JOURNAL OF SCIENCE, Hue University, Vol. 70, No 1 (2012) pp. 181-191 REVISITING LINGUISTIC POLITENESS THEORIES: SUGGESTIONS FOR FUTURE RESEARCH ON POLITENESS PHENOMENA Pham Thi Hong Nhung, Pham Thi Tuyet Nhung College of Foreign Languages, Hue University Abstract. This article reviews the research literature on politeness, so as to make suggestions for future research in the field of politeness and communication. Among the extensive literature on politeness for the last three decades, Brown & Levinson (1978, 1987) s model of politeness has been considered the most influential view of politeness but has also faced severe criticim from a newly emerging body of politeness research. In the well-established literture on politeness, politeness phenomenon is considered to be universal, and so it is possible to form a common model of politeness for every culture and language (Terkourafi, 2005). The current review presents a critical evaluation of relevant literature in order to build the foundation on which suggestions for future research on politeness are made. 1. Literature on linguistic politeness: A state of arts It was not until the late 1970s that politeness became an important issue in pragmatic studies (Kasper, 1990). When Grice first introduced his conversational Maxims in 1975, he established one of the most important foundations on which leading theories of politeness have been built (Brown & Levinson, 1978, 1987; Lakoff, 1973, 1975, 1990; Leech, 1983). These researchers, and those working in their framework, tend to function toward a universal model of politeness. Although they do not necessarily claim the universality of their model, they all propose a common model for politeness, either implicitly in the form of Principles (e.g., Leech, 1983), Rules (Lakoff, 1973, 1990), or explicitly in a universal model (Brown & Levinson, 1978, 1987). What all of these theories have in common is their emphasis on the linguistic presentation of politeness (i.e., linguistic politeness). 1.1. Grice S Conversational Maxims Grice (1975) claims that people engage in conversation on the basis of the Cooperative Principle (Fig. 1). He explains this principle as make your conversational contribution such as required, at the stage in which it occurs, by the accepted purpose or direction of the talk-exchange in which you are engaged (p. 45). This principle is then represented in four related Maxims: Quantity, Quality, Relevance and Manner. 181
182 Revisiting linguistic politeness theories: suggestions for Cooperative Principle Quantity (no more & no less) Manner Quality Relevance (clearly-expressed) (truth-telling) (logic & relevant) Fig. 1. Representation of Grice s Maxims Quantity means saying no more and no less than what is needed; Quality is telling the truth; Relevance requires interlocutors to observe logical and precise relevance to the matter at hand; and Manner means avoiding obscure expressions and disorderly speech. From the Gricean Maxims as a point of departure, Lakoff, Leech, and Brown & Levinson all built their model of politeness on Grice s Cooperative Principle (Watts, 2003). However, it is Lakoff (1973, 1975, 1990) who first introduced these Maxims into the concept of politeness. 1.2. Lakoff s Politeness Rules Lakoff (1973, 1975, 1990) connected politeness with Grice s (1975) Cooperative Principle by introducing three main politeness rules, which are closely associated with Grice s four Maxims. These rules are: 1) don t impose; 2) give options; and 3) make A (i.e., the person you are communicating with) feel good, be friendly (i.e., creating a comfortable and friendly feeling). The first two rules directly emphasize sensitivity towards possible imposition in interactions (i.e., not imposing one s ideas / thoughts on one s conversational partner), and the need to express this sensitivity by making choices available for the partner. In other words, whenever possible in order to be polite people involved in interactions should create a comfortable feeling for their interlocutor and let him / her take decisions rather than they themselves. Lakoff then relates these three main rules respectively to the relevant strategies (Figure 2.2): the Strategy of Distance as impersonality (e.g., Has the dog been fed? instead of You feed the dog ), the Strategy of Deference as hesitancy (e.g., I was wondering if [ ] ), and the Strategy of Camaraderie as informality (e.g., My name is Rose Smith, please call me Rose ). Lakoff further argues that the emphasis and the realization of these rules, and hence of their related strategies, vary across cultures. For example, Asian cultures tend towards Deference / Hesitancy, while modern American culture would prefer Camaraderie / Informality. Accordingly, the concept of how to be polite differs across cultures.
