Professional Documents
Culture Documents
www.elsevier.com/locate/pragma
Abstract
Following an acknowledgement of colleagues who have critiqued a work, writers sometimes add that the
final version is the sole responsibility of the author(s), and not of anyone being thanked. Although there is
much variability in responsibility statements, they are formulaic and often consist of the following: a
reference to the conventional nature of the statement, a reference to the content of or potential shortcomings
in the writing, and a mention of the authors’ sole responsibility and/or exoneration of others for conclusions
or deficiencies. For example: ‘‘Naturally, I remain responsible for any mistakes still present.’’
This paper investigates the face-enhancing value of responsibility statements. Like thanks, gambits, and
apologies, responsibility statements are formulaic disclaimers. They exonerate others from blame, but also
allow authors to claim ownership of and credit for their work. Responsibility statements allow authors to
establish a professional persona and demonstrate that they know the conventions of their profession.
Responsibility statements allow authors to present themselves as formal or scholarly, or they can violate the
conventions and present themselves as humorous, creative, or individualistic.
# 2007 Elsevier B.V. All rights reserved.
Keywords: Disclaimer; Formulaic language; Face; Responsibility statement; Self-presentation; Impression manage-
ment; Pragmatic formula
1. Introduction
When linguists write a professional article or book, their first footnote often follows two
conventions. First they acknowledge the help of colleagues who contributed ideas, advice or
critiques; then they absolve those colleagues of responsibility for any conclusions or potential
shortcomings. For example:
§
A previous version of this paper was presented at the South Eastern Conference on Linguistics, April 8, 2005, in
Raleigh, North Carolina.
* Corresponding author. Tel.: +1 757 683 4030; fax: +1 757 683 3241.
E-mail address: jbing@odu.edu (J. Bing).
0378-2166/$ – see front matter # 2007 Elsevier B.V. All rights reserved.
doi:10.1016/j.pragma.2007.04.010
538 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
(1) I wish to express thanks for helpful comments to Donca Steriade, Bruce Hayes,
Rod Casali, Edward Flemming, audiences at Berkeley Linguistic Society and the
South-West Optimality Theory workshops, at which earlier versions of this paper were
presented, and three anonymous reviewers. All errors are, of course, my sole
responsibility. [bold added] (Kirchner, 1997:83)
In this paper we discuss the ‘‘responsibility statements’’1 that follow expressions of thanks
such as the sentence marked in bold in (1). We collected and examined 165 examples of these
from linguistics articles and books. These disclaimers serve a number of functions. They provide
writers with a way to demonstrate their knowledge of the conventions of their academic
discipline. In addition to absolving those who have been thanked either for the final version or for
any remaining shortcomings in the writing, they provide a means for authors to claim ownership
of and credit for their work. In addition, these routines serve the face-enhancing objective of
establishing a writer’s ethos (Cherry, 1998), style, or identity with what Overstreet and Yule
(2001:60) call ‘‘strategic self-presentation.’’ Responsibility statements signal authors’ member-
ship in a community of practice, and in our data, this is the community of academic linguists,
although similar conventions can be observed in other disciplines as well. We propose that
responsibility statements serve as disclaimers (Hewitt and Stokes, 1975) or ‘‘preventatives’’
(McLaughlin, 1984) to keep readers from questioning authors’ status as legitimate members of
their academic community. Establishing one’s authority is important because the status of
academic writers may affect what does or does not get read and cited.2
Most responsibility statements contain several of the characteristics named and exemplified in
Table 1.
