University of Augsburg, Germany
A pause in the wrong place, an intonation misunderstood, and a whole
conversation went awry.
(E.M. Forster, Passage to India, 1924: 262f.)
Misunderstanding (MU) is a central working category
in Intercultural Communicaton (ICC) studies. Generally
speaking, MUs have gained the role of a raison-d'être for
studying ICC, in particular under the premise that the
communication in question is between cultural others, thus
transforming MU into intercultural MU. In other studies,
conflicts, uncomfortable moments, and miscontextualization
in terms of sociocultural knowledge become indicative for
ICC. Thus making MU criterial for ICC. Both positions are
somehow biased and leave MU mystically underdefined. In
order to escape such uncritical allround function of MU,
all MUs should be of a comparable kind - under all premises.
I treat MU as an event in its own right, as an particular
event within another kind of frame event, showing that it
has a particular sequential structure comprising a trajectory
ante. From such perspective we find internal differences,
some of a cyclic character, others open ended. - In my talk
I will argue strictly data based and will give examples
from various so-called inter- and intracultural conversations.
1. Misunderstanding as common sense category
One evening in my Gothenburg hotel I approached the young man at the reception starting like this:
"I've two or three questions,"
to which he replied by turning around to the board where all the room keys were hanging, repeating:
"Two O three."
"Two or three questions I have,"
I replied. And he smiled and said:
"Ah questions you have, I thought you wanted the key."
Was it a misunderstanding? Definitely yes. Even a full-fledged one. Was it an intercultural misunderstanding by virtue of me being the German guest and the man at the reception probably being Swedish and furthermore, us negotiating the issue in a lingua franca, native to neither of us? Intercultural by virtue of two individuals of different national, ethnic, cultural, linguistic or whatever background? I am not so sure about that. Rather I regard interculturality as a resource in interaction, one that is made relevant by participants as much as they make relevant other 'brought alongs' such as regional or social background or gender something being interactionally brought about on the basis of what was brought along. This, however, shall not be my main point here, as I have dealt with it previously, cf. Hinnenkamp 1989, 1990, 1995). There's another problem to be tackled, and that is the coupling of locally brought-about interculturality with misunderstandings in situated encounters. In particular what always has bothered me throughout a lot of the intercultural and NS/NNS-studies was that "misunderstanding" functions and continues to function in a weird double role of being the outcome of many intercultural encounters on the one hand, whereas, on the other hand, it serves as the raison d'être of studying intercultural communication, to wit: intercultural communication as the locus of studying misunderstanding and miscommunication in its purest form, as it were.
In my opinion, there are three main questions to derive from this. The first one is simply (1) "What is a misunderstanding?" Admittedly, this seems trivial, because we continuously experience misunderstandings, we even call them by their names: "That was a misunderstanding" or "You must have misunderstood me there." Yet misunderstanding seems to have remained a lay category transferred into linguistics and discourse studies without having been defined. The second question to be answered is (2) "How can we as observers know if, how and when people misunderstand?". That is, we clearly need criteria for misunderstanding, and we may combine this question with (1); furthermore, we must be able to find observable criteria independent of lay concerns. Finally we have to ask (3) "What is the particular relationship between intercultural communication and misunderstanding?". What is it that attracts the two, makes them a couple in much of the intercultural and interlanguage communication studies. Such a coupling is well documented. Take a reader like "Analyzing Intercultural Communication" (Knapp, Enninger and Knapp-Potthoff 1987) as an example; the term "misunderstanding" is used about 20 times (including three mentions in my own contribution to the volume), "miscommunication" about 15 times. Both are in frequent company to "awkward moments," "inherent ambiguities," "communication conflict," "communication breakdown" and "communicative failure." The literature often focusses on this notion but there are few if any critical reflections on the notion of misunderstanding itself.
The notion of misunderstanding does not go beyond a common sense understanding of the term. It is furthermore used as a strictly moral category in that it figures as a disturbing factor in communication that has to be removed in order to guarantee or recover smooth conduct. Such an interpretation of 'misunderstanding' reflects and contributes to the ethics and norms of what constitutes 'proper', i.e. undisturbed and 'clean' conversational conduct. It is here that many conceptualizers of misunderstanding meet with many of those of intercultural communication. It supports an idealistic view of language and communication devoid of ambivalence and fuzziness. Misunderstanding, trouble, breakdown and miscommunication in general are thus either presented as contradictable, counterproductive and suboptimal choices within the alleged consensual objective of talk and interaction as a cooperative and agreement-based enterprise, or as something which is structurally intrinsic in particular categories of encounters and situational constellations beyond such interactional dimensions as intersubjectivity and negotiation.
1.1 Misunderstanding as a category in its own right
Rarely do we come across studies on misunderstandings as a (pragma-)linguistic phenomenon in its own right. Even rarer are attempts at grounding misunderstanding somehow empirically. And an absolute rarity is a real-life dialogic perspective beyond experimental and fictional settings.
In those studies which focus on misunderstandings proper in human conduct we find mainly two different kinds of outlook on the problem. One approach attempts to track down the sources of, and reasons for, misunderstandings (e.g. Allwood/Abelar 1989; Falkner 1997), while the other approach attempts to identify the interactional structure of misunderstandings (Humphrey-Jones 1986). At least one reasoning complex is accepted by both: the role that ambiguity and indirectness, the difference between speech and intended meaning, and more generally, coherence and mutual knowledge (or rather their disturbance) play in human speech. Apart from these global grounds of misunderstanding there are attempts at systematizing the possible semantic and pragmatic grounds for misunderstanding on a local speech or dialogue level. Dascal for example argues that "a first step in analyzing misunderstanding is to identify the layer [of significance] in which it arises," (Dascal 1985:443) aiming at a taxonomy of the semantic and pragmatic grounds for misunderstanding. The interactive layers, however, where a misunderstanding might possibly "arise" are as manifold as there are layers to be found. A taxonomy does not account for the working and treatment of a misunderstanding but rather tries to objectify misunderstanding as something to be grasped as exterior to the participants who are involved in an interaction. It identifies misunderstanding without the identifying work of the (mis)accomplishers involved.
