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									                                       CHAPTER2



                           THEORETICAL BACKGROUND



        This chapter talks about the theoretical background which is used to this study.

The study is carried out to identifY the relationship among the grammatical form,

grammatical meaning, and pragmatic meaning used by Bart Simpson in expressing a

directive speech act. Further, the writer also would like to fmd out whether the use of a

direct and an indirect speech act is appropriate or not in accordance with the theory of

social dimension between participants.

        First, the writer gives some explanations about the grammatical form, the

grammatical meaning, and the pragmatic meaning. Then, the writer explains the six-kind

theories applied in conducting the study, which are: the theory of syntax, the theory of

phonology, the theory speech act, the theory of pragmatic, the theory of direct and

indirect speech act, and theory of social dimension between participants.



2.1    The meaning of grammatical form, grammatical meaning, and pragmatic

       meaning

       Grammatical fom1 turns out to have relationship with literal meaning that is the

sound, words, phrases and sentences which meaning is taken from the component based

on the syntactic structure. In this part, the writer only looks at the form of the speech of

the sentence. While grammatical meaning associates with intended meaning to find out

the



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 meaning based on the propositional intention on the speaker's mind when he or she

 conveys the message. Finally, the pragmatic meaning is the term used in this study to

 define an implied meaning that is different from the utterance can encode (Purpura,

 2005, pp.65).



 2.2 Theory of syntax

         According to Todd (2000, p. 60), syntax is the study of the word combination

 appears in grammar. In accordance with this study, the writer only focuses on the theory

 of sentence forms and grammatical functions. The purpose is to identifY the grammatical

 form of a directive speech act.



2.2.1   Theory of sentence forms

        Basically, there are five types of basic sentence form: imperative, declarative,

interrogative, exclamatory sentence, and interrogative statement. Though, the writer only

concentrates on three types of sentence forms: imperative, declarative, and interrogative

sentence, which are in accordance with the available data.



2.2.1.1 Imperative sentence

        An imperative sentence is a sentence used to give an order or to make request

(Todd, 2000, pp. 66). According to Givon (2001, p. 318) it has a function to elicit an

. action. There are some rules in using the imperative sentences. First, there is not an overt

subject (Todd, 2000, pp. 66). It is replaced by the understood subject (Azar, 1989, p. 73).

Second, the tense of an imperative sentence is present simple which contains a base form

of a verb (Cobuild, 2006, p. 8). Example: ''Do not do the action."
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2.2.1.2 Declarative sentence

        A declarative sentence is a sentence used to construct a statement (Todd, 2000,

pp. 66). The function of this kind of sentence is to give information about something

(Givan, 2001, p. 318). According to Fitzpatrick (2005, p. 297), it contains of subject and

a verb. Example:"You have to do the action."



2.2.1.3 Interrogative sentence

       An interrogative sentence is a sentence used to ask a question (Todd, 2000, pp.

66). It has a function to elicit information (Givan, 2001, p. 318). Basically, according to

Todd (2000, pp. 66) there are three types of interrogative sentence: a tag question, a

Yes-no question, and a Wh-question. To carry out the study based on the data, the writer

applies one more type of interrogative sentence, that is, the interrogative statement.

       It is stated that a tag question used by a speaker to make sure that his or her

information or to seek agreement (Azar, 1989). According to Cobuild (2006, p. 14), a

tag question is a short phrase added at the end of the sentence turning a statement into a

question. The form of a short phrase is a mini question located at the end of the sentence.

(Murphy, 1999, p. 102). Example: "You do not have to do the action, don't you?"

       Further, to confirm the truth of the proposition, the speaker uses a Yes-no

question. (Todd, 2000, pp. 66). The form of a Yes-no question is that there is an

auxiliary verb followed by the subject (Murphy, 1999, p. 96). Also, Cobuild (2006, p.

10) states that a Yes-no question begins with an auxiliary or a modal. Therefore, in the

study, it is divided into two parts: a Yes-no question without modal auxiliary and a Yes-

no question with a modal auxiliary. There are some rules of a Yes-no question applied
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for the study. When the verb group consists of only a main verb, then it uses a

periphrastic auxiliary in the beginning of the sentence. On the other hand, if the verb

group consists of more than one main verb then the first verb is located in the beginning

of the sentence and the rest of verb group comes after a subject (Cobuild, 2006, p. 10).

Meanwhile, the other rule taken from Murphy (1999, p. 96), the use of a negative modal

auxiliary is employed when the speaker wants to expect the hearer to agree with him.

