Kent Bach, Routledge Encyclopedia of Philosophy
entry
SPEECH ACTS
Making a statement may be the paradigmatic use of language,
but there are all sorts of other things we can do with words. We can make
requests, ask questions, give orders, make promises, give thanks, offer
apologies, and so on. Moreover, almost any speech act is really the performance
of several acts at once, distinguished by different aspects of the speaker's
intention: there is the act of saying something, what one does in saying
it, such as requesting or promising, and how one is trying to affect one's
audience.
The theory of speech acts is partly taxonomic and partly
explanatory. It must systematically classify types of speech acts and the
ways in which they can succeed or fail. It must reckon with the fact that
the relationship between the words being used and the force of their utterance
is often oblique. For example, the sentence 'This is a pig sty' might be
used nonliterally to state that a certain room is messy and filthy and,
further, to demand indirectly that it be straightened out and cleaned up.
Even when this sentence is used literally and directly, say to describe
a certain area of a barnyard, the content of its utterance is not fully
determined by its linguistic meaning--in particular, the meaning of the
word 'this' does not determine which area is being referred to. A major
task for the theory of speech acts is to account for how speakers can succeed
in what they do despite the various ways in which linguistic meaning underdetermines
use.
In general, speech acts are acts of communication. To
communicate is to express a certain attitude, and the type of speech act
being performed corresponds to the type of attitude being expressed. For
example, a statement expresses a belief, a request expresses a desire,
and an apology expresses a regret. As an act of communication, a speech
act succeeds if the audience identifies, in accordance with the speaker's
intention, the attitude being expressed.
Some speech acts, however, are not primarily acts of communication
and have the function not of communicating but of affecting institutional
states of affairs. They can do so in either of two ways. Some officially
judge something to be the case, and others actually make something
the case. Those of the first kind include judges' rulings, referees' calls
and assessors' appraisals, and the latter include include sentencing, bequeathing
and appointing. Acts of both kinds can be performed only in certain ways
under certain circumstances by those in certain institutional or social
positions.
1. Levels of speech acts
2. Communicative and conventional speech acts
3. Types of speech acts
4. Direct, indirect and nonliteral speech acts
5. Philosophical importance of speech act theory
1. Levels of speech acts
How language represents the world has long been, and still
is, a major concern of philosophers of language. Many thinkers, such as
Leibniz, Frege, Russell, the early Wittgenstein, and Carnap (q.v.), have
thought that understanding the structure of language could illuminate the
nature of reality. However noble their concerns, such philosophers have
implicitly assumed, as J. L. Austin complains at the beginning of How
to Do Things with Words, that 'the business of a [sentence] can only
be to "describe" some state of affairs, or to "state some
fact", which it must do either truly or falsely'. Austin reminds us
that we perform all sorts of 'speech acts' besides making statements, and
that there are other ways for them to go wrong or be 'infelicitous' besides
not being true. The later Wittgenstein also came to think of language
not primarily as a system of representation but as a vehicle for all sorts
of social activity. 'Don't ask for the meaning', he admonished, 'ask for
the use'. But it was Austin who presented the first systematic account
of the use of language. And whereas Wittgenstein could be charged with
having conflating meaning and use, Austin was careful to separate the two.
He distinguished the meaning (and reference) of the words used from the
speech acts performed by the speaker using them.
Austin's attention was first attracted to what he called
'explicit performative utterances', in which one uses sentences like 'I
nominate ...', 'You're fired', 'The meeting is adjourned', and 'You are hereby
sentenced ...' to perform acts of the very sort named by the verb, such as
nominating, firing, adjourning, or sentencing (see PERFORMATIVES). Austin
held that performatives are neither true nor false, unlike what he called
'constatives'. However, he came to realize that constatives work just like
performatives. Just as a suggestion or an apology can be made by uttering
'I suggest ...' or 'I apologize ...', so an assertion or a prediction can be
made by uttering 'I assert ...' or 'I predict ...'. Accordingly, the distinction
between constative and performative utterances is, in Austin's general
theory of speech acts, superseded by that between saying something and
what one does in saying it. This broader distinction applies to both statements
and other sorts of speech acts, and takes into account the fact that one
does not have to say 'I suggest ...' to make a suggestion, 'I apologize ...'
to make an apology, or 'I assert' to make an assertion.
