英文商业信函中礼貌策略的体现

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ABSTRACT

Politeness, as one of the basic needs that ensure smooth and successful human

interaction, has been enjoying great popularity with scholars in the fields of pragmatics,

sociolinguistics, psychology and even cognitive linguistics. Ever since the early 1970s,

many theories have been proposed to explain politeness as a linguistic phenomenon,

among which the Politeness Principle of Leech and the Face Theory of Brown

&Levinson are the most famous ones.

In the beginning, the thesis has an overview of four major views on politeness and

centers on the face-saving view represented by Brown &Levinson. Their theories

provide the theoretical framework for this thesis. Then, according to the nature of the

information and effect on the reader’s face, business correspondence falls into the

following four categories: routine business correspondence, good news business

correspondence, bad news business correspondence and persuasive business

correspondence. Among the four types of business correspondence, routine business

correspondence is neutral to the reader’s face, thus is not analyzed in this thesis. The

study discusses the linguistic realization of politeness strategies in different types of

business correspondence from the perspective of words, sentences, and discourse, with

an emphasis on the most frequently used positive and negative strategies.

Through analyzing politeness strategies in the three categories of business

correspondence in terms of frequency, distribution and conditions of their application,

the thesis attempts to probe into the linguistic realization of positive and negative

politeness strategies and how they are distributed in the three categories of business

correspondence.

The following are the research findings.

1) Results demonstrate that people tend to prefer different strategies. Strategies of

“Notice, attend to H”, “Be optimistic”, and “Offer, promise” are the most frequently

used positive strategies. And strategies of “Impersonalize the act”, “Be pessimistic”,

“Nominalize” are the most frequently used negative strategies.

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2) The results indicate that three types of business correspondence tend to show

different weight in using positive and negative strategies.

3) In good news correspondence, the three highest ranking positive strategies are

strategy 1 (Notice, attend to H), strategy 10 (Offer, promise) and strategy 11 (Be

optimistic). The four highest ranking negative strategies are strategy 9 (Nominalize),

strategy 7 (Impersonalize), strategy 3 (Be pessimistic,) and strategy 1 (Be

conventionally indirect).

4) In bad news correspondence, strategy 1 (Notice, attend to H), strategy 11 (Be

optimistic) and strategy 9 (Assert S’s knowledge of and concern for H’s wants) are

listed on the highest ranking of positive strategies. Strategy 7 (Impersonalize), strategy

3 (Be pessimistic) and strategy 9 (Nominalize) are the highest ranking negative

strategies.

5) In persuasive correspondence, positive strategy 1 (Notice, attend to H), strategy

13 (Give or ask for reasons) and strategy 11 (Be optimistic) ranked as the three most

frequently used strategies. Negative strategy 3 (Be pessimistic), strategy 7

(Impersonalize) and strategy 4 (Minimize the imposition) are mostly employed by

strategy users in business correspondence.

It is hoped that this findings will give some insights for further studies in English

business correspondence. And it is also hoped that it will facilitate people to better

employ politeness strategies in business communication and improve their

communicative competence.

Key Words: face-saving theory, positive politeness strategy, negative

politeness strategy, English business correspondence, quantitative analysis

摘要

礼貌作为确保人类顺畅成功交际的基本手段之一，引起了语用学、社会语言

学、心理学以及认知语言学的广泛关注。自上世纪七十年代以来，语言学家纷纷

提出各种理论，将礼貌作为一种语言现象进行解释。其中，利奇的礼貌原则及布

朗和列文森的面子保全论影响最大。

本文首先回顾了关于礼貌的四种主要观点，特别是以布朗和列文森为代表的

面子保全观，该理论构成了本文的主要理论框架。然后，本文根据信函的性质及

其对收信人面子的影响将商务信函分为日常商务信函、好消息商务信函、坏消息

商务信函以及说服性商务信函。并从词语和表达、句子以及篇章等语言角度，分

析了使用最为频繁的积极礼貌策略和消极礼貌策略及其子策略在三种商务信函中

的语言实现形式和分布状况。其中，日常商务信函对收信人面子几乎没有影响，

本文未做讨论。

本文通过对礼貌策略在三类商务信函中的具体运用方式，使用频率、分布状

况的分析，探讨了英文商务信函中体现礼貌的各种语言实现形式以及不同类别的

英文商务信函中礼貌策略的运用规律。

通过对所收集的数据进行统计分析，本文得出如下五个结论。

(1)商业信函中最常使用的积极礼貌策略依次是：策略 1, 11, 10。最常使用

的消极礼貌策略依次是：策略 7, 3, 9. (2) 不同类型的商业信函中积极和消极

礼貌策略使用情况不同：好消息类信函中积极策略多于消极策略。坏消息类信函

中消极策略远远大于积极策略。劝说类信函中积极策略高于消极策略。(3) 好消

息类信函中，最常使用的积极礼貌策略是：策略 1, 10 ,11。而消极礼貌策略依

次是：策略 9,7,1,3. (4) 坏消息类信函中，最常使用的积极礼貌策略是：策略

1, 11, 9.最常使用的消极礼貌策略是：策略 7, 3, 9.(5) 劝说类信函中，最常

使用的积极礼貌策略是：策略 1,13,11.使用最多的消极礼貌策略依次是：策略

3,7, 4.