What is rather needed is a perspective that is able to show that misunderstanding "is best viewed as an interactional stance, something that can be claimed and disputed or agreed upon, rather than as an objective phenomenon existing independently of participants' claims and noticings" (Bilmes 1992:96). "Treating something as a misunderstanding, then, is as much an interpretive accomplishment of speaker-hearers as treating something as a joke or story" (Schwartz 1977 quoted in Humphrey-Jones 1986:21). A misunderstanding in my view may well be an interpretive accomplishment, but it may also be simply a unilateral interpretive matter and even just a felt matter. In the following I want to approach the problem of misunderstanding by trying to exploit the interactional structure of different types of misunderstandings.
2. Misunderstanding's interactional structure
2.1 Seven types of misunderstanding
There are basically seven different types of misunderstanding (MU 1 to MU 7). They range from what Linell (1995) calls 'overt misunderstanding' (MU 1 and MU 2) to 'latent' ones (as MU 6 and 7), with the 'covert' type in between (MU 3 to 5). Only the overt and covert ones will be of empirical interest here, for two simple reasons: (a) As empirical linguists, we have no access to completely covert misunderstandings because they do not show up on the linguistic surface. Only psychotherapists or the like may have access to them. (b) The second reason is strongly related to the first one: The majority of all misunderstandings are interactionally somehow managed, i.e, they are solved in one way or another and will only very rarely lead to complete breakdown of communication. Although the intercultural literature is full of such serious and sometimes fatal cases of communication breakdowns (cf. Cushing 1994 e.g. for aircraft crashes), in observed and analyzed face-to-face interactions this is hardly corroborated. It is probably for this very reason that some anecdotes seem to be recycled in slightly altered versions.
All this is not to say that misunderstandings might not have grave negative effects in interpersonal encounters or that misunderstandings might not be rooted in mutually incompatible properties due to intercultural differences. Just the opposite is true. But as these misunderstandings most often show up in face-to-face communications and are mostly tackled by interlocutors, it is so much more important to come to terms with what is called 'misunderstanding: to regard misunderstanding not as an accident of communication but as a resource, as a 'rich point (Agar 1993, 1994).
Now lets take a look at some basic types of misunderstanding.
(MU 1) There is an immediate recognition of a misunderstanding, which is indicated by a repair at the next possible opportunity and is then followed by a return to the status quo ante.
Example 1: Fristen (Unlimited)
(Yeah, but it would be unlimited, I'd be at ease, you know) |
2 H: Befristet- [naja] (Limited- well)3 S: [ENTfri]stet (UNlimited)4 H: Entfristet? (Unlimited?)5 S: Entfristet, mhm (Unlimited, ya) |
6 H: Und die äh Habil machste aber trotzdem weiter(?) (But you'll still carry on with your dissertation, though(?)) |
In this example the whole shaded bloc of line 2 to 5 could be omitted and there would not be a trace left of a misunderstanding. The shaded bloc constitutes a kind of minor subdialogue consisting of a repair cycle. Line 2 can be regarded as the repairable, as an indication of a mishearing, in line 3 is the immediate correction of the misunderstood item, and lines 4 and 5 comprise the reassurance by the mishearer and the ratification of the correction by the corrector. The misunderstood item in line 2 is identified as such in the next line in that it is corrected; it is furthermore made intonationally salient. Speaker S says 'ENTfristed' in line 3 thus putting contrastive weight on the exact source of misunderstanding. Note that the misunderstanding is not identified as such by the wrong ratification by speaker H in line 2, but in the retrospective identification through the position of the repair turn in relation to the repairable in line 3. The misunderstanding sequence at my Gothenburg hotel was exactly of the same kind. The occurrence of a misunderstanding is thus located in a vertical order of sequentiality.
(MU 1a) Extended variant: The misunderstood segment may be reconstructed by virtue of identifying or localizing it as such and may even become specified by an explicit 'diagnosis' (i.e., realization of the features of the problem in question) or 'anamnesis' (i.e., case history) of the misunderstanding's trajectory. Such explicit diagnoses could be formulations "I think we have a misunderstanding there," or "That's not what I meant," or "I don't mean X, I mean Y" etc.. A 'case history' we find in examples where explanations or accounts are given that explain why the misunderstanding occurred: "That was metaphorically meant, not literally. You missed that point," or also interculturally: "That's the way we do it" etc.
(MU 2) There is an immediate recognition of a misunderstanding, which is indicated by a repair at the next possible opportunity, but there is no return to the status quo ante. The misunderstanding itself becomes a resource of continuation.
(MU 2a) Extended variant: The misunderstood segment may be reconstructed by virtue of identifiying or localizing it as such and may even become specified by an explicit 'diagnosis' or 'anamnesis' of the misunderstanding's trajectory. Note: the more extended the misunderstanding's trajectory, the less likely is a return to the status quo ante; instead, a continuation based on the misunderstanding is more likely.
(MU 3) There is a gradual recognition of a misunderstanding, which may be indicated by disturbances in the flow of the conversational course, by signs of incoherence, by detours or recyclings (repetitions, paraphrases, circumlocutions, 'talking down'-effects), by unresponded repair initiations, by suddenly or gradually developing traces of verbal, nonverbal, or paralinguistic insecurity, or, simply by the indication or registration of what Erickson and Shultz (1982) have called 'uncomfortable moments', until one interlocutor becomes aware that some kind of misunderstanding has occurred. What may follow is the further treatment as described in MU1 and MU2 (including their extensions). But note: the more distant the recognition of a misunderstanding, the more effort is necessary to repair it and the less likely there will be an easy return to the status quo ante. Furthermore, the more distant the recognition, the less probable is the exact localization and identification of the site of misunderstanding, particularly when the misunderstanding has built up over a whole stretch of turn-by-turn development.
