反语的幽默属性和语用功能

[Abstract] Verbal irony, as a widely used figure of speech, has recEived considerable attention from cognitive psychologists and linguists. The traditional study of verbal irony from rhetorical and aesthetical approaches has been shifted to current cognitive and pragmatic investigation. In this paper, focus will be laid upon the humor feature of verbal irony from the perspective of pragmatics. First, through the comparison of different kinds of definitions of irony, a general idea about what is irony is established. Then, this paper examines the Cooperative Principle (CP for short) of American linguist Grice which put forwards that irony acts as a violation of CP. Last but not the least, with the help of the comparison of the pragmatic functions of English irony and Chinese irony, the humor feature of verbal irony can be well displayed. In English, irony could be used to state one’s negative attitude to something. It could be used as a means to satirize, an approach to politeness, an approach to humor. Chinese irony can be classified into five types from the perspective of pragmatic functions as follows: irony for commendation and derogation, irony for satire, irony for fun, irony for affection and irony for emphasis. The pragmatic functions of irony in both languages are similar.

[Key Words] verbal irony; pragmatic function; humor; English and Chinese ironies

【摘 要】 反语作为一种普遍使用的修辞格，引起了认知心 理学 家和语言学家的关注。反语 研究 的角度从传统的修辞学和美学转向了认知心理学和语用学的探究。本文首先从定义和分类上，对反语进行认知层面上的归纳 总结 。其次，基于语用学角度 分析 了反语与合作原则和礼貌原则的联系。反语违反合作原则主要体现在对质量准则的违反上。反语作为一种间接言语，成为礼貌的一种手段。反语原则独立于礼貌原则之外，是对礼貌原则的一大补充。此外，反语是言语幽默的一种表现形式。英汉反语的语用功能大致相似，但也存在不少差异。文中对此异同进行归纳总结，从而得知，反语的幽默属性是其基本属性，在其语用功能中也得到了很好的体现。

【关键词】反语；语用功能；幽默；英汉反语

1. Introduction

Irony is a common linguistic phenomenon in verbal communication. Recent years have seen a mushroom growth of distinctly angled theorizations in this orientation, which nevertheless exhibit strong complementarity. Traditionally, irony is treated as a figure of speech whose intended meaning is the opposite of that expressed by the words uttered. The study of irony in this way belongs to that of rhetoric. American linguist Grice takes irony as one of those figures of speech that flouts the Cooperative Principle (CP for short), especially the Maxim of Quality. Irony interpreted under this pragmatic model conveys the contradiction of what is literally said. Linguists Sperber and Wilson treat irony as an echoic mention while linguist Cuddon states that “At its simplest, verbal irony involves saying what one doesn’t mean.” [1]

In this paper, focus will be laid upon the humor feature of verbal irony from the perspective of pragmatics. First, through the comparison of different kinds of definitions of irony, a general idea about what is irony is established. Secondly, this paper examines Gricean Cooperative Principle which put forwards that irony acts as a violation of CP. Thirdly, with the help of Leech’s idea of irony, the pragmatic function of irony could be better displayed. Finally, the last point is about the pragmatic functions of both English irony and Chinese irony. In a word, irony is one way to produce humor in verbal communication.

2. What is irony

It is difficult to define the word of “irony” which could be understood in various ways. The expansion of its research area may be the direct cause of the diversity of the definition of irony. The following are some definitions of irony from dictionaries.

2.1 Dictionary definitions of irony

1) Expression of one’s meaning by saying the direct opposite of one’s thoughts in order to be emphatic, amusing, sarcastic, etc. [2]

Oxford Advanced Learner’s English-Chinese Dictionary

2) Use of words which are clearly opposite to one’s meaning, usually EIther in order to be amusing or to show annoyance (e.g. by saying ‘What charming behaviour’ when someone has been rude.) [3]

Longman Dictionary of English Language &Culture (English-Chinese)

3) Irony is a literary technique that achieves the effect of saying one thing and meaning another through the use of humor or mild sarcasm. [4]

Webster’s New World Encyclopedia

4) The use of words to express something other than and especially the opposite of the literal meaning. [5]