The theory of speech acts aims to do justice to the fact
that even though words (phrases, sentences) encode information, people
do more things with words than convey information, and that when people
do convey information, they often convey more than their words encode.
Although the focus of speech act theory has been on utterances, especially
those made in conversational and other face-to-face situations, the phrase
'speech act' should be taken as a generic term for any sort of language
use, oral or otherwise. Speech acts, whatever the medium of their performance,
fall under the broad category of intentional action, with which they share
certain general features (see ACTION). An especially pertinent feature
is that when one acts intentionally, generally one has a set of nested
intentions. For instance, having arrived home without one's keys, one might
push a button with the intention not just of pushing the button but of
ringing a bell, arousing one's spouse and, ultimately, getting into one's
house. The single bodily movement involved in pushing the button comprises
a multiplicity of actions, each corresponding to a different one of the
nested intentions. Similarly, speech acts are not just acts of producing
certain sounds.
Austin identifies three distinct levels of action beyond
the act of utterance itself. He distinguishes the act of saying
something, what one does in saying it, and what one does
by saying it, and dubs these the 'locutionary', the 'illocutionary'
and the 'perlocutionary' act, respectively. Suppose, for example, that
a bartender utters the words, 'The bar will be closed in five minutes,'
reported by means of direct quotation. He is thereby performing the locutionary
act of saying that the bar (i.e., the one he is tending) will be closed
in five minutes (from the time of utterance), and what is said is reported
by indirect quotation (notice that what the bartender is saying, the content
of his locutionary act, is not fully determined by the words he is using,
for they do not specify the bar in question or the time of the utterance).
In saying this, the bartender is performing the illocutionary act of informing
the patrons of the bar's imminent closing and perhaps also the act of urging
them to order a last drink. Whereas the upshot of these illocutionary acts
is understanding on the part of the audience, perlocutionary acts are performed
with the intention of producing a further effect. The bartender intends
to be performing the perlocutionary acts of causing the patrons to believe
that the bar is about to close and of getting them to want and to order
one last drink. He is performing all these speech acts, at all three levels,
just by uttering certain words.
There seems to be a straightforward relationship in this
example between the words uttered ('The bar will be closed in five minutes'),
what is thereby said, and the act of informing the patrons that the bar
will close in five minutes. Less direct is the connection between the utterance
and the act of urging the patrons to order one last drink. Clearly there
is no linguistic connection here, for the words make no mention of drinks
or of ordering. This indirect connection is inferential. The patrons must
infer that the bartender intends to be urging them to leave and, indeed,
it seems that the reason his utterance counts as an act of that sort is
that he is speaking with this intention. There is a similarly indirect
connection when an utterance of 'It's getting cold in here' is made not
merely as a statement about the temperature but as a request to close the
window or as a proposal to go some place warmer. Whether it is intended
(and is taken) as a request or as a proposal depends on contextual information
that the speaker relies on the audience to rely on. This is true even when
the connection between word and deed is more direct than in the above example,
for the form of the sentence uttered may fail to determine just which sort
of illocutionary act is being performed. Consider, by analogy, the fact
that in shaking hands we can, depending on the circumstances, do any one
of several different things: introduce ourselves, greet each other, seal
a deal, or bid farewell. Similarly, a given sentence can be used in a variety
of ways, so that, for example, 'I will call a lawyer' could be used as
a prediction, a promise, or a warning. How one intends it determines the
sort of act it is.
