礼貌原则在商务英语拒绝信函中的应用研究

洛阳理工学院毕业设计（论文）The Study of the Application of Politeness Strategies in Business English Refusal Letters姓名马芯系（部）外语系专业英语班级B111231指导教师韩慈红2013 年6 月6 日礼貌原则在商务英语拒绝信函中的应用研究摘要自世界村这个概念出现以来，商务英语信函在商业事务中占据了相当重要和不可或缺的地位。

礼貌原则作为商务信函写作的一个最基本要求，在不同类型的信函中表现各异。

而拒绝是日常生活中使用频率较高的言语行为。

拒绝类信函作为一种特殊的商务信函，对礼貌有着特殊的要求。

在商务英语信函中表达拒绝信息时写信人要完成两个目标：一是传递坏消息，二是和读者保持良好的关系。

任何不当的拒绝行为实施都有可能造成（潜在）客户流失，给公司带来经济损失。

这类商务英语信函的特点决定了写信人在信件写作过程中必须注重拒绝信息的礼貌传递。

本文以布朗和列文森的面子理论为指导，对礼貌原则在商务英语拒绝信函中的应用进行专门研究。

本文首先对商务英语信函，尤其是商务英语拒绝信函，以及布朗和列文森的面子理论进行阐述。

在此基础上，对商务英语拒绝信函中使用的礼貌策略进行分析。

研究发现，应用于商务英语拒绝信函中的礼貌策略有积极礼貌策略、消极礼貌策略和直接策略。

一封讲求礼貌策略的商务拒绝信函不仅可以帮助写信人在传递一个令人沮丧的坏消息时说服客户心平气和地接受被拒绝的理由，还能在商务交往中保持良好的贸易合作关系。

同时，本研究还对商务英语信函的研究与教学起到一定的促进作用。

关键词：商务英语拒绝信函，礼貌策略，面子理论The Study of the Application of Politeness Strategiesin Business English Refusal LettersABSTRACTSince the concept of global village existed, business English letter has occupied a very important and indispensable position in commercial transaction. As one of the most basic requirements of business letter writing, politeness principle behaves differently in different types of letters. Refusal is used in high frequency in daily life. As a special kind of business letters, refusal letters have special requirements for politeness.Expressing the refusal news in business English letters, the writer needs to complete two goals: deliver bad news; maintain good relationship with the reader. Any improper refusal behavior may be resulting in the loss of (potential) customers, to bring economic loss to company. This kind of business English letters determines that the writer must pay attention to the refusal message transfer in the process of letter writing.From the perspective of Brown and Levinson’s face theory, this research aims to study the application of politeness strategies in business English refusal letters. First this article will introduce business English refusal letters and Brown and Levinson’s face theory. Based on this, the paper will conduct an analysis on politeness strategies in business English refusal letters. It is found that the politeness strategies applied in business English refusal letters are positive politeness strategies, negative politeness strategies and bald-on-record strategies.A business refusal letter with proper strategy not only can help the writer persuade customers to accept the reason for being refused when conveying an unpleasant information, but also can maintain sound trade and cooperative relation in future business communication. It is also believed that the present study will be useful and meaningful to both the teaching and learning of business English refusal letter writing. KEY WORDS: business English refusal letters, politeness strategies, face theoryContentsIntroduction (1)Chapter 1 Business English Refusal Letters (3)1.1 The Essence and Functions (3)1.2 Characteristics (3)Chapter 2 Politeness Theories＆Brown and Levinson’s Face Theory . 52.1 Politeness Theories (5)2.2 Brown and Levinson’s Face Theory (5)Chapter 3 Politeness Strategies in Business English Refusal Letters .. 73.1 Positive Politeness Strategies (7)3.1.1 Attending to Hearer (7)3.1.2 Appreciation (8)3.1.3 Exaggerating (8)3.1.4 Asserting Common Ground (9)3.1.5 Being optimistic (9)3.2 Negative Politeness Strategies (10)3.2.1 Being Conventionally Indirect (10)3.2.2 Hedging (11)3.2.3 Minimizing the Imposition (12)3.2.4 Apologizing (12)3.2.5 Nominalization (13)3.3 Bald-on-record Strategies (13)3.4 Distribution of Politeness Strategies in Business English Refusal Letters (14)3.4.1 Distribution of Politeness Strategies in the Data (14)3.4.2 Discussion (15)Conclusion (17)Acknowledgments (19)Bibliography (20)IntroductionWith the rapid development of global economic, the world enters into an age that needs more and more communication, especially in the business field. Marketplace is like battlefield. How to turn the corner in guild battle and expand the market and win is a question. Business communication skills are particularly important. Effective communication can promote the business relationship, save time and cost, improve the reputation and improve the company’s profits.In a variety of ways of business communication, business English letters play an important role in business trade. In business letters, refusal letter expresses unpalatable message no matter how you organize your words. Its essence is not polite, such as rejecting an applicant’s work application, refusing customer claim for compensation or refusing to exchange products. Therefore, for many people, writing a business letter is not an easy thing, especially when some negative information is contained in. No one wants to hurt his customers, everyone hope that they can keep a good relationship with their customers. It makes the writer in a dilemma, because