(MU 4) There is a gradual recognition of a misunderstanding, which may be indicated by disturbances in the flow of the conversational course, in signs of incoherence, by detours or recyclings (repetitions, paraphrases, circumlocutions, 'talking down'-effects), by unresponded repair initiations, by suddenly or gradually developing traces of verbal, nonverbal, or paralinguistic insecurity, or, simply by the indication or registration of 'uncomfortable moments,' until the misunderstanding is somehow recognized but does not get treated as described in MU1 and MU2. That is, the misunderstanding will not be clarified by way of a repair with reference to the misunderstanding's anamnesis. It will, however, be solved. That is, interlocutors will overcome the misunderstanding without ever getting to its roots. Hence, there is no trajectory of the misunderstanding to be reconstructed, but rather particular lost threads of discourse will be made to fit together. This, of course, is also a kind of repair. It's like solving a complex mathematical problem without comprehending the individual steps that led to the solution. For the last two kinds I want to give an example, which I have taken from Williams (1985:170f.):
Example 2: Canvassing
2 V: A few weeks ago ah (+) the school send me to factory doing can- 3 vassing (+) canvassing (+) for two weeks experience and ah the 4 boss say give me a position, but (...) when I will finish the course 5 because I have learned to do some more job and cannot take it |
6a IT: So you've been canvassing for work |
6b IT: and who said that they'd give you a job? 7 V: The boss |
8 IT: The boss of who, of what? 9 V: The boss of factory ((laughs)) |
10 IT: What was the factory? 11 V: Canvassing |
12 IT: Oh, is that the name of the factory? 13 V: Oh (+) Joyce (+) Joyce furniture, I think 14 IT: Oh (+) Joyce (+) [furn- (+) Joy? 15 V: [Furniture 16 Joyce 17a IT: Joyce |
17b IT: They make beds? 18 V: Yeah (+) yeah |
19 IT: Is that the place? 20 V: Yeah |
21 IT: The place in (+) in (+) down near Fremantle? 22 V: In West O'Connor 23a IT: O'Connor. Yeah, that's right. The place that makes beds. |
23b IT: So he will give 24 you a job, will he? |
Participants to this encounter are IT, a counsellor at the Australian Commonwealth Employment Service, and the client V, a Vietnamese man, who is enrolled in a job-finding training scheme. IT obviously misinterprets V's "doing canvassing" (line 2f.). It is not taken as the description of the kind of work that is done in the factory but is demonstrably understood in the sense of canvassing for a job in that factory (line 6a). As this interpretation is not questioned, the misinterpretation is not clarified. Thus, however, the factory where V is offered a job remains underspecified from what follows a step-by-step inquiry into the specifics of this alleged offer. As V's answers do not seem to observe the maxim of quantity (Grice 1975), IT keeps on inquiring into more and more details. Even in the exchange in line 11 and 12 where "canvassing" is linked to the factory the misunderstanding is not solved but the confirmation check reveals another misinterpretation because "canvassing" does not refer to the name of the factory but to a production process. Here we have a second misunderstanding, of course. So finally, when the more general "canvassing" gets specified (or generalized) by "that makes beds" (line 23a) this does not clarify the first misunderstanding. It eventually leads to an understanding without ever having made the misinterpreted item a repairable.
The shaded and indented sequences of the exchange parts are all dependent on IT's assumption of being underinformed, whereas V's brevity may be based on the assumption of having given sufficient information. We just receive a whole subdialogue subdivided into various repair sequences (including another misunderstanding), hierarchically dependent on each other, without, however, getting to the repairable.
If we skip the whole subdialogue and imagine this exchange as smooth and uninterrupted, all that is left is the following:
2 V: A few weeks ago ah (+) the school send me to factory doing can- 3 vassing(+) canvassing (+) for two weeks experience and ah the boss 4 say give me a position, but (...) when I will finish the course because 5 I have learned to do some more job and cannot take it |
23b IT: So he will give 24 you a job, will he? |
Back to the typology:
(MU 5) There is a gradual recognition of a misunderstanding, which may be indicated by disturbances in the flow of the conversational course etc., in signs of incoherence, by detours or recyclings (repetitions, paraphrases, circumlocutions, 'talking down'-effects), by unresponded repair initiations, by suddenly or gradually emerging traces of verbal, nonverbal, or paralinguistic insecurity, or, simply by the indication or registration of 'uncomfortable moments,' until the communication comes to a halt, dissolves, breaks down or is reinitiated by a change in topic. This is exactly the kind of misunderstanding Gumperz and his colleagues have worked on, to wit: "Lack of shared background knowledge leads initially to misunderstandings, but since contextualization conventions are not shared, attempts to repair these misunderstandings fail and conversational cooperation breaks down" (Gumperz 1995:120).
(MU 6) There is no obvious recognition of a misunderstanding, although an outside observer regards it as a misunderstanding; or one of the participants may have received particular information afterwards (even long time after) that leads her to reassess the interaction (or parts of it) as a misunderstanding. The interaction in question remains, however, untouched by this discovery or reinterpretation.
(MU 7) To an outside observer there is no manifestation and no indication that a misunderstanding has occurred, yet one interlocutor (or even both interlocutors) may have the feeling that either she has or was or they have or were misunderstood. So the misunderstanding may have been noticed but remained unnegotiated.
2.2 Two kinds of misunderstanding: event and core
Of course, some reservations have to be added to this apparently clearcut division of misunderstanding types. One is that there is a gradation of variants between MU 2 and MU 3. Likewise, the differentiation between the covert and the latent type will be analytically useful, but the deeper we get into the minutiae of the interactional structure, the more likely we are to find hints of doubts in understanding and hints of these doubts being negotiated (as we will see in example 3 below). In particular, the Gumperzian approach of conversational inferencing, based on contextualization cues and conventions, gives ample evidence of how even the mismatching of one or several contextualization cues could develop into a disastrous interactional trajectory. These cues are at least analytically detectable as negotiated matters of discourse.
One thing has to be reemphasized and makes the continuum character of this typology clear: The further a repair attempt of some misinterpreted item or sequence is away from its alleged source, the less explicit will be its manifestations. Eventually, there will be no manifestations at all; there will be solely stronger and weaker indications instead, of misunderstanding. This also means that with weaker manifestations and with more distance from the repairable that is the item or sequence misunderstood, reconstructions of the misunderstanding will be more difficult.
