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1、 申请辽宁大学硕士学位论文 合作原则和礼貌原则 在英语商务信函中的研究 The Analysis of Cooperative Principle and Politeness Principle in English Business Letters 作 者 ： _ 范 俊 芳 _ 才 旨 导 教 师 ： 关 丽 君 _ 副教 4 受 专 业： 外 国 语 言 学 及 应 用 语 言 学 答辩日期： _ 2012 年 5 月 13 日 _ 二一二年五月 中国辽宁 辽宁大学学位论文原创性声明 木人郑車 :声明：所呈交的学位论文是本人在导师的指导下独立完成 的。论文中取得的研究成果除加以标注的内
2、容外，不包含其他个人或集 体已经发表或撰写过的研究成果，不包含本人为获得其他学位而使刖过 的成果。对本文的研究做出重要贡献的个人和集体均己在文中进行 f 标 注，并表示谢意。本人完全意识到本声明的法律结果由本人承担。 学位论义作者签名 r 年广月 学位论文版权使用授权书 本学位论文作者完全了解学校有关保留、使用学位论文的规定，同 意学校保留并向围家有关部门或机构送交学位论文的原件、复印件和电 子版，允许学位论文被查阅和借阅。本人授权辽宁大学可以将本学位论 文的个部或部分内容编入有关数据库进行检索，可以采用影印、缩印或 扫描等复制手段保存和汇编学位论文。学校须按照授权对学位论文进行 管理，不得超
3、越授权对学位论文进行任意处理。 保密 （ ），在 _年后解密适用本授权书。（保密：请在括号内划 “ V ”） 授权人签名 : 丨 I 期： 年 J 月 /尸日 指导教师签名： 期：年 / 产曰 时代在进步，科技在腾飞，世界的范围在不断缩小。英语商务信函在促进贸易 发展的同时也增强了各个商业合作伙伴的关系，缩小了合作者之间的心理距离。作 为企业间商务沟通的纽带和桥梁，英语商务信函在跨国企业和合资公司得到了越来 越广泛的应用。商务信函的应用得到了企业领导的高度重视。 有效的运用英语商务信函可以促进贸易双方建立长期的建设性的合作伙伴关 系，可以促进贸易的长期良性发展。从语言学角度来分析，合作原则和礼
4、貌原则在 英语商务信函中得到了广泛的应用。 本论文在研究合作原则和礼貌原则在商务信函写作用法的同时通过一系列具 体事例分析了两项原则在日常交往中的用法。论文首先回顾了合作原则和礼貌原则 的基本概念。著名语言学家格莱斯提出了合作原则，雷克夫提出了礼貌原则，利 奇提出了礼貌原则的四项准则 -质量准则、数量准则、关联准则和方式准则。无论 是在日常交流还是在特殊的谈判场合比如正式的商务洽 谈（很多商务洽谈是通过商 务信件交流信息的）中，参与的双方要想建立长远的合作伙伴关系就要彼此尊重对 方并且时刻认真考虑对方的情绪、需求、期待和心境。如果此类洽谈的参与者都有 意愿在长期的合作中建立更好的合作伙伴关系，
5、那么他们就要在交流的信件或者组 织的语言中关注这两项原则（合作原则和礼貌原则）的使用。面子理论是礼貌原则 的一个重要分支。英语商务信函的目的是为了促进商务合作并促进贸易参与者的合 作关系，合作双方在交流的过程中应该注意给对方留面子。 本论文分为三个章节。第一章是对两个著名的原则（合作原则和礼貌原 则）的 介绍。本章回顾了著名语言学家对合作原则和礼貌原则的研究成果，与此同时也对 合作原则和礼貌原则做了实践性分析。本章分为两个小节。第一小节是对合作原则 的回顾和分析。本节回顾了合作原则的产生背景、具体含义、会话含义和重要性。 详细介绍了格莱斯对合作原则的定义并且对该原则进行了详细的实例分析。第二节
6、 对礼貌原则做了详细介绍和研究，包括对礼貌策略，利奇的礼貌理论和面子理论回 顾和分析。利奇提出的礼貌原则被认为是参与会话者沟通的便捷桥梁。在社交过程 中会话的参与者应当尊重对方的意见和看法并且保持对其他参与者的 尊重和礼貌。 第二章介绍分析了英语商务信函的含义和作用。英语作为世界通用语言在促进国际 性商务协作和増强贸易合作伙伴关系方面发挥着越来越重要的作用。本章也对英语 商务信函的特点和分类做了事例性分析。第三章具体分析了合作原则和礼貌原则在 英语商务信函中的应用。与日常交流用语相比，英语商务信函的语言使用相对比较 特殊，需要严格的措辞和谨慎的组织语言。那么合作原则和礼貌原则就成了有效信 件沟
7、通的必备原则。合作原则和礼貌原则都表明，会话交流的参与者有意向长期合 作、建立友 好关系的渴望并且有在长期范围内为彼此提供帮助的想法，因此，要想 彼此的沟通成功，发话人和听话人就要认真遵守合作原则和礼貌原则的相关准则， 例如质量准则、数量准则、关联准则和方式准则，同时有效应用面子理论。 如果合作原则和礼貌原则在商务信函中能够得到良好的运用，那么就会有利于 商务洽谈的顺利进行，否则，商务洽谈会受到很大影响，甚至很有可能被中断。因 此，合作原则和礼貌原则在商务信函中的有效应用直接或者间接地影响贸易双方交 流的效果。本文以格莱斯的合作原则和利奇的礼貌原则为中心，探讨了这两个原则 的理论性和实践性。两
8、种策略在商务信函写作中既有相同点又有不同点，既相辅相 成又有各自的特点。希望此论文能为商务工作者和英语商务信函写作的学习者带来 一定启示和帮助。 关键词 ：合作原则；礼貌原则；英语商务信函；礼貌策略 Abstract With the development of the science and the society, the scope of the whole world is becoming smaller and smaller. English business letters not only improve the business development but also
9、enchance the cooperative relationship between the business participants and shorten the distance between the participants. As an effective bridge and cooperative bond, English business letters play more and more important role in joint ventures. The leaders focus on the application of the English bu
10、siness letter. It is helpful to use the English business letters in powerful way to enchance the constructive relationship between the business partners and to improve the positive development of the business trade in the long run. From the linguistic aspects, both Cooperative Principle and Politene
11、ss Principle are widely used in English business letter. Cooperative Principle (CP) and Politeness Principle (PP) are extensively used in the writings of English business letters all the time. This paper focuses on the application of the two principles in English business letters and analyzes the us
12、ages through concrete examples in daily communication. The paper reviews the study of the Cooperative Principle (CP) and Politeness Principle (PP) by famous linguists including Grice who proposed the Cooperative Principle (CP) and Lakoff who proposed the Politeness Principle (PP) and Leech who propo
13、sed the maxims of principles (quality, quantity, relation and manner). When the partners make communications with each other not only in daily conversations but also in formal special communication business communications through writing English business letters, the two sides should respect each ot
14、her and take the others9 feelings, needs, expectations and mood into serious consideration in order to build constructive and communicative relationship. The face theory is one of the most important aspects of Politeness Principle which should be paid more attention to. In order to improve the coope
15、ration, the participants of the communication should preserve face for each other. This paper is divided into three chapters. The first chapter is to make brief introduction of the two widely used principles-Cooperative Principle (CP) and Politeness Principle (PP). Grices definition and understandin
