Pragmatics Updates
GXNU Graduate Program in Linguistics & Applied Linguistics
Edited by Shaozhong Liu
Vol. 5
Issue No. 2005(1)
Address: College of Foreign Studies, Guangxi Normal University, Guilin, 541004, China
Website: http://www.gxnu.edu.cn/cofs; Email: [email protected]
From the Editor
It is universally acknowledged among academics that a good source to trace the
edge-cutting in-depth studies of a discipline is to refer to the doctoral dissertations. This may be
right in a large sense. But it is up to the individuals to judge.
Many colleagues and graduate students asked me, if there exist any differences between an
MA and a Ph.D., what some of the differences are. It’s not easy to express, but I do remember a
comparison, which goes like this: An MA is one that knows something about everything, and
Ph.D. is one that everything about something. Again, this is utterly up to individuals to judge if
it makes sense.
What I am trying to present in this circular are the abstracts of some of the doctoral
dissertations within the concentration in pragmatics at Guangdong university of Foreign
Studies. These abstracts were first collected by the website of China Pragmatics Association at
www.chinapragmatics.com. I hope they can help you, in a way, perceive the status-quo of
pragmatic research in China.
Liu, SZ, at UNCG
Doctoral dissertaions on pragmatics: Abstracts
Adapted from
语用学历届博士论文题目及摘要
广东外语外贸大学外国语言学及应用语言学研究中心
广东外语外贸大学外国语言学及应用语言学研究中心于 1993 年起招收语用学方向的博士研究生，导师是何
自然教授。经过多年建设，现有导师何自然教授、钱冠连教授、徐盛桓教授等三位。下面将该方向 1997-2004
年间完成并通过答辩的博士论文题目及摘要介绍如下。如有需要，网友们可按这里我们提供的电邮地址直
接与论文作者联系。
刘绍忠
杨 萍
于国栋
申智奇
(1997)
(2000)
(2001)
(2004)
李 军 (1998)
张新红 (2000)
徐章宏 (2002)
曾衍桃 (1998)
宗世海 (2000)
吴亚欣 (2002)
陈新仁 (1999)
冉永平 (2000)
莫爱屏 (2003)
Negative Pragmatic Transfer by Adult Chinese Learners of English as a Foreign Language:
Classification, Distribution, and Communicative Effect
刘绍忠 Shaozhong Liu (1997) [email protected]
Negative pragmatic transfer from learners’ L1 to L2 has been repeatedly evidenced. In cross-linguistic
comparisons of speech acts However, there have been few explicit studies addressing the issue. What makes the
contents of negative pragmatic transfer? How are such transfer contents distributed? What is their communicative
effect? These three baffling but significant questions still await an answer and thus are the research questions of
1
this thesis.
Adult Chinese learners of English as a foreign language (EFL) were the subjects in this study. It was
hypothesized that adult Chinese EFL learners commit more than two types of negative pragmatic transfer as in
Kasper’s (1992) division, pragmalinguistic and sociopragmatic. Besides, negative pragmatic transfer would be
reduced as the learners’ TL pragmatic knowledge advances. Finally, as a divergent form under similar speech
situation from the native norm, negative pragmatic transfer might be acceptable to native speakers.
The classification issue of negative pragmatic transfer was examined by basing on both the observed data and
elicited data of the students’ performance. The observational data included observed data in class, in take-home
exercises, and in examination writings. The elicited data were derived from three elicitation tasks: multiple choice
(MC), Chinese-English (CE) translation, and dialog completion test (DCT). The elicited data reflected 72 students’
performance in comprehending and producing speech acts in the target language. These 72 students of English
major, representing three levels, from Level 2 through Level 4, 24 from each, were randomly selected in the
Department of Foreign Languages of Guangxi Teachers’ University.
The distribution status of the three types of negative pragmatic transfers was analyzed in relation to the level
of the students and the length of their TL learning experience.
A list of 24 sentences containing the three types of negative pragmatic transfer, 8 of each, was presented to 16
American students for their attitudes. The native speakers were asked to assess the sentences in terms of a
four-dimensional scale: the difference dimension, the understanding dimension, the acceptability dimension and
the recommendability dimension.
Negative pragmatic transfers by adult Chinese EFL learners were found to contain, instead of the two types in
Kasper’s (1992) division, three types, namely negative transfer of NL-based pragmalinguistic knowledge, negative
transfer of NL-based sociopragmatic knowledge, and negative transfer of NL-based pragmarhetoric knowledge.
These transfers, instead of utterly perishing from the senior students’ language use, turned to become fewer along
with the development of their English pragmatic competence and extending of English learning experience. It was
also showed that native speakers generally understood and accepted the students’ Chinese-derived negative
pragmatic transfer in spite of the fact that such transfers were different from their ways of saying things in similar
speech situations. At the same time, native speakers displayed a conservative attitude concerning the
recommentability of negative pragmatic transfers for classroom teaching.
The significance of the findings of this study lies in that it extended the classification framework and added to
it more explanatory power. In addition, the findings pertaining to the distribution of negative pragmatic transfer in
relation to tasks, transfer types, levels of the learners, and length of TL learning, provided evidences for earlier
discussions on the variability of the learners’ interlanguage system (Tarone, 1985), and conditions of pragmatic
transfers (Takahashi, 1995). In addition, we found that the students of lower level of with shorter TL learning
experience had more pragmalinguistic transfers, and our students had more sociopragmatic transfers in the DCT.
Furthermore, native speakers normally understand and accept our students’ negative pragmatic transfers, but are
not very positive in recommending such transfers in our classroom teaching. All these findings could be of
practical value to the daily classroom teaching and learning.