Furthermore, and now I come to a very crucial point in my argumentation, speaking of 'misunderstanding' so far is in some way irritating or even misleading, because a misunderstanding comprises much more than an isolable item or intention or activity type or whatever it is that was misunderstood. Speaking of misunderstanding comprises its recognition, its possible manifestation or indication, the reconstruction of its trajectory (by diagnosing, identifying, localizing and even by reconstructing the motives of its occurrence); however, in actual practise it is often hard to gauge where a misunderstanding commences unless the case is so clearly manifest as in MU 1. A misunderstanding ceases where interlocutors either regain their status quo ante or come to a smooth continuation according to criteria of coherence. So, as we can see in MU 3 to MU 5 the misunderstanding will be quite extended or it will never end until the exchange collapses or is reinitiated.
Note that there are hence two kinds of misunderstanding at issue: a whole stretch of talk with an alleged beginning and end, as a speech event in its own right that is structurally and interactionally describable, and a particular (often identifiable) encoding or interpretation that is the alleged reason for the whole event. The latter I will call the core misunderstanding. The core in MU 1 was clearly the mishearing of the item "unlimited" (line 1) and it is this item which was made subject of the sequence to follow.
The misunderstanding event, on the other hand, comprises the whole grey-shaded sequence of the examples cited above. The core of the example for MU 4 was IT's misunderstanding V's "doing canvassing" (line 2f.). IT showed his (or her) misinterpretation in line 6a by the ratificatory statement "So you've been canvassing for work," which was, however, not corrected. The subdialogues that were created by the core misunderstanding comprise the managing (or handling) of this misinterpretation.
Whereas in "Canvassing" there was no identifiable core for the interlocutors the manifestation of the misunderstanding normally refers directly to the segment being misinterpreted. It is here that the misunderstanding really begins and that there is a transition back to the previous line of the prior interaction focus, which is where it ends.
Thus when I speak of 'misunderstanding' I either mean the whole misunderstanding trajectory as an event in its own right or the alleged identifiable core: so any misunderstanding in situated communication comprises the 'misunderstanding event' as a frame and embedded in it the more or less identifiable 'core misunderstanding.' Note that the frame only exists by virtue of the core; the core however is not identifiable, localizable and repairable without the frame event because these activities are all part of the frame.
* * *
Let me summarize so far: A misunderstanding in a talk exchange is not simply a diffuse mismatching of alleged intention failure, but it is a sequence, a short or quite extended one, even open-ended one where a mismatching is retrospectively negotiated and most often repaired. Misunderstandings have a beginning and an ending. The beginning is sometimes not reconstructable. Misunderstandings furthermore reveal a particular sequence of activities which may even comprise a whole corrective cycle, the repair itself, sometimes including a diagnosis with varying specificity, even an anamnesis more or less explicit, furthermore comprising the mutual ratification of being back on the right track. It will include moves such as giving explicit relief to the producer of a misunderstanding or giving apologetic accounts or the like.
All this, I want to repeat, is part of a misunderstanding. This is why I talk about misunderstanding as an event in its own right.
2.3 Misunderstanding and intercultural communication revisited
Now another difficulty arises. Taking into account this division into core and frame event, it is quite impossible to differentiate it in cases of such covert misunderstandings as in MU 4 and MU 5 types. It is here that I suggest that intercultural communication could be treated as something substantially different from other forms of communication (which for reasons of contrastive simplicity we may call 'intracultural'). That is, one criterion of intercultural communication is to regard covert misunderstandings or maybe particular kinds of covert misunderstandings as indicative of mismanaging differences or discrepancies in terms of sociocultural knowledge. The works of John Gumperz give ample evidence that it is the mismatchings of the interactional structure's minutiae where misunderstandings based on cultural and sociocultural conventions are characteristic of interethnic interactions, like those between Britons with an Anglo-Saxon background and those with an Southeast Asian background. One possible hypothesis to derive from these findings is that covert types of misunderstandings are more frequent in encounters between speakers with different first language or different dialect backgrounds or simply with native and nonnative speakers. The "Canvassing" example is surely of the last kind. It is mainly characterized by native/nonnative-speakership problems, but also by institutional rules of conduct and by the imbalance of power; a 'pure culture component is less obvious here.
So far, however, I do not know of any comparative research convincingly claiming that particular kinds of misunderstanding were more frequent or typical in particular kinds of encounters, such as between speakers with different cultural, ethnic or linguistic background as compared to encounters without such background differences. My own research rather supports the view that misunderstandings are all-pervasive and ubiquitous, in all kind of encounters. Hence, we are hardly justified speaking of 'intercultural communication' in terms of misunderstandings occurring in particular kinds of encounters as is done in so many intercultural approaches. Furthermore, I do not know of any intercultural research where misunderstanding is clearly defined before being applied to an alleged intercultural encounter. What, we have to ask, do overt, covert and latent misunderstandings have in common, then, except for being commonly labelled 'misunderstanding' by the observer? As to the latent (and non-negotiated) one, we have to ask if it can be regarded as a misunderstanding in its own right when it is in no way obvious to participants that it has occurred at all?
What all types of misunderstandings seem to have in common is the illusion of understanding up to a certain point, which may be discovery or discomfort. The overt one implies in particular the illusion of a first understanding being retrospectively falsified; the covert one the illusion of understanding being bit by bit questioned and gradually dismantled; the latent one the illusion of understanding being questionable and falsifiable only by an outside observer (or a participant looking back like an outside observer). The two former ones will give the interaction in question as we have seen above a particular imprint in the real time of the interaction, i.e., it heavily affects the interaction's dynamic, whereas the latter will be made a narration of conflict ex post fact. Note that the latter does not impinge on the parties' actual involvement, whereas the other two will show some kind of negotiation, will create side sequences or sometimes even dialogues within dialogues, i.e., misunderstanding subdialogues.