Webster English Dictionary

5) Irony is a figure of speech that achieves emphasis by saying the opposite of what is meant, the intended meaning of the words being the opposite of their usual sense. This form of irony is called verbal irony, and differs from the stylistic device of dramatic irony. [6]

English Rhetorical Options

6) Definition of irony from Grolier International Dictionary:

a). An expression or utterance marked by such a deliberate contrast between apparent and intended meaning, for humorous or rhetorical effect.

b). Incongruity between what might be expected and what occurs. [7]

The above definitions, although explained by different experts from different angles, roughly display the nature of irony from both the form and function. Among these definitions, the basic meaning of irony could be found as “saying one thing but meaning another.” The best description of irony, say, the Grolier International Dictionary, takes both the form and function of irony into consideration and gives us a better picture. However , all of these definitions have some shortcomings. First, none of them provides an effective way to identify irony from non-irony. Second, they basically regard irony as a trope or a figure of speech whose literal and connotative meanings are mutually opposed to each other. This traditional understanding has been under challenges by modern research.

2.2 Classification of irony

The classification of irony is presented in different ways by those who work on it. Booth identifies quite a number of types: tragic irony, comic irony, stable irony, unstable irony, dramatic irony, situational irony, verbal irony, rhetorical irony so on and so forth. Kreuz and Roberts distinguish four types of irony: Socratic irony, dramatic irony, irony of fate and verbal irony.[8]

In general, irony involves a contradiction between appearance and reality. Irony results where there is a difference in point of view between a character and the narrator or reader. Traditionally, there are four major types of irony: verbal, dramatic, situational and comic.

2.2.1 Verbal irony

Verbal irony refers to spoken words only. Verbal irony occurs when a character says one thing, but suggests or intends the opposite. The contrast is between what the speaker says and what he actually means. For example, in Julius Caesar, Mark Antony repeats the words “ and Brutus is an honorable man” in the famous “Friends, Romans, Countrymen” speech.[9] Mark Antony’s meaning, however, is that Brutus is completely dishonorable because Brutus, Caesar’s best friend, joined the other conspirators and plunged a knife into Caesar’s chest.

In this paper, the discussion is laid upon this type of irony, verbal irony.

2.2.2 Dramatic irony

Dramatic irony involves more than just spoken words. Dramatic irony occurs when the meaning intended by a character’s words or actions is opposite of the true situation. The contrast is between what the character says, thinks, or does and the true situation. Further, the character cannot see or understand the contrast, but the audience or reader can. For example, in Othello, dramatic irony occurs when Othello refers to Iago as “honest Iago”.[10] Unknown to Othello, Iago is a villain who deceives him into thinking that Desdemona (Othello’s wife) has been unfaithful. For this, Othello unjustly kills his wife, believing the whole time in Iago’s honesty.

The difference in examples for verbal and dramatic irony: Antony calls Brutus “honorable” and knows he is not honorable, while Othello calls Iago “honest” and does not know of Iago’s deceit.

2.2.3 Situational irony

Situational irony defies logical cause/ effect relationships and justifiable expectations. For example, if a greedy millionaire were to buy a lottery ticket and win additional millions, the irony would be situational because such a circumstance cannot be explained logically. Such a circumstance seems “unfair”. This sense of being “unfair” or “unfortunate” is a trademark of situational irony. Because people cannot explain the unfairness, it causes them to question whether or not the word makes sense.

2.2.4 Comic irony (or Irony of fate)

Some irony goes beyond being unfair and is morally tragic. Such irony is often so severe that it causes people to question God and see the universe as hostile. For example, if an honest, hardworking, and generous person buys a lottery ticket and wins ten million dollars, only to die in an auto crash two days later, the irony would reach tragic proportions. When situational irony reaches this scale, it is often called comic irony or irony of fate. Such irony typically suggests that people are pawns to malicious forces.

3. Irony and the Cooperative Principle

3.1 The Cooperative Principle

“American philosopher H.P. Grice made an attempt to explain the course of natural conversation, in which implied messages are frequently involved. His idea is that in making conversation, the participants must first of all be willing to cooperate; otherwise, it would not be possible for them to carry on the talk. This general principle is called the Cooperative Principle, abbreviated as CP. It goes as follows:

Make your conversational contribution such as required at the stage at which it occurs by the accepted purpose or direction of the talk exchange in which you are engaged.