Example: ''Do you want to do the action?"

        Next, a Wh-question. It is a sentence form used to confirm the identity of the

missing item (Todd, 2000, pp. 66). The characteristic of a Wh-question is that it is a

question word in the beginning of a sentence. There are nine types of question word

according to each function: when, where, why, how, who, whom, whose, what, and

which (Azar, 1989). Example:"What is the action?"

        Further, the writer discusses about an interrogative statement. It is a sentence

form, which contains of a declarative or an imperative sentence but using a question

intonation (Stageberg & Oak, 2000, pp. 59). Its function is to confirm the truth

proposition of the speaker (Todd, 2000, pp. 66). Example: "You do the action?"



2.2.2   Theory of grammatical functions

        There are seven grammatical functions based on how the words appear in the

sentence (Stageberg & Oaks, 2000, pp. 213). Those are subject, verb, subjective

complement, direct object, indirect object, objective complement, and object of

preposition. In this study, the writer only focuses on subject, verb, direct object, and

object of proposition.
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           First is the subject. It is the one who perform the action (Fitzpatrick, 2005, p.

297). Not only that but also it is described or identified which an assertion is made

(Stageberg, Oaks, 2000, pp. 213). For example: "The leopard stalked its prey." The

leopard is a subject because it performs the action.


          Second is the verb. It is a word that expresses an action (Todd, 2000, p. 55).

According to Stageberg & Oaks (2000, pp. 213) verb asserts an action or state. For

example: "The leopard stalked its prey." Stalked is a verb because it expresses the

action.


          Third is the direct object. It is a thing affected by the action (Stageberg & Oaks,

2000, pp. 213). In addition according to Dummeth (1993, p. 17) if it is in a noun form

then the function is to mention what is being talked about. For example: "Malcolm

bought a chandelier."A chandelier is a direct object because it is affected by the action.


          Forth is the indirect object. It has function to mention for whom the action is

performed (Stageberg & Oaks, 2000, pp. 213). For example: "1'he coach brought the

athletes some uniforms." The athletes are an indirect object because the action is pointed

to them.


          Fifth is object of proposition. It has function to relate to another word by a

preposition (Stageberg & Oaks, 2000, pp. 213). For example: "She paid rent for her

mother." Her mother is an object of preposition because it relates another word by a

preposition.
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2.3 Theory of phonology

        An expert, Roarch (2000, pp. 3), explains that phonology is about the general

theory of speech sounds and how they are used in language. The function is to

understand the use of sounds in spoken English. In this part, the writer only takes theory

of terminals, pitches, and intonation contours for sentence forms to carry out the

grammatical form and grammatical meaning.



2.3.1 Terminals

        According to Stageberg & Oaks (2000, pp. 57), terminal is a method of closure

in the sentence. There are three different terminals: a fading, rising, and sustained

terminal.

        Based on the data, the writer only takes a fading and rising terminal because it is

appropriate with the data. !n the following will explain about each kind of terminals:

        1.        Fading terminal ( )

                         It is a falling intonation to show that the sentence has finished.

                  The function is to give a sense of closure with a sure signal.

        2.        Rising terminal (   t)
                         It is a rising intonation to denote that the sentence has finished

                  with an unsure signal. It usually occurs in a Yes-no question.



2.3.2   Pitches

        Pitch is as a part of signaling system used in a speaking to make a distinction in

meaning among the words uttered.
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        There are four pitches: 4, 3, 2, and I level (Stageberg & Oaks, 2002, pp. 57). In

the following will explain about each kind of pitch:

         1. (4) It is an extra high level. It used when the speaker wants to express a

             special emphasize or excitement.

        2. (3) It is a high level. It is used when the speaker wants to express a special

             emphasize or excitement. It is used more commonly in American English.

        3. (2) It is a normal level. It is used in the first of sentence as a natural and

             normal level.

        4. (I) It is a low level. It is used when the speaker wants to drop a level to show

             the end of the sentence.



2.3.3   The intonation contours for the sentence forms

        Intonation contours is a combination between the pattern of pitches and the

terminal.

        Based on the data, there are four types of intonation contours. For each contours,

it can be used for several sentence forms (Stageberg & Oaks, pp. 57). Those are the

intonation 'contours for the sentence forms:

        1.      (231 )

                        It is used for a declarative sentence, an imperative sentence, and a

                Wh- question.