2.4 Contextualizing misunderstandings
I have already warned against regarding the different MU-types as in any case clearly distinguishable as to interactional structure. I have shown elsewhere that manifestations and indications that lead an interlocutor to infer that a misunderstanding may have occurred are highly differentiated and that they range on a manifestation continuum starting from such clear cut statements such as "I think you misunderstood so and so" to slight indications such as an extended halting of a pause or a doubtful look (Hinnenkamp 1998). Furthermore, we have to ask what "immediate" or "gradual recognition of a misunderstanding" means at all. We as observers infer an interlocutor's recognition from what we observe from what participants demonstrably indicate as (mis-)understood, or, in terms of John Gumperz, how they contextualize a potential misunderstanding (Gumperz 1982a; 1992a, b). As the constitution of context is done retrospectively as well as prospectively, the questioning of a context that has been seen as valid so far leads retrospectively to the identification of the immediate cause for the suspicion of context erosion or change and also anticipates the remedial action to be necessary for defending or for adaptation or for repair.
Contextualizing is routine work. The context indications we give are highly conventionalized (cf. Gumperz 1982a; 1992a, b). We have as many interactional means for this at our disposal as there are layers and properties of our interactional structure. Without creating contexts for our interaction, we would not be able to understand each other. The existence of different contextualization conventions is one of the many reasons for misunderstanding. As people from different cultural backgrounds also may have different conventions of contextualizing and framing, it is here that we find reasons for intercultural misunderstandings. This of course does not inform about the interactional structure of a misunderstanding. Neither does it inform about the particular context of a misunderstanding event and the work required to create it.
One question deriving from this is whether the suspicion or recognition of a misunderstanding also leads to a particular context of a misunderstanding event, and furthermore if such a context is inferable to all parties involved. As we have seen in the first example, it took both interlocutors to manage the misunderstanding and get back to the status quo ante. In the moment that H gives evidence that he misheard "entfristet (unlimited)" by responding with "Befristet- naja (Limited- well)", the misunderstood locutor corrects it immediately to "ENTfristet (UNlimited)" (and thus of course demonstrating "immediate recognition"), followed by the misunderstander's correct (and maybe astonished) repetition, thus ratifying the correct version. This again is followed by the confirmation of the correct uptake "Entfristet, mhm (Unlimited, ya)". That is, there is a reciprocal reassurance of the correct item before returning to the status quo ante. Both interlocutors have been involved in this process, both have followed the rules of a corrective cycle, and both have created a corrective context, thus ensuring that "What they are talking about to each other (right now)?" is actually the same (again) (cf. Auer 1986).
The momentary mismatch of topic may, however, have an impact on other contexts as well. As we can see in the "Canvassing" example the interrogation of the Vietnamese client becomes quite harsh, and it is only by virtue of V's initiative of specifying IT's question "The place in (+) in (+) down near Fremantle?" (line 21) by "In West O'Connor" (line 22) that communication regains normality (in the cooperative sense). Because so far not only the thematic "What are we talking about to each other (right now)?" was at disposal but also the schema of what kind of activity they were involved in ("What are we doing with one another (right now)?") and certainly also the schema of power, the unequal distribution of interactional rights and obligations (cf. "What footing are we on (right now)?") (Auer 1986).
3. Being on the wrong track: When a misunderstanding is (not) an intercultural one
3.1 Putting threads together
So far I have developed a typology of misunderstandings by macrosequential criteria and ordered them into three basic types which I labelled in accordance with Linell (1995) "overt," "covert," and "latent." I furthermore started to describe misunderstanding as an event in its own right that very often has a clearly identifiable beginning and end and that has always unless it is latent its own trajectory, sometimes closed and sometimes open, i.e., open ended or transformed into a new subject of its own. Misunderstanding as an event has a core, which is sometimes retrospectively localized or identified, and it has a frame or trajectory, which is the side sequence or even subdialogue following by virtue of the treatment or negotiation of the core misunderstanding. The less identifiable the core the more likely is an extended negotiation phase. Ideally, the end of a misunderstanding event is constituted by the uptake of the prior thread of conversation, cleared, of course, of its misunderstandability. I have named this the return to status quo ante. Finally, I have argued that misunderstanding as an event in its own right brings about its own conventionalized context, that is one of remedial action, initiating a sequence of acts best described by the term "corrective cycle" (cf. Goffman 1971).
The problem of remedial attempts as part of the misunderstanding event has been alluded to by John Gumperz when he stated that "Lack of shared background knowledge leads initially to misunderstandings, but since contextualization conventions are not shared, attempts to repair these misunderstandings fail and conversational cooperation breaks down" (Gumperz 1995:120). Here I will follow a different line of argumentation in that I want to show that at least some remedial practice of misunderstanding may be based on shared background knowledge, as well. Lack of shared background knowledge say for example as to cultural praxis may well be repaired by relying on a common stock of conventionalized routine, which one we might label in contrast to the cultural praxis 'institutionalized discourse praxis.'
As I have started this essay with a critique of the uncritical blending of misunderstanding and intercultural communication, it is now time to put the different threads of my findings and argumentation together and armed with a much more differentiated notion of misunderstanding to show that the bringing about of interculturality solely by virtue of connecting culturally different backgrounds of interlocutors with a misunderstanding cannot be taken for granted anymore.
3.2 A full-fledged misunderstanding event with no words
Let me concentrate on one particular example of misunderstanding by which I will elaborate on some of these last points. I will try to show three things: (1) How a misunderstanding creates a fully developed corrective cycle as part of the misunderstanding event, (2) how a misunderstanding may create a subdialogue without disrupting the main dialogue, and (3) how a misunderstanding event may be linked to interculturality or how not.
3.2.1 Delicate grasps
The example to follow presents a videotaped sequence of 18 seconds from a university workshop on Intercultural Communication. The sequence is depicted on three levels: (a) The transcript of the verbal part being made up of 7 different 'activities' within the main interactional focus; (b) a selection of 10 pictures (as drawings) of the nonverbal activity of the two protagonists B and F which depict a nonverbal misunderstanding subdialogue parallelling the verbal exchange; and finally (c) a kind of non-technical retelling of the depicted scene's story. The focus of the sequence (and the picture sequence) lies on the two main interactants B and F. What the pictures do not show (the video does) is the scenery's situative embedding. Fourteen students plus one teacher sit in a semicircle. B is a male student, to his left sits the male teacher F. B is about one head taller than F. To the left of F there are 5 students, to the right of B 8 students, among them the male participant A. The composition of the seminar is multinational. The actual subject is taboos.