The principle breaks down into particular maxims that summarize particular assumptions about conversation. Different pragamaticists propose different numbers of these maxims but as originally proposed by Grice, the Principle contained four sets of maxims:

The maxims of quantity

a). Make your contribution as informative as is required (for the current purposes of the exchange)

b). Do not make your contribution more informative than is required.

The maxims of quality

Try to make your contribution one that is true:

a). Do not say what you believe to be false.

b). Do not say that for which you lack adequate evidence.

The maxim of relation

Be relevant.

The maxims of manner

Be perspicuous:

a). Avoid obscurity of expression.

b). Avoid ambiguity.

c). Be brief (avoid unnecessary prolixity).

d). Be orderly.” [11]

3.2 Irony as violation of CP

Grice classifies irony as an example of implicature and shows how one can account for irony as a case of flouting the Cooperative Principle by violating the maxim of quality.

Examples:The intended meaning of the speaker is this is a lazy student. However, he uses an opposite of “lazy”—diligent. Diligent is here used to produce sarcasm.

(2) A: Sorry, Mary. I cannot give you a lift after work. I have to meet a friend at the airport.

B: Thank you very much. It’s very kind of you. [13]

In this conversation, B does not really praise A. He uses “It’s very kind of you.” to show his dissatisfaction in fact.

(3) A: John says he tops us all at football.

B: I like his cheek. [14]

When B said, “ I like his cheek.”, he infringed the quality maxim to tell a lie. It is easily inferred from the context that B uses the opposite word “like” to mean his truly dislike.

(4) Rose and David met an elegant woman on the street. They appreciated her fine action until she suddenly spitted phlegm to the floor. Under this situation comes the discourse as follows:

Rose: She is really lovely, isn’t she?

David: She sure is. [15]

Rose tended to use “lovely” to laugh at the elegant woman’s poor action here.

These instances are violations of the maxim of truth by saying something he/ she does not really believe. In these irony acts, indirectness seems like a shield which masks a genuine intent considered risky by the speakers. The ironical utterances not only convey messages but also conceal what the speakers really bear in mind. The speakers violate the Cooperative Principle consciously to express their real meaning in indirect way. Irony helps to make the utterance much more humor.

4. Irony and the Politeness Principle

4.1 The Politeness Principle

Leech thinks that Grice’s Cooperative Principle in itself cannot explain why people employ indirectness while conveying what they mean. In addition, different societies may operate maxims in different ways. There must be some apparent exceptions in actual communication that Cooperative Principle cannot explain. Therefore Leech proposes to supplement Grice’s Cooperative Principle with the Politeness Principle (PP for short). The strategies are summarized below:

Tact:

a). Minimize cost to other.

b). Maximize benefit to other.

Generosity:

a). Minimize benefit to self.

b). Maximize cost to self.

Approbation:

a). Minimize dispraise of other.

b). Maximize praise of other.

Modesty:

a). Minimize praise of self.

b). Maximize dispraise of self.

Agreement:

a). Minimize disagreement between self and other.

b). Maximize agreement between self and other.

Sympathy:

a). Minimize antipathy between self and other.

b). Maximize sympathy between self and other.[16]

Altogether, the maxims are said to “save” the Cooperative Principle, they explain what happens in the case when it is breached.

Example:

Forrest: I only caught five.

Boat Salesman: A couple more and you can have yourself a cocktail.

…[17]

This is a dialogue in the movie Forrest Gump. Although Bubba tells Forrest everything about shrimping, but Forrest still finds that shrimping is tough. One day, he only catches five after a-whole-day hard working. The boat salesman just makes a joke to Forrest in order to cheer him up. Meanwhile, he also tells Forrest a fact that Forrest catches too little. It is an instance of politeness according to the Politeness Principle.

4.2 The Irony Principle

According to Leech, irony is a second-order principle that builds on or exploits the Politeness Principle. The Irony Principle (IP for short) may be stated in a general form as follows:

“If you must cause offence, at least do so in a way which doesn’t overtly conflict with the Politeness Principle, but allows the hearer to arrive at the offensive point of your remark indirectly, by way of implicature.” [18]

Irony can happen if the speaker overvalues the Politeness Principle by blatantly breaking a maxim of the Cooperative Principle in order to uphold the Politeness Principle. For example:

A: Geoff has just borrowed your car.