Nevertheless, we are not certain about a couple of rising issues in the study. For example, we discovered more
sociopragmatic transfers among the three types, and we found that students generally committed more
sociopragmatic transfers in the DCT task. Then whereas pragmalinguistic transfers were more related to students
of lower level or with shorter mean years of TL learning, students of higher level or with longer TL learning
experience made more sociopragmatic transfers. These might be topics of future research. (To the top)
《汉语使役性言语行为的取效研究》
李 军 Jun Li (1998) [email protected]
本文以语用修辞思想为指导探讨汉语使役性言语行为的取效问题。文章认为汉语修辞研究应该突破对
书面词句的调适分析，而进而探讨双向言语交际活动中的话语取效问题，提出修辞的本质是言语交际活动
中的话语控效行为，即发话人有效调控 言语交际的进程和交际的各种参与因素，组织最有效的话语策略去
最大限度地取得发话人所希望的话语效果。修辞追求的是发话人行事目的的成功实现，描写的是修辞取效
的策略和机制。在这种新的语用修辞思想的指导下，我们对汉语性言语行为的取效问题进行了较为细致的
分析。我们认为使役性言语行为取效的实质就是发话人运用有效的话语策略去促使受话人接受发话人的使
役要求并成功作 出发话人所要求的行动。使役性言语行为实施的效果我们从受话人行动的采取和行动时的
态度两个维度来描写， 受话人采取了发话人所希望的行动，而且态度积极，则使役性言语行为实施 的效
果就好，反之就不好。为了成功实现发话人的使役目的，我们认为发话人需要对使役要求的内容和使役的
驱使力两大方面进行调节。调节使役要求的内容就是要有效保证使役内容的合适性和明确性。使役驱使力
是发话人话语所产生的促使受话人执行发话人使役要求的动力，它是发话人使役策略调控的主要内容，也
2
是保证受话人能够成功执行发话人所要求行动的重要手段。为了强化话语的使役驱力，发话人需要调控影
响受话人行动反应效果的语言因素和情景因素。
文章第三章侧重从使役性言语行为的话语构成角度探讨语言施为手段对使役取效的作用。文章将使役
性言语行为划分成三个组成部分，详细描写了其构成特点及作为使役施 为手段的功能。第一部分是醒示语，
它是役性言语行为中引起受话人对发话人使役要求的注意与重视的话语部分，包括称呼语、提醒语等。醒
示语具有许多使役调节作用，如调节发受双方之间的社会距离与情感距离，提高或降低尊重的等级，增强
恳请的程度等。第二个话语构成部分是辅助语。辅助语是核心行为语前或后的外部扩展成分，用来辅助核
心行为语的发出，强化话语的使役驱使力，以促使受话人采取发话人所要求的行动。第三个话语构成部分
是核心行为语，它是使役性言语行为中能独立发出使役要求的话语部分，它既可以与醒示语、辅助语一起
构成一个使役性言语行为，也可以独自构成一个使役性言语行为。我们根据使役的直接程度将核心行为语
区分成两大类，即直接使役类型和间接使役类型。直接使役类型是以直率明确的方式直接向受话人发出使
役的要求。间接使役类型是借助某种手段间接发出使役要求，包括询问与受话人行动有关的各种必要条件
和陈述、提及、感概与行动有关的前在事态或后续表现等形式，前者可以称为征询方式，后者则可以称为
暗示。发话人可以根据自己的使役要求、自身与受话人的关系及场合等的制约来灵活采用不同的使役策略，
以最有效地实现发话人的使役目的。同时核心行为语还可以休用不同的叙述视角，如立足于发话人、立足
于受话人、立足于交际双方和不出现受事对象等，不同的叙述视角具有不同的使役调节功能。在实施使役
性言语行为的时候，发话人还可以运用内部调节手段，以调节话语的使役驱使力。如采用语法调节手段，
例如肯定形式与否定形式；采用语汇调节手段，比如使用礼貌词语等。这三种话语构成部分的位置与地位
可以变化，不同的变化具有不同的使役实施效果。
第四章和第五章侧重从情景因素的利用上来探讨发话人使役目的的实现。第四章是以统计手段来总结汉文
化中使役方式的运用与情景制约的关系。我们将情景因素分国外部情景因素，包括交际双方之间社会权力
的差别、社会距离的远近和发话人对受话人是否愿意执行自己的使役要求的估计，内部语境因素，包括发
话人使役要求的难度、利益性质及内容类别；将使役方式分成直接使役方式、征询使设方式和暗示三种。
社会权力我们又区分成官权、年辈、特定的工作职责和临时的权利义务等支配性力量，一般说来，权力大
者对权力小者，除了工作职责类型中的私事场合外，均是以直接使役方式为主，显示了上对下权力支配关
系的普遍性。而权力小者或无权者对权力大者，除工作职责类型、权利义务类型及亲属关系等情况外，普
遍以征询使役方式为主，它与上对下的使役方式在统计学上构成了显著性差别。同时我们还发现官职关系
和年辈关系（除亲属）在中国文化中具有特殊的意义，上下、长幼的使役方式区别显著。亲属关系在中国
的人际关系中占有特殊的地位，亲属长幼之间的使役方式没有显著差别，都倾向于使用直接使役方式，同
时亲属关系还能影响官权的支配作用。公务场合对权力支配力的影响同样显著。社会距离我们划分成亲属、
熟识和生疏三种，统计分析发现，这三种社会距离对发话人使役方式的使用具有显著性影响，社会距离越
近，使用直接使役方式的比例越高。发话人对受话人顺从自己使役要求的情况的估计也影响到发话人使役
方式的运用，当发话人估计受话人肯定会顺从自己使役要求时，较多使用直接使役方式， 而当发话人对受
话人是否顺从自己的使役要求无把握时，则较多使用证询使役方式。使役要求的难易程度对发话人使役方
式的运用也具有显著性影响。使役要求越容易，发话人越倾向于使用直接使役方式，越难，越倾向于使用
征询方式。在使役的利益性质方面，使役内容越有利于受话人，发话人越喜欢使用直接使役方式，使役内
容越有利于发话人自己，发话人越倾向于使用征询方式。使役的内容类别我们区分成要求受话人作出具体
的动作、要求受话人借出物品和询问受话人信息三类，统计结果表明，询问受话人信息主要使用直接方式，
要求受话人借出物品主要使用征询方式，而要求受话人作出具体的动作则介乎两者之间。根据统计分析，
我们可以归纳出一个一般性的结论；直接使役方式和征询使役方式是汉文化中两种互相补充、同样重要的
使役方式，它们各具自己独特的使役功能，各有自己的优势使用场合，二者处于互补的分布之中；暗示在
汉语使役性言语行为的实施之中不占有重要地位。同时还可以看出，汉语使役性言语行为在礼貌方面也具
有不同于西方文化的显著特点。汉文化中，有许多社会因素能够将直接的强加合法化、常规化，有许多手
段可以补充直接方式在礼貌程度上的不足，因而导致中国人可以在非常广泛的范围内很自然地使用与接受
直接使役方式。汉文化中正常的使役行为也不构成对受话人负面面子的威胁。中国人面子概念的核心是尊
严的要求，只要发话人的使役行为不是有意去损伤受话人的尊严，不会因场合等的不适当而使受话人的人
格要求受损，使役性言语行为就不会伤害受话人的面子。因此，我们提出，在汉文化中与使役性言语行为
相连的礼貌原则应是尊重原则、体谅原则和热情原则。
第五章进一步讨论情景因素的利用与使役取效。我们认为发话人要取得自己所希望的使役实施效果就
必须对情景因素进行调节和利用。这具体表现在两个方面：一是发话人使役方式的选择应适应特定的情景
因素集，二是当发话人的使役驱使力不足以驱使受话人执行自己的使役要求时发话人主动调节情景关系以
增强自己的吏役驱使力量。对于第一个问题，我们以第四章的统计规律为基本依据，并在此基础上进一步
总结了情景因素间的相互影响对使役方式选择的制约，大致归纳出了一个情景因素与使役方式相配选择的
流程图。对于第二个问题，我们认为发话人的根本任务是压缩、扩大或强化使役的初始情景关系以调节发
话人的使役驱使力，这种调节遵循强势原则和优化原则，调控的策略有礼貌调控策略、利益调控策略、心
理调控策略及情感调控策略等。
总之，使役性言语行为的取效就是要受话人采取发话人所要求的行动，其实现目的手段是调控使役的
语言手段和情景因素，以强化话语的使役驱使力，这种调控以强势原则和优化原则为指导。(To the top)
3
Irony Understanding in Verbal Communication: a Pragma-cognitive Approach
曾衍桃 Yantao Zeng (1998) [email protected]
This study aims at describing and analyzing irony understanding in verbal communication from the
pragma-cognitive perspective. Several assumptions have been proposed for irony understanding in the dissertation.