As Table 1 suggests, responsibility statements are often introduced with phrases such as of
course and as usual, phrases that suggest the conventional nature of the formula. This is often
followed by a reference to authors’ sole responsibility for the content or for any possible
shortcomings, or both. Finally, the authors either claim sole responsibility for the final work or
absolve those being thanked of responsibility. All parts of this formula are optional, but, as
examples (2)–(4) and the data in the appendix illustrate, most responsibility statements contain
some of the parts in Table 1. For example, although only 42% of the statements refer to the
conventional nature of responsibility statements, 72% contain some reference to errors or
1
We define ‘‘responsibility statements’’ as the second of two parts of a linguistic routine following authors’ statements
thanking readers of prepublication versions of books and articles. Like many formulaic expressions, these written statements
have no standard name. Most previous studies of formulaic expressions have been based on conversations rather than written
texts and these linguistic routines (Hymes, 1968:126; Coulmas, 1981) have been called ‘‘formulae; formulaic expressions;
deference formulae; routines; discourse routines; routine formulae; pre-patterned discourse units, and stereotypes and
gambits’’ (Ameka, 1987:301). Wray and Perkins (2000:2.1) present an even longer list of terms, and point out that even when
researchers use the same terms for formulaic expressions, they sometimes define them differently.
2
The relative influence of face, reputation, or status on what does or does not get published has yet to be established, but
there are some indications that the relative status of an author is be a factor in how a work has been judged. Goldberg (1976)
showed that when they read identical articles from different disciplines, college women consistently ranked the articles
higher if the author was assigned a man’s name rather than a woman’s name. McDowell (1984) reports that when Doris
Lessing published two books under a pseudonym, not only was she rejected by one of her longtime publishers, but when the
books were finally published, there was little fanfare and few sales, in contrast to books published under her own name.
J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558 539
Table 1
shortcomings. The numbers following the examples correspond to those in the appendix and
identify the source of the quotation.
(2) The views expressed, however, are solely those of the authors. (15)
(3) Naturally, I remain responsible for any mistakes still present. (132)
(4) All responsibility for the opinions expressed in it as well as for any errors that may
remain is of course mine alone. (26)
In addition to phrases such as of course, naturally, obviously, as usual and needless to say,
recognition of the conventional nature of responsibility statements can also be suggested by
phases such as ‘‘as the saying goes,’’ or ‘‘the usual disclaimers obtain.’’ Seventy of the 165 tokens
in the appendix include some reference to the conventionality of the statements as in the
following examples:
(5) As the saying goes, none of them is responsible for the final product—that’s my
problem. (4)
(6) Needless to say, all errors and omissions are my own. (20)
Just as there are various ways to note that responsibility statements are formulaic, there are
also various ways that authors take sole responsibility for the final version of what they have
written, referring to the article, the content, the opinions, the views, the outcome, the
interpretations, the final product and the conclusions, as in the following examples.
The ritual thanks preceding responsibility statements is one way to enhance the positive
face (Brown and Levinson, 1987) of those whose help is being acknowledged. It can also
enhance the prestige of the authors themselves, particularly if those being thanked have
relatively high status in the profession. The use of first person pronouns in 132 of the 165
statements can also be interpreted as self-promotional, as argued in Harwood (2005).
Harwood notes (1211), ‘‘Pronouns link the researchers to their findings, showing that the
writers are responsible for the claim. The effect can be to persuade the reader that the writers,
like the claim they are putting forward, are worth taking notice of.’’ In forty-one of the 165
examples, the authors note that those being thanked were not responsible for the final product.
In this case writers are protecting those who have assisted them, making sure that readers will
not assume that their colleagues necessarily agree with the final version. In a few cases, such
as the following, the writers even state that they may not have followed all of their colleagues’
suggestions:
540 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
(9) They have doubtless offered more good advice than I have accepted. (84)
(10) Of course, our opinions are not always theirs. (99)
But what is it that people are being absolved of, and what is suggested by words such as liable
and accountable? Of the 160 statements, 115 refer to errors, omissions, or shortcomings, as in
(11) and (12):
(11) The foolish things that remain are entirely my own fault. (76)
(12) Errors and shortcomings are entirely my own. (143)
In fact, there is considerable variety in the types of shortcomings that authors are claiming
responsibility for. The list includes errors, defects, problems, inaccuracies, omissions, mistakes,
misinterpretations, infelicities, speculations, deficiencies, imperfections, shortcomings, inade-
quacies, flaws, errors of interpretation, misappropriation, and oversights.
