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1、 Acknowledgements I would like to express my profound gratitude to Associate Professor Liu Yili for her valuable guidance and help during my preparations for this dissertation. Her insightful suggestions enable me to improve the dissertation. My heartfelt thanks also go to all the teachers who have
2、taught and helped me during my seven-year study in Fuzhou University. 礼貌及其在商务信函中的体现 中文摘要 近几十年来，社会语言学、语用学、社会学等领域对礼貌现象的研宄取得显 著成果，一系列相关论著的出版发行充分说明礼貌在人类社会交往中的重要地 位。然而，在相当长的一段时间内，礼貌理论的研宄和分析对象都集中在口头交 际用语中。实际上布朗和列文森提出的礼貌模式以及利奇的礼貌原则可以用来解 释书面文本中的礼貌现象和礼貌策略应用。作为人类交际活动的一种具体的文本 形 式，商务信函不仅仅是企业间用来沟通的媒介，而且是建立友谊，吸引客
3、户的 一种手段。商务信函与写信人和收信人的利益息息相关，它并非像某些文本那样 是作者单边的产物，而是双方互动交际的产物。礼貌及其策略的应用在商务信函 写作中起着重要的调节作用。不同的语言表达方式体现出不同的礼貌程度。 本文侧重分析在不同类型商务信函中如何使用礼貌策略以在实现礼貌的同 时完成写信人的交际意图。根据布朗和列文森的面子理论，商务信函依其交际功 能对读信人面子的影响可以分为四大类：即日常商务信函，好消息商务信函，坏 消息商务信函和说服性 商务信函。其中日常商务信函对读信人面子几乎没有影 响，未将其列入本文的分析中。坏消息商务信函本身固有的对读信人面子的威胁 与商务信函的礼貌要求存在一定
4、冲突，对礼貌的需求往往高于信息本身的传递。 以往对这一类信函的分析大多认为好消息商务信函本质上是礼貌的，然而，经过 本论文作者的研究发现，不恰当的信函篇章结构和语言表达也会降低好消息商务 信函的礼貌程度。说服性商务信函，因其对读信人消极面子的影响，对礼貌程度 也有一定的要求。因为，说服性商务信函在维持礼貌形象的同时也要求信函本身 取得特定的交际目的，即让读信人 采取某种行动或影响读信人作出的决定，所以 礼貌和信息传递的最优化之间存在一定互动。总体而言，布朗和列文森的各种礼 貌策略在商务信函写作中都得到一定程度的体现，同时商务信函的写作也遵循着 利奇的礼貌原则。 本论文旨在分析商务信函中礼貌及其
5、策略的实现和使用，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，和更有效地运用礼貌策略来实 现自己的交际意图。再者，对商务信函中礼貌的研究也可能对从事商务英语教学 的人们有一定帮助。 关键词：礼貌，礼貌策略，商务 fe 函，父际 Politeness and its Manifestations in Business Correspondence Abstract In the past decades, politeness research has captivated many linguists in the field of sociolinguistics, pr
6、agmatics and sociology. The publication of a series of relevant works on politeness fully demonstrates the vital importance of politeness and its strategies in social interactions. However, for quite a long time, politeness researches mainly focus on oral communication and the data collected for ana
7、lysis are, most frequently, fragments of daily conversation. Actually, the politeness model proposed by Brown and Levinson and Leechs Politeness Principle can be extended to the interpretation of the politeness phenomena and the manifestations of politeness strategies in written discourse. As a spec
8、ific form of communication, business correspondence is not only a means of conveying information, but also a means of establishing friendship and attracting clients or customers among business corporations. Business correspondence is closely related to both the writer and the readers benefits. In fa
9、ct, it is not a one-sided product of the writer like some other forms of written discourse, but a joint product of both parties during the interaction. Politeness and politeness strategies are important motivating and mitigating forces in business letter writing. Different linguistic forms may refle
10、ct different degree of politeness. The focus of this dissertation is on how to realize politeness with various politeness strategies in business correspondence and at the same time to fulfill the writers communicative goal. According to Brown and Levinsons face theory, business correspondence can be
11、 classified into four categories based on its effects on the readers face: routine business letters, good-news business letters, bad-news business letters and persuasive business letters. Owing to its irrelevance to the readers face, routine business letters will not be included in the research and
12、analysis in this dissertation. Most of the politeness researches on business correspondence before put emphasis on bad-news business letter writing because the inherent face-threatening nature of bad-news business letters and the basic need to be of good manners are in conflicts. It is safe to say t
