，从而在最大程度上发挥学习档案的个性化特点和社会化功能。
This thesis is an empirical investigation into the effectiveness of ELP-based assessment infostering learner autonomy in the Chinese context.
In the past decade, learner autonomy, as a remedy for the conventional problem ofteacher-centeredness, has already found its way to the Chinese national English curriculums atthe primary, secondary and tertiary levels. Also, in a counterattack against the test-orientedteaching and learning, formative assessment, has been recommended as an alternative meansto summative assessment. However, neither of the problems has been resolved until now. Toaddress the concerns, this study endeavors to integrate the ELP (English learning portfolio), ameans of formative assessment, into the assessment system for EG (experimental group)learners both in a secondary school and a university in the hope of killing two birds with onestone: to promote LA (learner autonomy) and to track the learning process rather than thelearning result.
So far in China, language strategy training and self-access are the main approaches forEnglish language learners to develop LA, but each has its own weakness. Another approach,developing LA through a language portfolio, has gained increasing popularity in Europe, USA,HK, etc., and qualitative methodology is usually employed. In China, however, limitedresearch is available into the ELP-based approach to develop LA.
The present study thus aims to investigate three research questions: whether ELP iseffective in fostering LA; whether ELP-based LA development is influenced by someindividual factors like goal-oriented motivation, learner belief and age; what external factorstend to impact ELP-based LA development.
In response to these questions, the research is conducted in two Chinese settings, asecondary school and a tertiary institution respectively. In Study1, ELP-based assessment ispart of a language curriculum innovation in a junior high school with220EG learners and4EG teachers involved in the longitudinal study since Sept.2009in a local city of JiangsuProvince. The researcher is reponsible for the research design, coordination and evaluationand the EG teachers practice ELP. In Study2, the follow-up action research is conductedamong36EG learners in comparison with the other73CG learners among the university freshmen for a semester since Sept.2011. The researcher is also the teacher, responsible forthe design and treatment with the help of her colleagues in the process of evaluation.
With regard to methodology, the research is carried out both quantitatively andqualitatively, combining questionnaire surveys and case studies. In the analysis ofquestionnaire data, ELP is taken as an independent variable, LA as a dependent variable, andlearner motivation and learner belief as dependent variables to testify the effectiveness of ELPin fostering LA and to tell the influence of individual factors. In case studies, the stratifiedcase sampling method is used to select six sample learners of diverse language proficiency inStudy1and four EG learners in Study2. The learning journals and interview notes are themain sources to perceive learner development. The data in the two studies are gathered andanalyzed in a similar way, and one slight difference lies in the language learners used in theirELP. In Study1, EG learners are allowed to make plans and keep learning journals in Chinese,but in Study2, EG learners keep ELP in English. However, in both studies, questionnaires aredesigned and administered in Chinese to avoid misunderstandings and misinterpretations ofthe specific items.
As LA is elusive in its definition and measurement, it is necessary to operationalize theconcept. Theoretically, the present study is set in the socio-cognitive framework, integratingthe cognitive-psychological individual factors and socio-cultural factors in the learningenvironment. The validity and reliability of the LA scale are ensured via the factor analysisand Cronbach alpha coefficient, further justifying the three dimensions of LA: individuallearning willingness, individual metacognition, and communicating. Correspondingly, ELPdevelopment takes into account individual learners‘characteristics and needs as well asinteractions between learners and their peers, teachers, parents and the school.
The findings in the study reveal that ELP is conducive to LA development for learners indifferent age brackets and in different Chinese learning settings. In both studies, the results ofthe LA scale show the significant difference between EG and CG in LA. In the LA subscale ofmetacognition, the JHS EG learners greatly outperform CG learners in self-management andthe university EG learners stand out in planning and reflecting. Also, LA is positivelycorrelated with learner belief in out-of-class learning and the JHS EG learners show perceivedchanges in learner belief in Study1. For the EG learners in Study2, LA and motivation areclosely correlated. Case study results further prove the positive relationship between ELP and LA development. The ELP template, guidelines and guidance from the teacher and peers canfacilitate learner development in ZPD, learning to take control of his or her learning; the goalstatement in ELP can help university learners orient English learning on their own. After all,they have been driven by tests all these years. Besides, the more complicated learners‘motivation is, the faster their LA is fostered, the faster their language proficiency is improved.The framing of learning belief is greatly affected by teachers and the learning environment.The ELP development can strengthen learner belief in out-of-class learning but cannot bringabout fundamental changes in goal-oriented motivations.
In addition to the individual factors, ELP-based LA development is also influenced bysuch contextual factors as the society, the institution, teachers and peers. It is discerned thatthe latest National English Curriculum Standards has not exerted expected influences on theEnglish curriculum in local schools. Therefore, researchers and practitioners of ELP need totailor ELP to learners in a certain setting when designing and implementing it. A case in pointis the two independent yet interrelated studies available in this thesis.
It is also found that the ELP-based LA development cannot be achieved without sufficientsupport from school leaders as well as full understanding about ELP rationale and workingprincipals from teacher-practitioners. Ideally, an interactive approach is optimal to developLA through ELP. If we combine a top-down approach just as the school principal initiates aproject in Study1and a bottom-up approach just as the teacher initiates an action research inStudy2, the study might yield better results. Apart from it, ELP will be more accessible andinteractive if developed electronically. Thus, further research is expected into fostering LAthrough ELP, bringing individualization and social interaction to full play.
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