礼貌策略在商务信函中的运用

毕业论文(设计)

论文（设计）题目：礼貌策略在商务信函中的运用

（英文） The Application of Politeness Strategies in Business

Correspondence

姓 名： 学 号： 院 （系）： 专 业： 指导老师：

Abstract

Politeness, as one of me basic needs that ensure successful human interaction, has been enjoying great popularity with some famous scholars. English business correspondence is one of the basic ways of business communication, which functions as not only a useful means to exchange information but also an important tool to build and enhance business relations, thus requires a high degree of po1iteness.

This paper analyzes the realization and application of politeness strategies in English business correspondences. Based upon the theoretical framework of Brown and Levinson, this paper studies how politeness strategies are applied in different types of letters. The study presents an analysis of lexicon, tense, voice, and syntax, etc. in English business letters and emphasis on the most frequently used positive and negative strategies.

This paper is helpful for people to better use politeness strategies in business communication and improve their writing ability.

Key words： business correspondence positive strategy negative strategy

摘要

礼貌现象作为确保人类成功交际的基本手段之一，引起了各大学者的广泛关注。英文商务信函是商务交流的一种重要方式，不仅具有传递信息的功能，还担负着建立、加强业务联系重任，因此，对礼貌具有较高要求。

本文旨在分析英语商务信函中礼貌及其策略的实现和使用，在布朗和列文森的礼貌策略理论的框架下本文就英语商务信函的礼貌策略进行了研究，从词、时态、语态和句法等语言角度，分析了使用最为频繁的积极礼貌策略和消极礼貌策略。并希望该研究对于礼貌理论应用于书面文体的语用研究有所帮助。

本文有助于人们在商务沟通中更好的理解和运用礼貌策略来实现自己的意图，指导人们提高商务信函的写作能力。

关键词：商业信函 积极策略 消极策略

Contents

I. Introduction ........................................................................................................................... 1 II. An Overview of Politeness and English Business Correspondence ...................................... 2

2.1 An overview of politeness ........................................................................................... 2 2.1.1 Lakoff’s view on politeness ................................................................................ 2 2.1.2 Leech’s politeness principle ................................................................................ 2 2.1.3 Brown and Levinson’s view on politeness ........................................................... 3 2.2 Brief introduction to English business correspondence ................................................ 3 2.2.1 Definition of business correspondence ................................................................. 3 2.2.2 Classification of English business correspondence .............................................. 4 2.3 The relationship between politeness strategies and business correspondence .............. 4 . III. The Application of Politeness Strategies in Business Correspondence .................................. 5

3.1 Positive politeness strategies ....................................................................................... 5 3.1.1 The application of positive politeness strategies in business letters ................... 6 3.2 Negative politeness strategies ........................................................................................ 9

3.2.1 The application of negative politeness strategies in business letters ............... 10

Ⅳ. Conclusion .......................................................................................................................... 12

References ................................................................................................................................ 13 Acknowledgements .................................................................................................................. 14

I. Introduction

Even though politeness is prevalent in our daily life, it is still hard to define in the linguistic field. In fact, politeness is not only a way to convey information, but also an important means to build and maintain social relationships in communication.

Lakoff thinks that politeness is used for “reaffirming and strengthening relationships”. According to Lakoff, “Politeness is a system of interpersonal relations designed to facilitate interaction by minimizing the potential for politeness and confrontation inherent in all human interchange”(Lakoff: The logic of Politeness 1973, P39). Leech defines politeness from the perspective sides and proposes that it is used to create and maintain harmonious interactions. Brown and Levinson consider politeness as the form of behavior that allows communication to take place among potentially aggressive partners. All the above definitions contribute to explain the essence of politeness. Simply speaking, politeness is a set of patterns to show the consideration for others and to achieve harmony in communication.

Business correspondence, as a basic means of business communication, plays a vital role in economic activities. It is an effective way to exchange information so as to build up and maintain harmonious business relationships. Without business correspondence, business activities cannot go on smoothly. With the globalization of world economy, and the popularity of the Internet, English business correspondences include not only traditional letters but also emails and facsimiles which is widely used.

The application of politeness strategies is going to be analyzed, mainly based on the Politeness Principle of Leech and the Face of Theory of Brown & Levinson in English business correspondence.

