Appraisal and the resources of intersubjective stance. 
(Version of Feb 03. For a full account please see the forthcoming special edition of Text, the forthcoming new edition of the Handbook of Pragmatics and Martin & White to appear )

In its modelling of the resources of intersubjective stance, the appraisal framework is concerned with formulations which have traditionally been analysed under such headings as modality (see for example Palmer 1986), polarity (see for example Pagano 1994), evidentiality (Chafe &Nichols 1986), hedging/boosting (Markkanen & Schröder 1997, Hyland 1996, Myers 1989, Meyer 1997), vague language (Channell 1994), intensification (Labov 1984), and meta-discourse (Crismore 1989). Under the appraisal framework, these lexico-grammatically diverse wordings are brought together on the grounds that they are all resources which vary the terms of the speaker’s engagement with propositions and proposals, which vary what is at stake interpersonally both in individual utterances and as the texts unfolds cumulatively. 
The approach taken to accounting for the intersubjective functionality of these values of Engagement is informed by Bakhtin's now widely influential notion of dialogism and heteroglossia under which all verbal communication, whether written or spoken, is 'dialogic' in that to speak or write is always to refer to, or to take up in some way, what has been said/written before, and simultaneously to anticipate the responses of actual, potential or imagined readers/listeners. As Voloshinov states,
The actual reality of language-speech is not the abstract system of linguistic forms, not the isolated monologic utterance, and not the psychological act of its implementation, but the social event of verbal interaction implemented in an utterance or utterances.
Thus, verbal interaction is the basic reality of language.
Dialogue…can also be understood in a broader sense, meaning not only direct, face-to-face, vocalised verbal communication between persons, but also verbal communication of any type whatsoever. A book, i.e. a verbal performance in print, is also an element of verbal communication. …[it] inevitably orients itself with respect to previous performances in the same sphere… Thus the printed verbal performance engages, as it were, in ideological colloquy of a large scale: it responds to something, affirms something, anticipates possible responses and objections, seeks support, and so on. (Voloshinov 1995: 139)
The approach adopted by the appraisal framework holds that the functionality of these resources can only be adequately explained when such dialogistic effects are taken into account. That is to say, it holds that by the use of wordings such as 'possibly', 'It is my contention that…', 'naturally…', 'admittedly', 'I believe…', the textual voice acts first-and-foremost to acknowledge, to engage with and to align itself with respect to positions which are in some way alternatives to that being advanced by the text. 
In this, the appraisal framework represents a departure from much of the modality and evidentiality literature (see for example, Lyons 1977, Palmer 1986 or Chafe &Nichols 1986) and at least some of the hedging literature (see Markkanen &Schröder 1997) where accounts of epistemic modals and similar resources, for example, often assume that the sole function of these wordings is to reveal the writer/speaker's state of mind or knowledge, to indicate that the speaker/writer is uncertain or tentative and is not committed to the truth value of the proposition. 
	Engagement: an overview
As indicated previously, the treatment of the resources intersubjective positioning developed within the appraisal framework is informed by the view that all verbal utterances are ultimately dialogic. To illustrate this style of treatment I will consider briefly the functionality of the phrase ‘there is an argument, is there’ in the following short extract from a radio interview. The interviewer quizzes the then conservative Australian Prime Minister, John Howard, about the behaviour of the Australian banks in raising interest rates at a time when they have been making record profits. 
There is an argument, though, is there, the banks have been a bit greedy I mean, the profits are high and good on them, they're entitled to have high profits, but at the same time the fees are bordering on the unreasonable now.
There is, of course, a backwards looking ‘dialogistic’ aspect to the use of this phrase. The interviewer presents himself as ‘simply’ taking up the words of some other, non-specified prior group of speakers. He represents himself as conveying ‘community concerns’ rather than his own, individual views. But there is rather more going on here in terms of the way the text recognises and hence engages with potential alternatives to the current proposition. By such a device the interviewer indicates that this is a contested, debated assessment of the bank’s behaviour - he acknowledges that this it is but one of a number of views currently in play in the community. He thereby indicates that he anticipates that at least some elements in society will object to, and challenge such a suggestion. By representing the proposition as ‘arguable’ in this way, he represents himself as not personally committed to this position and hence signals a preparedness to enter into debate on the issue. In this sense, then, the formulation can be seen as an instance of dialogistic anticipation. 