Firstly, irony recognition is a multi-dimensional interactional process. It is multi-dimensional because it
depends on an interaction between 1) the linguistic form and the immediate context; 2) between linguistic material
and mutuality; 3) between the speaker and hearer. Secondly, irony recognition is a derivational process. It is a
derivation because the recognition either of the propositional content (implied meaning) or the non-propositional
content (attitude and impression) conveyed by irony depends on a series of inferential processing. Thirdly,
mutuality or shared world is the cognitive precondition for irony understanding. It is argued that in ironic
communication, ironists are not just ironic, they are ironic to certain hearers; so mutuality between the ironist and
hearer is necessary for ironic communication. The establishment of mutuality between the ironist and hearer is also
possible. On the one hand, there are some linguistic cues, discoursal clues and pragmatic clues that indicate
mutuality. On the other hand, there is a mutuality decision criterion to be followed. Fourthly, three-point
mechanism is supposed to be the cognition criteria of irony understanding. It is argued what is crucial to irony
understanding is to recognize such an utterance as a case of counter-expectational mismatched evaluation. The
cognition criteria of irony understanding should be penetrated from two perspectives: pragma-linguistic and
pragma-psychological, because the recognition of irony is related not only with the use of language itself, but also
with the communicators’ pragma-psychological expectation. Pragma-psychologically, on hearing
ironically-intended utterance, the hearer perceives certain counter-expectational mismatch, which triggers his
suspicion of the nature of it. Pragma-linguistically, the hearer somehow figures out that irony is in the nature of a
misapplied critical commentary on or evaluation of some state of affairs, instead of a mere description of it. Lastly,
relevance is assumed to be the cognition principle of irony understanding. It is argued that relevance governs every
stage of irony understanding: the accessing and confirmation of mutuality, the perception of irony triggering, the
judgment of the nature of such utterance, the recognition of the implicatures, intentions and attitude conveyed by
irony. It activates information relevant to utterance recognition and helps form relevant hypotheses, determine the
degree of relevance of each hypothesis and leads the hearer to arrive at the correct interpretations.
Thus, according to the assumptions about irony understanding in the present study, the process of irony
recognition runs as follows: when an ironic communication occurs, the hearer, as the recipient of the message
instinctively and spontaneously associates what he receives with the immediate context of the situation and obtains
a basic cognitive environment in which he indistinctly finds that there are some extraordinary properties embedded
in or beyond the utterance in the context. These properties are then matched with mutuality or shared world
between the speaker and hearer. The matching leads the hearer to a distinct perception of sort of mismatch –
inconsistence, disagreement, divergence, impertinence or conflict, tension, contradiction, etc. on the discourse
level, the word level, the utterance level; or on the word-/discourse-/utterance and cognitive environments level,
etc.—a mismatch which is counter the expectation of the hearer. Therewith, the hearer presumes that the mismatch
is not gratuitous but deliberate. And thereby he judges that the utterance is not an assertion, question, request,
exclamation or other types of descriptive utterance in the normal sense, but represents the speaker’s critical
commentary or evaluation. Consequently, he concludes what he hears is irony-like utterance which conveys satire,
mock, sarcasm, rally, jocosity, banter, taunt or even humor and the like.
The process of irony understanding is illustrated in the flowchart on page viii.
The dissertation consists of eight chapters that can be grouped into five main parts. Part One is Introduction,
which is made up of Chapters One and Two, Chapter One is general characterization of (my understanding) of
irony. A general outline of the study is also introduced. Chapter Two reviews the previous major related theories
of irony. Part Two canvasses the general cognitive environments for recognizing irony. What constitutes the
cognitive environments of irony includes the hearer’s knowledge of pragma-linguistic and pragma-psychological
properties of irony, which is discussed in Chapter Three, and the shared world or mutuality between the speaker
and hearer, which is discussed in Chapter Four. Part Three discusses the cognition criteria of irony understanding,
including the analysis of irony triggering that alerts the hearer to the recognition of ironic interpretation and a
discussion of the nature of irony (Chapters Five and Six). Part Four consists of Chapter Seven only, in which a
panoramic perspective of irony cognition is given, including a discussion of the cognition principle governing the
whole process of irony understanding, the recognition of ironical implicatures and the understanding of ironical
impression and attitude. Part Five is the last part in which the study is summarized and conclusions are given. (To
the top)
4
The Pragmatics of Interactional Overinformativeness
陈新仁 Xinren Chen (1999) [email protected]
The present enterprise is a study of the provision of propositional non-natural information (i.e. interactional
overinformativeness) in conversational exchanges, seeking to explain the adaptability of the conversational
phenomenon. Within our conceptual framework, there are three major components: communicative needs,
interactional properties, and contextual correlates. The generative mechanism of interactional overinformativeness
is derivable from the interplay of these components. Where the initiator’s communicative needs coincide with
those of the responder, interactional harmony pervades; where their needs are at odds, interactional conflict
dominates. In both cases, there is the likelihood of the occurrence of interactional overinformativeness, though the
purposes of the interlocutors involved are different. In the former case, overinformativeness is exploited to
reinforce the immediate interactional harmony and consolidate the long-term interprersonal solidarity. In the latter
case, overinformativeness serves to intensify interactional attitude or to resolve the existing conflict by virtue of
mitigating face threat or grounding imposition or impediment so as to enhance the chances of interactional success.