the writer has two goals to achieve: one is to convey refusal message; Another is to maintain a positive relationship with customers. These letters are very common in commercial trade. If we don’t give them enough attention, we might fail, we might get a great loss in trade and commerce. As we all know, business English letter plays an important role in business trade, including building business relationship, inquiring price, offering a counter-offer and refusing a claim. To some extent, we can find that the success of the business transaction is depended upon the effectiveness of the business English letter.A business letter is a letter that can achieve expected purpose. And a successful refusal letter can transform the negative message to positive message in the angle of the recipient; it can skillfully use euphemistic words to retain customers, to keep the loyalty and trust on enterprises. In business activities, aletter of sincere and strategy can help the sender persuade the customer accept the rejected reason calmly when passing a depressing bad news.Politeness phenomena is widespread in the different culture and languages. It is the necessary means of coordinating interpersonal relations and promoting communication. Politeness principle is the basic requirement for business letter writing. It involves language, communication skills, business knowledge, cultural background, which has the characteristics of modern English. As a special kind of business letters, refusal letters have special requirements for politeness. How to compensate for this kind of behavior of threating the recipient face essentially, and whether can achieve the purpose of taking care of both positive and negative face, will determine whether there is the possibillity to continue the cooperation between enterprises and between enterprises and individuals.The effectiveness of business English letter can affect the result of business transaction, in particular, when it is related to some special situations, like refusing the requirements of customers or saying “no” to them. Therefore, it is meaningful and valuable to study the application of politeness strategies in business English refusal letters.The following passage is talking about the application of politeness strategies in business English refusal letters.Chapter 1 Business English Refusal Letters1.1 The Essence and FunctionsBusiness English letter is an effective method to exchange message between business partners, which are geographically separated. It can serve to deliver message, to convey opinions, to exchange experience and to deal with business affairs. It can also help to make and keep good relationship with partners for a long time. In the course of transaction, the seller tries his best to satisfy the customer’s wants, for instance, to accept the counter-offer and the order. But a business cannot satisfy customers’wants all the time, which indicates that the customers’ needs may be turned down sometimes. However, it is a challenge for the seller to deliver bad news to the buyer. Any mishandling of the bad news will upset the customer, lose possible trade, and damage the image of the seller’s company, which is against the seller’s intention. So it is very meaningful and significant to study the employment of refusals in business English letters.Business English letters are written in English as in foreign-related business language of the floorboard of all sorts of business correspondence and electronic letter. Based on the nature of information and its influence on readers’requirements, letters with bad news can be divided into many kinds, business English refusal letter is one of them, mainly refers to the letter that refuses the writers’various requirements and request in business activities. Therefore, business English refusal letters need to complete two goals: one is to express the refusal message; one is to show their friendliness, in order to maintain the good relationship between each other.1.2 CharacteristicsBusiness letters are usually to express willingness or discuss the specific cooperation. But refusal letter is different from other business letters, and it is usually to convey bad news to partners or customers. This makes it harder tocommunicate, because no one will be very happy to accept that their request is rejected, or their interests are damaged. In writing refusal letter, therefore, one should pay more attention to the tone of writing and expression. One should clear the cause of the refusal message to the recipient, at the same time also should not scare customers away, to retain customers.Refusal is often not comprehensive in business trade. On the contrary, most refusals tend to be single, targeted. Therefore, in the business trade, one party refuses to something, but