13、hat the need to be polite surmounts conveying the bad news. However, the author of this dissertation argues that improper organization and diction of business letters will decrease the degree of politeness in good-news business letters. Persuasive business letters, with their imposition on the reade
14、rs negative face, require a certain degree of politeness. Persuasive business letters are aimed to fulfill some specific communicative goals, such as to make the reader take actions or to influence the readers decision, therefore politeness and the efficiency of information conveying interact to obt
15、ain the best possible results. Generally speaking, Brown and Levinsons politeness strategies are realized in the process of business letter writing to some degree, and at the same time Leechs Politeness Principle is also carefully observed in the writing of business correspondence. This dissertation
16、 is aimed to analyze the manifestations of politeness as well as politeness strategies in business correspondence so as to see how people in the business world understand the importance of politeness in business letter writing and use politeness strategies in a more efficient way. Moreover, the conc
17、lusions of this dissertation may hopefully be of some help to those business English teachers in their teaching practice. Key Words: politeness, politeness strategies, business correspondence, communication 礼貌及其在商务信函中的体现 中文提要 第一章引言 尽管礼貌以及礼貌现象在日常生活中无处不在，人们仍然很难对礼貌作出定 义。这一领域中的语言学家们给礼貌下了各自的定义。实际上，礼貌不仅仅是
18、一 种传递信息的方式，同时更是一种重要的在交际中建立和维系社会联系的手段。 本论文的作者以商务信函为原始材料来分析书面文本中礼貌策略的应用，旨 在证明礼貌理论可以在一定程度上适用于书面文本礼貌分析。仅仅是合作不足以 说明商务信函中某些语言使用的原因，而礼貌是影响信函的结构安排以及语言使 用的重要因素。 第二章理论框架 首先，作者对礼貌理论的发展作出概述，其中包括格莱斯的合作原则，拉科 夫的礼貌观点，利奇的礼貌原则，以及布朗和列文森的礼貌面子理论。格莱斯的 合作原则无法解释为何人们在传达信息时往往采用间接的方式，因此为礼貌理论 的长生和发展提供了契机。拉科夫的礼貌规则为坏消息商务信函中的礼貌应用
19、分 析提供了理论支持，在坏消息商务信函中对礼貌的基本需求超过了对表达清晰的 要求。利奇的礼貌原则与商务信函写作的指导原则是一致的，特别是其中的体谅 原则和礼貌原则 （ consideration and courtesy)。 换言之，写信人应该最大化对读 信人有利的信念而降低不利的信念。布朗和列文森的礼貌 面子理论表明人们无论 是在口头交际还是在书面交际中都不断地维护对方的面子需要。再者，布朗和列 文森的面子理论为商务信函中礼貌分析研宄的理论框架奠定了基础。 商务信函是指商务交易中使用的文本信函。根据布朗和列文森的积极面子和 消极面子分类，商务信函可以分为四大类型：日常商务信函，好消息商务信函
20、， 坏消息商务信函和说服性商务信函。不同类型的商务信函与信函中个别言语行为 的表现相结合需要的礼貌程度以及礼貌策略各不相同。 就面子关系而言，商务信函与其他类型的书面文本有不同之处。商务信函本 身是有一定目的性，并且商务 信函是在某些特定情况下写作而成，商务信函同时 也要求在树立写信人以及所代表的公司机构的良好形象。 除信函的内容之外，信函的结构安排也反映了礼貌的需求。当信函传达的信 息对读信人有利时，往往采用直接演绎原则；当信函有可能引起读信人的抗拒或 者信函的目的在于说服读信人采取某种行动时，则经常采用间接归纳原则。根据 斯科伦和斯科伦的理论，直接演绎原则表现的是积极礼貌而间接归纳原则表现
21、的 则是消极礼貌。 第三章好消息商务信函中礼貌的体现 论文作者在本章中寻求分析好消息商务信函中礼貌以及礼貌策略的使用。对 好消息商务信函的礼貌研究在很长一段时间内没有引起足够的关注。 好消息商务信函在本质上对读信人是有利的。根据布朗和列文森的面子理 论，因为好消息商务信函的内容或是肯定读信人或是为读信人提供更多的选择， 因此提升读信人的积极或消极面子。根据利奇的礼貌原则，应该要最大化对读信 人有利的信念。 因此，在好消息商务信函写作中，首先是通过尽快地提出好消息来实现礼貌。 也就是说，在信函的结构中往往使用直接演绎方式（即先提出好消息，接着给出 理由）。至于好 消息商务信函的语言，措辞往往形象
22、具体。大量使用以你为主的 语言以表明写信人对读信人兴趣和期望的充分考虑。需要强调的信息经常被放在 简短或独立的句子中。这样信函中对读信人有利的信息就得以最大化，同样对读 信人的利也是如此。 第四章坏消息商务信函中的礼貌体现 众所周知，因其本质上的面子威胁性，坏消息商务信函相对礼貌程度的需求 相对更高。根据布朗和列文森的面子理论，坏消息商务信函威胁读信人的积极面 子。积极礼貌策略以及消极礼貌策略都被用来补偿此类信函对面子的威胁。为更 好的解释说明坏消息商务信函中礼貌的体现，本章 仔细分析了拒绝信函写作。 首先，坏消息商务信函的篇章结构往往采用间接归纳方式（即先给出解释理 由，而后提出坏消息）。坏
23、消息商务信函中语言的最大特色在于其间接性。积极 语调，抽象词语，虚拟语气，转折词，情态词等被用来减轻对读信人的损或对读 信人积极面子的强加。对读信人不利的信息往往被隐藏在冗长复杂的句子中。有 时写信人甚至可以从其他人的角度或者将对读信人不利的信息归结为一个普遍 适用的通则来转移责任。 第五章说服性商务信函中的礼貌体现 根据布朗和列文森的面子理论，说服性商务信函威胁读信人的消极面子，其 原因在 于此类信函中写信人竭力说服读信人采取某种行动或影响读信人的决定。 由于说服性商务信函的这种特殊交际目的，说服性商务信函中的礼貌和信息传递 的有效性存在一定程度的互动。最有效的说服性商务信函是这二者相辅相成
24、的产 物。 本章着重分析三类说服性商务信函，即促销信，求职信以及催款信。 促销信中通常采用的 AIDA 格式与布朗和列文森的消极礼貌策略以及利奇 的礼貌原则是相一致的。 AIDA 格式要求写信人先引起读信人的兴趣，接着使读 信人在其消极面子的强加得到补偿的情况下采取行动，即购买写信人推销的产 品。 求职信旨在获得面试机会进而使读信人雇用写信人，因此求职信的写作通常 采用类似 AIDA 的格式。 催款信中的礼貌体现则相对复杂一些。在系列催款信的初始阶段，写信人会 采取非公开施行面子威胁行为，积极礼貌策略和消极礼貌策略来补偿对收信人的 消极面子的威胁。然而，当对信息传达的有效性要求超过对礼貌的需求
25、时，写信 人往往公开地施行面子威胁行为而不采用任何补偿措施。在这种情况下，礼貌被 降至最低程度。 结语 本论文的研宄为商务信函写作中的礼貌体现提供了描述性的分析。这种分析 的理论框架主要来自布朗和列文森的礼貌面子模式，利奇的礼貌原则。再者拉科 夫的礼貌观点以及斯科伦和斯科伦的两种修辞策略也有助于解释说明商务信函 中礼貌体现。 商务信函的写信人，特别是在跨国公司以及国际商务活动中，要考虑到不同 文化对信函写作的礼貌要求。然而，在商务信函写作中将文化差异视为理所当然 也是一种极为危险的行为。本章中论文作者提出对非英语本族语英语商务信函写 信人的不同礼貌体现是深入研宄商务信函中礼貌的方向。 本论文旨
