从顺应理论角度研究语用失误
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摘要
语用失误会使交际者彼此之间产生不愉快甚至愤怒敌对的情绪，导致交际中断或失败，不能达到预期的交际效果，因此，语用失误严重阻碍了人们之间的交际。对语用失误的研究始于珍妮·托马斯，她于1983年发表了《跨文化语用失误》一文，在此文中她首次提出语用失误这个术语，把语用失误分成语用语言失误和社交语用失误，分别分析了语用语言失误和社交语用失误产生的原因，并且呼吁语言学家和外语教师应该注意和研究语用失误产生的原因。从此以后，国内外的学者们纷纷投入到这一领域的研究。但是，这些研究还存在不少问题。
本文首先回顾了到目前为止对语用失误所作过的研究，找出这些研究的局限性，即目前对语用失误的大部分研究都只局限于对跨文化语用失误的研究，而忽视了语内语用失误，大部分学者只从说话者这一角度探索失误产生的原因，而忽视了听话者，而且，大部分研究只对发生在言语行为层面的语用失误进行了研究，而对发生在语调、语篇层面的失误研究不够；然后提出一个新的研究角度，即运用顺应理论来研究语用失误的成因，包括对语内语用失误的研究和跨文化语用失误的研究，并且既对说活者进行研究又对听话者进行研究，从两方面分析语用失误产生的原因。根据顺应理论，语言使用的过程就是选择语言的过程，这种选择是有意识的或是无意识的，出于语言内部或(和)语言外部的原因。在语言选择过程中，结构要与语境相互顺应。而且，言语交际一旦发生，交际双方都要作出顺应。换句话说，在言语交际中，无论说话者还是听话者都要对交际语境因素和语言现实作出顺应，只有这样才能作出恰当的选择。交际语境因素包括语言使用者，心理世界，社交世界。语言现实是指语言恰当使用的准则。然而，在实际交际中并不是所有的语言使用者都能成功地顺应各种因素，作出恰当的选择。本文探讨了在语言使用过程中，语言使用者因忽视了对哪些因素的顺应而导致语用失误的产生，找出语用失误的原因。语用失误是由语言使用者忽视对各种交际语境因素和语言现实所作的顺应而引起的。具体说来，如果交际者未能顺应在场的听
话者，心理世界和社交世界的各种因素，以及语言中规定恰当使用该语言的言语
规约等，那么，就会导致语用失误的产生。心理世界因素包括交际对象的性格特
点、情绪、价值观、意图等。社交因素包括交际对象的种族、民族、语言社团、
受教育程度、性别、彼此之间的关系及不同文化之间的交际方式差异等。
探讨了语用失误产生原因之后，本文提出了减少和避免语用失误产生的措
施。对于语言使用者来说，要减少和避免语用失误，就要注意语言使用的交际语
境和该语言的使用准则，并且要有意识地对交际语境因素和语言使用准则作出洽
当的顺应，作出得体的选择。同时还要增强语用移情，提高对别人语用失误的容
忍度。而对于外语教学来说，外语教师应该尽最大努力帮助学生培养他们的语用
能力。使用地道的教学材料，将语用知识融入外语教学中，提高学生的文化意识，
将文化因素导入到外语教学中，改进目前的考试制度，考试方式，增加对学生语
用能力测试的比重等，通过这些措施，使学生能更清楚地意识至}l在言语交际中，
特别是跨文化交际中，在作语一言选择时应该注意和顺应哪些因素，并且使他们能
够成功地作出顺应和恰当地作出选择，进而成功地进行交际。
本文共有六章组成。第一章主要介绍本课题的研究意义，研究的理论基础，
以及本文的结构。第二章主要回顾到目前为止国内外对这一问题的研究现状，找
出这些研究存在的不足之处，提出用顺应理论研究语用失误。第三章简单介绍顺
应理论。第四章从顺应理论角度详细探讨语用失误的成因，即分析在语言选择过
程中，语言使用者因忽视对哪些因素作出顺应而导致语用失误。第五章提出减少
或避免语用失误的措施。第六章是结论，总结全文，并提出今后的研究方向。
Pragmatic failure arouses unpleasant feelings or even inflammation between participants and brings breakdown to communication: as a result, it severely holds back the communication between people. The study of pragmatic failure begins with Jenny Thomas who published her Cross-Cultural Pragmatic Failure in 1983. In this article, she first proposes the notion of pragmatic failure, classifies pragmatic failure into pragmalinguistic failure and sociopragmatic failure, and explores the causes to both pragmalinguistic failure and sociopragmatic failure. She also calls on linguists and foreign language teachers to investigate the causes to pragmatic failure. From that time on. many scholars at home and abroad have begun to contribute a great deal of effort in this field. However, there are some defects in those researches.