B: Well, I like THAT! [19]

According to the Irony Principle, we can interpret this ironical utterance this way: what B says is polite to Geoff and is clearly not true. Therefore what B really means is impolite to Geoff and true. Leech believes that the IP can make a speaker impolite while seeming to be polite. In being polite, a speaker is often faced with a clash between the CP and the PP. The speaker has to choose how far to “trade-off” the CP against the PP. In being ironic, a speaker exploits the PP in order to uphold, at a remote level, the CP.

The Irony Principle serves the purpose of avoiding direct criticism through ‘being antisocial’, being insincerely polite. This principle explains why some of the Gricean maxims are breached. [20]

5. Irony and verbal humor

5.1 Verbal Humor

From the surface meaning of the phrase “verbal humor”, we can easily get its meaning: verbal humor is the humor that is organized through verbal form. Verbal humor is the humor that is created or expressed through language with the assistance of situational context occasionally.

Verbal humor can be produced by kinds of figure of speech, say, personification, exaggeration, irony and so on.

5.2 Verbal irony as an approach to verbal humor

Verbal irony refers to spoken words only. It occurs when a character says one thing, but suggests or intends the opposite. It is an approach to humor. As an expression of wisdom, irony is frequently used by the great minds, say, writers or philosophers.

Example: Bernard Shaw’s Anxiety

The exceedingly fascinating and charming American woman dancer Duncan once got off a crack （说俏皮话）to Bernard Shaw: “Sir, given I am in combination with （与……结合） you, and that we have a child who has both my looks and your wisdom and ability. It should be crackerjack （杰出的）.” The commonplace-looking （相貌平平）, Irish writer Bernard Shaw cracked back（回嘴）: “ In case the child only has my looks but your wisdom and ability, that would be crack-brained（发疯的）.”[21]

In this story, Bernard Shaw’s Anxiety, what Bernard Shaw said is according to the sentence of the woman dancer Duncan. So they shared the understanding in common and the humor was in effect.

Example: Hat and Head

Hans Christian Andersen, a Danish nursery tale writer, was born in a humble family. He often wore a torn hat even in the winter. A playboy looked down upon （看不起） him and said unconscionably（肆无忌惮）: “What the shabby （寒酸的） thing on your head? Is that stilled called a hat?” Not to be outdone（胜过）, Andersen countered （对抗） that chap in reply: “What the shabby thing beneath your hat? Is that still called a head?”[22]

Here Andersen changed the order of the two words, “hat” and “head”, which helped him to crack back. Humor resulted .

Example: A Great Man

EinstEIn once wrote a letter to Charlie Chaplin. He said: “Your film ‘ The Modern Time’, everybody in the world can understand. You will certainly become a great man. Einstein.”

In his answer to the letter Charlie Chaplin wrote: “ I admire you even more. Your Theory of Relativity nobody in the world understands, but you have already become a great man. Chaplin.”[23]

In this story, Charlie Chaplin was clever to lend irony to amuse and escape from being outdone.

From the above examples, the conclusion can be easily reached as irony is frequently used to produce humor. In other words, the humor feature of irony could be easily found in humor stories.

6. Pragmatic functions of irony

In the former parts of this paper, we have already discussed about the relation between irony and CP, the association between irony and IP, and the connection between irony and verbal humor. Though irony seems to take flouting CP as its own duty, it acts as an assistant of IP actively. As a type of verbal humor, irony devotes itself to produce humor in people’s communications. However , what are the pragmatic functions of irony? In this section, the key to this question will be presented mainly from two major aspects: pragmatic functions of English irony and pragmatic functions of Chinese irony.

6.1 Pragmatic functions of English irony

Pragmatic functions of English irony can be stated in various ways, similar to the classification of it. In the following passage, the effort will be concentrated on the major functions of irony. Firstly, while using irony people tend to use affirmative to express critique or discontent. Secondly, irony is always used as a means to satirize. Thirdly, irony is used as an approach to be polite. Last but not the least, irony is used as an approach to be humorous.