At first glance, responsibility statements seem similar to apologies because apologies
sometimes include an admission of responsibility. One of the conditions Searle (1970, chapter 3)
notes about apologies is that an actual offense occurred. However, responsibility statements
differ from apologies, since in responsibility statements the errors or shortcomings in question
are hypothetical, and there is usually no admission of any real errors having been committed.
Goffman (1971:108) uses the term ‘‘virtual offense,’’ adding that ‘‘the virtual offense has largely
a cautionary effect, detailing what everyone concerned must be careful to avoid confirming.’’
Overtly, responsibility statements look like performatives that absolve other people of blame
for virtual flaws or oversights, and this is partially true. The phrase hereby absolved suggests this:
(13) We are very grateful to all these people for their help, and hereby absolve them of any
responsibility for the use we may have made of it. (70)
Although most of the responsibility statements do not overtly state that authors are absolving
others of responsibility, the majority imply this by claiming the authors’ sole responsibility as in
(14) and (15).
(14) Of course, they are in no way responsible for any erroneous claims. (37)
(15) . . .the responsibility for what has been changed and what has not is mine alone. (146)
3. Formulaic language
Responsibility statements are just one type of formulaic language. The importance of
examining formulaic language is now relatively well established. Formulaic expressions are
fixed constructions where substitutions are possible, but relatively constrained. (Wray and
Perkins, 2000:1.1) Formulaic language can consist of either fixed expressions such as ‘‘Bless
you!’’ ‘‘Happy Birthday’’ or predictable constructions such as ‘‘Sorry to bother you, but . . .’’ or
‘‘I wouldn’t do that if I were you!’’ Although most of the formulaic expressions that have been
investigated to date occur in oral discourse, written ones such as acknowledgements (Hyland,
2003) and closing formulas like ‘‘Yours affectionately’’ (Bijkerk, 2004) serve similar functions.
Standard formulaic routines establish and preserve relationships and maintain speakers’ good
status within their communities in various ways. They are often solidarity-based acts of positive
politeness (Brown and Levinson, 1987) used to establish and maintain human relationships,
including individual identity and group membership. Goffman (1971:63) writes, ‘‘The standard
J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558 541
argument is that these positive rites affirm and support the social relationship between doer
and recipient.’’ In the case of responsibility statements, the relationship is between the
author(s) and those being acknowledged for having offered suggestions as well as between the
author(s) and the wider academic community. When there is any potential infraction of
expected norms, ‘‘remedial work’’ is necessary because, in Goffman’s words (105), deviation
from the norm could jeopardize a person’s claim to being someone of ‘‘normal competence
and character.’’
There are many types of formulaic routines, including greetings and partings (Laver, 1981),
apologies (Suszczyńska, 1999; Blum-Kulka et al., 1989; Fraser, 1981), requests (Wichmann,
2004), gambits (Keller, 1979), compliments (Maynes and Wolfson, 1981), commands, threats, and
introductions. Wray and Perkins (2000) provide an extensive overview of different types of
formulaic expressions. As Maynes and Wolfson note (1981:124), like other formulaic expressions,
the basic function of compliments is to create or reinforce solidarity, and ‘‘[i]f anything in the
compliment or the way it is worded creates social distance, the expression of solidarity which is the
raison d’etre of the compliment may be vitiated.’’ The use of a formula helps avoid this potential
difficulty.
Responsibility statements are formulaic disclaimers, as are hedges (‘‘I may be mistaken’’) and
phrases such as ‘‘Don’t take me wrong, but . . .’’ (McLaughlin, 1984:202). Hewitt and Stokes
(1975:2) studied disclaimers and noted that individuals use disclaimers to form ‘‘situated
identities’’ for themselves and others. ‘‘In their relations with one another, people search for and
make use of specific cues from others as a means of typifying them, i.e., of treating them as kinds
of persons.’’ Hewitt and Stokes claim (p. 13) that ‘‘Crucial to the concept of the disclaimer is the
fact that individuals know their own acts serve as the basis for typifying them; they know that
specific acts they undertake will be treated by others as cues for typification’’ and they attempt
‘‘to present themselves in ways that will lead others to grant their situated identity claims.’’