26、在分析商务信函中 礼貌及其策略的实现和使用，从而让人们在商务 沟通中更好地理解和运用礼貌策略来实现自己的意图。再者，对商务信函中礼貌 的研宄也可能对从事商务英语教学的人们有一定帮助。 Politeness and its Manifestations in Business Correspondence Synopsis Chapter 1 Introduction Even though politeness is prevalent in our daily life, it is still hard to define. Linguists in this field give a l
27、ist of different definitions. In fact, politeness is not only recognized as a way to convey information, but also an important way to help to establish, maintain social bonds with others in communication. The author of this dissertation chooses business correspondence as the material to analyze poli
28、teness strategies applied in written discourse aiming to prove that politeness theories can be extended to written discourse. Cooperation alone cannot account for some of the language use in business correspondence, while politeness is an important motivating factor of the arrangement of the letter
29、and the language to be used. Chapter 2 Theoretical Framework First of all, the author gives a general survey of politeness theories including Grices Cooperative Principle, Lakoffs view of politeness, Leechs Politeness Principle, as well as Brown and Levinsons politeness model. Grices Cooperative Pri
30、nciple paves the way for the development of politeness theories owing to the inability to account for why people are often indirect in conveying messages. Lakoffs rules of politeness give theoretical support for politeness realization in bad-news business letters, where the basic need of being polit
31、e surmounts the need of clarity. Leechs Politeness Principle is in accordance with the guidelines of business correspondence writing (consideration and courtesy). In one word, the writer should maximize the favorable beliefs and play down the unfavorable beliefs. Brown and Levinsons politeness model
32、 indicates that people tend to maintain one anothers face continuously. There is no exception in business correspondence. Moreover, their politeness model lays the foundation for the theoretical framework for the analysis of politeness in business correspondence. Business correspondence refers to th
33、e correspondence used in business transactions. According to Brown and Levinson distinction between positive and negative face, business correspondence can be divided into four categories: routine business letters, good-news business letters, bad-news business letters and persuasive business letters
34、. Individual speech acts and different genres of business letters combined may require different degree of politeness and various types of politeness strategies. In terms of face relationship, business correspondence is different from other written discourse owing to the fact that they are goal-orie
35、nted and they take place in specific situations and they aims to build the image of the communicator as well as the company he or she represents. Besides the content of a letter, the way it is managed and structured also demonstrates politeness. Deductive rhetorical strategy is employed when the mes
36、sage to be conveyed is beneficial to the reader. Inductive rhetorical strategy is used when the reader is likely to resist or when the goal of the letter is to make the reader take action. According to Scollon and Scollon, the deductive one shows positive politeness while inductive rhetorical strate
37、gy indicates negative politeness. Chapter 3 Manifestations of Politeness in Good-news Business Letters In this chapter, the author seeks to explore the manifestations of politeness and politeness strategies in good-news business letters, the research on which, for quite a long time, has been left un