This dissertation reviews what have been done in this field and finds out the defects of the researches. That is, most of the researches are confined to the study of cross-cultural pragmatic failure, neglecting the study of intra-cultural pragmatic failure; most researchers investigate pragmatic failure only from the perspective of the speaker, without taking the hearer into account; and moreover, the pragmatic failures studied are only those that take place in speech act level, while those that take place in intonation and discourse level are neglected. And then it offers a new approach to investigate the causes to pragmatic failure including intra-cultural pragmatic failure and inter-cultural pragmatic failure, making use of Verschueren's Adaptation Theory, taking both speaker and hearer into consideration. According to Adaptation Theory, using language involves continuous linguistic choice-making, consciously or unconsciously, for language-internal and/or language-external reasons. In the process of making linguistic choices, structural objects and contextual correlates should be adapted to each other. Furthermore, the choices are made both in producing and interpreting an utterance, and both types of choice-making are equally important. That
is to say, language users, i.e. both speaker/utterer and hearer/interpreter have to adapt structural objects to contextual correlates and make proper linguistic choices. However, not all language users can successfully make adaptation and make appropriate linguistic choices. This thesis explores what language users unconsciously fail to adapt to when making pragmatic failure, and finds out the causes to pragmatic failure. That is to say, in the process of linguistic choice-making, language users" unconsciously failure to make adaptation to communicative context and language reality causes pragmatic failure. To be more exact, when language users fail to make adaptation to the interpreters that are present, ingredients of mental world, such as personality traits, emotions, patterns of beliefs or value systems, intentions, social conventions and cultural conventions in the social world, for instance, ethnicity and race, nationality, linguistic group, level of education, social relationship, gender, religion, age. and so on; or when language users fail to adapt to the linguistic rules guiding the use of that language, they will cause the communication to break down or end in failure without achieving the expected communicative effects.
Finding out what causes pragmatic failure, this dissertation proposes some measures to be taken so as to reduce or avoid the occurrence of pragmatic failure. For language users, in order to reduce or avoid pragmatic failure, they should pay attention to the communicative context in which language is used and linguistic rules guiding the use of the language they are using in the communication, and make conscious adaptation to the contextual correlates and linguistic rules, and should also increase their pragmatic empathy. As for foreign language teaching, foreign language teachers should try their best to help students to cultivate their pragmatic competence by providing authentic teaching materials, integrating foreign lan
本文首先回顾了到目前为止对语用失误所作过的研究，找出这些研究的局限性，即目前对语用失误的大部分研究都只局限于对跨文化语用失误的研究，而忽视了语内语用失误，大部分学者只从说话者这一角度探索失误产生的原因，而忽视了听话者，而且，大部分研究只对发生在言语行为层面的语用失误进行了研究，而对发生在语调、语篇层面的失误研究不够；然后提出一个新的研究角度，即运用顺应理论来研究语用失误的成因，包括对语内语用失误的研究和跨文化语用失误的研究，并且既对说活者进行研究又对听话者进行研究，从两方面分析语用失误产生的原因。根据顺应理论，语言使用的过程就是选择语言的过程，这种选择是有意识的或是无意识的，出于语言内部或(和)语言外部的原因。在语言选择过程中，结构要与语境相互顺应。而且，言语交际一旦发生，交际双方都要作出顺应。换句话说，在言语交际中，无论说话者还是听话者都要对交际语境因素和语言现实作出顺应，只有这样才能作出恰当的选择。交际语境因素包括语言使用者，心理世界，社交世界。语言现实是指语言恰当使用的准则。然而，在实际交际中并不是所有的语言使用者都能成功地顺应各种因素，作出恰当的选择。本文探讨了在语言使用过程中，语言使用者因忽视了对哪些因素的顺应而导致语用失误的产生，找出语用失误的原因。语用失误是由语言使用者忽视对各种交际语境因素和语言现实所作的顺应而引起的。具体说来，如果交际者未能顺应在场的听
话者，心理世界和社交世界的各种因素，以及语言中规定恰当使用该语言的言语
规约等，那么，就会导致语用失误的产生。心理世界因素包括交际对象的性格特
点、情绪、价值观、意图等。社交因素包括交际对象的种族、民族、语言社团、
受教育程度、性别、彼此之间的关系及不同文化之间的交际方式差异等。
探讨了语用失误产生原因之后，本文提出了减少和避免语用失误产生的措
施。对于语言使用者来说，要减少和避免语用失误，就要注意语言使用的交际语
境和该语言的使用准则，并且要有意识地对交际语境因素和语言使用准则作出洽
当的顺应，作出得体的选择。同时还要增强语用移情，提高对别人语用失误的容
忍度。而对于外语教学来说，外语教师应该尽最大努力帮助学生培养他们的语用
能力。使用地道的教学材料，将语用知识融入外语教学中，提高学生的文化意识，
将文化因素导入到外语教学中，改进目前的考试制度，考试方式，增加对学生语
用能力测试的比重等，通过这些措施，使学生能更清楚地意识至}l在言语交际中，
特别是跨文化交际中，在作语一言选择时应该注意和顺应哪些因素，并且使他们能
够成功地作出顺应和恰当地作出选择，进而成功地进行交际。