PHAM THI HONG NHUNG, PHAM THI TUYET NHUNG 183 Don t impose Strategy of Distance / Impersonality Politeness Rules Give options Strategy of Deference / Hesitancy Make A feel good Strategy of Camaraderie / Informality Fig. 2. Representation of Lakoff s Politeness Rules and Strategies Lakoff s (1973, 1990) theory of politeness is based on the assumption that interlocutors are equals. In other words, her theory puts aside the interlocutors interpersonal differences such as status and power. This missing component in Lakoff s model is then provided in Brown and Levinson s (1978, 1987) concept of politeness Weight (i.e., the amount and kind of a specific politeness strategy), and their formula of how Weight is calculated. 1.3. Brown and Levinson s Universal Model of Politeness: Saving face as motivation for politeness Brown and Levinson (1978, 1987) also define politeness as a tool to avoid conflict and confrontation. They consider that politeness, like formal diplomatic protocol (for which it must surely be the model), presupposes that potential for aggression as it seeks to disarm it, and makes possible communication between potentially aggressive parties (Brown & Levinson, 1987, p. 1). Drawn on Goffman s (1967) concept of Face, the model they propose is also centred on individual freedom from imposition in action. Brown and Levinson s concept of Face (Figure 3) is sophisticatedly realized in two aspects: positive face and negative face. Positive face refers to one s want / desire to be admired and approved of by other people; and negative face refers to one s desire / want to be free from any imposition: I want you to want/need/respect/admire me Face Positive Face Negative Face I want you to love/admire what I want/love/admire I want you to admire/love/approve of what I do I want my full freedom in everything I do/say/think I want you not to impose on me/mine Do not tell me what I can/cannot/ should/should not do/say/think Fig. 3. Representation of Brown & Levinson s concept of Face Brown and Levinson (1978) affirm that face is something that is emotionally invested, and that can be lost, maintained, or enhanced, and must be constantly attended to in interaction (p. 61). The content of face may differ across cultures, but people s
184 Revisiting linguistic politeness theories: suggestions for knowledge of their public self-image (i.e., face and the tendency to orient to face in interaction) is universal. Borwn & Levinson maintain that any utterance can be facethreatening, and so any speech act can be a face threatening act (FTA). Any utterance can negatively influence one s and/or the other s face (i.e., one s and/or other s want of being approved, and of being fully free from imposition). For example, the utterance close the window now violates one s want of being free from imposition, because this utterance is asking one to do something without one s want, threatening one s negative face, and hence is not polite. Asking someone to do something without directly threatening his / her face is when politeness comes into play. To be polite, one must use different strategies such as indirectness (e.g., by using question like Could you close the window please? ), and giving hints (e.g., It is so cold in here ), or combining the two (e.g., It is cold in here, isn t it? ). Such strategies help interlocutors attend to each other s face. This argument makes the interlocutors sensitivity towards each other s desire to be free from imposition a key to the understanding of Brown and Levinson s notion of politeness. Brown and Levinson also address the social factors that decide politeness weight the amount and kind of politeness in interaction by introducing the Weightiness formula: Wx = D (S, H) + P (H, S) + Rx. In this formula, x represents the selected speech act, S the speaker, H the hearer, P the perceived power difference between the hearer and the speaker, D the perceived social distance between them, and R the cultural ranking of the speech act. As inferred from this formula, a selected politeness strategy is based on the social distance between the speaker and the hearer (e.g., talking to a close friend is different from conversing with a complete stranger), the power difference between the two (e.g., talking to one s boss is different from talking