Example 3: "Der entschwindende Becher" (The vanishing plastic cup)
(1) F: Also jetzt sieht man, wenn man eine Sache- wenn man eine Sache weiß +
((Picture 1))
dann (+) gehn alle an- also wenn- ham ganz viele andre Sachen ham
((Picture 2))
plötzlich n (h)(h)Zusammenhang=sie stehn im Zusammenhang
((Picture 3))
Well, now you see, if you know one- so if you know one thing + then all the oth- so if- quite many other things stand all of a sudden just stand in context=they're somehow connected
((Picture 4))
((Picture 5))
(2) ((A lifts/raises his right hand))
(3) ((F laughs, his gaze oriented in the direction of B and then turns his face briefly back to the left semicircle and then towards A.))
((Picture 6))
(4) ((All: A light laughter comes up among other participants, some scraps of talk can be discerned. As the talking fades out A points the forefinger of his right hand up and begins talking:))
(5) A: Ganz kurz bloß was
((Picture 7))
Just for a tiny little moment +
(6) F: ((zu A)) Ja
((to A)) Yes
(7) A: und zwar wegen- in Italien ist es halt so, dass man °also° >wegen der
((Picture 8)) ((Picture 9))
Rechnung kurz ne< äh da wird das eben alles zusammengerechnet, das machen wir dann unter Freunden aus.
((Picture 10))
it's 'cause of- well in Italy it's like this that one °well° >the bill I mean< uh there you add it all up and then we figure that out among friends.
Picture sequence 110
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Picture 1 Picture 2
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Picture 3 Picture 4
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Picture 5 Picture 6
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Picture 7 Picture 8
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Picture 9 Picture 10
Obviously there is a conflict there between the cup holder F and his neighbour B. The misunderstanding is a purely nonverbal one. As a simple narrative it could be told like this:
F tries to say something but is somehow hindered by the plastic cup in his hand (picture 1). He thus changes it from one hand to the other and finally places it on the chair between his thighs (picture 2). His neighbour B wants to be helpful and takes it away from F's crotch in order to place it on the floor between the two chairs (picture 3). But before being able to accomplish this, F takes the cup away from B (picture 4), obviously insinuating some other intention (or he just does not accept the physical access between his legs). B first retreats (picture 5), drops his head in his hand as if he were ashamed (picture 6). Then B starts to explain nonverbally what he had intended all along while F signals him that he should not be bothered (picture 7). B then puts his hands ostentatively on his thighs whereas F turns his attention back to the discussion (picture 8). B folds his hands behind his back (picture 9) moves them back to the front again and poses himself into a listener position, actually parallel in height, gaze and position to F (picture 10).
Note that part of the story is a reconstruction by the nonverbal account given by B. Without his account we would not have had an indication what he had intended.
The core misunderstanding lies in the contingent acts of grasping the cup from in between F's thighs and F's defensive (and actually reconquering) reaction to it. But the trajectory of the misunderstanding comprises much more, as we now know. It comprises also the whole corrective cycle to follow and is terminated by the institutional renormalization of the two protagonists, B and F, short interactional relationship which is based solely on the conflict over the plastic cup's position. The example is of the extended MU 1-type of misunderstanding (cf. above). There is no certainly no explicit diagnosis here but the anamnesis is as explicit as a nonverbal one can be. It includes what B actually intended to do, it is of the kind: "No, what I meant is actually this, etc."
3.2.2 Misunderstanding event as corrective cycle
The transcript cited is a wonderful example of how a misunderstanding creates a fully developed corrective cycle as part of the misunderstanding event. It is only after F turns his gaze in the direction of B's face and laughs a brief moment (picture 5) that B commences his remedial work in the classical way by indicating regret or repentance by expressing shame (picture 6), followed by an explicative and apologizing account (picture 7). F responds nearly simultaneously with a soothing release by stretching his left hand palm-side down over in the direction of B's right thigh, slightly moving it up and down twice without touching B's thigh, thus performing symbolically the light thigh slap (picture 7). Such a gesture is well conventionalized as a nonverbal device for people sitting next to each other, at least among same-sex interactants or good friends. Its function is friendly, non aggressive, often positively supportive and soothing. It may be even culturally conventionalized. B's repair continues when he puts his hands very pointedly on his thighs as if he wanted to place his hands under public control (picture 8). Putting his hands behind him then is both a further demonstration of discipline and also the transitional phase to regain possession of his hands (picture 9), which is followed by the full adaptation to the 'standard' listener position (picture 10). It is this repositioning which puts a definite end to the misunderstanding event at least for B. From now on, B is fully back to the main interactional focus, and his reintegration marks the end of a nonverbal subdialogue.
The following chart tries to recapitulate the sequence as a full-fledged misunderstanding event.
Chart "The vanishing plastic cup" as misunderstanding event
| Move |
Perfor-mer |
Move depiction |
Part of misunderstanding event, type of move |
|
1 2
3 4 5
6a
6b
7
8
9
10
|
F B
F B F
B
F
B
F
B
|
puts plastic cup between his thigh onto the chair seizes plastic cup from F's crotch stops B from continuation of move 2 withdrawal turns his face towards B and laughs (a) pointedly depicts embarrassment and shame (b) refers to space between his and B's chairs, giving an account soothing gesture
(c) movesg hands out of the way to demonstrate that they will not initiate another violation/misunderstanding attention is solely directed to speaker A
(d) pointedly regains listener position |
⁄ ≥ retrospectively identified ₯ MU-core (challenge/ ≥ repairable) Ώ ⁄ manifestation: indicating ₯ a repairable Ώ reaction (implicit) repair summons
repair strategies (a)(c): (a) "confession" (b) attempt at legitimizing move 2 (= partial anamnesis)
exonerating the "violator" ratification/ acceptance of repair endeavours (c) self-disciplination
end of repair negotiation, return to main focus of activity (d) reintegration and renormalization: return to status quo ante |
[Note that 'move' is not identical to numbers of picture sequence or main line activities (1) - (7) in the verbal transcript.]
