朱敏.跨文化商务沟通中的非语言语用失误[D].四川：西南财经大学, 2012.docx

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1、Nonverbal Pragmatic Failure in Intercultural Business Communication 跨文化商务沟通中的非语言语用失误 学位申请人： 朱敏 _ 年 级： _ 2005 级 _ 学科专业： 外国语言学及应用语言学 研究方向： 商 务 文 本 文 体 _ 指导教师： _ 帅建林 _ 定稿时间： 2007 年 11 月 _ 西南财经大学 学位论文原创性及知识产权声明 本人郑重声明：所呈交的学位论文，是本人在导师的指导下， 独立进行研究工作所取得的成果。除文中已经注明引用的内容外， 本论文不含任何其他个人或集体已经发表或撰写过的作品成果。对 本文的研究

2、做出重要贡献的个人和集体，均已在文中以明确方式标 明。因本学位论文引起的法律结果完全由本人承担。 本学位论文成果归西南财经大学所有。 特此声明 学位申请人 : 年月日 摘要 人们在交际过程中除语言形式外还伴随着体态语、副语言、环境语等非 语言形式的交流。然而，非语言行为在不同的文化背景下所表示的含义不尽 相同，跨文化交际中非语言交际的冲突尤其明显。本文结合文化学和认知语 言学中的图式理论，分析了跨文化商务语境中的非语言语用失误现象，旨在 理解非语言交际发生的复杂过程和原理的基础上，提出在商务实践中避免非 语言语用失误的策略。 研究表明人们在处理任何外界信息的时候都需要依据已有的图式对信息 进行

3、解释、预测、组织和吸收。当人们进入陌生的文化语境时，由于没有具 备相关的图式或缺乏调动图式的能力未能正确表达自己意图或理解对方意 图，从而出现种种语用失误，尤其是在非语言交流方面。大多数的非语言语 用失误都是发生在潜意识或无意识的层面，只有当交际预期没有实现时人们 才能意识到。 文章提出非语言语用失误发生的表层原因是文化差异，文化图式的相对 缺位则是更深层原因。因此，作者将文化顺应与图式理论相结合，通过对商 务语境与其它跨文化语境交际的对比，明确了商务沟通中非语言因素的重要 性，阐述了文化图式在非语言交际中的作用过程以及非语言语用失误产生的 原因和后果，力图找到有效途径，克服非语言语用失误，达

4、到成功的商务沟 通。 关键词：非语言语用失误；跨文化商务沟通；认知图式；文化顺应 I Abstract Human verbal communication is always accompanied by various nonverbal codes like kinesics, paralanguage, environmental language, and so on. Since those nonverbal codes may have different meanings in different cultures, pragmatic failure is unavoida

5、ble. In this dissertation, the author suggests an integrated approach from the perspectives of cultural and cognitive science to study the phenomenon of nonverbal pragmatic failure in the intercultural business context. This attempt aims at understanding the complex mechanism through which nonverbal

6、 communication takes place, and at solving the nonverbal pragmatic failure in practice. Cultural schema theory is employed to analyze the sojourners adaptation to new cultural environment Hiroko Nishida (1999) contends that sojourners failure to understand host natives behavior is due to sojourners

7、lack of schemas used in the host culture. When sojourners do not have the schemas used in the host culture, they tend to focus on data-driven processing which requires efforts and attention. The author extends this theoretical approach to the nonverbal communication field and further provides some p

8、ractical solutions. To be specific， the authors analyses involve the obligations to i ) examine the uniqueness of business nonverbal interaction process by comparing the business communication process with other communicative process and the nonverbal process with the verbal process; ii) explicate h

9、ow the cultural schemas actually function when people interact with each other; iii) identify three interrelated aspects of sojourners intercultural transformation functional fitness, individualization and univesalization; and iv) I provide guidelines in practical intercultural nonverbal communicati

