礼貌原则 Politeness Theory

家猫和我一致同意，Politeness Theory是语用学的完美演绎。

它是由Penelope Brown 和 Stephen Levinson在1978年提出的，用以描述人们在社会交际中为了避免威胁到「face」（可译作面子）而刻意规避某些「face- threatening acts」（威胁面子的行为）的语用现象。

Face（面子）有两种，Positive face（正面面子，以下简称正脸）和Negative Face（负面面子，以下简称反脸）。

正脸的内涵是，维持积极、正面的个人形象的需求。反脸的内涵是，个人自由行动不被干涉的需求。

这样看来，正脸和中文语境中较多出现的“面子”几乎是重合的。

而所谓的「个人自由行动不被干涉的需求」更多的是一种西方自由意志的体现，似乎和东方文化中热情好客的传统不兼容。

这也就是为什么若干中文学者试图通过中文语境中反脸被威胁的现象的稀缺来表明Brown and Levinson的礼貌原则不是放之四海而皆准的。

扯远了，下面我们通过几种威胁面子的行为（以下简称丢面儿行为）的介绍来进一步理解正脸和反脸。

Negative Face Threatening Acts 威胁反面面子的行为

Negative face is threatened when an individual does not avoid or intend to avoid the obstruction of their interlocutor's freedom of action[4]. It can cause damage to either the speaker or the hearer, and makes one of the interlocutors submit their will to the other. Freedom of choice and action are impeded when negative face is threatened.

当说话者的语言行为威胁到/破坏了说话对象的自由行为时，我们称这样的语言行为为“威胁反面面子的行为”。

这种行为既可以对说话者造成危害，也可以对听话者造成危害，并最终导致说话的一方向另一方直白地表达自己的诉求。

Damage to the Hearer 对听话者的危害

An act that affirms or denies a future act of the hearer creates pressure on the hearer to either perform or not perform the act.[4] 当说话者的行为在某种程度上对听话者的行为造成压力，使得对方不得不做或者不做某件事时，听话者的反面面子就受到了危害。

Examples: orders, requests, suggestions, advice, remindings, threats, or warnings.例如：命令，要求，建议，提醒，威胁或警告。

An act that expresses the speaker’s sentiments of the hearer or the hearer’s belongings.[4] 当说话者对听话者或者听话者的所有物表达情绪时，听话者的反面面子就受到了危害。

Examples: compliments, expressions of envy or admiration, or expressions of strong negative emotion toward the hearer （e.g. hatred, anger, lust）.例如：赞美，羡慕嫉妒恨，或者其他强烈的负面情绪（如仇恨，愤怒，饥渴）

An act that expresses some positive future act of the speaker toward the hearer. In doing so, pressure has been put on the hearer to accept or reject the act and possibly incur a debt.[4] 当说话者对听话者做出正面的许诺时，说话者有意无意地造成了一种听话者亏欠于说话者的处境。

Examples: offers, and promises.

例如：提议和许诺

Damage to the Speaker 对说话者的危害

An act that shows that the speaker is succumbing to the power of the hearer [4].一种表明说话者屈服于听话者权力的行为 。

Expressing thanks 表达感谢

Accepting a thank you or apology 接受感谢或道歉

Excuses 借口

Acceptance of offers 接受提议

A response to the hearer’s violation of social etiquette 对听话者违背社会礼仪的回应

The speaker commits himself to something he or she does not want to do 说话者承诺去做一件她/他并不想做的事情

Positive Face Threatening Acts 威胁正面面子的行为

Positive face is threatened when the speaker or hearer does not care about their interactor’s feelings, wants, or does not want what the other wants [4]. Positive face threatening acts can also cause damage to the speaker or the hearer. When an individual is forced to be separated from others so that their well being is treated less importantly, positive face is threatened.

当说话者或听话者不顾及他人的感受、要求，或无法与他人共情时，正面面子就受到了威胁。

正面面子的威胁行为既可以对说话者造成危害，也可以对听话者造成危害。当个体被迫和群体分离，且他们的感受和处境不受重视时，正面面子就受到了危害。

Damage to the Hearer 对听话者的危害

An act that expresses the speaker’s negative assessment of the hearer’s positive face or an element of his/her positive face. The speaker can display this disapproval in two ways. The first approach is for the speaker to directly or indirectly indicate that he dislikes some aspect of the hearer’s possessions, desires, or personal attributes. The second approach is for the speaker to express disapproval by stating or implying that the hearer is wrong, irrational, or misguided [4].

当说话者对听话者做出负面评价，否定她/他的正面面子时，听话者的正面面子就受到了危害。

这种否定可以以两种形式表现出来：第一种是直接表现出不喜欢；第二种是暗示听话者是错误的一方。

Examples: expressions of disapproval （e.g. insults, accusations, complaints）, contradictions, disagreements, or challenges.