to give each other the possibility of bargaining in other ways. This refusal itself is relative. The refusal in business trade does not mean cooperation broken,but to inject one of the writer’s needs, containing a concession of a clause in the contract or mediation. So one uses language appropriately in order to achieve the purpose of being polite, and intelligent tactful, in declining the request of the writer, at the same time maintains good trade relations of cooperation in business contacts, which has become a standard of judging whether a refusal letter is successful.Chapter 2 Politeness Theories ＆Brown and Levinson’sFace Theory2.1 Politeness TheoriesPoliteness is a pragmatic phenomenon, which has become a consensus of people in the academic circles. Politeness is often interpreted as a strategy that people take in order to achieve a certain purpose, such as increasing or maintaining social harmony relationship on both sides. They include some conventional politeness strategies. Since the phenomenon of politeness has captivated researchers in linguistics for a long time. Fraser identifies four main areas in research: the social norm view, the conversational-maxim view, the face-saving view and the conversational-contract view. Among the four views, the face-saving view of politeness by Brown&Levinson (1987) is still the most influential view in the study of politeness.These four main views of politeness constitute the major findings in this field. We can find that Brown and Levinson’s face saving view is better than the social norm view and the conversation maxim view. Because it explains politeness in a more compositive and scientific way. And it clearly states what motivates the specific linguistic choice of politeness. Therefore, Brown and Levinson’s face saving view is chosen as the theoretical framework for this thesis. That is to say, this research aims to study the application of politeness strategies in business English refusal letters from the perspective of Brown and Levinson’s face theory.2.2 Brown and Levinson’s Face TheoryBrown and Levinson officially put forward “face theory”in 1978. According to this theory , “face”is the rational individual communication in social communication, trying to maintain public, self-image. It is divided into positive face and negative face. Positive face refers to the individuals want to get the love, appreciation and affirmation of others; Negative face refers toevery social member wants the private will and freedom shall be inviolable. Meanwhile, many speech act will pose a threat to the speaker’ or hearer’s face, rational people in communication will avoid this kind of Face threatening act (Face threatening act, FTA for short).Politeness as a common phenomenon in human society, has always been favored by society. Relevant theories and research results are abundant. However, the most common and popular one is the politeness theory raised by Brown and Levinson. This theory is known as face theory. The theory includes three basic concepts: face, face threatening acts, and politeness strategies.Face is defined as the individual sense of self-worth and self-image. The image in the process of communication with others might be damaged, maintained, or improved. Face can be divided into positive face and negative face. Positive face refers to the individuals want to get the love, appreciation and affirmation of others; Negative face refers to every social member wants the private will and freedom shall be inviolable. Some speech act is likely to damage or threat others’face. Such behavior is called “Face threatening act”. Speech acts are likely to threaten positive face and negative face. In order to reduce the possibility of damage to both sides’face, the speaker should be evaluated and choose the right words according to the degree of threat to face. To face threat degree can be evaluated according to the social distance between speakers and hearers, relative power and impose intrinsic to the speech acts. It is found that the politeness strategies applied in business English refusal letters are positive politeness strategies, negative politeness strategies and bald-on-record strategies.Positive politeness strategies include attending to hearer, exaggerating the people’s interests and approval, sympathy, asserting common ground, offering help or promise, being optimistic and so on. Negative politeness strategies contain being conventionally indirect, hedging, minimizing the imposition, apologizing, impersonalizing, stating reasons, nominalizing. Bald-on-record strategy is a straightforward utterance which does not redress FTAs at all.Chapter 3 Politeness Strategies in Business EnglishRefusal Letters3.1 Positive Politeness StrategiesAccording to Brown and Levinson’s politeness theory, positive