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II. An overview of politeness and English business correspondence

2.1 An overview of politeness

2.1.1 Lakoff’s view on politeness

Lakoff is considered by Fraser as the first to apply Grice's Cooperative Principle to the explanation of politeness from conversational-maxim point of view. Lakoff viewed politeness as a device which was used to reduce or avoid friction impersonal interaction, and later reformulates the rules of politeness as follows：

①Formality：keep aloof ②Deference：give options ③Camaraderie：show sympathy

According to Lakoff, the degree of politeness depends on the speaker's assessment of certain situations. On formal occasions，the speaker should avoid putting any imposition on the reader and should be in accordance with social norm in his behavior to maintain the formal atmosphere. Lakoff views politeness as avoidance of offense and a lubricator in communication to keep harmonious relations between the writer and the reader. Her rules of politeness are a great leap in politeness research.

2.1.2 Leech’s politeness principle

Leech makes great contributions to the research on politeness. Based on the speech-act theory of Austin and Scarle and the theory of conversational implicature of Grice，Leech proposed a series of maxims under Politeness Principle：

(1)Tact Maxim：Minimize cost to other and maximize benefit to other (2)Generosity Maxim：Minimize benefit to self

(3)Modesty Maxim：Minimize praise of self and maximize dispraise of self (4)Approbation Maxim：Minimize dispraise of other and maximize praise of other (5)Agreement Maxim：minimize disagreement between self and other and maximize dispraise of self

(6)sympathy Maxim：Minimize antipathy between self and other and maximize sympathy between self and other.

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2.1.3 Brown and Levinson’s view on politeness

Brown and Levinson (1987) are showing that individual's self-esteem (face) motivates strategies of politeness. They believe the concept of universal significance as the face of social self-image. The face is in order to meet the social interaction of ideas and hope. Faces of different requirements of both sides of communication are divided into positive face and negative face. The positive face is the want to make one’s public self-image accepted, appreciated, understood, and ratified by others, being thought of as a normal, contributing member of society. As to a negative face, each one’s self-image is expected to be free from imposition and distraction, unimpeded by others and the want of independence and freedom of action is to be guaranteed within one’s own territory. The face is extremely fragile, and is often subject to certain acts of infringement. Essentially against the face of the speech act, Brown and Levinson called the threat to face behavior (face-threatening acts, referred to as FTAs). Therefore, it is in communication in order to preserve their face which will strive, to show consideration for others face-saving means of politeness strategies by Brown and Levinson, Politeness Strategies for the correction of acts of threats face is divided into five: (1) bald on record (2) positive politeness strategy (3) negative polite strategies (4)off-record (5)(not doing the FTAs), both sides want to achieve the goal of communication with each other constantly valuation of the risk of losing face according to the size of the potential risk of against each other’s face to select the appropriate politeness strategies.

2.2 Brief introduction to English business correspondence

2.2.1 Definition of business correspondence

Business correspondence is the act of exchanging letters. Generally speaking, business correspondence can be defined as the correspondence used in business transaction. As one of the most popular means of communication in business activities, business correspondence plays an irreplaceable role in the fulfillment of business transaction.

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2.2.2 Classification of English business correspondence

There are many classifications of business correspondence, which may cater to different purpose and aims. Here, some common ways of classification are presented as follows:

1. Classification according to the content of the letter: request letters, letters replying to requests, letters for claim and complaint, credit enquiry letters, sales letters, application letters, employment letters and social business letters, etc.

2. Classification according to different functions in the process of a business transaction: letters for establishment of business relations, letters for the enquiry, letters for counter-offer, ordering letters, letters for payment and L／C, shipment and insurance letters, letters for conclusion of a deal, acknowledging goods receipt letters, claim letters, etc.

3. Leech’s statements on illocutionary acts are used as the basis for the classification of business letters. As Leech suggested that illocutionary acts are divided into four categories: competitive, convivial, collaborative, and conflictive.