Under the framework, the following options (which may be multiply present in a given utterance) are seen as enabling the textual voice to vary the terms by which it engages with alternative voices and alternative positions. 
Disclaim – the textual voice positions itself as at odds with, or rejecting, some contrary position: 
1.	(deny) negation
2.	(counter) concession/counter expectation
Proclaim – by representing the proposition as highly warrantable (compelling, valid, plausible, well-founded, generally agreed, reliable etc), the textual voice sets itself against, suppresses or rules out alternative positions: 
3.	(concur) naturally…, of course…, obviously…, admittedly…etc; some types of 'rhetorical' question
4.	(pronounce) I contend…, the truth of the matter is…, there can be no doubt that…etc
5.	(endorse) X has demonstrated that…; X as compellingly argued…etc
Entertain – by representing the proposition as grounded in a contingent, individual subjecthood, the textual voice represents the proposition as but one of a range of possible positions – it thereby entertains or invokes these dialogic alternatives
6.	it seems, the evidence suggests, apparently, I hear
7.	perhaps, probably, maybe, it's possible, may/will/must; some types of 'rhetorical' question
Attribute – by representing proposition as grounded in the subjecthood of an external voice, the textual voice represents the proposition as but one of a range of possible positions – it thereby entertains or invokes these dialogic alternatives:
8.	(acknowledge) X said.., X believes…, according to X, in X's view
9.	(distance) X claims that, the myth that…., it's rumoured that
	Dialogic contraction and expansion
These various options, then, are seen as enabling variations in stance - they all provide for a different orientation to the heteroglossic diversity in which the text operates. They are further seen as falling into two wider categories according to a broader-scale axis of variation in rhetorical functionality. They are characterised as either 'dialogically expansive' or 'dialogically contractive', with the distinction turning on the degree to which an utterance, by dint of one or more of these wordings, entertains dialogically alternative positions and voices (dialogic expansion), or alternatively, acts to challenge, fend off or restrict the scope of such (dialogic contraction). 
Consider the following by way of illustration of this distinction.
1. (Endorsement) Follain punctures the romantic myth that the mafia started as Robin Hood-style groups of men protecting the poor. He shows that the mafia began in the 19th century as armed bands protecting the interests of the absentee landlords who owned most of Sicily. He also demonstrates how the mafia has forged links with Italy's ruling Christian Democrat party since the war (Cobuild Bank of English)
2. (Distance) Tickner said regardless of the result, the royal commission was a waste of money and he would proceed with a separate inquiry into the issue headed by Justice Jane Matthews. His attack came as the Aboriginal women involved in the demanded a female minister examine the religious beliefs they claim are inherent in their fight against a bridge to the island near Goolwa in South Australia. (Cobuild Bank of English)
Both extracts are obviously dialogistic in that they explicitly reference the utterances and viewpoints of external voices. But there is more at stake here than simple attribution, than a simple multiplying of voices. Extract 1 is an example of a formulation in which a special type of reporting verb has been used (show, demonstrate) – one which presupposes the warrantability of the attributed proposition, which, for example, holds it to be true, reliable, plausible or fair. (Reporting verbs of this type have, of course, been widely discussed in the literature on attribution and direct and indirect speech. See, for example, Hunston 2000 or Caldas-Coulthard 1994). By such 'endorsing' formulations, the textual voice aligns itself with some external voice which is represented as correct, authoritative or otherwise argumentatively compelling, at least in the context of this particular proposition. By indicating in this way a heightened personal investment by the author, by co-opting some authoritative second party to the current rhetorical cause, such formulations set themselves against, or at least fend off, actual or potential contrary positions. That is to say, they increase the interpersonal cost to any who would advance such an alternative.  Thus in the above instance, 'show' and 'demonstrate' are employed as the textual voice sets itself against the discredited alternative view of the Mafia as 'Robin Hood types'. Such endorsements, then, can be construed as 'dialogically contractive' – the close down the space for dialogic alternatives.
Extract 2 has the opposite effect. Here, of course, the textual voice distances itself from the proposition framed by 'claim', representing it as, if not doubtful, then at least as doubtable, as potentially open to question. The effect is to invite or at least entertain dialogic alternatives, to lower the interpersonal cost for any who would advance such an alternative. Accordingly, such 'distancing' formulations can be seen as dialogically expansive, as opening up the dialogic space for alternative positions. (It must be stressed that it is not proposed that a verb such as ‘to claim’ necessary has this function in all cases. The rhetorical potential of such formulations, for example, may vary systematically across registers, genres and discourse domains.)