        2.      (2 3 3       t )
                It is used for an interrogative statement and a Yes-no question.
                                                                                          12

        3.      (3   1    t)
                         It is used in a tag question when the speaker is sure with the

                proposition and expects the hearer to provide a confirmation about that

                (Roach, 2007, p. 197). It has function to invite the hearer to agree with

               the speaker's proposition (Murphy, 1998, p. 102).

        4.      (3   3    t)
                         It is also used in a tag question when the speaker has a lesser

               certainty about the proposition (Roach, 2007, p. 197). Therefore, the

               function is to ask a question (Murphy, 1998, p. 102).



2.4 Theory of speech acts

       There are several meanings of speech act according to some experts in this field.

Speech act is the actions performed in stating something (Austin, 1962). Then, Yule

(1996, p. 47) also said that it is the actions performed via utterances. Additionally,

according to Hurford & Heasley (2004, pp. 232) it is all things that we can do using

language. Further, it is divided into three theories: theory of utterance meaning, theory

of speech act function, and theory of felicity conditions. The purpose of these theories is

to find out further about the granunatical meaning.



2.4.1 The utterances meaning

       When people do a speech act, it consists of three related acts: locutionary act,

illocutionary force, and perlocutionary act (Austin, 1962). For each type of act will be

explained as follows:
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2.4.1.1 Locutionary act

        Austin (1962), 1ocutionary act is the act of saying something in a full normal

sense. Meanwhile, according to Lyon (1977, as noted by Cruse, 2004), a locutionary act

consists of three characteristics: produce an utterance inscription which means when

people utters something, it produces a noise; compose a sentence which means it

compose a string words to the grammar; and contextualize which means when the

speaker utters, it contains of the meaning. Then, according to McKay & Hornberger

(2007, p. 384), a locutionary act is the literal meaning of utterance. Otherwise, the other

opinion comes from Yule who explains a locutionary act is a basic act of the utterance

and producing a meaningful linguistic expression (1996, p. 48). Moreover, Cutting

(2002, p. 16) simplifies it into the act of saying something. Additionally, Leech (1999,

pp. 199) defines a locutionary act is performing an act of saying something. For

ex.ample, a student in a classroom says to the teacher, "It is hot in here. ", Therefore, the

locutionary act concerns with the warm temperature of the classroom.



2.4.1.2 Illocutionary force

       Based on Austin (1962) and Leech (1999, pp. 199) an illocutionary force is

performing an act in saying something. It refers to the social function of the utterance or

the text has (McKay & Hornberger, 2007, p.384). Moreover, Cutting adds it is the

function of the words with the specific purpose in the speaker's mind (2002, p. 16).

Next, Cruse (2004, pp. 345) explains an illocutionary force will happen if the contextual

conditions are appropriate and a locutionary act has been performed.

       Additionally, according to Yule (1996, pp. 48), to understanding the

illocutionary force, it can be known from a performative verb which mean a verb to
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denote what the speaker utters, word order, stress, and intonation. For example, a student

in a classroom says to the teacher, "It is hot in here. ", the illocutionary act is may be the

request to tum down the heat.



2.4.1.3 Perlocutionary act

        Austin (1962) and Leech (1999, pp. 199) explained a perlocutionary act is the

performing an act by saying something. Otherwise, Cruse (2004, pp. 345) defines a

perlocutionary act is performed by means of language that uses a language as a tool.

Another opinion comes from McKay & Hornberger (2007, p. 384) it is the result by the

utterance that is produced. Not only that but also it is an utterance which has a function

to get an effect (Yule, 1996, p. 48). Furthermore, Cutting also said that it is the effect of

the hearer or the hearer's reaction (2002, p. 16). For example, a student in a classroom

says to the teacher, "It is hot in here. ", a perlocutionary act is the teacher to do the

action of turning down the heat.



2.4.2   The speech functions

        There are several classifications of the speech act according to its function. It is

also supported by there are some experts make these classification. Holmes (1994, p.

286) classified it into expressive, directive, referential, metalinguistic, poetic, and phatic.

While Hornberger & McKay (2007, pp. 384) divided it into representatives, directives,

expressive, commissive. Then Finegan (1999, p. 298) added it with verdictive.

Meanwhile, Leech (1999, pp. 205) divided it into assertive, directive, commissive, and

expressive. Yule (1996, pp. 53) and Cutting (2002, p. 17) divided it into declarative,

representative, expressive, directive, and commisive.
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        Nevertheless, in this study, the writer only concentrates on the directive speech

act. Then Holmes (2001, p. 259) defines a directive speech act is an attempt to get

someone to do something. While, Finegan (1999, p. 298) says a directive speech act as

an intention to get the addressee to carry out an action. Furthermore, Yule (1996, p.53)

states that a directive speech act is used to get someone to do something which shows

what the speaker wants. Meanwhile, Cutting (2002, p. 17) defines a directive speech act

as the words which have the function to make the hearer to do something.



