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 5 6 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. 220.127.116.11 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." 7 18.104.22.168 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." 22.214.171.124 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 8 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. 9 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. 10 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. 11 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: 13 126.96.36.199 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. 188.8.131.52 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 14 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. 184.108.40.206 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. 15 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. 220.127.116.11 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). 16 18.104.22.168 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). 22.214.171.124 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 17 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 18 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 126.96.36.199 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. 19 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- 20 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, 21 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. 22 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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