In contexts where the interactional harmony or interactional conflict is not a matter of importance, the
communicative need of efficiency is a primary cause for overinformativeness, which can avoid the possibility or
necessity of re-runs or repairs. Interactional overinformativeness is variable along a few dimensions, including
propositional content (subjective or objective orientation and the appeal to emotion or the resort to reason),
discourse property (explicit or implicit, literal or non-literal) and information quantity (mono-propositional or
multi-propositional). In all cases, any single instance of interactional overinformativeness represents an integrated
choice out of the contents, forms and further complications. Interactional overinformativeness is negotiable for its
flexible and strategic operative mechanism. The form-function mapping is realized neither according to rigid rules
nor at random. Rather, interactional overinformativeness is characterized by its constant dependence on the context
(exploitation of contextual resources and adjustment to contextual correlates) and strategic orientation. Most
positive or negative politeness strategies commonly found at work in other kinds of conversational exchanges are
also applicable to the cases of interactional overinformativeness. The negotiability of interactional
overinformativeness gives rise to its optionality and implicitness. Interactional overinformativeness is optional, for
the interlocutors have the freedom to choose to supply or not supply additional information; when they decide to
be overinformative, they can choose which information to provide and decide how to provides it. All these choices
are subject to the loose constraints of conversational principles and strategies. Of course, the kind of optionality
also resides with the intended responders, who have the freedom to choose between seriously processing the added
information or just ignoring it and the freedom to process it in different ways. From the relevance-theoretic point
of view, most cases of interactional overinformativeness represent a weak form of communication. The meaning it
conveys covers various types of weak implicatures or what we term socio-psychological effects (further
categorized into affective effects, causative effects and reminder). Behind the negotiability-featured operative
mechanism of interactional overinformativeness runs the non-conventional non-standard logic, which is loose and
probabilistic. All the features discussed above point to the adaptability of interactional overinformativeness. The
conversational phenomenon thus can be defined as a mode of linguistic adaptation, occurring at the level of
conversation and characterized by its functionality, variability and negotiability, which enables the communicators
to approach the point of satisfaction of their various needs on which they depend for life and survival. For maximal
reliability and validity, a two-part investigation has been conducted. By and large, the results obtained lend general
support for the arguments previously made. The two byproducts of this research are the socio-psychological
effects communicated by interactional overinformativeness and the loose logic underlying conversational planning
and comprehension. Unlike the conversational implicatures, which are illocutionarily oriented and therefore
essential to the coherence of discourse, the socio-psychological effects are perlocutionarily centered. Attached to
the performance of a particular act, they serve to enhance the chances of its success by modifying the mental world
of the addressee. Thus, whey are an important kind of resources for the implementation of interactional strategies.
The other byproduct is the loose logic, operating beneath daily conversational behavior, whose operation does not
exactly depend on the absolute reliability or validity of the propositions involved. The loose logic seems based, in
large measure, on all kinds of raison d’être in a socio-cultural context. The present research on the interactional
overinformativeness not only presents a panoramic view of the conversational phenomenon in its dynamic context,
but also provides a few clues for our understanding of some other pragmatic phenomena like the use of disarmers.
Since there is a constant need for interactional overinformativeness in conversation, it should be highly desirable if
it could be grammaticalized or lexicalized. It is also suggested that the so-called indirect speech acts are most
likely the elided forms of interactional overinformativeness, attached with socio-psychological effects. In addition,
the phenomenon of overinformativeness is supposed to be pervasive within and beyond the sphere of conversation.
As for as the speech act theory is concerned, the traditional approach is incapable of unveiling the secrets of how
people adapt their use of language for the purpose of life and survival, since it is confined to the description of
5
speech acts in isolation. Though the extended version of the theory opens a door towards a wider space of
application, it fails to offer a finer and fuller characterization of speech act sequences upon which conversations
are constructed. In this connection, the present study of the interactional overinformativeness can be viewed as a
relevant attempt. (To the top)
Identifying Styles of Indirect Responses – a Relevance-theoretical Approach
杨 萍 Ping Yang (2000) [email protected]
The thesis is a study of styles of indirect responses in conversational exchanges in Chinese culture. It seeks to
explain why and how indirect styles vary. The ‘style’ in the thesis is a pragmatic notion, referring to the indirect
manner of responding to a given question, which the speaker has made in the daily communication. Using Sperber
& Wilson’s relevance theory (1995), the main intention is to show that indirect styles arising in the pursuit of
relevance, result from (a) the speaker’s assumptions about the hearer’s contextual resources and (b) the degree of
trust the speaker places in the hearer’s processing abilities.
There have been a variety of approaches to the analysis of indirect styles including Grice’s theory of
conversational implicature, Searle’s indirect speech act theory, Leech’s and Brown & Levinson’s politeness
theories. However, in the current state of knowledge, Sperber & Levinson’s politeness theories. However, in the
current state of knowledge, Sperber & Wilson’s relevance theory offers the best explanatory account.
Applying Sperber & Wilson’s relevance theory, by analyzing the qualitative data collected by observation,
introspection, test, it is found that indirect styles vary along a continuum at the macro level. The more the amount
of contextual information that the hearer is expected to know and the higher the degree of trust the speaker places
in the hearer’s processing abilities, the more implicit the indirect style is. It is discovered that variations in the
speaker’s estimation lead to differences in indirect styles in terms of five dimensions. The more implicit the
indirect style is, the less specific the lexical content. Consequently, the less determinate the speaker’s intended
meaning is, the more the weak implicatures, the higher the degree of misunderstanding and the less strong the
socio-psychological effect. Actually, the preference of one indirect style over another is an integrated choice out of
the five aspects under the constraint of the speaker’s estimation. Often, if the speaker assumes that the amount of
knowledge the hearer is trusted to know is great, and the speaker intends his/her utterance to carry more weak
implicatures, the more implicit style will be preferable to the less implicit one, although he/she will incur more
risks of miscommunication. By contrast, if the speaker believes that the amount of knowledge the hearer is trusted
to supply is much less, and the hearer is expected to achieve fewer weak implicatures with more forceful
socio-psychological effects, the speaker will be more likely to opt for the less implicit indirect style. Needless to
say, if the speaker wishes to have his/her utterance properly understood by the hearer, and achieve the expected
contextual effects, the speaker will have to make an appropriate estimation of the amount of the hearer’s
contextual information as well the degree of the hearer’s processing abilities. Hence, it is concluded that the
indirect style, in essence, is a strategy that depends upon the speaker’s assumptions in the process of searching for
the relevance. Furthermore, at the micro level, it is discovered that indirect styles may vary in the specificity of
contextual resources that the hearer is trusted to know. Consequently, there are differences in socio-psychological
effects derived.
In order to show the validity of the above conclusions, a psychological experiment is conducted. The
quantitative results obtained support the argument made in the qualitative analysis.
The present study has implications for certain issues discussed in the field of pragmatics. The notion that the
indirect style is the choice out of the speaker’s calculation of the hearer’s contextual resources and processing
abilities sheds light on the study of cross-cultural communication from a cognitive point of view. Thus, cultural
variations in indirect styles can be accounted for in terms of differences in these assumptions. In addition, it is
suggested that one major source of misunderstanding lies in speaker’s miscalculation of the hearer’s contextual
information and processing abilities. Over-estimation or under-estimation will let the hearer process irrelevant
information, causing the conversation to end in failure. Hence, it is proposed that in order to enhance our
communicative abilities, extreme care should be taken when choosing the indirect style.