2.3 The relationship between politeness strategies and business correspondence

In writing business letters, politeness strategies and courteous language count a lot for effective business transactions. It proves to be useful to ensure effective exchange of information and successful establishment or maintenance of social relationship in the business circle. A writer of business correspondence usually writes on definite purpose and to the specific reader. To reach an intended goal, the writer should bear the reader's needs and expectations in mind and write in a polite way. Actually, a reader who needs expectations may be ignored to cooperate, or to think favorably of the writer as well as the company or organization he or she represents. As a result, the writing of the business letter will definitely turn out to be a failure. The strategies which used to avoid impoliteness should be a highly priority in business correspondences.

Even though there is no reason to assume that business communication is more polite than any other communications, the goal-oriented nature of this communication suggests that

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the avoidance of impoliteness should be a high priority to business correspondence. The purpose of applying politeness strategies is to establish, maintain, or consolidate social solidarity, which is of significance for business letter writings since they represent the company's general image in the business world．

III. The Application of Politeness Strategies Correspondence

in Business

Based on Brown and Levinson’s model of politeness strategies, this part illustrates how each sub-strategy is applied in business letters. The examples are cited from the collected specimen letters for the research. The importance of part lies in: Firstly, it recognizes and categorizes the four kinds of politeness strategies in the samples. Secondly, it provides foundation for the quantitative data analysis of the four kinds of strategies at a macro level in the following part.

3.1 Positive politeness strategies

Positive Politeness is oriented to the positive face concerns. They are not necessarily redressive of face wants that are directly linked to the face-threatening speech acts and they serve the wider purpose of building and maintaining a friendly and cooperative business atmosphere.

The most frequent linguistic devices for positive politeness involve three broad categories: “claim common ground”, “focus on cooperation”, and “fulfill H’s wants” (Brown and Levinson, 1987). They may be further subdivided into specific groups of strategies as shown below.

Claim Common Ground

l. Notice, attend to H(his／her interests, wants, needs, goods) 2. Exaggerate( interest, approval, sympathy with receiver) 3. Intensify interest to H 4. Use in-group identify makers

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5. Seek agreement 6. Avoid disagreement

7.Presuppose／raise／assert common ground Focus on cooperation 8. Joke

9. Assert S's knowledge of and concern for H's wants 10. Offer, promise 11. Be optimistic

12. Include both S and H in the activities 13. Give(or ask for)reasons 14. Assume or assert reciprocity FuIfill H’s wants 15. Give gifts to H

(Brown and Levinson, 1987)

3.1.1 The application of positive politeness strategies in business letters

Positive Politeness Strategies are often used in business letters, but not each illustrated above is frequently-used, some are adapted to oral English or informal occasions. So let me give some popular used strategies and specific examples.

The first device for the realization of positive strategies is to claim common ground. It tries to minimize the distance between the writer and receiver by emphasizing the solid interest in the other party’s need.

Strategy1. Notice, attend to H(his／her interests, wants, needs, goods)

By this strategy, writers should notice and give full consideration to the interests, needs, wants of the recipients to maintain a friendly relationship. Appreciative or affirmative sentences are adapted to convey appreciation. Here are the examples：

Thank you for your cooperation in the past.

We will appreciate it if you will send us detailed information on your products.

In business correspondences, people usually use you-attitude language when conveying messages. Let’s make a comparison between the following two examples：

1.We are allowed to give you a 10% discount on this product.

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2.You can get a 10% discount on this product．

Compared with the first sentence, the second sentence shows that the writer really care about what the reader interests and wants. By using “you” and “your”, the writer enhances the happiness he brings to the reader, thus always satisfying the reader’s positive face wants. Starting with “we”, the first sentence presents a writer-oriented picture to the reader, so it is not so polite as example.

Strategy2. Exaggerate(interest, approval, sympathy with receiver)

A writer of good writing business letter should know how to enhance the reader's interest, approval and empathy by using appropriate exaggeration with the result that the psychological distance is minimized and a closer relationship is maintained between the writer and the reader. For example:

We would highly appreciate it if you can send us the samples of this product．

Using the expressions of “highly”, “best”, “at all times”, the writer intensifies his intention to satisfy the readers needs，thus enhancing the relation between the writer and the reader, as well as the reader’s positive face.

Strategy3. Intensify interest to H

Using this strategy, the writer draws the reader as a participant into the current conversation. According to Brown and Levinson (1987), there are two ways to achieve this. One is by “making a good story”, the other is by the use tag questions.