Disclaimers are verbal devices ‘‘employed to ward off and defeat in advance doubts and negative
typifications which may result from intended conduct.’’ (3)
Responsibility statements are similar to the conversational disclaimers discussed in Overstreet
and Yule (2001:46) in that they have a clear structure and ‘‘project a ‘virtual offense.’’’ Overstreet
and Yule (48) classify disclaimers as a kind of ‘‘alignment talk used by speakers in an effort to (i)
render potentially problematic actions (i.e., those which may be perceived as extraordinary or
inexplicable) meaningful, and (ii) define such actions as an irrelevant basis for a reassessment of
the speaker’s established identity.’’ One of their examples is (16):
(16) I don’t want to sound like your mother or anything, but I think you should wait.
In this disclaimer, the speaker recognizes that the suggestion may be received negatively, and
hopes to forestall this negative opinion. As Overstreet and Yule note (48):
Unlike most forms of alignment talk, which are employed by speakers after potentially
problematic actions and function retrospectively to correct perceived trouble, disclaimers
are normally employed prior to potentially problematic actions, and function prospectively
to avert anticipated trouble.
A number of authors, including the writer of (17), explicitly recognize that responsibility
statements are disclaimers.
(17) The usual disclaimers apply; also deepest apologies to anyone else I’ve forgotten. (96)
542 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
In fact, criterion A presupposes that authors understand conventions B through F, even if they
choose not to follow them.
Convention B, ‘‘Place the responsibility statement immediately following acknowledgement
of and thanks to others,’’ is what Mey, 1993, 182–184 considers the metapragmatic context or
‘natural habitat’ of the formula. Like the acknowledgments they follow, responsibility statements
‘‘play a metadiscursive role in being physically set apart from the main social and textual product
yet functioning to both facilitate the construction of this product and to comment on it.’’ (Hyland,
2003:244) Exceptions to Convention B probably exist, but none occurred in our data, suggesting
that the location of responsibility statements in articles is well established.
Convention C, ‘‘Maintain a formal register,’’3 demonstrates that the writer understands the
appropriate register for scholarly articles, despite the personal nature of the acknowledgements
preceding the responsibility statement. However, as discussed below, this convention is
sometimes violated.
Convention D, ‘‘Be modest; don’t boast,’’ suggests that within the academic community overt
self-promotion is negatively valued. As Leech (1983:132, 136) suggests in the Modesty Maxim,
one should maximize praise of others and minimize praise of oneself.
Convention E suggests that any remaining errors should be potential rather than real. Claiming
potential deficiencies does not necessarily threaten the prestige of the authors, since owning the
shortcomings also implies that the writers are establishing claim to everything else in the article.
Why is this necessary? Unless guilty of plagiarism, authors are assumed to be responsible for
what they have written, so why is there a convention of absolving others of blame for errors when
it is obvious that errors normally are the responsibility of authors? By claiming responsibility for
virtual errors, authors are not just stating the obvious, but are also strengthening their claims to
ownership of what has been written. For this reason, Convention F makes clear that even
hypothetical shortcomings should not be attributed to anyone other than the authors. Of course, it
is possible for authors to claim ownership without admitting any shortcomings, as in the
following example:
(20) Of course, the responsibility for the contents of this book rests entirely with me,
being the sole author and originator of all arguments not specifically attributed
to others. (131)
Although the conventions for responsibility statements are limited, they allow a number of
variations, as the data in the appendix illustrate. Because of the possible variations, writers can
personalize responsibility statements and self-present in different ways. They can demonstrate
knowledge of the conventions by simply referring to them, they can establish a formal scholarly
identity, or they can even violate parts of the formula in order to present themselves as creative,
unconventional, or funny.