2. Communicative and conventional speech acts
The examples considered thus far suggest that performing
a speech act, in particular an illocutionary act, is a matter of having
a certain communicative intention in uttering certain words. Such an act
succeeds, the intention with which it is performed is fulfilled, if the
audience recognizes that intention. This is not by magic, of course. One
must choose one's words in such a way that their utterance makes one's
intention recognizable under the circumstances. However, as illustrated
above, the utterance need not encode one's intention. So, in general, understanding
an utterance is not merely a matter of decoding it.
A specifically communicative intention is a reflexive
intention, of the sort characterized by H. P. Grice (see COMMUNICATION/INTENTION).
This is an intention part of whose content is that it be recognized, indeed
be recognized partly on the basis that this is intended. Accordingly, it
is an intention whose fulfillment consists in its recognition. This feature
distinguishes acts of communication from most sorts of acts, whose success
does not depend on anyone's recognizing the intention with which they are
performed. One cannot succeed in running a marathon just by virtue of someone's
recognizing one's intention to do so, but one can succeed in stating something,
requesting something, etc., by virtue of one's addressee recognizing that
one is stating it, requesting it, etc. This is success at the illocutionary
level. It is a further matter, a condition on the success of perlocutionary
act, whether the addressee believes what one states or does what one requests.
Now Austin did not take into account the central role
of speakers' intentions and hearers' inferences. He supposed that the successful
performance of an illocutionary act is a matter of convention, not intention.
Indeed, he held that the use of a sentence with a certain illocutionary
force is conventional in the peculiar sense that this force can be 'made
explicit by the performative formula'. P. F. Strawson argues that in making
this claim Austin was overly impressed by the special case of utterances
that affect institutional states of affairs, and should have not taken
them as a model of illocutionary acts in general. Austin was especially
struck by the character of explicit performative utterances, in which one
uses a verb that names the very type of act one is performing. For them
he developed an account of what it takes for such acts to be performed
successfully and felicitously, classifying the various things that can
go wrong as 'flaws', 'hitches', and other sorts of 'infelicities'. It is
only in certain conventionally designated circumstances and by people in
certain positions that certain utterances can have the force they do. For
example, only in certain circumstances does a jury foreman's pronouncement
of 'Guilty' or 'Not guilty' count as a verdict, a legislator's 'Aye' or
'Nay' as a vote, and a baseball umpire's cry of 'Y'er out' as calling a
runner out. In these cases it is only by conforming to a convention that
an utterance of a certain form counts as the performance of an act of a
certain sort. However, as Strawson argues, most illocutionary acts succeed
not by conformity to convention but by recognition of intention. They are
not conventional except in the irrelevant sense that the words and sentences
being used have their linguistic meanings by virtue of convention (see
CONVENTIONALITY OF LANGUAGE).
Strawson's argument raises a serious problem for theories
inspired by Austin's view. Consider, for example, the theory advanced by
John Searle, who proposes to explain illocutionary forces by means of 'constitutive
rules' (conventions) for using 'force-indicating' devices, such as performative
verbs and sentential moods. The problem is that the same sorts of illocutionary
acts that can be performed by means of such devices can be performed without
them. For example, one does not have to use a performative, as in 'I demand
that you be quiet', or the imperative mood, as in 'Be quiet!', to demand
someone to be quiet. Clearly a theory that relies on rules for using such
devices is not equipped to explain the illocutionary forces of utterances
lacking such devices. No such difficulty arises for a theory according
to which most illocutionary acts are performed not with an intention to
conform to a convention but with a communicative intention.
3. Types of speech acts
Pretheoretically, we think of an act of communication,
linguistic or otherwise, as an act of expressing oneself. This rather vague
idea can be made more precise if we get more specific about what is being
expressed. Take the case of an apology. If you utter, '[I'm] sorry I didn't
call back' and intend this as an apology, you are expressing regret for
something, in this case for not returning a phone call. An apology just
is the act of (verbally) expressing regret for, and thereby acknowledging,
something one did that might have harmed or at least bothered the hearer.