politeness strategy is a kind of strategy taken by the speaker in order to meet the needs of positive face of the hearer. Positive face refers to the hope to get others’affirmation and compliments. To keep one’s positive face not compromised, it is necessary for the speaker to use positive politeness strategy to make the hearer’s face is respected. For this purpose, the speaker can cater to the intention of the hearer and let the hearer feel that his/her behavior has obtained the speaker recognition and praise. In business English letter, positive politeness performs mainly in five kinds of strategies: attending to hearer, appreciation, exaggerating interest/approval, asserting common ground and being optimistic.3.1.1 Attending to HearerAs for attending to hearer, Brown and Levinson give us an example: “Goodness, you cut your hair”. This sentence reflects a thing that the speaker attaches great importance to the hearer. In business English letters, we take advantage of sentence patterns like “we hear from...”“we know that...”in the beginning section of letters to show that we care about the latest development of possible business partner and take the partner’s wants into account. Consequently, the reader’s positive face needs are fulfilled. The following examples will show how this strategy works:1)We know that your corporation deals in steel and tempered glass furniture and is the largest in this field.2)We learn from the Commercial Counselor of our Embassy in your country that you manufacture and export a variety of handicraft articles.These examples show that the writer takes great notice of the hearer and pays much attention on the partner that he/she communicates with.3.1.2 AppreciationAs we all know, everybody would like to be appreciated and admired if they have done something good. In business English letters, we ought to show our favor and gratefulness without hesitation at the time that the business partner has offered some help. This will meet his/her positive face needs. Sentence patterns like “Thank you/Thanks for...” and “I/We thank you for...”are frequently employed in the beginning or the ending parts of business English letters so as to realize the strategy. For instance:3)Thank you for your quotation for men’s shirts and the samples sent us on 6 May.4)We appreciate the good quality of your goods, but we regret to tell you that we are not in a position to accept the offer on your terms.5)Thank you for your letter of 16 May with your latest catalogue and price list of Speed Brand Electric Scooter.In commercial communication, proper appreciation will promote the good relationship between the business partners. The appreciation can gain the reader’s favorable expression.3.1.3 ExaggeratingIn line with Brown and Levinson, there is a sentence: “What a fantastic garden you have!”This strategy, exaggerating, is realized by means of strengthening modifiers and exaggerating intonation. In business English letters, such exaggerative or emphatic words as “absolutely, sincerely, very, really” and adjective in the super level are frequently put to use to achieve this strategy. Some examples are presented below:6)You are a valued customer and we sincerely regret we are unable to accept your order.7)We are very sorry to say that the quantity of cotton at the market just now is very small and prices consequently have advanced. It is, therefore, out of our power to execute your order.By effect of overstating the aspiration in examples, the writer shows his willingness to great extent and satisfies the reader’s wants to be appreciated. This shorten the psychological distance between the writer and the reader. They will be unconsciously influenced and become closer.3.1.4 Asserting Common GroundAsserting some common grounds can be used to cut down the psychological distance between the writer and the reader. The writer can express an agreement on certain suggestion put forward by the reader or present his/her interest and concern of the reader’s needs. Negative messages are said straightforward. So they appear too abrupt to be polite. Denial or refusal based on certain agreement to some extent is to express thoughtfulness and considerateness to the reader.8) In consideration of the very pleasant business relationship we have had with you for more than twenty years,we have decided to agree to your suggestion.9) We agree with you that a new coffee maker should not stop working after five months.10) We understand your concern, but we have already taken steps to improve our packing and are confident that our future shipment will give you complete satisfaction.The above examples show the writer’s understanding and concern of the reader’s difficulty and trouble. Take Example (9) for explanation. Example (9) is recommended from a refusal of a claim. As