to one s friend), and the imposition level of the act involved (e.g., asking for a pay raise differs from conveying good news). This formula is useful because it sheds light on interpersonal and contextual variables for instance, power and distance which have an influence on the politeness level of a strategy. The recognition of the impact of social factors on the language use of politeness also suggests that, in spite of having access to linguistic strategies, people must also consider some other factors before making decisions about their language use. Brown and Levinson place strong emphasis on the correlation between imposition (negative face) and politeness. By reducing the possibilities in which imposition may occur, and by reducing the degree of imposition of speech acts when imposition does have to occur, people involved in linguistic interactions help save each other s face, and hence are polite. This view presents face, particularly the respect for each other s desire to be free from imposition, as the fundamental, and possibly the only, motivating force for politeness (Spencer-Oatey, 2000), and it makes Brown and Levinson s theory a theory of facework, rather than a theory of politeness (Watts,
PHAM THI HONG NHUNG, PHAM THI TUYET NHUNG 185 2003, p. 97). Additionally, with the main focus on strategic politeness (i.e., politeness is intentionally and consciously used as a strategy to gain / get something, for example, a request), non-strategic politeness (e.g., phatic expressions used as social lubricant to smooth social contacts, for example, greetings) is neglected in their model. It is in Leech s (1983) Politeness Principle that these gaps are partly filled, when impoliteness is involved in the polite-impolite continuum, and both strategic and non-strategic politeness are addressed. 1.4. Leech s Politeness Principles In Leech s (1983) model, politeness is located within the framework of interpersonal rhetoric, with the emphasis on the mutual influence between the semantic sense and the pragmatic force of an utterance. For instance, Can you pass the salt? is not so much taken as a question about someone s ability (i.e., literal meaning), but rather as a request for action (i.e., force), pass the salt. Leech adds the normative / regulative aspects of politeness (i.e., non-strategic politeness) to the theory of politeness, which he believes is not adequately discussed by Brown and Levinson. His recognition of this type of politeness was later enriched by extensive research (e.g., Gu, 1990; Matsumoto, 1988, 1989), and is often referred to in the ongoing discussion of different distinctions of inferred politeness (e.g., one s request in a question form is inferred to be polite by the hearer) and anticipated politeness (e.g., greeting each other is expected by two people who are acquaintances) (Haugh, 2003a). Leech (1983) emphasized the polite-impolite continuum by incorporating both notions in his definition of politeness. Seeing politeness as a means to minimise impolite beliefs and maximise polite beliefs (respectively defined as beliefs that are unfavourable and favourable to the hearer), he added the Tact, Generosity, Approbation and Modesty Maxims to politeness theory. Central to these maxims are the concepts of Cost, Benefit, Praise and Agreement. The Tact Maxim is defined as minimizing cost to other and maximizing cost to self; the Generosity maxim as minimizing benefit to self and maximizing benefit to other; the Approbation Maxim as minimizing disagreement and maximizing agreement with other; and the Modesty Maxim involves minimizing self-praise and maximizing other-praise. Some of Leech s terms are strikingly similar to those suggested by Brown and Levinson (1978). For example, Leech s notion of the hearer s authority, which plays a part in assessing the cost-benefit scale of the Tact and the Benefit Maxims, is very similar to the assessment of power in Brown and Levinson (Watts, 2003). In Leech s view, the speaker s perception of the hearer s authority influences the speaker s choice of language use in terms of favourableness to the hearer. Similarly, in Brown and Levinson s (1978, 1987) Weightiness formula, the perceived power of the hearer also plays an important role in the speaker s choice of politeness strategies.