2.4.3   The felicity conditions

        Felicity condition is the condition which must be fulfilled in the situation when

the act is carried out (Hurford & Heasley, 2004, p. 251). Further, Cruse says that it must

be fulfilled before a speech act can be said to get an appropriate meaning (2004, pp.

357). In the study, the writer will give the rules of felicity conditions regarding with the

order, suggestion, and request.



2.4.3.1 Conditions for ordering

        The general conditions have a function to mention that at that time of speaking,

the speaker does not play acting or being nonsensical (Yule, 1996, pp. 50). The

propositional content refers to the future act. In order to find out the preparatory

condition, it includes that the speaker has the authority over the hearer. Then, the

sincerity condition is that the speaker wants the act ordered is done. f'inally, the essential

condition has to do with the fact that the speaker intends by the utterance to get the

hearer to do something (Searle, 1980, pp. 64).
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2.4.3.2 Conditions for suggesting

         The general conditions have a function to mention that at that time of speaking,

the speaker does not play acting or being nonsensical (Yule, 1996, pp. 50). The

propositional content refers to the future act. Then, the preparatory condition includes

the reasons to believe that the act suggested gives a benefit to the hearer and it is not

obvious if the act suggested is done in normal course of events. Next, the sincerity

condition includes the speaker's belief that the act suggested will be good to the hearer.

Further, the essential condition counts as an undertaking to the effect that the act

suggested is in the hearer's interest (Searle, 1980, pp. 64).



2.4.3.3 Conditions for requesting

        The general conditions have a function to mention that at that time of speaking,

the speaker does not play acting or being nonsensical (Yule, 1996, pp. 50). The

propositional content also refers to the future act. In a preparatory condition, the speaker

believes that the hearer is capable to do the requested act. Further, the sincerity condition

shows that the speaker wants the hearer to do something. Meanwhile, the essential

condition counts as attempt to get the hearer to do the act requested (Searle, 1980, pp.

64).



2.5 Theory of pragmatic

       Yule (1996) explains that pragmatic is a study of meaning which is being

communicated by a speaker and interpreted by a listener. It deals with what people mean

by their utterance to deliver the goal of the communication (1996, p.3). Regarding to this
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study, the writer uses the theory of the rules of politeness and faces to conduct the

pragmatic meaning in the sentence



2.5.1 The rules of politeness

        This theory talks about the rules how to be polite when someone delivers the

speech act. The function is to mention whether the directive speech act used by the

speaker is being polite or not. According to Lakoff(1979, as noted by Watts, 2007) there

are three rules of being polite: do not impose, give options, and be good or friendly.

First, what is meant by the rule "do not impose" is that the speaker should not impose

what he or she wants to the hearer. Second, the rule ''give options" means that the

speaker should give a change to the hearer to answer whether he or she agrees or

disagrees with the speaker's action desired. Third, the rule "be good and friendly" means

that when the speaker expresses his or her wants, he or she should make the hearer feels

good and emphasizes on being friendly.



2.5.2 Faces

        Brown and Levinson (1992, p. 61), faces deals with the public self image that

every member wants to claim for. Regarding to the faces, Yule (1996, pp. 61) says that

face is the expectation concerning with self-image when people have a conversation.

Therefore, according to Brown and Levinson (1987, as noted by Yule, 1996) there are

two types of faces: face threatening act and face saving act. When people do a face

threatening act, he or she does a threat to the hearer's face. The characteristic is he or she

says the directive speech act in open and direct way. On the other hand, when people do
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a face saving act, he or she minimizes to threat the hearer's face by emphasizing on

solidarity oriented and demonstrating a distance between them.



2.6     Theory of direct and indirect speech acts

         In this section, at first, the writer will give a brief explanation about what is

meant by a direct and an indirect speech act. Thus, the writer will use the theory of

social dimension between participants and the reasons why people use a direct and an

indirect speech act. The purpose is to find out whether the use of a direct and an indirect

speech act is appropriate or not in accordance with social dimension between

participants.



2.6.1   Direct and indirect speech act

This is a table of the basic sentence form and the function (Yule, 1996, pp. 54)

 Sentence form                       Literal language function

 Declarative                         To make statement

 (You wear a seat belt.)