a matter of fact, the writer does not agree with the reader in the claim. However, the writer at first seeks agreement with the reader. For this reason, it softens the blow of the following refusal of the claim in the letter. In this way, the reader’s positive face want is fulfilled.3.1.5 Being optimisticBeing optimistic shows that the writer expects further relation with thereader. The writer supposes the reader also wants writer’s wants. The reader would like to cooperate with the writer for perspective benefits of the two parties. In business English refusal letters, the writers often express optimism about future business relationship. As the writer has upset the reader, he or she must find something to say that may help calm down the reader and focus on the possibility of future cooperation. A positive ending part is absolutely essential to counteract the refusal information.11) We are looking forward to hearing from you soon.12) We hope to do business with your company in the future.13) We shall let you know when we can meet your requirements and we invite your attention to our other products.The above examples often turn up in the ending part of letters and serve to put up the writer’s desire to cooperate with the reader.3.2 Negative Politeness StrategiesIn Brown and Levinson’s theory system, negative face means someone does not expect others to impose himself and his actions are not interfered by others. Negative politeness strategies are mainly measures taken by the speaker intending to partially satisfy the hearer’s negative face. The negative politeness strategies recognize the hearer or the reader’s face wants, but they also recognize that the speaker or the writer is in some way imposing on his or her face. The negative politeness strategies may include: be conventionally indirect, hedge,minimize imposition, apologize, impersonalize, state reasons, nominalize.3.2.1 Being Conventionally IndirectThe first trouble that negative politeness faces is the contradiction between the direct and indirect: on one hand, straightforward can save a lot of unnecessary detour, so as to save each other’s time; on the other hand, indirect expression can give the other party a time to refuse. The solution to this contradiction is conventionally indirect, which means the writer uses indirectexpression method in certain culture and language environment, but also let the reader know what you mean. The most common sentence patterns like “Could/Would you...”“I should...”are frequently used in this strategy. Here are some examples:14) Will you please send me a copy of your catalogue and price list for watches, and copies of any descriptive leaflets that I could pass to prospective customers?15) Could you send us a price list for your new product line and a full range of samples at your earliest convenience?Via employing “Could/Would/Will you please...”in the sentences, the writer does not take the reader’s compliance for granted. With the question mark, the writer seeks the reader’s capacity and desire to fulfill the demand. The reader’s freedom is not limited and the negative face of the speaker is saved.3.2.2 HedgingWhy do we need to express indirectly? Because we cannot assume that the other person will accept our direct expression. In other words, we cannot assume that the other person will like what we say. This is a very important negative politeness: don’t preset other’s attitude. So, corresponding strategy is that we need to express in a doubt way and avoid any exact words. Hedges hold back the expression from being too extreme or too absolute, thus makes it hard for the reader to deny the expression. Then, it is believed that the reader’s positive face needs can be satisfied.16) We would like to know whether you are able to allow us a special discount.17) We think that it would not be our interests to supply this type of battery.In the above examples, the mitigating word groups make the writer appear less powerful, serious and haughty. It can be employed to shorten the distance between the reader and the writer. The sentence patterns for purpose of hedging, like “I guess(wonder, assume, think, believe, suppose...), sort of, almost, really,quite, somewhat, kind of, a little bit...” are often applied to realize this strategy in business English refusal letters.3.2.3 Minimizing the ImpositionOn the basis of Brown and Levinson’theory, minimizing the imposition saves the hearer’s negative face. In business English letters, the writer might deliver the indirect refusals by means of raising suggestions or coming up with another claim. Here are examples:18) Please say whether you could supply the goods from stock as we need them urgently.19) We just regret we cannot accept “cash against documents on arrival of goods at destination”.Minimizing the imposition can be done by using “only, just, a little...” and the conventionalized politeness marker like “please”. They may be used to reduce the face threatening force.3.2.4 ApologizingIn accordance with Brown and Levinson, the writer can state clearly his unwillingness to threaten the reader’s negative face by apologizing for doing face-threating acts. In business English refusal letters, apology plays a part as an indirect refusal. Lots of apologizing expressions can be found in business English letters such as “I regret...”