186 Revisiting linguistic politeness theories: suggestions for 2. Well-Established Theories on Politeness: Its Workability and Vulnerability model 2.1. Politeness in Anglo cultures: A Reinforcement of Brown & Levinson s The theories of politeness reviewed above, especially Brown and Levinson s, have established their place in the literature on politeness and have, to various extents, been supported in much research on linguistic politeness in Anglo English-speaking cultures. As the most developed theory of politeness, Brown and Levinson s face-saving view has been the most influential single framework in providing a paradigm for the investigation of linguistic politeness (Kasper, 1990; Watts, 2003; Watts, Ide, & Ehlich, 1992). Its influence has been widely recognized: it is impossible to talk about it [politeness] without referring to Brown & Levinson s theory (Orecchioni, 1997, p. 11). Their model of politeness has been supported by various studies on different politeness speech acts, for instance, complimenting (e.g., Barnlund & Araki, 1985; Henderson, 1996; Herbert, 1989; Holmes, 1988; Nelson, Al-Batal, & Echols, 1996), requesting (e.g., Holtgraves & Yang, 1992; Shih, 1988; Yeung, 1997), apologizing (e.g., Berman & Kasper, 1993; Suszczynska, 1999), expressing disagreement (e.g., Holtgraves, 1997), and in many different domains such as health (e.g., Hummert & Mazloff, 2001; Landrine & Klonoff, 1992; Spiers, 1998), organizational interactions (e.g., Harris, 2003; Morand, 1996), business interactions (e.g., Yeng, 1997; Yli-Jokipii, 1994), educational interactions (e.g., Rees-Miller, 2000), and language teaching (e.g., Weizman, 1989; Wolfson, 1981). Furthermore, although Brown and Levinsons s theory was originally designed to analyse oral discourse, it has also been applied to research on written discourse (e.g., Cherry, 1988; Hagge & Kostelnick, 1989; Graham & David, 1996). 2.2. East-Asian politeness studies: Questionining Western Theories in Question Several researchers on Asian politeness have shown that the Western emphasis on strategic politeness reflects a paramount concern for individual rights (i.e., what is owed to the individuals), whereas in many Asian Confucian cultures, politeness signals a concern for duty (i.e., what is owed to the group) (e.g., Byon, 2006; Gu, 1990; Ide, 1989; Mao, 1994; Matsumoto, 1989). Typical of these researchers are Gu s (1990) research on Chinese politeness, and Ide (1989) on Japanese politeness, Haugh s (2005) examination of the concept of Face in Chinese culture and Pham s (2007) on the concept of Face in Vietnamese culture. Gu s (1990) suggestion for amendments to the existing politeness theories comes from his critical comparison of the Western notions of Face and politeness and their Chinese counterparts. He claims that politeness is more than just instrumental / strategic. More importantly and first, it is normative (i.e., people do not just use politeness as a tool to gain something, but rather they use it to conform to social norms).
PHAM THI HONG NHUNG, PHAM THI TUYET NHUNG 187 These norms in Chinese culture are formulated into two new Maxims: the Self- Denigration Maxim (i.e., denigrating the self and elevating the other), and the Address maxim (i.e., one s choice of a suitable term when addressing one s communicative partner), which, Gu believes, can better explain Chinese politeness. For example, in terms of the Self-Denigrating Maxim, Gu argues that modesty is one of the presentations of Self-Denigration, and that Chinese moral philosophy requires the Chinese to appear modest. Alternatively, appearing modest is a Chinese social norm, and Chinese politeness operates in accordance with this norm. Gu s claim that politeness phenomena are governed by social norms is supported by much other research (e.g., Rong Chen, 1993; Gao, 1998a, 1998b; Pham, 2007; Smith & Bond, 1994; Takaku, Weiner, & Ohbuchi, 2001; Triandis, 1989). For instance, Rong Chen (1993) found that politeness strategies chosen by the Chinese when responding to compliments, are governed by social norms rather than by individual wants. Specifically, the Chinese subjects in his research have a significantly higher rate of compliment rejection than their American counterparts. In the light of Brown and Levinson s facesaving theory, rejecting compliments is face-threatening in the sense that this rejection may threaten the compliment giver s positive face (i.e., the desire to be approved of). From another perspective, refusing a compliment may make the givers of the compliment feel that their praise is not welcome. As a result, in order to avoid making an FTA, the receiver should accept the compliment. By accepting the compliment the receiver of the compliment is thereby polite. Nevertheless, the Chinese data in Chen s research show the opposite: the denial of compliments is polite. Chen then concluded that the Chinese politeness data cannot be properly