 Interrogative                       To ask question

 (Do you wear a seal belt?)

Imperative                           To give order or r equest

(Wear a seat belt!)

Table 2.6.1.1 table ofbastc sentence form and the functton



        Speech act is divided into two types: direct and indirect speech act. It is based on

the relationship between the sentence form and the literal language function.
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        Direct speech act talks about a direct relationship between the literal language

function and the granunatical meaning (Cutting, 2002, p. 19). Additionally, according to

Peccei (1999, p. 55), there is a direct relationship between the linguistic structure and the

work they are doing. To analyze the data related to this therefore the speaker applies the

literal use (Searle, 1975, as noted by Saeed, 2000). For example, "Pass the salt. " the

sentence form of this speech is an imperative sentence which the literal language

function is to give an order or to make a request and the grammatical meaning is to order

or request too. Therefore, there is a direct relationship between them, it is called a direct

speech act.

       In contrast, an indirect speech act is a non-direct relationship between the literal

language function and the grammatical meaning (Cutting, 2002, p. 19). It is performed

indirectly through the performance of another speech act (Peccei, 1999, p. 55). At this

point, the speaker uses a non-literal use (Searle, 1915, as noted by Saeed, 2000). For

example, "Could you pass the salt?" the sentence form of this speech is an interrogative

sentence which the literal language function is to ask the question; but the granunatical

meaning is to give an order. In here, there is not a direct relationship between the literal

language function and the grammatical meaning, it is called an indirect speech act.



2.6.2 Social dimension between participants

       According to Holmes (2001, pp. 9) a social dimension is a component which has

function to measure the relationship between participants. There are four types of social

dimension: the solidarity-social distance scale, the status scale, the formality context,

and the referential and affective function scale. Based on this study, the writer

concentrates on the relationship between participants, or the writer uses the solidarity-
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social distance scale and the status scale. In addition, to accomplish the analysis about

using direct and indirect speech act, the writer also employs the formality scale. Those

are the scales:

1.       The solidarity- social distance scale

                  This scale deals with the participants of the conversation. The function is

        to measure how well the speaker knows someone. In terms of intimate

        relationship, it needs higher solidarity rather than distant relationship which tend

        to need lower solidarity.

        Intimate                                                 Distant

        High solidarity                                  Low solidarity



2.      The status scale

                  T'his scale also deals with the participants of the conversation. The

        function is to understand the relative status in some linguistic choices. The

        superior with a higher status needs to be more respected rather than the

        subordinate with a lower status.

        Superior                         High status



        Subordinate                      Low status



     3. The formality scale

                  This scale relates with the settiug or type of interaction. The function is to

        asses where is the setting when the conversation takes place as it influences the

        language used. If the setting is formal then it uses a high formality language type,
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        on the other hand if the setting is informal then it can use a low formality

        language type.

        Formal                          High Formality



        Informal                        Low Formality



2.6.3   The uses of direct and indirect speech act in accordance with the social

        dimension between participants

        An expert, Holmes (200 1) said about the use of direct and indirect speech act in

        accordance with the social dimension as follows:

                   In general, imperatives are used between people who know each other well
                   or to subordinate. Interrogative and declaratives, including hints, tend to be
                   used betwee11 those who are less familiar with each other, or where there is
                   some reason to feel the task being requested is not routine. (p. 265).

        Additionally, this opinion is supported by Cutting (2002) which is as follows:

                   Indirectness is so much associated with politeness that directives are more
                   often expressed as interrogatives than imperatives. This is especially in the
                   case with people whom is not familiar.


2.6.4 The reasons of nsing direct and indirect speech act

               There are several reasons why people tend to use a direct and an indirect

        speech act. Yule states that (1996, pp. 63) there are three reasons supporting the

        use of a direct speech act. First, when people feel that they have a close familiar

        with the hearer therefore the directive speech act is not being interpreted as a

        command. Second, when people face an emergency situation, he or she can use a

        direct speech act regardless who the hearer is. Third, when the speaker assumes

        that he or she has more or higher power than the hearer.
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       While, Cutting (2002, pp. 20) says that there are several reasons why

people use an indirect speech act. First, it is happened when the participants have a

lack of    familiarity.   Second, it   is happened when        it   deals with the

reasonableness of the tasks. Third, people tend to use an indirect speech act when

there is a formality of context and social distance (different of status, role, age,

gender, education, class, occupation and ethnicity).

								
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