希望这一运用规律的发现，能为英文商务信函研究的深入和完善提供一些启

示，从而让人们在商务沟通中更好地了解礼貌在商务信函中的重要作用，更有效

地运用礼貌策略来实现自己的交际意图。

关键词：面子保全论积极礼貌策略消极礼貌策略英文商业信函

定量分析

Contents

Acknowledgements ............................................................................................................i

ABSTRACT ..................................................................................................................... ii

摘要 ............................................................................................................................... iv

Chapter One Introduction .......................................................................................... 1

1.1 Significance of the Study .........................................................................................1

1.2 Objectives of the Study ........................................................................................... 1

1.3 Research Questions ................................................................................................. 2

1.4 Outline of the Thesis............................................................................................... 2

Chapter Two Literature Review ................................................................................. 4

2.1 An Overview of Business Correspondence ............................................................. 4

2.1.1 Definition of Business Correspondence ........................................................... 4

2.1.2 Classification of Business Correspondence ......................................................4

2.2 A General Survey of Politeness Theories ................................................................ 5

2.2.1 Grice’s Cooperative Principle ...........................................................................6

2.2.2 Lakoff’s View of Politeness ............................................................................. 7

2.2.3 Leech’s Politeness Principle ............................................................................. 8

2.2.4 Brown and Levinson’s Face Theory ...............................................................10

2.3 Studies on Politeness Strategies in Business Correspondence .............................. 13

Chapter Three Research Methodology ...................................................................... 15

3.1 Research Design .................................................................................................... 15

3.2 Data Collection ......................................................................................................15

3.3 Research Procedures ..............................................................................................16

3.4 Nature of the Research .......................................................................................... 16

Chapter Four Politeness Strategies and Sample Analysis ..........................................18

4.1 Explanations of Each Positive and Negative Politeness Strategies .......................18

4.1.1 Positive Politeness Strategies ......................................................................... 18

4.1.2 Negative Politeness Strategies ........................................................................26

4.2 Sample Analysis of Positive and Negative Politeness Strategies in Three Types of

Business Correspondence ............................................................................................33

4.2.1 Politeness Strategies in Good News Business Correspondence .....................33

4.2.2 Politeness Strategies in Bad News Business Correspondence ....................... 35

4.2.3 Politeness Strategies in Persuasive Correspondence ......................................37

Chapter Five Research Findings ................................................................................ 39

5.1 Distribution of Sub-strategies of Positive and Negative Politeness in Three types

of Business correspondence ........................................................................................ 39

5.1.1 Sub-Strategies of Positive Politeness ............................................................. 40

5.1.2 Sub-Strategies of Negative Politeness ............................................................42

5.2 Distribution of the Overall Use of Positive and Negative Strategies in Three

types of Business correspondence ............................................................................... 44

Chapter Six Conclusion ........................................................................................... 46

6.1 Findings ................................................................................................................. 46

6.2 Limitations .............................................................................................................47

6.3 Suggestions ............................................................................................................48

References .......................................................................................................................49

Appendix Raw Data ..................................................................................................... 51

在读期间公开发表的学术论文 .....................................................................................54

Tables and Figures

Table 4.1 Positive politeness strategies

Table 4.2 Negative politeness strategies

Table 5.1 Distribution of positive politeness strategies in three types of business

correspondence

Table 5.2 Distribution of negative politeness strategies in three types of business

correspondence

Table 5.3 Percentage of positive and negative strategies in three types of business

correspondence

Table 5.4 Overall frequencies of positive and negative politeness strategies in three

types of business correspondence

Fig. 5.1 Distribution of positive strategies in good news correspondence

Fig. 5.2 Distribution of positive strategies in bad news correspondence

Fig. 5.3 Distribution of positive strategies in persuasive news correspondence

Fig. 5.4 Distribution of negative strategies in good news correspondence

Fig. 5.5 Distribution of negative strategies in bad news correspondence

Fig. 5.6 Distribution of negative strategies in persuasive news correspondence

Fig. 5.7 Percentage of positive and negative strategies in three types of correspondence

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摘要：

iiABSTRACTPoliteness,asoneofthebasicneedsthatensuresmoothandsuccessfulhumaninteraction,hasbeenenjoyinggreatpopularitywithscholarsinthefieldsofpragmatics,sociolinguistics,psychologyandevencognitivelinguistics.Eversincetheearly1970s,manytheorieshavebeenproposedtoexplainpolitenessasalinguisticphenomeno...

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