Though the present study has yielded some fruitful findings, it is unreasonable to conclude that the research
has reached the point of perfection. It is hoped that the problem of how politeness influences cognitive choices of
indirect styles will be further studied. (To the top)
The Pragmatics of Chinese Refusals: an Adaptation-based Approach
张新红 Xinhong Zhang (2000) [email protected]
The present project examines, within a single theoretical framework, the use of refusing language in the
process of conversational interaction performed by speakers of Standard Chinese, with the attempt to demonstrate
6
and explain the adaptive use of language in refusing situations. The theoretical framework referred to is mainly
derived from a new pragmatic one known as the Theory of Linguistic Adaptability by Verschueren (which
provides the general descriptive and explanatory framework for this project), together with some of the other
pragmatics theories such as Speech Act Theory and Politeness Theory. In order to reveal the generative and
operative mechanisms involved in the providing of refusing language, we developed a conceptual framework of
our own, by integrating these theories and the main factors involved in the use of the refusing speech act, including
the nature of the initiating act, the communicative needs and the contextual correlates. The generative mechanism
of the choice of particular refusals is the interplay of these factors. Since refusing is one of the second parts of an
adjacency pair, its realization is constrained by the type or nature of the initiating act. Refusing also constitutes
interactional conflict because the action goals of both interlocutors are not the same. Besides, both have their face
wants which are basic to all human beings. These point to the fact that communicative needs also influence the
choice of refusing language. Context is one of the most important notions which is indispensable here. We argue
that the refuser’s choice of one particular piece of language to refuse the interlocutor from among the many
linguistic possibilities available to him is adaptation-driven. That is, the refuser not only adapts his linguistic
choices to the context, but exploits contextual factors to satisfy his own or the interactant’s communicative needs.
This amounts to saying that refusing is an instance of linguistic adaptation in which the refuser selects the adaptive
possibility from among the repertoire of linguistically possible resources in accordance with the contextual
configuration shaped by the relationship between the refuser and the refuse. The provision of refusing language is
negotiable because its operative mechanism is flexible, strategic and probabilistic. The negotiation between the
interlocutors usually results in indeterminacy and optionality. Indeterminacy rests with both the refuser as producer
and the refuses as interpreter and produces different types of perlocutionary or socio-logical effects which may
help make communication continue smoothly and successfully. Another pragmatic effect of negotiation is
optionality which displays the language user’s freedom of choice in several dimensions. Besides, we also argue
that this adaptation occurs not only at the level of speech acts, abut also at the levels of information sequence,
syntactic formula and conversational structure. (To the top)
《汉语话语中误解的类型及其因由》
宗世海 Shihai Zong (2000) [email protected]
本文运用语用学的一般原理，特别是认知语用学的关联理论研究了汉语言语交际中的误解现象以及误
解的一般理论问题。作者首先通过本人亲历记录，问卷调查，剧本、小说查阅及电视节目录音等方法对汉
语言语交际中的误解现象进行了广泛的调查，并在认真回顾国内外有关误解研究文献的基础上集中研究了
3 个有关误解的理论问题：误解的定义和范围，误解的分类，误解的形成机制。
本文提出，误解指言语交际中听话人没有准确、全面理解说话人意义的言语理解现象。误解的属概念
是理解，误解的行为主体是听话人，被误解的内容是说话人意义，误解与非误解的根本区别在于误解仅指
错误理解，即不符合说话人愿望的理解。误解不等于交际失误，不等于语用失误，也不等于不解、“歧义”
和“歧解”。
结合关联理论关于明说意义与隐含意义的基本看法，本文用意义标准给误解进行了分类，结果将误解分为
两大类 4 小类：话语意义的误解（内含命题意义的误解和指称意义的误解）和话语含意的误解（内含用意
的误解的暗含的误解）。在此基础上，本文给每小类误解各举了 4 则汉语误解实例，并用文字与符号相结
合的方法对这些误解进行了进程性分析描写。
误解的形成机制问题是本文研究的重点。现有关于误解机制的看法有 3 个缺点：一是提出的“根源”多
而庞杂；二是多个根源分散平列，没有形成一个有机的整体；三是只揭示了“可能”，没有揭示出必然；四
是误解的心理根源究竟有些什么具体内容需要深究。所谓误解的形成机制，是指误解究竟是怎样产生的，
也就是说，误解的形成有哪些要素，这些要素又是怎样发生作用的。文章认为，导致误解产生的因素（也
可以叫做“根源”）共有两个方面：一个是说话人的话语，另一个是听话人的心理。说话人的话语根源表现
为听说双方语言知识的差异或话语意义的不确定和含糊（不少表现为省约）；听话人的心理根源既有普通
心理（凡人共有的心理），又有与听话人社会因素有关的社会心理。话语根源和心理根源发生作用的方式
是：首先是说话人的话语为听话人提供了误解的可能，或者说为听话人作错误理解留下了空间；其次是听
话人的心理促成了误解的实现。话语根源和心理根源缺一不可；主要同时具备了这两个根源，误解必然发
生。由于话语根源相对来说比较容易认识，本文未对其进行深入研究；心理根源是误解形成因素中的重点，
也是研究的难点，本文对其做了专门、深入的探讨。
国外对误解的研究特别是关联理论对误解的研究以及 Yus 运用关联理论对误解所做的分析都没有把普
通心理具体化，更没有涉及误解形成的社会心理。赵毅提出了误解形成的心理根源，其中包括“社会理解心
理”，可惜他的心理根源范畴只是普通心理学中的一些现成概念（注意、定势、性格等），并没有结合误解
的实践更深入地概括出导致误解形成的到底是些什么样的普通心理、社会心理类型。本文在分析大量误解
实例和有关理论的基础上尝试提出导致误解产生的“常规心理”、“先入为主心理”两种普通心理，和“自我价
值观心理”、“自我利益心理”、“自我防卫心理”和“乐观心理”4 种社会心理。文章对这几种普通和社会心理
7
根源进行了理论上的证明，并从社会因素的角度入手进一步挖掘了隐藏于社会心理背后的社会条件。我们
发现，听话人的社会地位与某些误解的发生具有很高的相关性：在官职高低，阶级阶层高低，职业关系中
的师生关系、医患关系、业主与顾客关系以及性别关系等一组组社会关系中，地位较低的一方很容易在自
我价值观心理尤其是自我防卫心理的作用下误解地位较高者，原因不是别的，正是他们的社会地位使然。
本文的研究不但深化了对误解的认识，而且对于整个语用学理论也很有价值。比如，通过误解的分类，
可以加深我们对整个语用意义的认识；通过对误解形成机制的揭示，可以加深我们对整个语用机制的理解。
本文虽然以汉语误解为研究对象，但文中所得出的关于误解的分类和误解的形成机制的看法也适于其他语
言的误解现象，以及跨语言、跨文化交际中的误解现象。本文的结论对于人们的言语交际实践和语言教学
实践也具有指导作用。 (To the top)
The Pragmatics of Discourse Markers in Conversation
冉永平 Yongping Ran (2000) [email protected]
The present study, belonging to the scope of pragmalinguistics, has centered its attention on the appearance of
discourse markers in interactional conversations with the purpose of exploring their pragmatics in communication,
why discourse markers occur and how they serve to achieve cognitive or contextual effects while exerting relevant
constraints upon utterance interpretation are the major concerns. Thus, the projected study has been intended to
probe into the depth of conversational phenomenon with regard to discourse markers from the pragmatic
perspective.
