网络会话非言语礼貌策略研究   A STUDY OF THE NON-VERBAL POLITENESS STRATEGIES IN ONLINE CHAT CONVERSATIONS 陶乐心 TAO LOK SUM KAREN 新加坡国立大学中文系 NATIONAL UNIVERSITY OF SINGAPORE 北京大学中国语言文学系 PEKING UNIVERSITY 2013 网络会话非言语礼貌策略研究   A STUDY OF THE NON-VERBAL POLITENESS STRATEGIES IN ONLINE CHAT CONVERSATIONS 陶乐心 TAO LOK SUM KAREN （B.A. Hons, NUS） 新加坡国立大学中文系 北京大学中国语言文学系 双学位硕士（研究）学位论文 A THESIS SUBMITTED FOR THE DOUBLE DEGREE M.A. BY RESEARCH IN CHINESE LANGUAGE DEPARTMENT OF CHINESE STUDIES, NUS DEPARTMENT OF CHINESE LANGUAGE AND LITERATURE, PKU 2013 Acknowledgements My three years of preparation and completion of this thesis have become an unforgettable part of my life. First and foremost, I am most indebted to my supervisor in National University of Singapore, A/P Lee Cher Leng（李子玲副教授）for being an understanding, patient and supportive mentor throughout my three years of study. Without her immense knowledge and invaluable guidance, this paper would never have been completed. I would also like to express my sincere gratitude to my supervisor in Peking University, A/P Ye Wen Xi （叶文曦副教授）for his inspiring guidance and continual support during and after my study at Peking University in 2010-2011. My heartfelt thanks also go to A/P Yung Sai Shing, A/P Lee Cheuk Yin, Dr. Peng Rui, Prof Guo Rui and Prof Shen Yang for offering me the opportunity in this Double Degree M.A. (by research) Programme. I would also like to thank Dr Adrian Tien, Dr. Ho Chee Lick, Dr Xu Zheng and other administrative staff in both NUS and PKU for their assistance and patience whenever I am in need. To my parents, thank you for giving me the freedom of choice when I decided to take a break from my work and return to study. To my family, thank you for always being supportive whenever I feel discouraged. To my colleagues in Unity Secondary School, thank you for your understanding when I need to spend time in my writing. To Tytus, Lujing, Claire, Lorraine, Charlene, Christina, Amy, Jaycee, Zyan, Angela, Bixian, Yingying, Grace, Maggie, Mingzhou and everyone who has helped in this study one way or another, thank you for believing in me. And to myself, thank you for not giving up. And finally, to my dearest Lord, I hope I have not let You down and I am ready to take on the next challenge in life.   i   目录 Acknowledgements ……………………………………………………… … i 目录 ………………………………………………………………… ii 统计表一览 ………………………………………………………………… .v 插图一览 …………………………………………………………… . vi Abstract ……………………………………………………………… vii 第一章 1.1 绪论 ……………………………………….……………… … . 研究动机与背景 ……………………….……… ……… ……….… 1.1.1 研究动机 ……………………….………… .……… ……….… 1.1.2 研究背景 ……………………….………… .……… ……….… 1.2 研究价值与目的 …………………………………… .……………. 1.2.1 研究价值 ……………………….………… .……… ……….… 1.2.2 研究目的 ……………………….………… .……… ……….… 1.3 研究的理论基础 ……………… …………….……………… .… 10 1.3.1 Goffman 的面子观与 Brown & Levinson 的面子理论.… .… . 10 1.3.2 对己礼貌的提出与基本理论框架 .……………… .…… .