6.1.1 Used as an affirmative to express critique or discontent

In English, irony is often used to state one’s negative attitude to something. For example:

(2) You are a big help! [25]

(3) You are telling stories! [26] In everyday life, people tend to use irony in their speech though sometimes they may not be conscious of it. The following is another instance:

(4) This morning, I was late for work; at noon, I had my bike stolen; on the way home this afternoon, I slipped down in the street. So today, I am certainly enjoying myself. [27]

Obviously, the narrator did not enjoy himself indeed this day. With the strong discontent of the terrible experience, he expressed his displeasure by using the opposite word “enjoy”.

Irony is used to veil feelings in a subtle way. Words of praise are often found where condemnation is meant. Below are some examples:(This passage implies that Colonel Cathcart was not democratic at all: his democratic spirit extended only to his own group; all others he treated with scorn and highhandedness.)

(2) …a young healthy child well nursed is at a year old a most delicious, nourishing, and wholesome food, whether stewed, roasted, baked or boiled; and I make no doubt that it will equally serve in a fricassee or a ragout. [29]

The author here proposed the measure to solve the problem of starvation and overpopulation by eating or selling children from poor families. However, his real purpose was to rip off the hypocritical mask of hypocrites. Used as a means to satirize, irony helped to disclose the serious problem of the society in above example.

6.1.3Used as an approach to be polite

In daily conversation, people are apt to be polite. As an indirect expression, irony is widely applied. For example:

(1) “Have a drink?”

“All right, but not up at the bar. We will take a table.”

“The perfect father.”

(F.S. Fitzgerald Babylon Revisited) [30]

(2) “The boy has broken another glass,” said the mother.

“A fine thing!” the father replied. [31]

6.1.4 Used as an approach to be humorous

In Section 5.2 of this paper, we have learned that verbal irony serves as an approach of verbal humor. Therefore, the humorous function of irony can be easily revealed. Below are some more examples for further acknowledging.

(1) Polite horse

The Bach sees Ball walking lamely, asks him: “ What’s happened?” Ball says: “ I went to the forest park to ride the horse on Sunday.” “ I’m sure that it was an unruly （难驾驭的），or the horse did not allow to ride?” “Both are not. Just the horse was very polite --- when it ran to a stockade （栅栏）at a full gallop, it stopped all of a sudden and made me leap over first.” Says Ball. [32]

(2) Taken in Twice

“What’s the matter with your hands?”

“They were bitten by the serpent（大蛇）.”

“How can it happen?”

“I went to the forest the day before yesterday. Seeing there is a snake around the tree, I picked up a stick to beat.”

“Missed the target.”

“No, what is twisted（缠绕）around the tree was a rope, while what I picked up was just a snake.” [33]

6.2 Pragmatic functions of Chinese irony

6.2.1 Chinese irony

Chinese irony, to some extent, is equal to the type of English irony, namely verbal irony. Generally speaking, it can be classified as five types: irony for commendation and derogation （褒贬反语），irony for satire (讽刺反语)，irony for fun （趣味反语）, irony for affection（亲热反语） and irony for emphasis（强调反语）.[34] The classification is basically in the light of the pragmatic functions of irony. The detailed demonstration of them will be continued in the following parts.

6.2.2 Pragmatic functions of Chinese irony

(i) Irony for praise and denigration

Irony for praise and denigration is to use praise instead of derogatory term, or vice versa. It is an indirect utterance that can avoid making comments in direct way. It has nothing to do with sarcasm. For instance:

凤姐道：“我那里管得这些事来？ 见识又浅，口角又笨，心肠又直率，人家给个棒槌我就认作针，脸皮又软，搁不住人家两句好话，心里就慈悲了。……”

(“I’m incapabable of running things,” she signed. “I’m too ignorant, blunt and tactless, always getting hold of the wrong end of the stick. And I’m so soft-hearted, anyone can get round me….”)[35]

Apparently, Wang Xi-feng downgraded herself as “ignorant, blunt and tactless”. However, her personality is well known as talent, quick-tongued and wise. It can be considered that irony is used to be modest in this situation.

