商业计划书(Business Plan)，是现有公司获得融资扩充规模的最佳捷径，也可 以是一无所有的创业者就某一项具有市场前景的新产品或服务向风险投资家游 说，以取得风险投资的商业可行性报告。执行摘要（executive summary）是商业计 划书的第一部分，是最重要的部分，也是投资人最想看到的部分；它涵盖了商业 计划书的精华，相当于一个浓缩版的计划书。因此，本文选取商业计划书的执行 摘要作为研究对象，对其进行系统的分析。 本文从创业类书籍，互联网等媒介搜集了已被公开的真实商业计划书 30 篇作 为研究对象，运用由斯威尔斯提出巴蒂亚发展的语步-策略分析模式，分析执行摘 要的结构特点；并通过词频检索软件（AntConc）导入语料，统计了执行摘要的词 汇语法特征；运用情态系统和评价理论对执行摘要的语言学特征进行了必要的解 释。 研究结果显示，商业计划书一般由 7 到 11 个语步组成，其中公司介绍，产品 或服务介绍，市场分析，融资说明为必要语步，另有高频语步和特色语步可供选 择。词汇语法方面,具有一定情态量值的情态表达式和积极词汇的使用反映了创业 者在达成“获取融资”这一交际目的时所运用的语言策略,既调动了投资人的投资 欲望又不失客观真实。希望本研究能对商业计划书写作以及创业者成功融资尽微 薄之力。 关键词，执行摘要；语步；情态系统；评价理论- II - Abstract Business Plan is a big plan. It is not only the best way to get financing to expand the scale of the company, but also a commercial feasibility report which can help the entrepreneurs get the risk investment by lobbying to the venture capitalists that his project possesses the market prospect. Executive summary is the first part of the business plan, and is also the most important part which investors can’t wait to see. It contains the essence of the business plan, equaling to a condensed version of a business plan. Therefore, we choose the executive summary of business plan as our object of study to analyze in detail. We collected 30 real executive summaries of business plan from books of entrepreneurship and the Internet; analyzed the structure feature of the genre by using Move-step method put forward by John Swales and developed by Bhatia; found the linguistic feature of executive summary of business plan by using the corpus analyzing software called AntConc; explained the reason of these linguistic features on the basis of modality system and appraisal theory. The results revealed that a business plan normally consists of 7 to 11 moves. Company introduction, product or service, marketing analysis, instructions of financing are obligatory moves, still others to choose are high frequency moves and characteristic moves. In grammar and vocabulary, though using the modal expressions and positive vocabularies which have certain modality value we can understand entrepreneurs’ language strategies to achieve their communicative purpose of obtaining financing. The language strategies are both mobilizing the desire of investors and making them feel objective and authentic. Hope this research will make a few contributions to business plan writing and entrepreneurs’ financing. Keywords: executive summary; move; modality system; appraisal theory- III - 目 录 中文摘要...........................................................................................................................I Abstract.............................................................................................................................II 绪 论.............................................................................................................................. 1 一、理论背景........................................................................................................... 1 二、研究问题........................................................................................................... 2 三、研究目的及意义............................................................................................... 3 四、报告的组织结构............................................................................................... 4 第一章 文献综述.......................................................................................................... 5 第一节 商业计划书执行摘要研究现状................................................................. 5 一、国外研究.................................................................................................... 5 二、国内研究.................................................................................................... 8 第二节 体裁理论的研究发展............................................................................... 10 一、ESP 学派.................................................................................................. 10 二、澳大利亚系统功能学派.......................................................................... 14 三、北美新修辞学派...................................................................................... 17 第三节 人际功能下的情态系统与评价理论....................................................... 20 一、情态的类型及表达.................................................................................. 22 二、Martin 的评价理论.................................................................................. 24 本章小结................................................................................................................. 29 第二章 商业计划书执行摘要概述........................................................................... 31 第一节 商业计划书.............................................................................................. 31 一、商业计划书的定义.................................................................................. 31 二、商业计划书的主要内容.......................................................................... 32 第二节 商业计划书执行摘要............................................................................... 33 一、执行摘要的界定...................................................................................... 33- IV- 二、商业计划书执行摘要的主要内容.......................................................... 38 本章小结................................................................................................................. 39 第三章 方法论.............................................................................................................. 40 第一节 语 料......................................................................................................... 40 一、语料的选择标准问题.............................................................................. 40 二、语料搜集途径.......................................................................................... 40 三、语料的分析.............................................................................................. 41 第二节 研究过程................................................................................................... 41 一、语步结构的建构...................................................................................... 41 二、词汇语法的选择...................................................................................... 43 本章小结................................................................................................................. 44 第四章 商业计划书执行摘要结构的体裁分析.......................................................... 45 第一节 作为体裁的商业计划书执行摘要........................................................... 45 一、商业计划书执行摘要的体裁界定.......................................................... 45 二、商业计划书执行摘要的交际目的.......................................................... 45 第二节 商业计划书语步结构............................................................................... 47 一、商业计划书执行摘要实例分析.............................................................. 47 二、商业计划书执行摘要结构...................................................................... 53 三、必选语步与可选语步.............................................................................. 58 本章小结................................................................................................................. 62 第五章 商业计划书执行摘要词汇语法特征.............................................................. 63 第一节 商业计划书执行摘要的词汇语法特征.................................................. 63 一、情态动词.................................................................................................. 63 二、谓语延伸.................................................................................................. 64 三、情态隐喻.................................................................................................. 65 四、积极词汇.................................................................................................. 66 第二节 对商业计划书执行摘要词汇语法特征的解释....................................... 68- V - 一、语法的情态系统...................................................................................... 69 二、评价理论.................................................................................................. 73 第三节 商业计划书对中值情态动词的选择....................................................... 74 一、中值情态动词的选择.............................................................................. 74 二、谓语延伸及情态隐喻的选择.................................................................. 75 三、中、高值积极词汇的选择...................................................................... 78 本章小结................................................................................................................. 82 结 语.............................................................................................................................. 83 一、研究成果......................................................................................................... 83 二、研究对商务英语写作教学实践的指导意义................................................. 84 三、研究不足与未来研究建议............................................................................. 86