explained by Brown and Levinson s model. While Gu illuminates the significant role of social rules which govern the performance of politeness in Chinese as a major Asian culture, Ide (1989) places emphasis on the distinction between strategic politeness Volition (i.e., optional choice of politeness strategies) and the compulsory forms in politeness Discernment in the honorific-rich Japanese language. In Ide s (1989) culture-specific proposal (i.e., Japanese), politeness is viewed as a means to maintain smooth communication. She introduced the concept of Discernment (i.e., language usage according to social conventions rather than interactional strategy) in Japanese politeness. This has been considered as one of the most vigorous criticisms of Brown and Levinson s universal model of politeness (Watts, 2003). Discernment operates in close association with linguistic forms, and the choice of different linguistic varieties with different degrees of formality. A Japanese has to follow socially obligatory verbal choices strictly in order to show relevant levels of politeness. While a native speaker of English can both say Today is Sunday to anyone without changing the form of the language use and be polite, in order to be polite when
188 Revisiting linguistic politeness theories: suggestions for saying something like Today is Sunday a Japanese has to make some changes to the form of the words used (Obana, 2001, p. 727). Saying the professor reads this in Japanese is theoretically either: a) Sensei-wa kore-o [professor] yonda [read this]; or b) Sensei-wa kore-o [professor] oyomi-ni-natte [read this] (Ide, 1989, p. 227). In the latter the honorific form of oyomi-ninatte instead of yonda in the former is used to refer to the action of a person of higher status, a professor. Ide argues that this is because Japanese social rules require the speaker to be polite to a higher status person (e.g., a professor). Therefore, the concord of honorifics is socio-pragmatically obligatory (Ide, 1989, p. 227), and so b) is appropriate, but a) is not. In the Japanese culture it is not true that individuals can always decide to be polite or not (i.e., Volition, to be free to choose politeness strategies), but rather they also have to employ socially obligatory linguistic forms in undertaking politeness acts. Additionally, Ide argued that like Brown & Levinson s model, with its stress on linguistic strategies as the principal feature of Anglo politeness theories, none of the existing frameworks of politeness appears adequate for explaining honorific languages. Ide s argument is supported by many other researchers (e.g., Matsumoto, 1989; Yu, 2002; Haugh, 2006; Pham, 2007). For instance, in referring to the importance of social identity in the Japanese concept of Face, Matsumoto (1988) illustrates the discrepancy between the Japanese notion of Face and that of Brown and Levinson, and argues that the latter makes erroneous predictions for Japanese politeness. In order to be polite, a Japanese person must understand his/her position in relation to other(s), and must verbally acknowledge his/her dependence on others. Acknowledgement and maintenance of the relative position of others, rather than preservation of an individual s proper territory, governs all social interaction (Matsumoto, 1988, p. 405). Chinese face, Vietnamese face and Japanese face gravitate toward hierarchical interdependence and social recognition, and are oriented toward an ideal social identity and even the concept of face in these Confucian cultures may also just be different from that of Brown and Levinson s model. 3. Suggestions for Future Research on Politeness 3.1. A Call for Culture-Specific Research Our critique has shown that the well-established theories of politeness are complementary frameworks of the linguistic presentation of politeness. Being centred in the individual s will (i.e., the desire to have full freedom in making decisions and to be free from imposition in action) and on the linguistic presentation of politeness (i.e., what to say / politeness strategy), politeness has been viewed by Western theories, from an instrumental view rather than from the perspective where it is described as a