38、attended. Good-news business letters are beneficial on the part of the reader in nature. According to Brown and Levinsons face theory, they enhance the readers either positive or negative face by showing approval or providing more options. According to Leechs Politeness Principle, the favorable beli
39、efs should be maximized. Therefore, in good-news business letter writing, politeness is achieved, first of all, through presenting the good message as immediately as possible. That is to say, the direct-deductive approach (to present the good message first, then comes the explanation) is most freque
40、ntly used in the organization of good-news business letters. As for the language characteristic of good-news business letters, concrete and specific words are used to present a vivid mental image in the readers mind. A large number of You-language is used to show the writer concern for the reader in
41、terest and expectation. Short or independent sentences are used for ideas to be emphasized. In this way, the good message in good-news business letters is emphasized to the greatest degree, so are the benefits to the reader. Chapter 4 Manifestations of Politeness in Bad-news Business Letters As is k
42、nown to all, bad-news business letters require a comparatively higher degree of politeness with regard to their face-threatening nature. According to Brown and Levinson face theory, bad-news business letters threaten the readers positive face. Positive as well as negative politeness strategies are c
43、ombined to redress the face-threatening force. To further interpret the manifestations of politeness in bad-news business letters, refusal letters are carefully examined in this chapter. First of all, an indirect-inductive approach (explanation first and then the bad message) is used for the organiz
44、ation of the whole letter. Indirectness in language is the primary characteristic of bad-news business letters. Positive tones, abstract words, subjunctive mood, disclaimers, modal auxiliaries are used as special techniques to de-emphasize the cost to the reader. Negative messages are often buried i
45、n a long complex sentence for de-emphasis9 sake. Sometimes the writer can even write from other peoples perspective or state the bad message as a general rule to shift the responsibility. Chapter 5 Manifestations of Politeness in Persuasive Business Letters According to Brown and Levinsons face theo
46、ry， persuasive business letters inherently threaten the readers negative face since the writer tries to move the reader into action or to influence the readers decision. Owing to this specific communicative goal, politeness and the efficiency of information conveying interact to obtain the best poss
47、ible results in persuasive business letters. Three types of persuasive business letterssales letters, application letters and collection series are carefully analyzed in this chapter. In sales letters, AIDA formula is in accordance with Brown and Levinsons negative politeness strategies as well as L
48、eechs Politeness Principle by arousing the readers interest first then making him or her moving to action without imposing too much on the readers negative face. Application letters follow a similar pattern with AIDA formula in sales letters since the goal of this type of letter is usually to get an
49、 interview first and finally convince the reader to employ the writer. Things are comparatively complex in collection series. To keep balance between being polite and achieving maximum efficiency, the writer of collection series may use a number of positive or negative politeness strategies to mitigate the FTAs in the initial parts of the series. However, when the efficiency of conveying the m