An apology is communicative because it is intended to be taken as expressing
a certain attitude, in this case regret. It succeeds as such if it is so
taken. In general, an act of communication succeeds if it is taken as intended.
That is, it must be understood or, in Austin's words, 'produce uptake'.
With an apology, this a matter of the addressee recognizing the speaker's
intention to be expressing regret for some deed or omission. Using a special
device such as the performative 'I apologize' may of course facilitate
understanding (understanding is correlative with communicating), but in
general this is unnecessary. Communicative success is achieved if the speaker
chooses his words in such a way that the hearer will, under the circumstances
of utterance, recognize his communicative intention. So, for example, if
you spill some beer on someone and say 'Oops' in the right way, your utterance
will be taken as an apology for what you did.
In saying something one generally intends more than just
to communicate--getting oneself understood is intended to produce some
effect on the listener. However, our speech act vocabulary can obscure
this fact. When one apologizes, for example, one may intend not merely
to express regret but also to seek forgiveness. Seeking forgiveness is,
strictly speaking, distinct from apologizing, even though one utterance
is the performance of an act of both types. As an apology, the utterance
succeeds if it is taken as expressing regret for the deed in question;
as an act of seeking forgiveness, it succeeds if forgiveness is thereby
obtained. Speech acts, being perlocutionary as well as illocutionary, generally
have some ulterior purpose, but they are distinguished primarily by their
illocutionary type, such as asserting, requesting, promising and apologizing,
which in turn are distinguished by the type of attitude expressed. The
perlocutionary act is a matter of trying to get the hearer to form some
correlative attitude and in some cases to act in a certain way. For example,
a statement expresses a belief and normally has the further purpose of
getting the addressee form the same belief. A request expresses a desire
for the addressee to do a certain thing and normally aims for the addressee
to intend to and, indeed, actually do that thing. A promise expresses the
speaker's firm intention to do something, together with the belief that
by his utterance he is obligated to do it, and normally aims further for
the addressee to expect, and to feel entitled to expect, the speaker to
do it.
Statements, requests, promises and apologies are examples
of the four major categories of communicative illocutionary acts: constatives,
directives, commissives and acknowledgments. This
is the nomenclature used by Kent Bach and Michael Harnish, who develop
a detailed taxonomy in which each type of illocutionary act is individuated
by the type of attitude expressed (in some cases there are constraints
on the content as well). There is no generally accepted terminology here,
and Bach and Harnish borrow the terms 'constative' and 'commissive' from
Austin and 'directive' from Searle. They adopt the term 'acknowledgment',
over Austin's 'behabitive' and Searle's 'expressive', for apologies, greetings,
congratulations etc., which express an attitude regarding the hearer that
is occasioned by some event that is thereby being acknowledged, often in
satisfaction of a social expectation. Here are assorted examples of each
type:
Constatives: affirming, alleging, announcing, answering,
attributing, claiming, classifying, concurring, confirming, conjecturing,
denying, disagreeing, disclosing, disputing, identifying, informing, insisting,
predicting, ranking, reporting, stating, stipulating
Directives: advising, admonishing, asking, begging,
dismissing, excusing, forbidding, instructing, ordering, permitting, requesting,
requiring, suggesting, urging, warning
Commissives: agreeing, guaranteeing, inviting,
offering, promising, swearing, volunteering
Acknowledgments: apologizing, condoling, congratulating,
greeting, thanking, accepting (acknowledging an acknowledgment)
Bach and Harnish spell out the correlation between type
of illocutionary act and type of expressed attitude. In many cases, such
as answering, disputing, excusing and agreeing, as well as all types of
acknowledgment, the act and the attitude it expresses presuppose a specific
conversational or other social circumstance.