I think it is a very reasonable price ,isn’t it？

The tag question “isn’t it” used here is to draw the reader’s attention and to ask for the agreement of the reader. Because of this, the writer successfully conveys his respect for the reader’s opinion and his desire to cause the reader’s attention.

Strategy4. Use in-group identify makers

In business letters, markers of in-group identity refer to in-group language or dialect, and jargon or slang, which are usually used to abridge the distance between the writer and reader.

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Some trade terms, such as “FOB” “CIF” “CFR” etc, are used in the following example：

we should be pleased if you would quote us the lowest price CIFC15% Singapore．

Strategy 5. Presuppose／raise／assert common ground

This kind of strategy is realized by presupposing that the writer and the reader share some common ground such as the same value, wants and attitudes, etc. For instance: If you give us a favorable price , we may order in large quantities.

Strategy6. Assert S's knowledge of and concern for H's wants

In business letters, in order to presuppose or assert knowledge of and concern for readers, writers may use rhetorical questions to address the other parties’ positive face. For instance: Don’t you think our products are of good quality and reasonable prices?

Strategy7. Be optimistic

By presenting optimism in the letter, the writer displays his trust and confidence in their cooperation. Such words as “sure”, “hope”, “anticipate”, “look forward to”, etc. are usually used which can be illustrated in the following example:

We look forward to hearing from you, and hope it may be possible to do business.

Strategy8. Include both S and H in the activities

Both writer and reader may share the common ground by combining the two into the same activities. As indicated by Brown and Levinson, the inclusive “We” is most appropriate form for the realization of this strategy. For examples:

We all agree that it would be a good idea to get together.

In the above sentences, the use of “we” clearly shows that the two parties are on the same side in the trade. In this way, the psychological distance is also narrowed which paves the way for the prospective cooperation．

Strategy9. Give(or ask for)reasons

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According to Brown and Levinson(1987)，indirect suggestions, which demand rather than offering, are the conventionalized positive politeness strategies. By this way, politely, the writer may indicate that he needs the reader’s help or he can help the reader thus leading to their future cooperation. This strategy can be realized by the question of the why plus interrogative negative type. Example is listed as follow:

Why don’t we make efforts to enter the European market?

Strategy10. Assume or assert reciprocity

Reciprocity refers to the fact that both the writer and reader can benefit from their cooperation when they are somehow, linked into a state of mutual benefiting and helping. In some circumstances, it serves the purpose to facilitate the cooperation between the two sides. For instance:

As you usually place very large orders, we will give you a 20% discount.

Strategy11. Give gifts to H (sympathy, understanding)

Writer may actually satisfy some of the reader's want in order to satisfy his positive face. This want includes reader’s want to be linked, admired and understood, and so on. Therefore, the act of giving gifts includes not only tangible gifts but also human wants. For instance:

If you would like more detailed information about our products, please contact us.

3.2 Negative politeness strategies

Based on avoidance，negative politeness strategy is redressive action to the addressee's negative face. Ten frequently-used negative politeness strategies, together with respective sub- strategies, are to be illustrated in the following．

Give freedom of action 1. Be conventionally indirect 2. Hedge, Questions 3. Be pessimistic Don’t coerce the hearer

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4. Minimize the imposition 5. Give deference 6. Apologize

Dissociate sender／receiver from act 7. Impersonalize the act 8. State the FTA as a general rule 9. Nominalize

10 .Go on record as incurring a debt, or as not indebting H

(Brown and Levinson, 1987)

3.2.1 The application of negative politeness strategies in business letters

Not every illustrated strategies are used frequently, so I will choose some frequently-used strategies and give the specific examples. Strategy1. Be conventionally indirect

Being indirect is used for making request which is supposed as impolite as the speaker, through communication, is to make imposition on the hearer in order to meet the speaker’s own demand. Using indirect expression, the speaker can solve the contradiction between the desire to give the hearer a “way out\In business writing, this strategy is expected to act as a compromise between the writer’s desire to be polite and his desire to make request. Conventionally, interrogative sentences are adapted to for the realization of this strategy which is illustrated in the following example:

Would you give us more detailed information on your requirements?