On the assumption that pragmatics should focus on social and psychological factors as well as cognitive ones,
and the process of making meaning is a joint accomplishment between the speaker and the hearer, thus in utterance
production the speaker takes account of those factors, while the hearer necessarily pays attention to all the
constraints in information processing. As one kind of common phenomenon in interactional conversations
discourse markers function on different discourse planes, providing contextual coordinates for utterances, i.e.
indexing an utterance to the immediate context in which the utterances are produced and in which they are to be
interpreted. Three components (pragmatic connectivity, cognitive constraints and interpersonal adaptation) are thus
included in the conceptual framework.
With the target data taken from Chinese conversations in an interactional mode according to the delimitation,
discourse markers are found syntactically detachable from their host utterances, to which they are added, and they
are not obligatory in terms of grammatical constraints, that is, the appearance of discourse markers in conversation
can not be regarded as the result of syntactic constraints or grammatical requirements in contexts. Semantically
their representation is colorless in actual contexts, i.e. their semantic meanings are not oriented in communication,
their appearance always carries something underlying, although their semantic meanings provide access to
discourse understanding. Based on the above features, it is concluded that the employment of discourse markers in
interaction is pragmatically motivated because language use is a process of adaptation to different purposes and
contexts with reference to information management and interpersonal relationship maintenance, therefore it is held
that the appearance of discourse markers is the results of pragmatic adaptation.
The contextual properties of discourse markers in interactional conversations have been toughed uon. They
help to make it explicit whether the utterances, to which they adhere parenthetically, are conveying information
retrospectively or prospectively, or whether whey are speaker-oriented or hearer-oriented. The explicit way of
indicating a pragmatic connectivity aims to help the hearer integrate the utterances in interaction as a whole going
smoothly, and ultimately direct the hearer towards the intended interpretation of the utterances in discourse with
the minimum cost or processing effort. Thus, from the viewpoint of utterance interpretation or discourse
understanding, the appearance of discourse markers can ease the hearer’s search for relevance of utterances, their
cognitive constraining functions concerning contextual effects have been evidenced to some degree. That is to say,
they are related to the derivation of contextual implications, consequentially the use of discourse markers is
cognitively to minimize the hearer’s processing effort by providing an effective means for constraining his
interpretation of utterances in discourse in terms of the principles of relevance. This has simultaneously given an
explanation of the cognitive motivations of the employment of discourse markers in interaction.
The interpersonal adaptation in communication from a socio-psychological perspective has also been
addressed. It is suggested that interactional conversations are dynamic processes in which interpersonal adaptation
is involved. With regard to discourse markers, their employment is constrained by a variety of factors for certain
communicative effects, politeness effect, for instance, is one major controlling element taken into consideration in
utterance production, as well as in information processing. Discourse markers are analyzed having such potential
pragmatic functions as to mitigate or reduce unwelcome effect which bears damage or is face-threatening to the
hearer; and in some cases they implicitly enhance interpersonal psychological mutuality of cognitive mutuality,
and consequentially make what is being conveyed more acceptable, even increase the persuasiveness of the
utterances in interaction. In this respect the adoption of discourse markers is regarded as the need for interpersonal
8
adjustment of management in communication.
In conclusion, the present study has presented an account of how discourse markers pragmatically function as
guidelines or ‘road signals’ contributing to the hearer’s interpretation of the ongoing utterances in conversations,
and how discourse markers help the hearer achieve a pragmatic-oriented understanding of the utterances in
discourse, and ultimately how they constrain his interpretation or understanding by cognitively help the hearer
make less processing effort for achieving contextual effects or cognitive effects. Therefore, what is revealed
throughout the study is in agreement with what is implied in the essence of Relevance Theory (Sperber & Wilson,
1986/1995), communication is like dancing: one partner leads and the other follows. Correspondingly, discourse
markers can be redefined conveying procedural information, i.e. providing instructions to the hearer on how the
utterances to which they are attached are to be approached or interpreted. (To the top)
The Chinese/English Codeswitching as Realization of Linguistic Adaptation
于国栋 Guodong Yu (2001) [email protected]
This thesis is a pragmatic analysis of the Chinese/English codeswitching, which is understood as a realization
of human beings’ adaptation to the general purpose of successful communication and survival in the long run. The
core of this study is the generation of an adaptation model of codeswitching analysis and a detailed analysis of the
pragmatic functions that the Chinese/Enalish codeswitching can fultill. Methodologically speaking, this study
integrates the qualitative and quantitative research methods to support the presentation of a more complete
understanding of the codeswitching study.
The theoretical framework of the present study is based on Jef Verschueren’s theory of linguistic adaptation
(1999). In order to suit the specific analysis of the Chinese/English codeswitching, Verschueren’s original model,
which is considered as a general framework of the communication study from a pragmatic perspective, has been
developed. Codeswitching in the present study is defined as a kind of linguistic choice and a communicative
strategy that can be exploited by bilinguals to achieve some of their communicative goals.
This study encompasses three constituents the adaptability, the negotiability and the variability of the
Chinese/English codeswitching. We classify the objects to which the Chinese/English codeswitching adapts into
the Linguistic Reality, the Social Conventions and the Psychological Motivations. The Chinese/English
codeswitching as a realization of adaptation to the Linguistic Reality and the Social Conventions are named
passive codeswitching, and the Chinese/English codeswitching as a realization of adaptation to the Psychological
Motivations is referred to as active codeswitching.
The various pragmatic functions that the Chinese/English codeswitching can perform are explored in the
analysis of the adaptability of codeswitching. In terms of the negotiability of Chinese/English codeswitching, the
Adaptation Principle has been proposed, which is considered as an important pragmatic principle in interpreting
human beings’ language use, including codeswitching, because communication is a rather dynamic process, and all
the choices are made according to highly flexible principle instead of form-function correlations. As to the
variability of the Chinese/English codeswitching, we have generalized the variation that is manifest in the
linguistic units and discourse types involved in the performance of the Chinese/English codeswitching, and with
the help of statistics the conclusion has been drawn that discourse types and frequencies of the Chinese/English
codeswitching is closely related.