…….12 第二章 文献综述 ……………………………………………………… 17 2.1 网络会话及相关概念的界定………………….…………… … .17 2.1.1 网络交际（Computer-mediated Communication） ……………17 2.1.2 网络语言（Internet language）………….…………………… …18 2.1.3 网络会话（Online chat conversation）… ……………………… 20 2.2 网络交际的语言学研究…….……………………………… .… …. 21 2.3 网络会话的非言语交际研究……………………………………………25   ii   第三章 研究方法 …………………………… .………….….……… .…27 3.1 研究简介 ……………………………………………………… .…… . 27 3.2 研究对象 ………………………………………… ………… .……… 30 3.3 语料蒐集与整理 …………… …………… …… ……….… .……….33 3.3.1 语料蒐集 ……………………………………………….… .………34 3.3.2 语料整理 ……………………………………………….… .………36 3.3.3 访谈………………………………………………………………….38 第四章 MSN 网络会话语境 ……………………………………….…… .39 4.1 语境与网络交际 ……………………………… ………….…… .… .40 4.1.1 语境的定义与相关概念 ……………………………………………40 4.1.2 网络交际中的语境意义 ……………………………………………41 4.2 MSN 交际渠道（The MSN Medium）.….… ……….…….… .… .…42 4.2.1 背景与基本操作程序.…………………… ………………………42 4.2.2 MSN 交流形式………………… … .…………………………… 45 4.3 MSN 网络交际语境特点…….…….………….… ………… .….…….47 第五章 5.1   网络会话语境中的非言语手段…………………………………50 网络会话中的表情符号…….……… .… ……………… 50 5.1.1 表情符号简介……………………………………………………….50 5.1.2 表情符号的成因及语用价值……………………………………….54 5.1.3 表情符号的使用频率统计………………………………………….57 5.1.3.1 总频率统计………………………………………………….57 5.1.3.2 按象征意义分类及频率统计……………………………….62 5.1.3.3 按分布位置分类及频率统计……………………………….64 iii   5.2 网络会话中的虚拟笑声 ……………………………………………… 70 5.2.1 虚拟笑声简介……………………………………………………….70 5.2.2 虚拟笑声的成因及语用价值……………………………………….72 5.2.3 虚拟笑声的使用频率统计 ……………………………… .75 5.2.3.1 总频率统计………………………………………………….75 5.2.3.2 按体现形式分类及频率统计……………………………….78 5.2.3.3 按分布位置分类及频率统计……………………………….80 第六章 网络会话非言语对他礼貌策略分析………………… …… 87 6.1 网络会话非言语对他礼貌策略.……….……… .… ……………… .87 6.2 网络会话非言语对他积极礼貌策略分析 …………………………….89 6.2.1 表情符号对他积极礼貌策略.………….……… .… ………… 89 6.2.2 虚拟笑声对他积极礼貌策略.………….……… .… ……… 102 6.3 网络会话非言语对他消极礼貌策略分析 .………………………… .113 6.3.1 表情符号对他消极礼貌策略.………….……… .…………… 114 6.3.2 虚拟笑声对他消极礼貌策略.………….… … …………… .118 6.4 网络会话非言语对他间接礼貌策略分析…………………………… 120 6.4.1 表情符号对他间接礼貌策略………….… … ……………… 120 6.4.2 虚拟笑声对他间接礼貌策略………….… … ……………… 126 第七章 网络会话非言语对己礼貌策略分析………………………… 134 7.1 网络会话非言语对己礼貌策略 …….……… .… ……………… 134 7.2 表情符号对己礼貌策略 …………………………………………… .137 7.3 虚拟笑声对己礼貌策略…… …………………………………………147 第八章 结语 …….………………………….…….………………… 154 附录 ……………………………………………………………………………162 参考文献 …………………………………………………………………… .437   iv   统计表一览 表 1.1 新加坡面对面会话与网络会话常用语言比较（问卷调查结果）…… 表 3.1 研究对象的基本资料……………………………………………………32 表 3.2 研究对象的语言背景……………………………………………………32 表 3.3 研究对象的 MSN 使用背景……………………………………….……32 表 3.4 聊天记录代码及附录编号表… .……………………………………….37 表 5.1 表情符号的种类与例子……………………………………… ….…….52 表 5.2 语料中的聊天记录数据表……………………………………… .…….57 表 5.3 研究对象的表情符号使用频率………………………………… .…….59 表 5.4 表情符号使用频率统计表（按象征意义分类）…………… …….….62 表 5.5 表情符号使用频率统计表（按分布位置分类）………………………65 表 5.6 虚拟笑声种类与常见变体例子……… .………………………………70 表 5.7 网络副语言的构成方式和示例……………………………….……… 72 表 5.8 研究对象的虚拟笑声使用频率……………………………….……… 77 表 5.9 虚拟笑声使用频率统计表（按体现形式分类）…………….…… …79 表 5.10 虚拟笑声使用频率统计表（按分布位置分类）…………….……… 82 表 6.1 表情符号对他礼貌策略总表………………………………… ….……88 表 6.2 虚拟笑声对他礼貌策略总表…………………………………… .……88 表 7.1 表情符号与虚拟笑声对己礼貌策略总表………………………… .137 表 8.1 非言语手段频率统计比较…………………………………………….154 表 8.2 非言语礼貌策略频率统计比较……………………………………….156 表 8.3 非言语对他礼貌策略频率统计比较……………………… .