“I’m sorry...”and so on. The following sentences are examples:20) We regret we cannot accept “cash against documents on arrival of goods at destination”.21) We are very sorry to tell you that we are not in a position to accept the offer on your terms.To realize this strategy of apologizing, the writer acknowledges that he/she has done something wrong on the reader’s negative face and make an apology ahead of time to put it right. The strategy effects to prevent conflicts happeningand keep good relationship between the reader and the writer.3.2.5 NominalizationNominalization has been observed to be a linguistic feature. It is a feature of scientific and professional writing. It is basically abstract in nature and therefore has the effect of removing personal involvement from the narrative of the writing. Brown and Levinson(1987) suggest that the grammatical structure of nominalization semantically signals some distance between the event and the speaker and the event becomes objectified and abstracted. The following are examples:22) Our terms of payment are by irrevocable letter of credit in our favor, available by draft at sight, reaching us one month ahead of shipment, remaining valid for negotiation in China for another 21 days after the prescribed time of shipment, and allowing transshipment and partial shipments.In above sentence，the verb “pay” is nominalized as “payment”. The writer distances his imposing request from the reader to some extent by impersonalizing the act.3.3 Bald-on-record StrategiesDirect refusals, according to Brown and Levinson, belong to the bald-on-record strategies. Bald-on-record strategies attempt to state the speaker’s intention clearly and directly, without any remedial measures. It is a straightforward, direct, unambiguous and concise expression. The speaker does not need to apologize or use adjustment measures in doing a face-threating act. Compared with other kinds of politeness strategies, bald-on-record strategy appears to be direct and open. This strategy can be adapted only when the speaker and the hearer have a lot in common so that face-threating acts cannot threaten their face needs. For example:23) We much interested in your curtains but because your minimum limit for order is to big for this market, we are unable to induce buyers to place trial orders for your products.24)To our regret, we cannot accept your order, since our profit margin does not allow us any concession by way of discount of prices.25) While we appreciate your interest in our new products, we deeply regret being unable to handle any order at the moment, as our manufacturers are heavily committed for lots of months to come and cannot meet your requirements in this case.The above examples definitely state clearly the writers’inability to meet the partner’s needs and accomplish the order. The writer is unable to fulfill the business partner’s request. Therefore the writer tells the truth to the partner to present his honest and let the reader know it is not the reason that the writer does not want to cooperate with him/her. On the opposite, the writer wants to maintain good relationship with the business partner if the writer has the ability. Many expressions like “cannot, could not, unable, should not...” can be used to realize this strategy.3.4 Distribution of Politeness Strategies in Business English Refusal Letters3.4.1 Distribution of Politeness Strategies in the DataThe above passages inform us a detailed presentation on how the politeness strategies are applied in business English refusal letters. This thesis presents three main kinds of politeness strategies. They are positive politeness strategy, negative politeness strategy, bald-on record strategy. In addition, the main sub-strategies of the three strategies are mentioned in the terms of the applications in the business English refusal letters. Positive politeness strategy attempts to decrease the distance and thus strengthening relationship and harmony between the writer and the reader. While negative politeness strategy manages to meet the reader’s negative face by means of showing respect for the positive face and not intervening the freedom of actions of the reader. Bald-on record strategy is less frequently used in the corpus. Then, I think we should。