During this whole event, F does not opt out of the main activity as does B, who turns his full attention to the emerging nonverbal subdialogue of the misunderstanding sequence. F treats the misunderstanding en passant, he gives indications of release but at the same time selects next speaker (picture 7).
This speaks in favour of routinely handling misunderstandings so that the subdialogue emerging may not even disturb main line activities but do get embedded in the course of the conversation. The routinized management of misunderstandings speak more over in favour of being part of implicit sociocultural knowledge and hence to its susceptibility to intercultural conflict (exactly in the way Gumperz was quoted above); it also speaks in favour of a more generalized interactional device irrespective of sociocultural background. Ff course, it is here that we have to ask how culture comes about in misunderstanding events (of this kind).
3.3 Different interpretation, common repair
This leads me to the very last point, also closing a kind of circle of my argumentation. The sequence described depicts a scene from a multinational group discussion. F is German, B Turkish. So far I have concentrated on the misunderstanding process itself, leaving interactants' ethnic and/or cultural background completely out of consideration. This is mainly due to the focus on the misunderstanding event itself, i.e., its interactional structure, without referring to pragmatic or sociolinguistic or intercultural constraints which would lead to the reasons and motives for a misunderstanding, a focus I have neglected so far in favour of macrosequential structure. For a scholar of intercultural communication the misunderstanding could be easily traced back to cultural differences in terms of territorial dealings so that a neighbour's territory at least among same sex is regarded as more easily accessible under certain preconditions. One such precondition might have been the moral or aesthetic inadequacy of placing a plastic cup in the crotch. Another one might have been motivated by reasons of a kind of protective politeness, preventing F's spilling the juice in the plastic cup on his trousers. All these reasons, of course, as well as F's reason for putting the cup between his thighs could well be accounted for by personal preferences irrespective of cultural background. Even if we interpret the warding off of B's intrusion between F's legs as defence against an outside surprise access, we will not get any further by interpreting this as particularly culture bound.
There are some more particularities within the corrective cycle which may also be regarded as signalling interculturality. One such cultural phenomenon could be interpreted in B's 'shame-signalling reaction'; just characterizing it as such may be culturally biased, of course. An even stronger hint for intercullturality may be B's multiple repairs. One could ask if B really understands F's soothing gesture as a signal for terminating the misunderstanding. Couldn't he have (mis)understood this gesture as a request to place his hands on his thighs and hence only did so in compliance to F's request? Then of course there is the light laughter that comes up among the other participants. It is not clear whether the laughter is in reaction to the plastic cup scene; it may at least be interpreted as such by B, which would give him multiple addressees for his remedial endeavours and could hence account for the third repair attempt.
The latter point alludes to another important precondition not exploited so far: the institutional one, which emphasizes the role relationship between F and B and their rights and obligations to be deduced from that. F is a teacher, B a student. What kind of light does this fact shed on the cup scene? Doesn't it make the territorial intrusion even stronger? Or does it legitimate the intrusion because a teacher's spilled cup in his genital area could be much more embarrassing than with a fellow student? What is the particular relationship of B and F?
If we consider another precondition, namely the prehistory of the scene discussed here, then we find some indications of a less formal relationship, one where slight touches including the 'light thigh slap' have occurred before. Additional information does not contradict cultural constraints because in awkward moments such as here the institutional relationship may regain dominance. Nor does it, however, support an exclusively intercultural interpretation of the scene.
A communicative exchange is not intercultural by virtue of interactants being from different cultural backgrounds. Nor is it intercultural by virtue of a misunderstanding between interactants from different cultural backgrounds. Even if territoriality or the treatment of taboo zones or any other cultural reason is responsible for the core misunderstanding, then we still might find that a treatment of it is a cooperative endeavour irrespective of the participants' cultural backgrounds. The sociocultural knowledge necessary for constituting a repair context as part of the misunderstanding event or in reaction to a core misunderstanding seems to be reciprocal. Contextualization questions such as "Are we talking to each other (right now)?", "Who's talking to whom (right now)?", "What are we doing with one another (right now)?", "What are we talking about to each other (right now)?" and "What footing are we on (right now)?" (cf. Auer 1986) are all answered in the same way during the course of the misunderstanding event although their mutual validity, so to speak, had been out of force for the misunderstanding's core, i.e., for the moment of territorial conflict. Note that most of these context-defining questions were handled on the main line level of the exchange as well as on the subdialogical level, one verbally and nonverbally, the other purely nonverbally (at least for F). Finally, B's positioning of himself so that he is the same height as F even though he is a head taller than F is to be seen as a physical response to the question "What footing are we on (right now)?"
* * *
What can be most strongly deduced from this example (as well as from the other ones as well) is that a different interpretation or inference that initially led to a misunderstanding might be solved and clarified by a common repair, even if the misunderstanding may be interculturally based (which we often cannot determine). So, the discussion of "The vanishing cup" transcript will certainly not suffice as empirical evidence of the universal validity of repair-within-misunderstanding events. What I intended to show in the discussion of my examples and in particular with the "The vanishing plastic cup" example was to unfold a methodological reflection on the delicate issue of misunderstanding in combination with that other delicate issue called 'interculturality.' If some scholars think that they can easily combine the two, they are very likely to fall victim to a methodological shortcoming.