In this distinction, then, between 'Endorsing' and Distancing' we see the fundamental contrast between dialogic contraction and expansion. 
	Further resources of dialogic expansion
The values of 'Acknowledge' and 'Entertain' (introduced above) align with such 'Distancing' formulations in acting to open up the dialogic space to alternative positions. 
	Acknowledge
The category of 'Acknowledge' involves attribution where 'neutral' frames are employed to simply report the words and viewpoints of external voices – by the use, for example, of reporting verbs such as 'say', 'report', 'state' and wordings such as 'according to', 'in her view'. Just as in the case of the other attributions (Distance, Endorse), such formulation are obviously dialogic in that they explicitly introduce an alternative voice into the text. And once again they are dialogistic in an additional sense – in that, by this explicit grounding of the proposition in an individual subjecthood, they represent the proposition as individual and contingent, as but one of a range of possible propositions. Those alternatives to the current proposition are, in this sense, recognised and the heteroglossic context in which the text operates is thereby revealed. 
	Entertain
Formulations which actively 'entertain' dialogic alternatives include ,
10.	deductive formulations such as it seems, apparently, the evidence suggests,
11.	forms which represent the proposition/proposal as more or less likely, including modals of probability, as well as certain ‘rhetorical’ uses of questions. 
In such contexts, the proposition is shown to be grounded in the subjecthood of the textual voice since it provides assessments of the proposition’s likelihood or evidential basis. Grounded in this way, the proposition is shown to be contingent and associated with an individualised point of view. As such, it is revealed to be but one of a number of possible alternative position. In this way, these alternatives are entertained or acknowledged and the dialogic space for those alternatives is thereby expanded.
	Further resources of dialogic contraction
	Pronounce
Under the appraisal framework, 'Pronouncements' are formulations which involve certain types of intensification, authorial emphases or explicit authorial interventions or interpolations. For example: I contend…, The facts of the matter are that…, The truth of the matter is that…, We can only conclude that…, You must agree that…, intensifiers with clausal scope such as really, indeed etc and, in speech, appropriately placed stress (e.g. 'The level of tolerance is the result of government intervention.'
For example, the phrase, 'It is absolutely clear to me' in the following performs this function,
It is absolutely clear to me that what Charlotte was arguing was that Crouching Tiger was a bad film to which liberal audiences imputed a significance shaped by their own prejudices about Chinese cinema and the Chinese in general. (Letter to the www.dimsum.co.uk website from Ian Katz, features editor, the Guardian.)
Such intensifications and interpolations are dialogically motivated. The textual voice doesn't indicate this heightened personal investment in the proposition in a communicative vacuum. Rather it does so against some opposed dialogic alternative – here against a contrary view of what 'Charlotte' was arguing. Thus such formulations are dialogic in that they acknowledge an alternative while simultaneously acting to challenge or fend it off. They are dialogically contractive by dint of this action of confronting and fending off the contrary position. 
	Concur
The 'Concur' option involves wordings such as of course and naturally. These formulations are like ‘Pronouncements’ in that they also provide for the textual voice to explicitly convey its investment in the viewpoint being advanced and thereby to confront or rule out possible alternatives. They differ, however, in that they represent the proposition/proposal as uncontentious within the current communicative context, as a ‘given, as being in accord with what is generally known or expected. The textual voice is represented as taking up a viewpoint held by people generally, and hence the reader/listener. Consider by way of example the use of ‘of course’ in the following.
When, belatedly, their selectors chose Paul Adams, who would assuredly have won them the second Test in Johannesburg, their attack became `very good’ in the opinion of Trevor Bailey, who has seen a few in his time. Bailey, of course, was that rarity, a cricketer who at his best was world-class with both bat and ball. (From the Bank of English OzNews corpus)
Here the writer represents himself/herself as simply agreeing with the reader, as recounting a view (that Bailey was a cricketing rarity) which is already held by the dialogic partner and by people in general. The location of the current proposition within a dialogistic exchange is thus employed to increase the cost of any subsequent challenging or rejecting of the proposition.