10、on. The author concludes that most nonverbal communication transpires on a level that is below our conscious awareness, so that we are not usually aware the inappropriateness of our nonverbal behaviors until the communication fails to meet our expectation. Sojourners failure to recognize the nonverb

11、al cues that are relevant to meaningful interactions in the host culture is mainly due to their lack of the schemas of that culture. Therefore, the acquisition of the schemas of the host culture is a necessary condition for sojourners intercultural adaptation. Key words ： nonverbal pragmatic failure

12、; intercultural business communication; cognitive schema; cultural adaptation Contents Chapter One Introduction . 1 1.1 Research Purpose and Scope . 1 1.2 Research Methods. 2 1.3 Organization of the Research . 2 Chapter Two Literature Review . 4 2.1 Business Communication in Intercultural Context .4

13、 2.1.1 Communication and Culture . 4 2.1.2 Understanding Intercultural Business Communication . 6 2.1.3 Related Studies on Intercultural Business Communication .7 2.2 Nonverbal Communication . 8 2.2.1 The Definition of Nonverbal Communication .8 2.2.2 Related Studies on Nonverbal Communication . 9 2

14、.2.3 Inadequacy of Previous Studies . 10 2.3 Nonverbal Pragmatic Failure . 11 2.3.1 On Defining Nonverbal Pragmatic Failure . 11 2.3.2 Previous Studies on Nonverbal Pragmatic Failure .13 2.3.3 Inadequacy of Previous Studies . 16 Chapter Three Study of Different Nonverbal Codes from the Perspective o

15、f Cultural Schema . 18 3.1 Theoretical Base . 18 3.1.1 Schema Theory . 18 3.1.2 Culture and Schema . 20 3.2 Nonverbal Codes in Intercultural Business Context .22 3.2.1 Eight Codes of Nonverbal Communication . 22 3.2.2 Functional Importance of Nonverbal Codes in Business Context .24 I 3.3 Case Studie

16、s: a Cultural Schema Approach . 26 Chapter Four Accounts for Nonverbal Pragmatic Failure in Intercultural Business Communication . 31 4.1 Communication Models . 31 4.1.1 Overall Business Communication Model . 31 4.1.2 Functional Model of Nonverbal Exchange . 33 4.2. Cultural Accounts for Nonverbal P

17、ragmatic Failure . 36 4.2.1. Culture and Nonverbal communication . 36 4.2.2 Intercultural Difference in Nonverbal Communication . 37 4.2.3 Case Study . 38 4.3 Cognitive Accounts for Nonverbal Pragmatic Failure . 39 4.3.1 Cultural Schemas for Social Interaction . 40 4.3.2 Cognitive Activity of Nonver

18、bal Pragmatic Failure . 41 Chapter Five Strategies for Intercultural Adaptation in Business Workplace . 43 5.1 Intercultural communication Competence . 43 5.2 Intercultural Transformation . 45 5.3 Strategies in Practice . 46 5.3.1 Preparation . 47 5.3.2 Personality Characteristics . 48 5.3.3 Busines

19、s Considerations. 49 5.3.4 Amount of Time Spent Communicating . 50 5.4 Case Studies . 50 5.4.1 The Conference Room Environment . 50 5.4.2 Business Card Exchange . 53 Chapter Six Conclusion . 55 Bibliography . 57 Acknowledgement . 60 在读期间科研成果目录 . 61 Chapter One Introduction 1.1 Research Purpose and S

20、cope Today, cultures are colliding and communicating at an ever-accelerating rate, and international business is at an all-time high. Moreover, the technological revolution, especially the Internet, will blur national boundaries and it will transform the nation state in a way humans have not witness

21、ed for a millennium. The possibility of communicating with people from other cultures in our daily interaction is greater than ever before. The study on pragmatic failures is by no means a new area, and most discussions are focused in the verbal communication realm. However, the primary level of cul

