Linguistics Department School ofModem Language Studies The University ofNew South Wales AN INVESTIGATION OF ADDRESSING, OPENINGS AND CLOSINGS IN CHINESE PERSONAL LETTERS by Xianghong Cao Thesis submitted in fulfilment of the requirements for the Degree of DOCTOR OF PHILOSOPHY April, 2004 PLEASE TYPE THE UNIVERSITY OF NEW SOUTH WALES Thesis/Project Report Sheet Surname or Family name: C tt..O First name: X I~M'J Other name/s: Abbreviation for degree as given in the University calendar: (11,-_ "_S) school: /Vlodem L~l/l."cJe ~t-tcf,es Faculty: Ar::Cs Title: Art ~ves-tJ~'tr/\. of ~s-s/~ / tpe/u(Js cu-.o( clos/(Js .t.A. cA.;..... e.S""e per<s'(')'_,.__d Le.ite/--s Abstract 350 words maximum: (PLEASE TYPE) Investigations into address forms, openings and closings in the sociolinguistics and discourse fields have largely focused on oral communication. This study has set out to examine linguistic and pragmatic features of addressing, opening and closing behaviours in relation to the effects of social factors and the cultural constraints in actual language use in Chinese personal letters. The aim of this research is to provide a better understanding of the forms, functions, sequences and uses of utterances in these three routinized speech behaviours in written interaction and intercultural communication in the Chinese context. Using a database of 259 personal letters written by Chinese in Xinjiang Autonomous Regions, an analysis and discussion are presented, using both qualitative and some simple quantitative techniques. Findings reveal that there is a variety of address forms that Chinese writers use in personal letters, which is a reflection of the diversity and elaborateness of this practice in Chinese. In terms of openings and closings, this study suggests that in Chinese personal written interaction, these two behaviours are highly ritualized and closely structured, consisting of a series of phatic and routine speech acts to achieve the establishment and the consolidation of interpersonal relationships between writer and recipient. With respect to the relationship between language variation and social variables, the study shows that the choices of language patterns or sequences vary with generation, gender, the level of authority, the level of intimacy and social distance. This research also reflects that the influence of Confucian ethics in the Chinese cultural context has a considerable impact on Chinese people's linguistic performance in terms of addressing practice, openings and closings in personal letters. Findings from this study highlight three issues. First, it is suggested that there is much to be gained in pragmatic studies of phatic communion, speech acts and politeness by shifting the focus from the single unit to the discourse domain. Second, the influences of social variables in language use are extremely complex, and analysis needs to take this into account. Third, there is a need to incorporate the larger cultural context as a determinant factor in the study of speech acts and behaviours in communication. Declaration relating to disposition of project reporVthesis CERTIFICATE OF ORIGINALITY I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, nor material which to a substantial extent has been accepted for the award of any other degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in this thesis. Any contribution made to the research by others, with whom I have worked at UNSWor elsewhere, is explicitly acknowledged in this thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance fromot hers in the project's design and conception or in style, presentation and linguistic expression is acknowledged. (Signed) ACKNOWLEDGEMENT I would like to gratefully acknowledge all those who have contributed to the completion of this thesis. First, and foremost, I would like to express my deepest thanks to my supervisor, Dr Rod Gardner, for his great assistance and inspiration. His extraordinary patience, enthusiasm, and invaluable advice and guidance helped me overcome many difficulties, and had a great influence on this thesis. I would also like to express my gratitude to Professor Peter Collins and Dr. Louise J. Ravelli for their valuable suggestions, as well as to Professor John Brotherton for his generous help with the formatting of the very final version of the text. Special acknowledgment must go to Professor Zhu Wanjing, who offered good advice on the concept of politeness during the time of my external research in Beijing. Particular thanks are given to my students, colleagues and friends in Xinjiang Normal University who provided me with the personal letters that comprised the source