本文共有六章组成。第一章主要介绍本课题的研究意义，研究的理论基础，
以及本文的结构。第二章主要回顾到目前为止国内外对这一问题的研究现状，找
出这些研究存在的不足之处，提出用顺应理论研究语用失误。第三章简单介绍顺
应理论。第四章从顺应理论角度详细探讨语用失误的成因，即分析在语言选择过
程中，语言使用者因忽视对哪些因素作出顺应而导致语用失误。第五章提出减少
或避免语用失误的措施。第六章是结论，总结全文，并提出今后的研究方向。
Pragmatic failure arouses unpleasant feelings or even inflammation between participants and brings breakdown to communication: as a result, it severely holds back the communication between people. The study of pragmatic failure begins with Jenny Thomas who published her Cross-Cultural Pragmatic Failure in 1983. In this article, she first proposes the notion of pragmatic failure, classifies pragmatic failure into pragmalinguistic failure and sociopragmatic failure, and explores the causes to both pragmalinguistic failure and sociopragmatic failure. She also calls on linguists and foreign language teachers to investigate the causes to pragmatic failure. From that time on. many scholars at home and abroad have begun to contribute a great deal of effort in this field. However, there are some defects in those researches.
This dissertation reviews what have been done in this field and finds out the defects of the researches. That is, most of the researches are confined to the study of cross-cultural pragmatic failure, neglecting the study of intra-cultural pragmatic failure; most researchers investigate pragmatic failure only from the perspective of the speaker, without taking the hearer into account; and moreover, the pragmatic failures studied are only those that take place in speech act level, while those that take place in intonation and discourse level are neglected. And then it offers a new approach to investigate the causes to pragmatic failure including intra-cultural pragmatic failure and inter-cultural pragmatic failure, making use of Verschueren's Adaptation Theory, taking both speaker and hearer into consideration. According to Adaptation Theory, using language involves continuous linguistic choice-making, consciously or unconsciously, for language-internal and/or language-external reasons. In the process of making linguistic choices, structural objects and contextual correlates should be adapted to each other. Furthermore, the choices are made both in producing and interpreting an utterance, and both types of choice-making are equally important. That
is to say, language users, i.e. both speaker/utterer and hearer/interpreter have to adapt structural objects to contextual correlates and make proper linguistic choices. However, not all language users can successfully make adaptation and make appropriate linguistic choices. This thesis explores what language users unconsciously fail to adapt to when making pragmatic failure, and finds out the causes to pragmatic failure. That is to say, in the process of linguistic choice-making, language users" unconsciously failure to make adaptation to communicative context and language reality causes pragmatic failure. To be more exact, when language users fail to make adaptation to the interpreters that are present, ingredients of mental world, such as personality traits, emotions, patterns of beliefs or value systems, intentions, social conventions and cultural conventions in the social world, for instance, ethnicity and race, nationality, linguistic group, level of education, social relationship, gender, religion, age. and so on; or when language users fail to adapt to the linguistic rules guiding the use of that language, they will cause the communication to break down or end in failure without achieving the expected communicative effects.
Finding out what causes pragmatic failure, this dissertation proposes some measures to be taken so as to reduce or avoid the occurrence of pragmatic failure. For language users, in order to reduce or avoid pragmatic failure, they should pay attention to the communicative context in which language is used and linguistic rules guiding the use of the language they are using in the communication, and make conscious adaptation to the contextual correlates and linguistic rules, and should also increase their pragmatic empathy. As for foreign language teaching, foreign language teachers should try their best to help students to cultivate their pragmatic competence by providing authentic teaching materials, integrating foreign lan
引文
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