22、ture is communicated implicitly, without awareness, chiefly by nonverbal means, and larger communicative problems occur in the nonverbal realm. Since nonverbal communication is a subtle, nonlinguistic, and spontaneous process, we are not usually aware of the inappropriateness of our nonverbal behavi

23、ors until the communication fails to meet our expectation. This dissertation aims to explore the pragmatic failure of nonverbal communication in the intercultural business context. Nonverbal pragmatic failure, the communicative failure stemming from culturally inappropriate nonverbal cues, is one of

24、 the main sources that give rise to the breakdown in intercultural communication. On the theoretical bases of cultural schema and intercultural adaptation, the discussions will focus on the accounts for and the solutions to nonverbal pragmatic failure in intercultural business. l 1.2 Research Method

25、s Ideally, the best approach to collect research data of nonverbal pragmatic failure is to record the interactions between the native and the sojourner in real situations. However, with practical considerations and environmental limitations, the qualitative study in this dissertation is based on eit

26、her the experimental data from other researchers or the authors personal experiences. Comparative study is conducted between verbal and nonverbal communicative process to examine the unique unconsciousness of nonverbal pragmatic failure. Comparative study is also adopted to analyze the differences i

27、n cultural-specific nonverbal interactions. Moreover, the author has carefully selected some cases of nonverbal communication between people from different cultures. These case studies include both personal stories and organizational occasions, and most of them are followed by discussions. 1.3 Organ

28、ization of the Research Following this chapter of introduction, the author devotes the Chapter Two to reviewing the literature concerning the development and main approaches of studies on intercultural business communication, nonverbal communication and pragmatic failure respectively. On this basis,

29、 the key terms in the dissertation are defined and introduced. Chapter Three lists eight different nonverbal codes in the intercultural business context and further explores the functional significance of these nonverbal codes. Theoretical base and two cases are given in the first and the third part

30、 of this chapter in order to explicate the phenomena of nonverbal pragmatic failure. In the forth chapter, the accounts for the nonverbal pragmatic failure in the intercultural business context are probed into from the perspective of cultural implication and cognitive schema. Two communicative model

31、s in the first 2 part of Chapter Four illustrate that culture is primarily an implicit nonverbal phenomenon because most aspects of ones culture are learned through observation and imitation, and failure to demonstrate or interpret the nonverbal codes may render disastrous breakdown for communicatio

32、n. Later discussions on the relationship between culture and nonverbal interactions further prove that nonverbal skills are more important than verbal skills in determining communication success in intercultural context. On the basis of schema theory, the third part of Chapter Four explores that the

33、 culture functions in the nonverbal communication process through a previously constituted framework, which is called cultural schema. Strategies to avoid the nonverbal pragmatic failure are provided in Chapter Five. The author identifies three interrelated aspects of sojourners intercultural transf

34、ormation functional fitness, individualization and universalization, and then provides some guidelines in nonverbal communication practice. Finally, the author summarizes this dissertation and suggests future research plans in the sixth chapter. 3 Chapter Two Literature Review 2.1 Business Communica

35、tion in Intercultural Context Intercultural business communication is a relatively new term in the business world and is defined as communication within and between businesses that involves people from more than one culture. To understand intercultural communication one must first understand communi

36、cation and culture. 2.1.1 Communication and Culture Since all aspects of communication are both “a response to and a function of our culture”（ Samovar &: Porter, 1982:14), socialization in a culture determines what communicative behaviors are perceived as appropriate or desirable within a given cont

37、ext. In addition to the use of verbal messages, during face-to-face interaction a great deal of information about the interactants, personality, beliefs, values, and social status is transmitted and interpreted, often subconsciously, through nonverbal channels. The meaning of both verbal and nonverbal messages is drawn upon past experiences, personal knowledge of language and word meaning, and the social context in which a communicative event occurs. Defining and describing communication is a difficult task because of the complexity of the subject. Writers in the fie