We think that codeswitching is a natural consequence of language contact, which cannot be avoided in the
world of today which is featured by comparatively frequent contact between different nations and cultures. We
should take codeswitching as a normal linguistic and social phenomenon, and no bias should be held towards the
existence and use of it. (To the top)
A Pragma-cognitive Approach to Metaphor Understanding
徐章宏 Zhanghong Xu (2002) [email protected]
Starting with the premise that conventional metaphor (e.g., ‘time is money’) is inadequate to reveal the nature
of metaphor, the present study attempts to explore the cognitive process of novel metaphor (e.g., ‘metaphor is a
solar eclipse.’) understanding. With Sperber & Wilson’s relevance theory (1986/1995) as the general conceptual
framework, we maintain that novel metaphor understanding is a process of seeking relevance, involving three
sub-tasks: identification of explicature (metaphoricity), construction of contextual assumptions and recovery of
implicatures, which are mainly based on non-demonstrative inferences. To testify our assumption, we conducted a
two-stage experiment, based on the data collected from newspapers, magazines and academic articles.
This thesis starts with one of the key issues of metaphor understanding: metaphoricity identification. Unlike
the prevalent notion designed to distinguish literal utterances from metaphorical ones, ‘metaphoricity’ in this thesis
is defined as the degree to which an utterance is metaphorical, and the metaphoricity of an utterance is assumed to
9
be manifested in three dominant dimensions: (i) incongruity between Topic and Vehicle; (ii) freshness of a
particular Vehicle, given the particular Topic domain; and (iii) associativeness in Vehicle terms. In light of the
above criteria, a questionnaire of metaphoricity judgement is conducted, whose results validate the tripartite of
metaphoricity identification.
The second part of the thesis explores the cognitive process of novel metaphor understanding. For the first
subtask of the process of metaphor understanding, i.e., explicature identification, we argued that novel metaphors
are acts of belief, contributing to explicatures by loosening their lexical concepts. As for the second subtask, the
construction of contextual assumptions, we insist that it is constrained by several factors, such as (i) the activation
of mutual manifest assumptions; (ii) the balance between cognitive adequacy and processing efficiency and (iii)
the capability of working memory and encyclopedic memory of the hearer. For the third subtask – implicature
recovery, the hearer is supposed to construct ‘emergent structures’ by integration of Topic and Vehicle as two
mental spaces, in addition to making bridging inferences to obtain the intended interpretations of novel metaphors.
Based on the above procedures, we attentatively develop a model of metaphor understanding.
Related to the cognitive process of novel metaphor understanding is the controversial issue of ‘metaphor and
effort’, which is tackled by exploring the relationship between metaphoricity of an utterance and its processing
difficulty in metaphor understanding. We found through experiments that the above two dimensions of an
utterance is highly correlated with each other. In particular, the more metaphorical an utterance, the more
diversified contextual assumption available to the hearer, and the more likely for him to be diverted from the
intended interpretations. As a result, we conclude that novel metaphor understanding is effort-demanding, and that
the experimental results are compatible with the prediction made by relevance theory about ‘metaphor and effort’.
Though we have made an preliminary study of novel metaphor understanding, more substantial research on
novel metaphor is believed to shed greater light on some really fundamental problems in metaphor studies. (To
the top)
Pragmatic Vagueness as a Strategy in Chinese Verbal Communication
吴亚欣 Yaxin Wu (2002) [email protected]
The present study focuses on the deliberate use of vague language in Chinese verbal communication, which is
viewed as a communicative strategy and termed as “Pragmatic Vagueness”. It mainly belongs to a qualitative
study based on the data collected from literary works, TV series, and daily conversations. The conceptual
framework is constructed on the basis of Jef Verschueren’s (1999) Linguistic Adaptation Theory. The
investigation concentrates on the variability, adaptability, and functionality of pragmatic vagueness.
Being a strategy of communication, pragmatic vagueness relies on various linguistic structures to realize its
functions. Thus, the addressor needs to manipulate her language so as to choose a proper linguistic structure which
can carry out her strategy. Through careful observation of the data, we generalize three ways of linguistic
manipulation involved in the strategy of pragmatic vagueness, namely, enhancing the context-dependency of the
utterance, broadening the interpretative range of the utterance, widening the distance between the idea and its way
of expression. Furthermore, some specific linguistic devices are included in each category. Thus, the variability of
pragmatic vagueness is demonstrated through its ways of linguistic manipulation.
If the process of linguistic manipulation answers the question of how pragmatic vagueness is used in verbal
interaction, the discussion of the adaptive process deals with the problem why pragmatic vagueness is chosen in a
specific situation. It is found out that pragmatic vagueness is employed to adapt to various contextual factors. In
this research, the adaptation of divided into self-directed adaptation and other-directed adaptation. If the contextual
variables are related to the addressor, then the adaptation is viewed as being self-directed; if the contextual factors
are connected with the hearer, the adaptation is regarded as being other-directed. The research findings indicate
that pragmatic vagueness is used to adjust to social conventions, psychological motivations, and emotions of the
adaptation is self-directed while presences in the speech situation and the addressee’s stereotyped expectation are
the two kinds of contextual correlates in the other-directed adaptation. The scrutiny of the contextual correlates
adapted by pragmatic vagueness enables us to draw the conclusion that the choice of pragmatic vagueness is, as
matter of fact, the result of linguistic adaptation.
Having known how and why pragmatic vagueness is exploited in verbal interaction, we still feel curious
about what functions or communicative effects pragmatic vagueness has or is intended to have. The present
investigation finds out that pragmatic vagueness can enhance the flexibility of the utterance, improve the
appropriateness of the utterance, and create special pragmatic effects. Besides, some specified sub-functions are
also pointed out in the analyses.
Pragmatic vagueness is a pervasive language phenomenon in our routine conversations. A dynamic and
systematic research may prove both its theoretical and practical values in the linguistic circle. (To the top)
10
The Pragmatic Bridging Reference in Chinese Discourse
莫爱屏 Aiping Mo (2003) [email protected]
Bridging reference (henceforth BR), which permeates verbal communication, refers to the relationship
between a bridging expression and its intended referent not explicitly expressed in context (including preceding
and subsequent discourse), but can be inferred via the addition of contextual assumptions. As a semantic concept,
BR has been extensively researched in the literature and significant insights have been gained through various
approaches. However, no single model is capable of handling all the cases of BR interpretation due to the fact that
each model approaches the problem either from a different perspective or with a different goal.
