关于礼貌及面子威胁行为的研究

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ABSTRACT

Politeness has always been a hot research topic of much concern and is still

enjoying much popularity with people specializing in the areas of pragmatics,

sociolinguistics, and inter/intra-cultural communication.

In the year of 1978, P. Brown & S. C. Levinson published the influential article

“Universals in Language Usage: Politeness Phenomena”. Central to the politeness

theory is the notion of face. What are politeness and face and how can they be realized

in daily communications? According to Brown and Levinson, certain kinds of acts

intrinsically threaten face of the addressee and/or of the speaker, thus called face

threatening acts (FTAs). In order to make a clear picture of the studies in this field, the

author of this thesis has done much work on the original major theories, namely, E.

Goffman’s (1959, 1967) face theory, P. Brown and S. C. Levinson’s (1978,1987)

politeness framework, and G. N. Leech’s (1983) Politeness Principle as well as some

famous Chinese scholars’ perspectives in this realm, such as Gu Yueguo, L. R. Mao,

Wang Jianhua and Xu Shenghuan. The present study is based on the frameworks

proposed by those pioneering researchers.

This thesis is an analytical study on the topic of politeness and special focus is put

on the analysis of FTAs. Though researchers have made considerable studies on this

topic, there is still much space to be explored. In this article, much emphasis will be put

on the material, esp. in Chinese, gathered in daily life in order to try to find some

decisive factors and influencing complications in doing an FTA.

Key words: Politeness, Face, Face Threatening Acts, Decisive Factors

and Influencing Complications

iii

摘要

礼貌问题一直以来都是备受学者关注的话题。即使在今天，许多从事语用学、

社会语言学和跨文化交际的研究者们仍然热衷于对这一问题探讨和研究。

1978 年，布朗和列文森发表了一篇著名的富有影响力的文章 “Universals In

Language Usage: Politeness Phenomena”. 那么礼貌和面子到底是什么？他们又是

如何在人们的日常交往中得以实现呢？布朗和列文森认为，在人们的日常交际中，

某些言语行为会危及到说者或是听者的面子，这样的言语行为被定义为威胁面子

行为。为了对礼貌研究和威胁面子行为有一个清晰的轮廓，作者进行了大量的工

作来研究这一领域的理论和相关文献，比如 Goffman(1959,1967)的面子理论,

Brown and Levinson (1978,1987)的礼貌框架, 以及 Leech(1983) 的礼貌理论, 以

及一些中国学者在这一领域内的研究成果，比如顾曰国，L.R.Mao，王建华，许盛

桓。本文的研究就是基于这些研究者们所提出来的理论框架进行的。

本文是一篇关于礼貌和面子威胁行为的分析性论文。文章的重点将被放在对威

胁面子行为的研究。尽管很多学者曾论述过此问题，但是仍有未尽如人意的地方。

本文将使用在日常生活及媒体上出现的言语行为作为语料进行研究，以试图发现

面子威胁行为的一些影响因素和决定性条件。

关键词：礼貌面子面子威胁行为影响因素决定条件

Contents

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

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

摘要 ...........................................................................................................................iii

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

§1.1 A Brief Overview of the Study ......................................................................... 1

§1.2 Objectives and Significance of the Thesis ........................................................ 2

§1.2.1 Research Status of Politeness and Face Studies .........................................2

§1.2.2 The Necessity of the Study .........................................................................2

§1.2.3 Objectives and Purposes of the thesis ........................................................ 3

§1.2.4 Organization of the Thesis ......................................................................... 3

§1.3 Methodology and Procedure .............................................................................4

Chapter Two Literature Review ................................................................................... 5

§2.1 Previous Studies of Politeness Abroad ............................................................. 5

§2.1.1 Goffman’s Concepts of Face and Face-Work .............................................5

§2.1.2 Brown and Levinson’s Universal Politeness Theory ................................. 5

§2.1.3 Leech’s Politeness Principle .......................................................................7