3
We define ‘‘formal’’ and ‘‘informal’’ in roughly the same way as Joos (1961). For example, formal language often
contains Latinate vocabulary and usually does not contain contractions, slang or taboo language.
544 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
hypothetical shortcomings. The majority of statements in our data are relatively formal, as in the
following examples:
(21) Naturally, they are not responsible for possible errors that I may have overlooked,
nor do they necessarily agree with all my theoretical ideas. (66)
(22) . . . are thanked for their comments and suggestions, but absolved of responsibility
for our errors. (36)
In some cases, the formality results from relatively formal lexical items such as formulation, and
infelicities or even obsolete words and expressions such as whilst and mine own.
(23) Whilst their interest and encouragement is in no small measure responsible for this
paper, any faults are of course mine. (7)
(24) Any poor things are, of course, mine own. (74)
(25) Infelicities of exposition and misunderstandings remain my own. (2)
Even the act of thanking and absolving colleagues evokes a scholarly persona, particularly if
those being thanked are well-known. By acknowledging association with those colleagues,
authors suggest their own status in the academic community.
(26) Finally, for remaining mistakes, the authors have decided not to blame each other, but
to look for an appropriate scapegoat. (58)
(27) We blame any errors on each other. (31)
In these examples, the authors acknowledge the conventions, and thus establish insider
identities. By switching from the established frame in order to be humorous, they self-present
as unconventional, and illustrate the formula by departing from it. It is worth noting that in the
two examples above, the authors who have chosen to do this are well established in the
profession, as are the authors of the following examples:
(28) The faults which remain despite the efforts of this galaxy of talent are only the
author’s responsibility. (32)
(29) None of these individuals are any more responsible than Aristotle for the outcome. (72)
The following responsibility statement is also atypical. In (30) the person being thanked is
jokingly ‘‘blamed’’ for not having been more helpful.
(30) They bear no responsibility for the outcome. I wish Ellen Kaisse had said more.
J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558 545
Unlike standard responsibility statements, which refer to hypothetical errors, the example in
(31) can also be interpreted as unconventional, because it suggests that real errors might remain.
Example (32) is unconventional because it uses the word ‘‘blunders,’’ which is less formal than
terms such as infelicities or imperfections. Like the examples above, it is probably intended as
humor.
(31) Finally, any errors in the text are mine. I’m sure you’ll find them. (29)
(32) Needless to say, all blunders are my own. (109)
There is also an example of another atypical type of disclaimer in our data. In example (33) the
research had been funded by an outside agency.
Although the author of the disclaimer in (33) claims responsibility for the ‘‘opinions, findings,
conclusions or recommendations,’’ the statement does not refer to errors or shortcomings, as do
the majority of examples previously discussed. It resembles a different conventional disclaimer,
one used more often in public media than in academic articles. However, this type of disclaimer
might also enhance the status of an author by noting that the author received funding for the
research.
How much deviation from the standard responsibility statement is possible if a writer
wishes to present an unconventional identity? Even though it is possible to violate the
conventions in order to self-present an unconventional persona, there are some responsibility
statements that are unlikely to occur. For example, the following hypothetical responsibility
statements would probably not occur because they seem to be serious, but admit that real
errors remain.
(34) ?Because of a heavy teaching and administrative load, I apologize for the errors that
remain in this article.
(35) ?Considering the complexities of this research project, it would be rather amazing for
us not to have made any mistakes at all!
It is unacceptable for authors to justify or to avoid taking responsibility for their mistakes.
In addition to the fact that putative errors and problems should remain virtual or hypothetical,
authors must be solely or only responsible. For that reason, the statement in (36) is also peculiar
and unlikely to occur.
The attested example in (37) does include a real apology, but that apology is for lateness and
not for errors.