	Disclaim (Deny and Counter)
The final dialogistically contractive option is supplied by meanings by which some prior utterance or some alternative position is invoked so as to be directly rejected, replaced or held to be unsustainable. Obviously to deny or reject a position is maximally contractive in that, while the alternative position has been recognised, it is held not to apply – the alternative position is thus directly confronted. This is the domain of negation and concession/counter-expectation. The term ‘Disclaim’ is used to reference such formulations which operate in this way, with two further sub-types identified. 
Disclaim: Deny (negation)
From the appraisal framework's dialogistic perspective, negation as a resource for introducing the alternative positive position into the dialog, and hence acknowledging it and engaging with it, and then rejecting it. Thus in these interpersonal/dialogistic terms, the negative is not the simple logical opposite of the positive, since the negative carries with it the positive, while the positive does not reciprocally carry the negative. This aspect of the negative, though perhaps at odds with common-sense understandings, has been quite widely noted in the literature – see for example, Leech 1983: 101, Pagano 1994 or Fairclough 1992: 121. Consider, for example, the following extract from an advertisement placed in magazines by the British Heart Foundation.
We all like something to grab hold of. But sometimes you can have too much of a good thing. And a man whose table diet consists of double cheeseburgers and chips can end up looking like a tub of lard. There’s nothing wrong with meat, bread and potatoes. But how about some lean meat, wholemeal bread and jacket potatoes?
Here the denial, ‘There is nothing wrong with meat, bread and potatoes’, is clearly dialogic in the sense that it invokes, and presents itself as responding to, claims/beliefs that ‘There is something wrong with meat, bread and potatoes’. A prior and alternative position is thus clearly engaged with dialogistically. 
	Disclaim: Counter
Related to such negating formulations are those which represent the current proposition as replacing and supplanting a proposition which would have been expected in its place. Consider, for example,
They [Kevin and Ian Maxwell, sons of Robert Maxwell] have a lot to prove in the coming years. Now they will not only seek to make their own fortunes but to clear their father's besmirched name. They grew up to see him as the eternal outsider, the man who had fought Establishment prejudice and pettifogging bureaucracy to get where he was. Sure, he broke rules. Yes, he ducked and dived. Admittedly, he was badly behaved. But look at what he had achieved. From nothing, he had become a multinational businessman with an empire stretching across the world, the confidant of statesmen and just as famous himself. (From the Bank of English UKMags corpus)
The extract (from The Times) is concerned with the notorious British businessman, newspaper magnate and former Labour MP, Robert Maxwell (now deceased) and his two sons, Kevin and Ian. In the extract, the writer seeks to explain, even justify, why the two sons might have continued to regard their father favourably, despite the negativity with which Maxwell had come to be viewed generally. (Maxwell had been found after his death to have secretly diverted millions of dollars from two of his companies and from employee pension funds in an effort to keep his business empire solvent.) For our current purposes we are concerned with the latter part of this sequence, the utterances which follow ‘But’ – ‘But look at what he had achieved. From nothing he had become a multinational businessman…’ The textual voice is here setting itself against what is represented as a generally applying negative view of Maxwell. By the formulation, the negative view is held not to apply, at least for Maxwell’s sons. Thus through a dialogic interaction, a certain view is referenced and then rejected. 
	Engagement resources - summary
The following table provides an overview of the resources of Engagement.
Dialogic contraction:
Disclaim:
Deny: e.g. It is a review which doesn't consider the feelings of the Chinese community. 
Counter: e.g. What is surprising is to find such offensive opinions in the Guardian.. 
Proclaim:
Concur: e.g. The Premier, of course, wants us to think what a fine anti-racist fellow he is. 
Pronounce: e.g. It is absolutely clear to me that what Charlotte was arguing was that Crouching Tiger was a bad film. 
Endorse: Dr Ruffman’s work has shown that parents or carers who talk to their children about mental states -thoughts, beliefs, desires and feelings end up with children who know much earlier in life what another person is thinking.

Dialogic expansion
Entertain: e.g. Perhaps the most telling thing about Charlotte Raven's review of Crouching Tiger isn't in the review itself but in the one line preamble on the Guardian website.
Attribute
Attribute/Acknowledge: e.g. It states: "Crashing bore, wooden drama: Charlotte Raven dares to differ from the unanimous acclaim for Ang Lee's Crouching Tiger, Hidden Dragon".
Attribute/Distance: e.g. and someone went as far as to suggest that by using the phrase "it seemed to contain multitudes" to describe the performance of the cast, Charlotte was alluding to Western images of "Chinese masses".

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