This dissertation, drawing on current insights and empirical data from various resources (e.g. academic
journals, newspapers, novels, daily conversation, etc.) in the Chinese language, proposes a practical model that
incorporates the syntactic, semantic and pragmatic levels in the interpretation of BR. It points out, from a
pragmatic point of view, that past studies do not do justice to the way different knowledge resources interact,
arguing that the recognition and interpretation of BR is a necessary but not sufficient communicative process in
our daily communication. It claims that the rhetorical connections between the propositions introduced in the
discourse are crucial in the interpretation of BR.
But the work concerned in this dissertation is different from previous studies in that the author demonstrates
how this source of information interacts with the usual syntactic and semantic analysis in a pragmatic context.
Hence such a language phenomenon is approached from three different levels: the syntactic, semantic and
pragmatic levels. Focusing on internal preferences to these levels, the interpretation of BR is subject to different
mechanisms. The observed focusing preferences at each of these levels are modeled syntactically, semantically
and pragmatically, along the lines suggested in relevance theory (henceforth RT). Thus it provides a new
perspective for research in verbal communication.
These are some of the basic propositions of the present research:
1) BR refers to the relationship between bridging expressions and the referents in context. It is used in actual
discourse to represent what is implicitly expressed, functioning as an explanation or supplement to what is
explicitly expressed. It enriches the dynamic study of discourses and serves as an aid to the success of human
communication.
2) BR is a form of existence that enables people to handle properly different relationships such as the one
between bridging expressions and referents in verbal communication. It is also a medium of transmission.
3) BR can be considered as a way of getting to know the world (both physical and mental), or a paradigm derived
from reflections upon a concrete method of approaching discourses. Hence it becomes consciously or
unconsciously a tool for forming a world view.
The theoretical framework of the dissertation consists of various factors (e.g. communication needs, interaction
between the propositions introduced in discourse, context, etc.) that influence the establishment and interpretation
of BR. As a point of departure, this dissertation distinguishes BR from other types of reference. Then it discusses
such a relationship from three different levels, followed by a unified account, and focuses on issues such as the
linguistic components of a discourse, the distribution of information, syntactic structure, meaning relations and
truth conditions, context and relevance, etc. It tries to demonstrate how the interpretation of sentence meaning,
bridging inference of contextual assumptions and encyclopedic knowledge, constrains the interpretation of BR.
These and some other arguments, together with the research findings and their contribution to other branches of
sciences, will be briefly discussed below:
The syntactic level: Issues such as linguistic elements and their functions in discourse, logical operators,
information structure of discourse (including the given-new contract by Clark), and the syntactic structure of the
Chinese language are examined in an attempt to present a clearer picture of BR at the syntactic level. At the same
time, syntactic constraints such as word order, constituent order, etc. are also discussed. The description and
interpretation of these preferences help to bring out the first hypothesis---the validity hypothesis.
The semantic level: theories relating to BR, the distinction between two major types of BR, meaning relations
(e.g. entailment and semantic presupposition), truth-conditions, the semantic constraints such as propositions
expressed in discourse, the interaction between propositions, animate and inanimate entities, etc. are discussed so
as to determine the acceptability of such a relationship in discourse. Based on these observations and the influence
of rhetorical relations between propositions on BR, the second hypothesis---the acceptability hypothesis---is
proposed.
The pragmatic level: recent approaches to BR, the distinction between BR and bridging inference (BI),
contextual assumption, implicature, the dynamics of context, relevance, the pragmatic constraints on the
interpretation of BR, etc.are discussed. Within a relevance-theoretic framework, a unified account is offered,
taking into account different extant theories such as Sanford and Garrod ’s scenario-based association, Sidner’s the
expected focus algorithm, topic/focus account, etc. It is found that these theories are inadequate in one way or
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another when used to interpret BR. Only RT has been shown to be very persuasive in explaining BR. These
observations, together with the hypotheses being made at the previous two levels, suggest that the third
hypothesis---the appropriateness hypothesis---can be made.
The three hypotheses are further tested in two questionnaire studies related to this research. The results show
that the data tested can all be explained in terms of RT. It has been found that the interaction of three levels (as
well as the three hypotheses made in the process of interpreting BR) are complementary, that is, no single level or
hypothesis can stand alone; and that in daily communication, an appropriate interpretation of BR plays a decisive
role in the success or failure of an interactive activity. At the same time, the research findings can provide clues
and directions for further research not only within this immediate discipline concerned but also for language
research in general.
Moreover, they have practical implications relating to various fields, ranging from the teaching of Chinese to
non-native speakers, discourse analysis to artificial intelligence. (To the top)
Deliberate Misinterpretation as a Pragmatic Strategy in Verbal Communication
申智奇 Zhiqi Shen (2004) [email protected]
The present study is a pragmatic analysis of deliberate misinterpretation, which is understood as a
communicative strategy in verbal communication.
Unlike misunderstanding which is the accidental transmission of information, deliberate misinterpretation
occurs when the second speaker (S2) correctly understands the intended meaning which the first speaker (S!)
expresses via an utterance (x1), S2 subsequently produces an utterance (x2) which is in some way purposely
employed to present the mismatch between the meaning of x1 and x2. By doing so, S2 satisfies certain
communicative needs of his own. So deliberate misinterpretation is a pragmatic strategy adopted by S2 to fulfill
his communicative goals.
With Verschueren’s Linguistic Adaptation Theory (1999) as the general conceptual framework, we
concentrated on the dynamic nature of deliberate misinterpretation as a strategy in terms of its prerequisites, its
means, and its functioning. Methodologically speaking, this study is a qualitative study based on the data collected
from daily conversations, literary works and mass media, etc.
The dissertation starts with one of the key issues of deliberate misinterpretation: the prerequisites to its
execution. By way of careful observation of the date, we generalized that there are three major prerequisites to the
effective use of the deliberate-misinterpreting strategy: (i) mutuality of assumptions; (ii) consistency of searching
for relevance; and (iii) triggers of deliberate misinterpretation in S1’s utterance.
The second part of the dissertation explores the various conversational means employed by S@. We found
that two major means are adopted by S@ to actualize the strategy of deliberate misinterpretation, namely (i)
deliberately violation the Law of Identity, and (ii) deliberately ignoring the context. Besides, some specific
sub-means are also pointed out in the analysis. Through the analysis of the specific conversational means, the
variability of deliberate misinterpretation is demonstrated in the study.
Since deliberate misinterpretation is considered as a pragmatic strategy, we argued its functioning in the third
part. We found that the functioning of deliberate misinterpretation is closely related with two factors: (i) contextual
correlates (especially the social and mental world of S2) affecting the choice of deliberate misinterpretation, and (ii)
communicative functions fulfilled through this strategy. The present investigation finds out that the strategy of
deliberate misinterpretation can improve interpersonal relationships, manipulate information, and create special
communicative needs.
Though we have made a preliminary study of the use of deliberate misinterpretation , more substantial
research is believed to shed more light on the study of deliberate misinterpretation. (To the top)
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