…… …157   v   插图一览 图 1.1 新加坡家庭中的电脑普及率（2003－2011 年）……………………… 图 1.2 新加坡家庭中的互联网普及率（2003－2011 年）…………………… 图 1.3 新加坡各年龄层的电脑与互联网使用率 （2011 年）……………… 图 3.1 MSN 聊天记录历史（示例）……………………………………….….29 图 4.1 MSN 登录介面（示例）…………………………………………….….43 图 4.2 MSN 联系人名单（示例）………………………………………….….44 图 4.3 网络会话交际形式（示例）……………………………………….… .45 图 4.4 MSN 对话视窗（示例）……………………………………….……….46 图 5.1 表情符号使用频率统计图（按象征意义分类）………………………63 图 5.2 表情符号使用频率统计图（按分布位置分类）………………………65 图 5.3 虚拟笑声使用频率统计图（按体现形式分类）………………………79 图 5.4 虚拟笑声使用频率统计图（按分布位置分类）……… .…………….82 图 7.1 对己礼貌策略与面子丢失程度关系图……………………………… 135     vi   Abstract The present study is situated in the field of politeness research, which has dominated research in pragmatics for several decades and is mainly based on Brown & Levinson’s Face Theory. According to Brown & Levinson, politeness strategies are developed to show respect and esteem for the face of others. Although this other-oriented approach gives us stable models of politeness, it undermines the needs of the speaker in communication. In this study, we will take into consideration of both other-face and self-face in the examination of politeness strategies in the context of Instant Messaging (IM) conversations, a type of Computer-mediated Communication (CMC), where scant attention has been given despite its popularity and invaluable corpora available since the 1990s. In Singapore, IM was once an important platform for daily interactions among young people. Emoticons and laughter are two familiar and widely used tools found in this text-based, speech-like context. However, due to its novelty, few researches have been conducted to study on the relations between the non-verbal and verbal aspects in IM conversations. This study probes into the politeness phenomenon of IM chat conversations from the perspective of the Face Theory. It aims to describe and analyze how non-verbal cues, emoticons and virtual laughter in particular, are used hand in hand with verbal language throughout social interchange in order to achieve effective communication. The data in this study are from 95 private chat logs collected from users of MSN Messengers, a well-known IM software in Singapore. The findings are derived from both quantitative and qualitative analysis of emoticons and virtual laughter found in the data. The statistical results show that both emoticons and virtual laughter are commonly found in IM conversations, and the conventional types are more frequently used. It is also shown that both emoticons and virtual laughter tend to appear at the end or immediately after a turn. While it is considered a common practice to use a non-verbal cue independently as a turn, it is unlikely for the user to insert them in the middle of a turn.   vii   Besides, after a thorough examination of emoticons and virtual laughter under the Face Theory, the author