(ii) Irony for satire

Satire plays a role of frequent feature of irony. It seems like a spoiled child to some literature writers. For example:

(1)几个“慈祥”的老板到菜场去收集一些菜叶，用盐一浸，这就是他们难得的佳肴。

(Some kind-hearted bosses go to the market and pick up some vegetable leaves, coming back and dipping them into salt water, then a god-given cate is ready for them (the women workers)) [36]

(2) 湘云笑道：“‘主雅客来勤’， 自然 你有些警动他的好处，他才要会你。”宝玉道：“罢，罢！我也不称雅，我乃俗中又俗的一个俗人，并不愿同这些人来往。”

(“ ‘When the host is cultured, guests frequent his house’,” quoted Hsiang-yun. “He likes seeing you, surely, because he can learn something from you.”

“Don’t call me cultured,” begged Pao-yu. “I’m the most vulgar of the vulgar herd, and I’ve no desire at all to mix with such people.”) [37] (iii) Irony for fun

Irony for fun refers to the one that may create a relaxed atmosphere. For example:

这个“四十条”去年以来不吃香了，现在又“复辟”了。

(These forty articles went out of vogue last year but are now staging a “come back”.) [38]

Literally, “come back” is an expression of censure. But here it stands for a new starting of the forty articles. By using this word, the speech run smoothly under the light air.

(iv) Irony for affection

Irony is sometimes used to express strong affection. To make advances to others, people can use irony as a support. For example:

几个女人有点失望， 也有些伤心，各人在心里骂着自己的狠心贼。

(Disappointed and rather upset, each woman was secretly laying the blame on her heartless brute of a husband.) [39]

Seemingly, these women were blaming their husbands. Actually, that is not the case. They loved their husbands so much that irony was used to manifest their real affection indirectly by the author.

(v) Irony for emphasis

Irony can be approved in the following example that it can emphasize the opposite meaning.

Example:

我于是日日盼望新年，新年到，闰土也就到了。好容易到了年末，有一日，母亲告诉我，闰土来了，我便飞跑的去看。

（I looked forward every day to New Year, for New Year would bring Runtu. At last the end of the year came, and one day Mother told me that Runtu had come, and I flew to see him.）[40]

Here “好容易” can be easily understood as its real meaning “好不容易”.People can catch its meaning as this is an common expression in Chinese, say, “好不高兴”means “好高兴”，and so on.

6.3 The comparison between English irony and Chinese irony

There are both similarities and differences between English irony and Chinese irony. The similarities lie in some aspects. They are both used for satirizing, amusing and producing humor. It seems that the differences count much more than the similarities.

The differences between English irony and Chinese irony mainly lie in four points as follows.Firstly, the classification of English irony differs from that of Chinese irony. The four major types of irony in English are verbal, dramatic, situational and comic. To some extent, Chinese irony is included in English irony as verbal irony. Secondly, English irony depends on context to a larger extent while Chinese irony simply counts on words. Besides, irony for affection turns out to appear more frequently in Chinese irony than in English. Last but not the least, irony for emphasis can be regarded as a unique feature of Chinese irony since it could not be found in English.

7. Conclusion

As stated, the pragmatic functions of English irony are as follows: used as a means to express critique or discontent, used as a means to satirize, used as an approach to be polite, used as an approach to be humorous. Meanwhile, the pragmatic functions of Chinese irony are presented as: irony for praise and denigration, irony for satire, irony for fun, irony for affection and irony for emphasis.

From the above discussion in this paper, we can come to a conclusion that the major pragmatic functions of irony could be stated as humorous functions. In a broad sense, the humorous functions may be regarded as light humorous functions and heavy humorous functions. The function to be humorous could be considered as one breach of the humorous functions. The light humorous functions include the function to be polite, the function to be humorous, irony for fun, etc. On the other hand, the function for satire serves as a heavy humorous function. To sum up, the main feature of irony is humor feature.

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[29] 同[27]，p28

[30] 薛利芳. 英语Irony和汉语反语的比较与翻译[J].山西农业大学学报（社会科学版），2004，3，p65[32] 同[21]，p170

[33] 同[32]，p222[35] 同[34]，p286

[36] 同[4]，p15

[37] 同[34]，p290

[38] 同[34]，p292

[39] 中国文学出版社编. 中国文学： 现代 小说卷[Z].北京：外语教学与研究出版社，中国文学出版社，1998，11，p464

[40] 同[39]，p34