16、g of Cooperation Principle (CP) are listed clearly and more detailed information and examples are used to analyze the principle in the first section. The importance of Cooperative Principle (CP) and the m principles impact on communication are studied as well. The Politeness Principle is proposed by
17、 Leech who made great contribution to the study of linguistics and pragmatics. Politeness Principle (PP) which analyzes how the rules or maxims are applied in the conversation is regarded as a convenient way to communicate with each other. The second chapter introduces the English business letter in
18、cluding the notation or concept, the kinds or types and the characteristics or traits. The English business letters play significant role among the communication of the business participants. The third chapter which is the most important chapter of the paper analyze the usage of Cooperative Principl
19、e and Politeness Principle in English business letter. The language and words used in English business letters are sometimes quite different to that of the daily communications, which should be seriously selected and strictly organized. And then the Cooperative Principle (CP) and the Politeness Prin
20、ciple (PP) are the indispensable principles for the successful organization of the English business letters. The Cooperative Principle (CP) and Politeness Principle (PP) show that the two sides of the communication tend to build up long termed and amicable cooperation and they are looking forward to
21、 support each other in the future, therefore, the participants of the communication should obey the certain maxims of the Cooperative Principle (CP) and the Politeness Principle (PP) such as the four maxims of Cooperative Principle (CP)-quality maxim, quantity maxim, relation maxim and manner maxim
22、and use the face theory effectively. If the principles in the letters are used well, the trade will go on smoothly, otherwise the trade may be interrupted. Therefore, the application of the Cooperative Principle and Politeness Principle plays significant roles in the writings of English business let
23、ters. Focusing on the Cooperative Principle proposed by Grice and Politeness Principle put forward by Leech, this paper explores the theories and the practicality of these two principles. The applications of these strategies are manifested among similar and different contexts. The paper may give som
24、e help and inspiration to the people who work for business or the people who want to study English business letters. Key words： Cooperative Principle; Politeness Principle; English Business Letters; Politeness Strategies IV Contents . i Abstract . Ill Introduction .1 Chapter I Brief Introduction of
25、Cooperative Principle and Politeness Principle . 4 1. Study of Cooperative Principle . 4 2. Study of Politeness Principle . 14 Chapter II Introduction of English Business Letters . 27 1. What are English Business Letters . 27 2. Types of English Business Letters . 30 3. Traits of English Business Le
26、tters . 32 Chapterlll Usage of Cooperative Principle and Politeness Principle in the English Business Letters . 44 1. The Usage of Cooperative Principle in English Business Letters . 44 2. The Usage of Politeness Principle in EnglishBusiness Letters . 49 Conclusion . 55 Bibliography . 58 Acknowledge
27、ments . 60 攻读学位期间发表论文以及参加科研情况 . 61 Introduction The scope of the world is becoming smaller and smaller with the rapid development of the science and technology, and therefore the communication between the nations is becoming easier and easier, and in the mean time, English is widely used. And with t
28、he development of the modern society, the world business is more and more prosperous. The English business letters then is becoming more and more important, and it can be used in many ways. English business letters can be regarded as an effective way to collect money, to hold business meetings, to m
29、ake business negotiations, to fix the time of delivery, to sign contracts, and so on. It is a good way for the organization to use as an effective method for communicating. The use of the English business letters is the art. The wonderful business letter can reflect the positive image and active att
30、itude of a company, and is very helpful to build good relationship among the cooperative partners. Cooperative principle (CP) and politeness principle (PP) should be fully considered when the English business letters are written. They are the mainly motivating factors lOof what kind of words or lang