also finds that: 1) both emoticons and virtual laughter are used as politeness strategies in mitigating face threats to self or others; 2) both emoticons and virtual laughter are able to work independently or compliment written text in an online chat conversation; 3) both emoticons and virtual laughter are most commonly used as a positive-politeness strategies in other-politeness; 4) emoticons are less commonly used in self-politeness as compared to virtual laughter. The studies on non-verbal cues in a CMC setting are very limited and the definitions given by scholars have remained at the stage of emotional icons. In this study, we hope to provide a new perspective to the study on non-verbal cues such as emoticons and virtual laughter. It also hopes to deepen the understanding of politeness strategies in IM conversations so that online interlocutors can use these strategies to promote their conversations in a polite manner. Key words: emoticons; laughter; non-verbal cues; online chat; politeness; face.     viii     (43) 2:01:45 PM TC: put in freezer u can keep for a few months (44) 2:01:46 PM TC: LOL (45) 2:01:49 PM GW: lol (46) 2:02:13 PM GW: anyway tat time u said the frappe from BK/KFC is powerful? (47) 2:02:17 PM GW: was it u? (48) 2:02:33 PM TC: the nescafe (49) 2:02:38 PM TC: KFC (50) 2:02:49 PM GW: haha my colleague drank that few nights back for dinner (51) 2:02:52 PM GW: cant sleep whole night (52) 2:02:57 PM GW: dunno wtf drugs in there (53) 2:03:01 PM GW: i wanna try lol (54) 2:03:18 PM TC: 5.30 with the coupon thigh drum and potato with the coffee (55) 2:03:30 PM TC: its cheap (56) 2:03:40 PM GW: erm i only want the coffee\ (57) 2:03:46 PM TC: lol (58) 2:03:50 PM GW: time to find scapegoats to buy the meal (59) 2:05:02 PM TC: ji hong (60) 2:05:03 PM TC: lol (61) 2:05:19 PM GW: HAHA idea (62) 2:05:30 PM GW: he isnt the kind who drinks so much coffee anyway (63) 2:05:36 PM TC: dont think his coming later right (64) 2:05:39 PM GW: 530 leh (65) 2:05:49 PM GW: it clearly discriminates working adults (66) 2:06:03 PM TC: have to be youwen already (67) 2:06:14 PM GW: im sure if u tell poh 530 tampines he will say "wtf" 435 (68) 2:06:28 PM TC: that day ask him go poh house watch barca vs madrid he said he tired (69) 2:08:09 PM GW: lol 5-0 sia (70) 2:08:15 PM GW: shud be entertaining (71) 2:09:17 PM TC: yes it was (72) 2:09:18 PM TC: lol (73) 2:09:33 PM TC: real has no answer to the slaughtering (74) 2:10:00 PM GW: maybe they thought the red card was the answer. (75) 2:10:34 PM TC: red card was 90min (76) 2:10:35 PM TC: lol (77) 2:10:43 PM GW: clearly not a good answer. (78) 2:11:13 PM TC: ronaldo about 30min he go push gidiola on the ground (79) 2:11:15 PM TC: cos he angry (80) 2:11:17 PM TC: lol (81) 2:11:26 PM TC: he heng he only got yellow card (82) 2:11:37 PM GW: he got a short fuse mah (83) 2:11:44 PM GW: if winning u will see his gay smile (84) 2:12:04 PM GW: losing = cry / fucked up face. 