For types of acts that are distinguished by the type of
attitude expressed, there is no need to invoke the notion of convention
to explain how it can succeed. The act can succeed if the hearer recognizes
the attitude being expressed, such as a belief in the case of a statement
and a desire in the case of a request. Any further effect it has on the
hearer, such as being believed or being complied with, or just being taken
as sincere, is not essential to its being a statement or a request. Thus
an utterance can succeed as an act of communication even if the speaker
does not possess the attitude he is expressing: communication is one thing,
sincerity another. Communicating is as it were just putting an attitude
on the table; sincerity is actually possessing the attitude one is expressing.
Correlatively, the hearer can understand the utterance without regarding
it as sincere, e.g., take it as an apology, as expressing regret for something,
without believing that the speaker regrets having done the deed in question.
Getting one's audience to believe that one actually possesses the attitude
one is expressing is not an illocutionary but a perlocutionary act.
4. Direct, indirect and nonliteral speech acts
As Austin observed, the content of a locutionary act (what
is said) is not always determined by what is meant by the sentence being
uttered. Ambiguous words or phrases need to be disambiguated (see AMBIGUITY)
and the references of indexical and other context-sensitive expressions
need to be fixed in order for what is said to be determined fully (see
DEMONSTRATIVES AND INDEXICALS). Moreover, what is said does not determine
the illocutionary act(s) being performed. We can perform a speech act (1)
directly or indirectly, by way of performing another speech act, (2) literally
or nonliterally, depending on how we are using our words, and (3) explicitly
or inexplicitly, depending on whether we fully spell out what we mean.
These three contrasts are distinct and should not be confused.
The first two concern the relation between the utterance and the speech
act(s) thereby performed. In indirection a single utterance is the performance
of one illocutionary act by way of performing another. For example, we
can make a request or give permission by way of making a statement, say
by uttering 'I am getting thirsty' or 'It doesn't matter to me', and we
can make a statement or give an order by way of asking a question, such
as 'Will the sun rise tomorrow?' or 'Can you clean up your room?' When
an illocutionary act is performed indirectly, it is performed by way of
performing some other one directly. In the case of nonliteral utterances,
we do not mean what our words mean but something else instead. With nonliterality
the illocutionary act we are performing is not the one that would be predicted
just from the meanings of the words being used, as with likely utterances
of 'My mind got derailed' or 'You can stick that in your ear'. Occasionally
utterances are both nonliteral and indirect. For example, one might utter
'I love the sound of your voice' to tell someone nonliterally (ironically)
that she can't stand the sound of his voice and thereby indirectly to ask
him to stop singing.
Nonliterality and indirection are the two main ways in
which the semantic content of a sentence can fail to determine the full
force and content of the illocutionary act being performed in using the
sentence. They rely on the same sorts of processes that Grice discovered
in connection with what he called 'conversational implicature' (see IMPLICATURE),
which, as is clear from Grice's examples, is nothing more than the special
case of nonliteral or indirect constatives made with the use of indicative
sentences. A few of Grice's examples illustrate nonliterality, e.g., 'He
was a little intoxicated', used to explain why a man smashed some furniture,
but most of them are indirect statements, e.g., 'There is a garage around
the corner' used to tell someone where to get petrol, and 'Mr. X's command
of English is excellent, and his attendance has been regular', giving the
high points in a letter of recommendation. These are all examples in which
what is meant is not determined by what is said. However, Grice overlooks
a different kind of case, marked by contrast (3) listed above.
There are many sentences whose standard uses are not strictly
determined by their meanings but are not implicatures or figurative uses
either. For example, if one's spouse says 'I will be home later'. she is
likely to mean that she will be home later that night, not merely some
time in the future. In such cases what one means is an expansion
of what one says, in that adding more words ('tonight', in the example)
would have made what was meant fully explicit. In other cases, such as
'Jack is ready' and 'Jill is late', the sentence does not express a complete
proposition. There must be something which Jack is being claimed to be
ready for and something which Jill is being claimed to be late to. In these
cases what one means is a completion of what one says. In both sorts
of case, no particular word or phrase is being used nonliterally and there
is no indirection. They both exemplify what may be called 'impliciture',
since part of what is meant is communicated not explicitly but implicitly,
by way of expansion or completion.