(37) Responsibility for the final product (and its lateness, for which I apologize to the
readership) is, of course, mine and mine alone. (126)
546 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
Finally, even those who choose to use humor, as in (26) through (29) above, usually write in a
formal register. In the 165 responsibility statements, there is little informal language.4 For
example, there are no examples of slang, dialect, or taboo language in our data, and only five, like
(38) and (39) contain contractions.5
(38) As the saying goes, none of them is responsible for the final product—that’s my
problem. (4)
(39) I would like to disclaim errors, although I know I shouldn’t. (45)
Acknowledgements
We would like to thank Joanne Scheibman, Carolyn Rhodes, and two anonymous reviewers
for suggestions on earlier versions, and, of course, we absolve them of blame or responsibility for
any remaining errors or shortcomings.
4
Note that no responsibility statement is likely to contain slang or taboo language, as in the following hypothetical
examples:
(i) ?If I’ve goofed somewhere, I’m sorry.
(ii) ? I’ve been damned careful not to screw up this final version, but don’t blame them if I have!
5
These are numbers 4, 29, 45, 96, and 136 in Appendix A.
J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558 547
Appendix A
72. Horn (2005): None of these individuals are any more responsible than Aristotle for the
outcome.
73. Howard: None of them, however, should be held accountable for conclusions reached here.
74. Hurford: Any poor things are, of course, mine own.
75. Hyde: Any faults remaining are my own responsibility.
76. Israel: The foolish things that remain are entirely my own fault.
77. Jasanoff: Needless to say, responsibility for errors is entirely my own.
78. Jeffers: Of course, I am solely responsible for any errors of fact or judgment in this paper.
79. Jones, C.: All errors, misinterpretations and speculations should be placed at the door of the
author.
80. Jones, M.: Needless to say, I accept full responsibility for any remaining errors or
inadequacies.
81. Kac: None of whom bear any responsibility for whatever errors may be found herein.
82. Kaisse and Shaw: We alone must be held responsible for the several misapprehensions we
undoubtedly continue to labour under.
83. Kathel: All remaining errors are mine.
84. Kay: They have doubtless offered more good advice than I have accepted.
85. Keller and Asudeh: Not all of these people will necessarily agree with the views expressed
in this article, and all remaining errors are of course our own.
86. Kim: I alone am responsible for the content of the paper.
87. Kirchner, R.: All errors are, of course, my sole responsibility.
88. Kornai and Pullum: None are to be blamed for errors that this paper may still contain.
89. Koutlaki: Needless to say that any omissions, inaccuracies or errors remain my own
responsibility.
90. Kraehenmann: All errors are my own.
91. Ladd: The use to which I have put their comments is of course my own responsibility.
92. Landau: All remaining errors are my own.
93. Lee: All the frailties are mine.
94. Levinson: The author remains, however, solely responsible for its contents.
95. Li: The mistakes are, of course, mine.
96. Lombardi: The usual disclaimers apply; also deepest apologies to anyone else I’ve
forgotten.
97. Lorenzo-Dus: The usual caveats apply.
98. Lu et al: Of course these colleagues cannot be held responsible for our interpretations, or
any errors that we may have made.
99. Martin and Smith: Of course, our opinions are not always theirs.
100. Mc Alpin: However, I take sole responsibility for the ideas presented here.
101. McCauley and Brice: Of course, we are responsible for the content of this paper.
102. Meechan and Foley: Remaining errors are, of course, our responsibility.
103. Matsumoto: Any errors in this paper should of course be attributed to me.
104. Meug and Bader: Any remaining errors are our own.
105. Miller: Naturally, any factual errors and all opinions (unless acknowledged) are my own.
106. Miner: not all of whom necessarily agree with my conclusions and none of whom are
responsible for my errors.
107. Montgomery and Fuller: Any errors of interpretation of these various documents are our
own.
108. Murray: To all of whom, my thanks, and the usual exoneration from blame.
550 J. Bing, C. Ruhl / Journal of Pragmatics 40 (2008) 537–558
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