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Online Resources: (sites for statistics) http://www.comscore.com/Insights/Press_Releases/2009/3/First_Report_on_Sing apore_Internet_USage http://www.cs.cmu.edu/~sef/sefSmiley.htm http://www.december.com/cmc/mag/ http://en.wikipedia.org/wiki/Emoticon http://www.itu.int/en/ITU-D/Statistics/Pages/stat/default.aspx http://www.ida.gov.sg/Publications/20070822125451.aspx http://www.internetworldstats.com/stats3.htm http://www.netlingo.com/smileys.php http://www.oed.com/view/Entry/291168?rskey=jxMVBg&result=2&isAdvanced =false#eid http://www.snopes.com/computer/internet/smiley.asp http://cityroom.blogs.nytimes.com/2009/01/19/nfo-emoticon/ http://pages.cpsc.ucalgary.ca/~crwth/LOL/html http://tech.qq.com/a/20121107/000004.htm   450 [...]... value a person effectively claims for himself by the line others assume he has taken during a particular contact Face is an image of self delineated in terms of approved social attributes… 12   由此可见，Goffman 将面子与人们在日常生活中的社交互动结合起来研 究，他认为每个人在一定程度上都在乎别人如何看待自己，并会在社交中时 刻努力创造一种获社会所赞许的正面自我形象。这个形象一旦建立，人们的 行为便会受到约束：一方面受到对自我面子需要的约束，要确保交际行为与 其形象相一致，否则将发生尴尬或信誉丢失的情况；另一方面，人们也期望 他人对面子给予关心，不希望面子受到太大的威胁。显然，在 Goffman 的... 9   1.3 研究的理论基础 1.3.1 Goffman 的面子观与 Brown & Levinson 的面子理论 当人们进行交际时，其言行一定会受到某些因素的影响，有的是有意识 的，有的是无意识的，它们均能帮助交际者在交际过程中更好地选择语言， 以达到理想的交际目的。有关这些因素，美国学者 Goffman（1955）称之为 ‘面子’。Goffman 是最早谈到面子的学者，他认为：“面子（Face）是一 个人在某一具体交际场合中，通过采取言语动作来为自己获得的正面社会价 值，是按照社会所赞许的属性而创造的自我形象。”（Goffman 1955）。 到了 1978 年，Brown & Levinson 在其 1978 年发表的 Universals in Language Usage： Politeness phenomena 一文中，在 Goffman（1955）的研 究基础上，提出了更为成熟的面子理论，把面子作为一种普遍的语言现象来... 实生活中的非言语手段直接进行比较（Walther & D’Addario 2001）。此外， 也有学者从性别差异上研究表情符号，但这些研究的结果都不尽相同，有的 发现女性比男性在网络新闻群中更常使用表情符号（Witemer and Katzman 1998）；也有研究指出男性和女性在电子邮件的表情符号的使用上并无太大 差异（Walther & D’Addario 2001）。我们有理由认为，出现不统一的研究 结果的其中一个原因是，表情符号的使用很多时候取决于网络交际者对于网 络交际管道及交际对象的熟悉程度。 此外，Walther & D’Addario （2001）在其研究中探讨了表情符号的 ‘情感价值’（affective values），并且发现表情符号的出现在不同程度上 影响着语句的‘情感方向’（affective direction）。Provine et al.（2007）则 直接把表情符号的功能等同于‘情感表达’，通过对‘punctuation... Ong （ 1982 ） 在 其 Orality and Literacy: The Technologizing of the Word 一书中在谈及网络交际中口语与书 面语夹杂的特点时提出了‘secondary orality’的概念，深具启发性。后来， 一些学者开始探讨网络交际这个交流管道本身的特点，并提出了一些假设或 理论，比如：Sproull & Kiesler（1986）提出了‘lack of social context cues’ （缺乏社交语境信号）的假设；Culman & Markus（1987）提出了‘cue filtered out theory’（信号滤掉理论），认为在非面对面网络交际中会留下 ‘social vacuum’（社交真空）；还有 Rice & Love（1987）认为网络交际 在很大程度上涉及了‘socioemotional context’（社会情感语境）。这些研... 展便走上百花齐放的道路，各种各类的即使通讯服务相继而生，当中较为人所熟悉的有： 于欧洲和亚洲盛行的 MSN Messenger、美国的 AOL Instant Messenger、中国大陆的腾讯 QQ 等。 21   学者们主要把电子邮件和一般电脑与电脑之间的文本交际作为语篇研究的材 料 。 Hiltz & Turoff （ 1978 ） 在 其 合 著 的 The Network Nation: Human Communication via Computer 中讨论了借助互联网和电脑进行人际交际的效 果，并对网络交际在社会中的作用和发展前景进行了预测，是最初谈及网络 文化和网络交际问题的著作之一。