5. Philosophical importance of speech act theory
The theory of speech acts has applications to philosophy
in general, but these can only be illustrated here. In ethics, for example,
it has been supposed that sentences containing words like 'good' and 'right'
are used not to describe but to commend, hence that such sentences are
not used to make statements and that questions of value and morals are
not matters of fact. This line of argument is fallacious. Sentences used
for ethical evaluation, such as 'Loyalty is good' and 'Abortion is wrong,'
are no different in form from other indicative sentences. Whatever the
status of their contents, they are standardly used to make statements.
This leaves open the possibility that there is something fundamentally
problematic about their contents. Perhaps such statements are factually
defective and, despite syntactic appearances, are neither true nor false.
However, this is a metaphysical issue about the status of the properties
to which ethical predicates purport to refer. It is not the business of
the philosophy of language to determine whether or not there are such properties
as goodness or rightness and whether or not the goodness of loyalty and
the rightness of abortion are matters of fact. The above argument is but
one illustration of what Searle calls the 'speech act fallacy'. He also
identifies examples of the 'assertion fallacy', whereby conditions of making
an assertion are confused with what is asserted. For example, one might
fallaciously argue, on the grounds that because one would not assert that
one believes something if one was prepared to assert that one knows it,
that knowing does not entail believing. Grice identifies the same fallacy
in a parallel argument, according to which seeming to have a certain feature
entails not actually having that feature (see ORDINARY LANGUAGE PHILOSOPHY).
For philosophy of language in particular, the theory of
speech acts underscores the importance of the distinction between language
use and linguistic meaning (see PRAGMATICS and SEMANTICS). This distinction
sharpens the formulation of questions about the nature of linguistic knowledge
(see LINGUISTIC COMPETENCE), by separating questions about capacities exercised
in linguistic interaction from those specific to knowledge of language
itself. A parallel distinction, between speaker reference and linguistic
reference (see REFERENCE), provokes the question of to what extent linguistic
expressions refer independently of speakers' use of them to refer. It is
common, for example, for philosophers to describe expressions like 'the
car', 'Robert Jones' and 'they' as having different references in different
contexts, but it is arguable that this is merely a misleading way of saying
that speakers use such expressions to refer to different things in different
contexts.
References and further reading
* Austin, J. L. (1962) How to Do Things with Words,
Cambridge, Mass.: Harvard University Press. (Develops the distinction between
performative and constative utterances into the first systematic account
of speech acts.)
Bach, K. (1994) 'Conversational impliciture', Mind
& Language 9: 124-62. (Identifies the middle ground between explicit
utterances and Gricean implicatures.)
* Bach, K. and R. M. Harnish (1979), Linguistic Commuication
and Speech Acts, Cambridge, Mass.: MIT Press. (Combines elements of
Austin's taxonomy and Grice's theory of conversation into a systematic
account of the roles of the speaker's communicative intention and the hearer's
inference in literal, nonliteral and indirect uses of sentences to perform
speech acts.)
* Grice, H. P. (1989) Studies in the Way of Words,
Cambridge, Mass.: Harvard University Press. (The essays on meaning and
conversational implicature provide a framework for distinguishing speaker
meaning from linguistic meaning and for explaining their relationship.)
* Searle, J. (1969) Speech Acts: An Essay in the Philosophy
of Language, Cambridge, Eng.: Cambridge University Press. (Presents
a theory of speech acts relying on the notion of constitutive rules.)
* Strawson, P. F. (1964) 'Intention and convention in
speech acts', Philosophical Review 73: 439-60. (Applies Grice's
account of meaning to support the claim that most speech acts are communicative
rather than conventional, as Austin had suggested.)
Tsohatzidis, S. L., ed. (1994) Foundations of Speech
Act Theory: Philosophical and Linguistic Perspectives, London:
Routledge. (Collection of original essays on outstanding problems in the
field, with useful bibliography.)
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