例如；以污蔑、指控、抱怨的形式表达不满；反对；挑战权威

An act that expresses the speaker’s indifference toward the addressee’s positive face [4]. The addressee might be embarrassed for or fear the speaker.

当说话者对听话者的正面面子表现出不感兴趣时，听话者会感到十分窘迫，甚至害怕。

Examples: excessively emotional expressions.

例如：过度的情感表达

The speaker indicates that he doesn’t have the same values or fears as the hearer.

当说话者表明和听话者三观不同时，听话者的正面面子会受到损害。

Examples: disrespect, mention of topics which are inappropriate in general or in the context.

例如：不尊重，表达异见

The speaker indicates that he is willing to disregard the emotional well being of the hearer.

当说话者对听话者的处境表示漠视、不尊重和不关心时，听话者的正面面子会受损。

Examples: belittling or boasting.

例如：贬低对方或自我夸大

The speaker increases the possibility that a face-threatening act will occur. This situation is created when a topic is brought up by the speaker that is a sensitive societal subject.

当说话者提起敏感话题时，听话者的正面面子受损的几率会增大

Examples: topics that relate to politics, race, religion.

例如：有关政治、种族和宗教的话题

The speaker indicates that he is indifferent to the positive face wants of the hearer. This is most often expressed in obvious non-cooperative behavior.

当说话者表明他对听话者的需求毫不在意时，听话者的正面面子会受损。表现形式就是明显的不合作。

Examples: interrupting, non-sequiturs.

例如：打断对方说话，不予置评

The speaker misidentifies the hearer in an offensive or embarrassing way. This may occur either accidentally or intentionally. Generally, this refers to the misuse of address terms in relation to status, gender, or age.

当说话者以一种冒犯的或使人尴尬的方式错误地识别/判断听话者的地位、性别或年龄时，听话者的正面面子会受损。

Example: Addressing a young woman as "ma’am" instead of "miss."

例如：将一位年轻的女性称呼为“夫人”而不是“小姐”

Damage to the speaker 对说话者的危害

An act that shows that the speaker is in some sense wrong, and unable to control himself [4].

Apologies: In this act, speaker is damaging his own face by admitting that he regrets one of his previous acts.

当说话者表达错误，或者是不能够自持时，说话者在致歉和表明悔意时就损害了自己的正面面子。

Acceptance of a compliment 接受恭维

Inability to control one’s physical self 生理上不能自持或

Inability to control one’s emotional self 情绪上不能自持

Self-humiliation 自黑

Confessions 坦白

在做完严肃科普后，我们再回到前面的例子：

在提出要求时，之所以要一再委婉，是因为提要求的过程本身，是一个丢面儿的行为。

它既损害了听话者的反面面子（negative face threatening act）使得说话者不得不去做或者不做某事时；也损害了说话者的反面面子，使得说话者处于一种亏欠于听话者的处境。

通过疑问句，Can I/Could we/能不能/可以不可以，表面上把决定权交到听话者手中，在表达尊重对方自由意志的同时，试图规避有可能伤害面子的行为；

在提建议的时候同理。

在传递消极信息的时候，说话者通过使用一些程度变动语、直接缓和语尽可能地缓和语气，降低负面信息带来的冲击，例如：

there are some insignificant problems in you writing/ From what I see here, it's not looking good/ Judging from past experience, I don't think it's a very good idea，试图规避或者尽可能减少对听话者正面面子的损害。

当说话者对自己说的内容不确定的时候，通过使用一些直接缓和语、间接缓和语充当免责声明，试图规避说错话带来的追责和对正面面子的损害。

例如：我不是这方面的专家/我不太确定/我听别人说的。

References

Grice, Paul （1975）. "Logic and conversation". In Cole, P.； Morgan, J. Syntax and semantics. 3: Speech acts. New York: Academic Press. pp. 41–58.

Lakoff, G. （1972）. ‘‘Hedges: A study in meaning criteria and the logic of fuzzy concepts’’, Papers from the Eighth Regional Meeting of the Chicago Linguistic Society, 183–228. Reprinted in Journal of Philosophical Logic, 1973, 2: 4, 458–508, and in D. Hockney et al. （eds.）. Contemporary research in philosophical logic and linguistic semantics. Dodrecht: Fortis, 221–271.

Brown, Penelope and Stephen C. Levinson. 1987. Politeness: Some universals in language usage. Cambridge: Cambridge University Press. [First published 1978 as part of Ester N. Goody （ed.）: Questions and Politeness.]

Brown, Penelope and Stephen C. Levinson. 1987. Politeness: Some universals in language usage. Cambridge: Cambridge University Press.ISBN 978-0-521-31355-1