§2.1.4 Other Scholar’s Views on Politeness ........................................................10

§2.2 Previous Study of Politeness in China ............................................................ 11

§2.2.1 Earlier Studies on Politeness .................................................................... 12

§2.2.2 Chinese Politeness Principles ...................................................................13

§2.2.3 Revised Chinese Politeness Principle ...................................................... 14

Chapter Three Description of FTAs ........................................................................... 18

§3.1 The Notion of Face ......................................................................................... 18

§3.2 Face Threatening Acts .................................................................................... 19

§3.2.1. Classifications of FTAs ........................................................................... 20

§3.2.2 Strategies for Doing FTAs ........................................................................25

Chapter Four Extending FTA s ................................................................................30

§4.1Further Considerations on FTAs ......................................................................30

§4.2 Influencing Factors of FTAs from Different Angles .......................................30

§4.2.1 Context ..................................................................................................... 31

§4.2.2 Interpersonal Relationships ...................................................................... 33

§4.2.3 Institution ................................................................................................. 34

§4.2.4 The Use of Deixis .....................................................................................35

Chapter Five Conclusions .......................................................................................... 38

§5.1Major Findings of the Study ............................................................................ 38

§5.2 Implications of the Study ................................................................................38

§5.3 Limitations of the Study and Suggestions for the Further Research .............. 39

Bibliography ...............................................................................................................41

在读期间发表论文 ....................................................................................................44

Chapter One Introduction

§1.1 A Brief Overview of the Study

Language communication is somewhat conflict-raising, or in B & L’s term,

face-threatening (Brown & Levinson, 1978, 1987), in that the speaker’s intentions may

conflict with the hearer’s face needs or willingness.

Politeness is an effective device to facilitate language communications, “a system

of interpersonal relations” and communicational approaches “designed to facilitate

interaction by minimizing the potential for having conflict and confrontation inherent in

all interchange.” (R. Lakoff, 1986)

As far as the English language is concerned, the notion of politeness is traced back

to the concept of courtesy in the Middle Ages (500-1,500 A.D.) (K. Ehlich, 1992). Since

then, politeness has become an interdisciplinary study bordering anthropology,

sociology, logic, psychology, and linguistics, particularly such branches of linguistics as

pragmatics and discourse analysis.

In the Chinese language, the notion of politeness dates even further back than that

in the English language, to the classical Confucian notion of Li (propriety). Li is similar

to, but not exactly the same as, the later term Limao (politeness). (Gu, 1990)

What is politeness? How can we paraphrase it? Is each speech act an FTA? All

these problems sound like easy questions to answer. But till now there are still some

controversies over these questions. Ever since the publication of Brown & Levinson’s

influential article “Universals in Language Usage: Politeness Phenomena” in 1978,

politeness has been the subject of extensive research in the fields of pragmatics and

sociolinguistics. According to He Zhaoxiong (1995), “Politeness can be understood as a

social phenomenon, a means to achieve good interpersonal relationships, and a norm

imposed by social conventions”, and it is “phenomenal, instrumental, and normative by

nature”. Central to Brown and Levinson’s politeness theory is the notion of face which

can be divided into two aspects, i.e. positive face and negative face. According to

Brown & Levinson, certain kinds of acts intrinsically threaten face, namely those acts

that by their nature run contrary to the face wants of the addressee and/or of the speaker.

Thus, we call them FTAs. AN FTA is such a frequently happening phenomenon that we

sometimes ignore the existence of it. But in fact, in doing FTAs, many factors are

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摘要：

iiABSTRACTPolitenesshasalwaysbeenahotresearchtopicofmuchconcernandisstillenjoyingmuchpopularitywithpeoplespecializingintheareasofpragmatics,sociolinguistics,andinter/intra-culturalcommunication.Intheyearof1978,P.Brown&S.C.Levinsonpublishedtheinfluentialarticle“UniversalsinLanguageUsage:PolitenessPhe...

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