31、uage or mood should be used and how to arrange the order of the words or sentences, and to express what kind of relationship would you want to build with the partners with the communication. Sometimes it is necessary for us to stand in the counterparts5 way, to feel what their feelings are, and to c
32、onsider what they want. If we can do this all the time, and use the cooperative strategies and the politeness strategies well, the English business letters then play positive way to promote and accelerate the business communications and to build well relationship with each other through the business
33、 activities they hold. The application is good for the business partner to establish a “win-win” and long term and friendly business cooperative partnership. The English business letters which is studied in this paper is bridge of the business trade all over the world. In modem times, the English bu
34、siness letter is the primary method to make communication in world business. Generally speaking, the functions of the English business letter are to express message or information in more convenient way, and to make the talks or negotiations between the participants more effective. If the two sides
35、of the English business want to make effectively talk about international trade, they should use the maxims of Cooperative Principle and Politeness Principle to organize their business letters which is one of the most important elements that have great impact on the partners9 communication. Nearly a
36、ll the international company should communicate with the others by means of English business letters. The language of English is becoming a universal language and used by most of the countries in the world. Sometimes, people use the English business letters in other ways by taking the maxims of the
37、two principles in to consideration. A successful English business letter can help a firm runs well and improve the relationship of the partners who are involved in business trade. The content of The Politeness Principle (PP) and that of the Cooperative Principle (CP) overlap in many aspects, and the
38、 targets are similar. The two principles targets are to make constructive relationship between each other and satisfy each other. The positive politeness and the Cooperative Principle (CP) have the similar content and target. The two maxims want to preserve face for the participants and to build coo
39、perative relationship with each other and also reduce the sake of losing face. In one English business letter both Cooperative Principle (CP) and Politeness Principle may be used to enhance the key points and strengthen the relationship in the long run. Grice argued that maxims of about the Cooperat
40、ive Principle and that of the Politeness Principle can be used by the speakers in five ways in their conversations. Firstly, the speaker can use the maxims directly, that is to say, the speaker can just tell the fact by express the clear words. Secondly, the speakers who is tell lies we can say that
41、 he or she violate the maxim. Thirdly, the speaker does not want to express his or her options but he or she is required to do that, then he or she may say thatt41 do not feel comfortable.99 or something like that. Fourthly, sometimes the speaker violates one maxim just in order to follow another. W
42、e can also say that, the speaker violate the two maxims so that they can follow the other one or two maxims. Fifthly, the speaker flouts one of the maxims. In the context, the conversational implicature occurs. J. Thomas suggests that (1995:22), 64in conversational interaction people work on assumpt
43、ion that a certain set of rules is in operation, unless they receive indications on the contrary.” Cooperative principle (CP) and politeness principle (PP) are always be employed as the theoretical background in the study of how to write the well organized English business letters, and meanwhile the
44、 7C principle that is the courtesy, consideration, completeness, clarity, conciseness, concreteness & correctness from which t serve as the -2- quite standards to decide if the business letters are the well-done letters. This paper will study the methods of how to use the cooperative principle and the politeness principle in English business letters. This paper may give help and inspiration to the people who want to study English business letters and the men who work on English. -3- Chapter I Brief Introduct