PHAM THI HONG NHUNG, PHAM THI TUYET NHUNG 189 normative behaviour, as in major Asian cultures. Apart from face-saving, there are other culture-conditioning factors that function as motivations for politeness phenomena. Accordingly, politeness is more than Face (Eelen, 2001; Watts, 2003, Spencer-Oatey, 2002, 2003, 2005), at least in major Asian Confucian cultures. What most of the major research on politeness in cultures such as Chinese, Japanese, Korean and Vietnamese has noticed, but has not adequately addressed, is the influence of Confucianism on politeness phenomena in these cultures. The criticism of the universal model of Brown and Levinson has been running for almost three decades now, and more than one alternative model of politeness has been proposed. However, we are still far from a model which works satisfactorily for both Anglo and Asian Confucian politeness, and which properly addresses different aspects of politeness. Janney and Arndt (1993) claim that Brown and Levinson s theory of politeness lacks a culturally unbiased conceptual framework for an objective and empirical evaluation of their model. On the one hand, the recognition of the culturespecific nature of politeness offers insights into the significant impact of culture on politeness phenomena. It also challenges the claim of universality of the existing theory of politeness by showing that the present model and related frameworks are not properly applicable to politeness, at least in major Asian Confucian cultures, suggesting that major amendments are needed to the existing theories of politeness. This can be done by more reseach on politeness phenomenon from cultures and language other than English and Anglo culture. Examination of politeness behaviour in intercultural contexts where people of different cultures communicate, using the same language can also offer opportunities to explore how cultural values could influence this phenomenon. 3.2. A Call for a Context-Specific Approach Among the recent substantial critiques, as well as major proposals of the traditional theories of politeness, is the view that politeness is context-specific, and hence cannot be universal. These new lines of investigation relate specifically to a more post-modern and discursive framework (see Spencer-Oatey, 2002). For instance, rapport management is at the heart of politeness practices (Terkourafi, 2005, p. 241), and politeness is closely associated with rapport management (Bargiela-Chiappini & Harris, 2006). Typical representatives of this approach are Eelen (2001), Watts (2003), and their advocates (e.g.,thornborrow, 2002). This emerging body of literature presents potential opportunities again for intercultural investigations of politeness and involves a shift of methodology and orientation in the direction of Critical Theory. This would take our investigation outside its stated empirical goals, based on the investigation of politeness and its cultural and context-conditioned motivations. The existing critiques raise more questions about politeness and politeness phenomena than they answer. For instance, Eelen calls for an enquiry beyond the
190 Revisiting linguistic politeness theories: suggestions for surface of the existing theories of politeness and a deeper understanding of the social / cultural assumptions underlying these assumptions, but in his critique it is not clear what these underlying assumptions might be. Additionally, in both Eelen (2001) and Watts (2003), possible sources of the differences between Asian, specifically Asian Confucian, politeness theories and Anglo politeness theories, are rarely addressed. As Terkourafi (2005) maintains, this recent context-specific approach of politeness has not been empirically tested. Hence, further investigations on the conditionining of context and the culture-conditioned motivations of politeness phenomena in relation to its linguistics presentation are needed to enable substantial amendments to the existing literature. References [1]. Bargiella-Chiappini F., Harris S., Politeness at work: Issues and challenges, Journal of Politeness Research, 2, (2006), 7-33. [2]. Brown P., Levinson S., Universals in language usage: Politeness phenomena. In E. N. Goody (Ed.), Questions and politeness. Cambridge: Cambridge University Press, (1978), 57-324 [3]. Chen G. M., Self-disclosure and Asian students' ability to cope with social difficulties in the United States, Journal of Psychology, 127(6), (1993), 603-610. [4]. Eelen G., A critique of politeness theories, Manchester: St. Jerome Publishing, 2001. [5]. Grice H. P., Logic and conversation, In P. Cole & J. Morgan (Eds.), Syntax and semantics, New York: Academic Press, Vol. 3. Speech acts, (1975), 107-142. [6]. Gu Y., Politeness and Chinese face, Lecture given in the Department of. Linguistics, University of Luton, Summer 1998. [7]. Haugh M., The discursive challenge to politeness research: An interactional alternative, Journal of Politeness Research 3(2), (2007), 295-317. [8]. Ide S., Formal forms and discernment: Two neglected aspects of universals of linguistic politeness, Multilingua, 8(2-3), (1989), 223-257. [9]. Lakoff R., The logic of politeness, or minding you p's and q's, Chicago Linguistic Society, 9, (1973), 292-305. [10]. Leech G., Principles of pragmatics, New York: Longman, 1983. [11]. Matsumoto Y., Politeness and conversational universals Observations from Japanese, Multilingua, 8(2), (1989), 207-221. [12]. Pham Thi Hong Nhung, Vietnamese concept of face: evidence from its collocational abilities. E-Journal of Foreign Language Teaching 4(2), (2007), 257-266.
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