其后，Johansen, Vallee & Spangler（1979） 在 Electronic meetings: Technical alternatives and social choices 一文中研究了 电脑作为交际工具和电子会议的社交作用。必须说明的一点是，在... Goffman（1967）提出‘面子’的概念，‘礼貌’这一课题遂成为中 西方语用学界中的一个极为活跃且备受重视的研究领域。在过去短短 30 余 年间，学者们对礼貌进行了深入的理论研究和跨文化分析，并取得了丰硕的 成果。然而，美中不足的是，这些研究大都是针对说话人对听话人的礼貌而 言的，至于受话人是如何考虑自己的面子需要，又如何利用不同语言体现方 式来保全自己的面子，以及采取对自己礼貌的言语行为或策略，一直没能获 得太大的关注。事实上，在日常交际过程中，说话人同样会考虑到自己的面 子，并且根据个人的需要而采取一定的礼貌策略。 最早提出‘面子’概念的 Goffman（1955）在其 On Face-Work: An Analysis of Ritual Elements in Social Interaction 一文中对‘面子’作出以下定 义： the positive social value... 式，更已引起社会各界的广泛关注及学术界的研究兴趣。无论是传播学、语 言学、心理学、教育学等学科，无不纷纷把目光投向网络交际，带动了跨学 科研究的发展12。 2.1.2 网络语言（Internet language） 语言与社会交际之间存在着共生关系，二者互相依存，互为条件。随着 社会发展和科技的不断进步，语言世界里的一些旧有交际形式不断被淘汰， 新形式不断诞生。当今的互联网时代催生了网络交际这个全新而独特的交流 方式，而相应地，在网络交际的基础上也诞生了网络语言。对网络语言的称 呼可谓五花八门，比如：cyberlanguage, e-language online language, internet language, netlingo，netspeak 等等，相对来说，中文称呼就简单一些，一般 称作‘网络语言’或简称‘网语’。 网络语言的界定向来说法不一，比较普遍的二分法是把网络语言分为 ‘广义’和‘狭义’两类。然而，这样界定并不清晰，实际上，‘广义’和... 遵循着某种‘网络运行规则’（孟建，祁林 2002）。作为人际交流中的重 要载体——语言，更是直接而丰富地体现了网络交际所带来的冲击，难怪语 言学家 David Crystal 在其《语言与因特网》一书的序言中说：“如果说互 联网是一场革命，那么，它将会是一场全新的语言革命。” （Crystal 2001）。因此，从语言学的角度向网络交际中的语言及语言运用问题展开研 究对人际交往的发展来说至关重要，而且刻不容缓。 在芸芸众多的网络交际方式中，其中一种特别受到人们的青睐，那就是 ‘网络会话’。从早期的网上聊天室（Internet Chatroom），到后来风靡一 时的即时通讯（Instant Messaging，简称 IM），乃至如今炙手可热的智能手 机通讯应用程式（Smartphone Apps），如 WhatsApp Messenger5，网络会话 已经成为现代人生活中不可或缺的交流方式，同时也逐渐成为语言学界所关 注的对象。事实上，语言学家从... 面来理解互联网的成就与意义显然不足够。事实上，互联网的发展早已超出 当年 ARPANET 的军事与技术目的3，其最大成就不是把不同的电脑连接起 来，而是把使用电脑的‘人’连接起来，形成一条不受时空限制的多媒体信                                                                                                                 1 据国际电信联盟（International Telecommunication Union, ITU）最新公布的统计数据显示， 截至 2013 年，全球网民数量估计已达 27.5 亿，占全球人口近 39％，与 2005 年的 10.2 亿 相比，增幅近两倍 。数据来源：http://www.itu.int/en/ITU-D/Statistics/Pages/stat/default.aspx 2 Internet（互联网的英文名称）这个名词产生于... （Tact maxim）、（2）慷慨准则（Generosity maxim）、（3）赞扬准则 （Approbation maxim）、（4）谦虚准则（Modesty maxim）、（5）赞同准 则（Agreement maxin），以及（6）同情准则（Sympathy maxim）。 在这六条准则中，最根本和最重要的一条是‘策略准则’，而其它准则 都是在此准则的指导下运作的（何兆熊 2000）。虽然第四则‘谦虚原则’ ——尽量缩小对自身的赞扬，尽量夸大对自身的贬损——稍微涉及了对自身 13   礼貌的考量，但我们不能断定在这一准则下的言语行为是为了减低对自身的 不礼貌，还是对他人的不礼貌（Chen 2001）。总的来说，礼貌准则基本上 可浓缩为：‘使自身受惠最小，使他人受惠最大；使自身受损最大，使他人 受损最小’。尽管 Leech 承认礼貌涉及双方，即‘自身’（self）和‘他人’ （others）10（何兆熊 . models of politeness, it undermines the needs of the speaker in communication. In this study, we will take into consideration of both other-face and self-face in the examination of politeness strategies. users of MSN Messengers, a well-known IM software in Singapore. The findings are derived from both quantitative and qualitative analysis of emoticons and virtual laughter found in the data. The. laughter in particular, are used hand in hand with verbal language throughout social interchange in order to achieve effective communication. The data in this study are from 95 private chat logs