of data for this research. Without their co-operation this thesis would not have been possible. My sincere thanks also go to Kang Yuanfei, Xing Mingang, Ben Hamblin, Wang Li, Maria Oujo, Emilia Djonov, Emmi Mikedakis, Gavin Farrell, Ke Wanli, Li Haihua, Gunnar Mollenbeck, Cui Jiangying, Zhang Shaosan, Zhang Erjie and Xu Shaorong for the immense moral support, encouragement, help, and kindness they gave me throughout much of my research. Special thanks must also go to the Applied Linguistics Department of Auckland University for kindly providing me with access to their library and their computers during the time of the pre-final draft preparation. Finally, my heartfelt thanks are given to my husband, Chen Peizhong, and my daughter, Chen Bai, for their remarkable understanding, patience, and spiritual and practical support. Particular appreciation is given to my mother for her complete devotion to the care of my family. I hope my whole family will share my happiness as I submit this thesis. ABSTRACT Investigations into address forms, openings and closings in the sociolinguistics and discourse fields have largely focused on oral communication. This study has set out to examine linguistic and pragmatic features of addressing, opening and closing behaviours in relation to the effects of social factors and the cultural constraints in actual language use in Chinese personal letters. The aim of this research is to provide a better understanding of the forms, functions, sequences and uses of utterances in these three routinized speech behaviours in written interaction and intercultural communication in the Chinese context. Using a database of 259 personal letters written by Chinese in Xinjiang Autonomous Regions, an analysis and discussion are presented, using both qualitative and some simple quantitative techniques. Findings reveal that there is a variety of address forms that Chinese writers use in personal letters, which is a reflection of the diversity and elaborateness of this practice in Chinese. In terms of openings and closings, this study suggests that in Chinese personal written interaction, these two behaviours are highly ritualized and closely structured, consisting o_f a series of phatic and routine speech acts to achieve the establishment and the consolidation of interpersonal relationships between writer and recipient. With respect to the relationship between language variation and social variables, the study shows that the choices of language patterns or sequences vary with generation, gender, the level of authority, the level of intimacy and social distance. This research also reflects that the influence of Confucian ethics in the Chinese cultural context has a considerable impact on Chinese people's linguistic performance in terms of addressing practice, openings and closings in personal letters. Findings from this study highlight three issues. First, it is suggested that there is much to be gained in pragmatic studies of phatic communion, speech acts and politeness by shifting the focus from the single unit to the discourse domain. Second, the influences of social variables in language use are extremely complex, and analysis nee.ds to take this into account. Third, there is a need to incorporate the larger cultural context as a determinant factor in the study of speech acts and behaviours in communication. ii TABLE OF CONTENTS CHAPTER ONE: INTRODUCTION 1.1 The nature of this study 1 1.2 Background 5 1.3 Research questions 6 1.4 Research objectives 7 1.5 Organization of the thesis 7 CHAPTER TWO: LITERATURE REVIEW 2.0 Introduction 9 2.1 Conceptual framework 9 2.1.1 Phatic communion and the relationship aspect of communication 9 2.1.2 Speech act theory 13 2.1.3 Grice's Cooperative Principle 18 2.1.4 Concept ofpoliteness 23 2.1.4.1 Brown and Levinson's model ofpoliteness 24 2.1.4.2 Studies inspired by Brown and Levinson's model of politeness 25 2.1.5 Language and social variables 28 2.1.5.1 Power and solidarity 28 2.1.5.2 Language and gender 30 2.1.6 Summary 33 2.2 Studies of address forms, openings and closings in interaction 34 2.2.1 Address forms 34 2.2.1.1 Concept and functions 34 2.2.1.2 Previous studies of address forms 35 2.2.2 Openings 42 2.2.2.1 Concept of conversational openings 42 2.2.2.2 Types of conversational openings 43 2.2.2.3 Functions of conversational openings 44 2.2.2.4 Structures of conversational openings 48 2.2.3 Closings 54 2.2.3.1 Concept of conversational closings 55 lll 2.2.3.2 Functions of conversational closings 55 2.2.3.3 Structures of conversational closings 58 2.3 Unresolved issues and research opportunities 63 2.4 Concluding remarks 66 CHAPTER THREE: METHODOLOGY