Strategy2. Hedge, Questions

Hedge can be achieved by particles，lexical items and other means. In business letters, many frequently-used hedges are adapted, including model verbs like “would, could, might”, modifiers such as “maybe, probably, perhaps, possibly, sort of, kind of”, and mitigating verbs like “wonder, think, appear, suppose, etc.” For example:

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It appears that we have not received your reply.

Strategy3. Be pessimistic

Being pessimistic is also a form of hedging, which assumes that the hearer is not likely to do certain acts and to offer the hearer options not to do the acts. Subjunctives, model verbs (could would) and possibility adverbs (perhaps, maybe, might, etc.) are used for the realization of being pessimistic.

We should be pleased if you could send us your catalogues for these products.

Strategy4. Minimize the imposition

Using minimizing imposition to the reader, the writer may save the reader’s negative face．According to Brown and Levinson, this strategy is realized by the use of “just, only, but, etc.” For instance:

I just want to ask if you can extend the valid period of the Letter of Credit.

Strategy5. Apologize

By apology, conflicts between the writer and the reader are mitigated, thus maintaining or facilitate the existing relationship for the further development. Such expressions as “I'm sorry…” “I regret…” , etc. are usually adapted. For instance:

We are sorry for the trouble caused by the error.

Strategy6. Impersonalize the act

Instead of using “you or I”, “one” is adapted to mitigate the face-threatening acts on the reader’s negative face. “It” in the sentence serves as a formal subject, which makes the reader feel quite comfortable. For instance:

One should deliver the shipment on time according to the contract. It is known that this agreement is benefit to both parties

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Strategy7. Nominalize

The essence of nominalization is to dissociate the particular negative news from personal reference which has the same effect as that of the strategy of impersonalizing. Look at the following example:

A Payment has not been sent in 3 months.

As “pay” is nominalized as “payment” in example, the writer distances his imposing request from the reader to some extent by impersonalizing the act.

Ⅳ. Conclusion

Business correspondence plays a vital role in economic activities. It is an effective way to exchange information build up and maintain harmonious business relationships. Without business correspondence, business activities cannot go on smoothly. With the globalization of world economy, the popularity of the Internet, English business correspondence, including not only traditional letters but also emails and facsimiles, is widely used.

Under the framework of Brown and Levinson's face theory on politeness strategy, the paper makes an exploration on the linguistics manifestation in business letters in terms of positive and negative strategies. Based on the discussion of how positive and negative strategies are used in the specific sentences, we can summarize the functions of them.

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References

[1] Brown P. & Levinson S. Politeness: Some Universals in Language Usage [M].Cambridge: Cambridge University Press, 1987

[2] Leech. G. N. Principles of Pragmatics [M].London: Longman, 1983

[3] Lakoff . The logic of Politeness [M]. Chicago Linguistic Society, Chicago 1973

[4] Lambert B. Face and politeness in pharmacist-physician interaction Social Science and Medicine, 1996 [5] 何自然. 语用学与英语学习[M]. 上海:上海外语教育出版社, 1998 [6] 杨燕. 商务英语信函中的礼貌表现[J]. 重庆交通大学学报, 2009(06) [7] 袁荣. 礼貌原则在外贸函电写作中的应用[J]. 天水师范学院学报, 2007(01) [8] 张春柏. 新编商务英语写作[M]. 北京: 高等教育出版社, 2006 [9] 陈样国. 国际商务函电[M]. 北京：中国对外经济贸易出版社, 2003 [10] 尹小芳. 语用礼貌原则在商务英语中的应用[J]. 浙江海洋学院学报, 2001

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Acknowledgements

First of all I would like to express my profound gratitude to my supervisor, Professor Zeng Ling, for her warm-hearted assistance all along the way, starting from selecting topic, collecting data through to revising the manuscript. Without her painstaking work and constant attention, the completion of this thesis would not have been possible.

My sincere gratitude must also be contributed to all the professors and teachers in the College of Arts & Science of Jianghan University for their unending inspiration and encouragement they have provided during the years of my graduate life. I appreciate their guidance in my academic study and offered me a lot of precious advice on my course papers.

I am equally grateful to my classmates in this College, who have given me help and care in my life and advice during my writing of this thesis．

Last but not the least, I would like to say thanks to my parents for their support, love and encouragement.

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