Appendix: Transcription conventions
|
Legend: (....) incomprehensible (( )) commentary, e.g. [1.5 Sec.], [laughter] wie- abortion of utterance ne(?) 'semiquestions' eating stressed, emphasized DAS high volume °da° low volume >darüber< fast tempo + pause, below 1 second (+) micropause (h) hesitation (e.g. he (h)comes) = fast connection, latching komm[en] [da] overlap and point of overlap |
Notes
1. There are obvious cultural differences in its usage and its semantic loadedness, e.g. between German and English. Although the dictionary entries of "misunderstanding" and German "Missverständnis" give the impression that there is a close correspondence between the two basic semantic descriptions as "failure to understand" and (the rather more euphemistic) "disagreement," the usage as measured by recurrent collocations differs quite widely. Out of a text corpus of 30 million text words I have tried to isolate a set of stereotypical concepts that comprise the different usages of the noun "Missverständnis" as presented in collocational and functional contexts. I thus arrived at stereotypes of the kind: "One has to protect oneself from misunderstandings," "misunderstandings can be intentionally created, promoted and provoked," "misunderstandings can be dealt with, they can be revealed, cleared up and removed," but also "misunderstandings can be exploited to one's own advantage, such as by reducing one's own responsibility, euphemizing one's own faults etc." (cf. Hinnenkamp, 1998: ch. 4). A student of English at Augsburg University, Sarah K. Dietl, made a comparable analysis in English the results of which differs widely, however, in terms of frequency and relevance from the German stereotypes. Whereas in German "Missverständnis" collocates most strongly with the verb "vorbeugen" (to prevent), there is no such strong equivalence for "misunderstanding". Here stative and assertive constructions such as "there is a misunderstanding" are clearly the most prominent ones. The prevention schema on the other hand is very rare. If there is a correspondence between the naming practice and the kind of attitude towards misunderstanding then we can easily imagine the handling and managing of misunderstandings as a source of intercultural conflict (or misunderstanding?).
2. Cf. e.g. such attempts as Zaefferer 1977; Grimshaw 1980; Dascal 1985; Mudersbach 1987; Weizman and Blum-Kulka 1992.
3. Here we find case studies on lexical ambiguity between students' discussion (Loretz 1976), an experimental study on successful and failed intention attribution (Dobrick 1984), and speech act pragmatic corpus research into misunderstandings in fictional dialogues (Falkner 1997).
4. But how can we finally know that, in face of (a)? We simply have to exclude latent misunderstandings from our consideration.
5. Original German version in which the English gloss is following in each line. The legend for the transcribing conventions follows in the appendix.
6. This pertains of course only to such an understanding of misunderstanding where the encoding of a word that was misheard, for example, is regarded as the repairable. But one might as well regard such mishearing itself as the repairable.
7. For Schegloff, misunderstanding, at least this overtly manifest type, is seen to stand in close relation to the repair device, because sequentially a misunderstanding as we can see in the above example can only be repaired third position onward, as "repair after an interlocutor's response (second position) has revealed trouble in understanding an earlier turn (the 'repairable' in first position)" (Schegloff 1992: 1301). Schegloff has furthermore mentioned that devices of a misunderstanding manifestation ("composition of third position repair"), the ones I see in horizontal sequentiality, appear in a kind of canonical order (in English, at least, and similarly in German, cf. Hinnenkamp 1998): firstly prefatory "no," secondly a less obligatory kind of acceptance token, thirdly a rejection component, and fourthly "the repair proper," which is then subcategorized into various kinds of accounts, one of them typically starting with "I mean" (Schegloff 1992: 1310).
8. The mode of transcription has been adapted to my system.
9. The studies of Gumperz and his colleagues abound with examples. Cf. e.g. Gumperz 1982a, 1982b; 1989, 1992a, 1992b, 1995; Gumperz/Roberts 1991.
10. For example, what Schegloff (1992) has named 'third position repair' as being typically indicative for a misunderstanding may also become a 'fourth or fifth position repair' etc. But the more distant the repair, the more likely manifestations will be less explicit and the more likely will there be implicit indications and the harder will be reconstructions. "Canvassing" is a good example for this.
11. Cf. Gumperz 1982a, 1989, 1992a, 1992b, 1995; Auer 1986, 1992.
12. In following conversation analysis terminology as to repair we might also call it the 'misunderstandable' but then we have to deal with another ambiguity, that is, to make a particular item candidate to be misunderstood. Also will we face the same problems as mentioned above with the term or rather the locating of the repairable.
13. We might need a more fine-grained typology here.
14. Cf. e.g. Gumperz 1982a as well as most contributions in Gumperz 1982b or Roberts, Davies and Jupp 1993.
15. However, there are some conceptions of intercultural communication including native speaker-nonnative speaker communication as "intercultural" per se. In the "Canvassing" example, however, there is a well-justified suspicion that different rights and obligations within the institutional frame play an important role in the emergence and development of the misunderstanding. So it was the unquestioned right of IT to continue the ratification "So you've been canvassing for work" (line 6a) with the first question "and who said they'd give you a job?" (line 6b). We cannot tell if it is noncomprehension or compliance to the authority that line 6a is not made a repairable.
16. In the non-negotiated examples Weizman and Blum-Kulka (1992) cite it is in no way obvious to observers that a misunderstanding has occurred whereas one of the participants may have indeed noticed a misunderstanding without, however, making it explicit. What follows from this is that actually all smoothly going interactions are potentially non-negotiated misunderstandings. Also cf. Bilmes 1992.
17. This is also what Banks, Ge and Baker obviously mean when they note "A key sense of miscommunication, however, regardless of one's theoretical orientation, is something gone awry communicatively that has social consequences for the interactants; without social consequences, the phenomenon would be of trivial interest. By social consequences, we refer generally to misattribution of motives, unwarranted actions, changes in patterns of interaction, and similar responses to encounters that might over time debilitate relationships. Consequently, for miscommunication to have impact, it is not likely to be a pertubation of smooth performance that is repaired in the current interaction" (Banks, Ge and Baker 1991: 105).
18. F's clumsy handling of the cup actually corresponds with his restarts and self-corrections. The cup obviously is a gesticulation hindrance which again interferes with the fluidity of discourse.
19. Of course B might be 'lying' here if one can do that nonverbally at all rationalizing, so to speak, some other motives ex post fact, cf. Mudersbach 1987 and Bilmes 1992.
20. I do not know of any research on this gesture; the term "light thigh slap" is mine.
21. For a detailed methodological and also empirically founded discussion see Hinnenkamp 1998.
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