Refusal Expressions Performed by the Main Characters in To Kill A Mockingbird, A Novel by Harper Lee.
REFUSAL EXPRESSIONS PERFORMED BY THE MAIN CHARACTERS
IN TO KILL A MOCKINGBIRD, A NOVEL BY HARPER LEE
A THESIS
Submitted as Partial Fulfillment of the Requirements for the Sarjana Degree of
English Department Faculty of Letter and Humanities UIN Sunan Ampel
Surabaya
By:
Nur Liqaissa’adah
Reg. Number: A03211063
ENGLISH DEPARTMENT
FACULTY OF LETTERS AND HUMANITIES
STATE ISLAMIC UNIVERSITY SUNAN AMPEL
SURABAYA
2015
REFUSAL EXPRESSIONS PERFORMED BY THE MAIN CHARACTERS
IN TO KILL A MOCKINGBIRD, A NOVEL BY HARPER LEE
A THESIS
Submitted as Partial Fulfillment of the Requirements for the Sarjana Degree of
English Department Faculty of Letter and Humanities UIN Sunan Ampel
Surabaya
By:
Nur Liqaissa’adah
Reg. Number: A03211063
ENGLISH DEPARTMENT
FACULTY OF LETTERS AND HUMANITIES
STATE ISLAMIC UNIVERSITY SUNAN AMPEL
SURABAYA
2015
ii
ABSTRACT
Liqaissa’adah, Nur, 2015. A study of Refusal Expressions performed by the main
characters in To Kill a Mockingbird, a Novel by Harper Lee.
Advisor: Prof. Dr. Hj. Zuliati Rohmah, M. Pd.
Key words: Speech Act of Refusal, Context of Situation, To Kill a Mockingbird
Novel.
This study analyzes the Refusal Expressions in To Kill a Mockingbird, a
novel by Harper Lee. The problems proposed are: (1)What are the types of refusal
expression performed by the main characters in To Kill a Mockingbird, a novel by
Harper Lee? (2)In what context of situation the refusal expression is performed by
the main characters in To Kill a Mockingbird, a novel by Harper Lee? The source
of data is To Kill a Mockingbird novel which is written by Harper Lee.
The researcher used descriptive method because she wants to give more
information and explanation of the utterance which is used by the main characters
in the novel. In addition, she used descriptive analysis technique because she
wants to make data description about the problems. Through descriptive analysis
the researcher tried to supply a better understanding about speech act of refusal in
To Kill a Mockingbird novel. In collecting the data, the researcher took the
following steps: (1) choosing a novel, (2) reading the novel, (3) noticing the
utterance containing refusal expressions. Then, in data analysis, the researcher
took some procedures, they are: (1) identifying the data, (2) classifying the data,
(3) determining the data into each type of refusal expressions, (4) describing the
context of situation of each type of refusal expressions.
After analyzing the novel, the researcher found the types of refusal
expressions which are used by the main characters in the novel. Based on the data
that had been analyzed, the researcher found three types of refusal expressions;
they are direct refusal, indirect refusal, and adjunct to refusal. The most dominant
type of refusal expressions that is used by the main characters in this novel is
direct refusal. It shows that most refusals in this novel are to show the authority of
the main characters in refusing something.
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INTISARI
Liqaissa’adah, Nur, 2015. A study of Refusal Expressions performed by the main
characters in To Kill a Mockingbird, a Novel by Harper Lee.
Advisor: Prof. Dr. Hj. Zuliati Rohmah, M. Pd.
Kata kunci: Speech Act of Refusal, Context of Situation, To Kill a Mockingbird
Novel.
Skripsi ini menganalisis tentang Refusal Expressions in To Kill a
Mockingbird novel by Harper Lee. Rumusan masalah dalam pembahasan ini
diantaranya: (1) apa saja tipe refusal expressions yang digunakan oleh karakter
utama dalam novel To Kill a Mockingbird? (2) dalam keadaan yang bagaimana
refusal expressions digunakan oleh karakter utama dalam novel To Kill a
Mockingbird? Sumber data yang dianalisis diperoleh dari novel To Kill a
Mockingbird yang ditulis oleh Harper Lee.
Penulis menggunakan metode deskriptif karena penulis ingin memberikan
informasi dan penjelasan yang lebih detail dari ungkapan-ungkapan yang
digunakan oleh pemeran utama dalam novel ini. Selanjutnya, penulis
menggunakan teknik deskriptif analisis karena dia memakai data yang berbentuk
deskriptif karena dia ingin membuat deskripsi data tentang masalah-masalah yang
akan dibahas dalam skripsi ini. Penulis juga ingin mencoba untuk mempermudah
pemahaman tentang speech act of refusal in To Kill a Mockingbird novel
menggunakan deskriptif analisis. Dalam pengumpulan data, penulis melakukan
beberapa langkah diantaranya; (1) memilih novel, (2) membaca novel, dan (3)
menandai ungkapan yang termasuk refusal expressions. Kemudian, dalam
menganalisis data, penulis menggunakan beberapa prosedure, diantaranya; (1)
mengidentifikasi data, (2) mengelompokkan data, (3) menentukan jenis refusal
yang digunakan dan frekuensinya, (4) menjelaskan context of situation dari setiap
jenis refusal expressions.
Setelah menganalisis novel To Kill a Mockingbird, penulis menemukan
jenis-jenis refusal expressions yang digunakan oleh pemeran utama dalam novel
ini. Berdasarkan data yang sudah dianalisis, penulis menemukan tiga jenis refusal
expressions, diantaranya; direct refusal, indirect refusal, dan adjunct to refusal.
Tipe yang dominan digunakan adalah direct refusal. Hal itu menunjukkan bahwa
sebagian besar refusal yang terdapat di dalam novel memperlihatkan tentang
kekuasaan dari pemeran utama.
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TABLE OF CONTENT
Inside cover page.............................................................................................. i
Inside title page ................................................................................................ ii
Thesis Advisor’s Approval Page ...................................................................... iii
Examiner Sheet ............................................................................................... iv
Declaration Page .............................................................................................. v
Motto ................................................................................................................ vi
Dedication Page ............................................................................................... vii
Acknowledgements .......................................................................................... viii
Table of Content ............................................................................................... x
Abstract ........................................................................................................... xii
Intisari .............................................................................................................. xiii
CHAPTER 1 INTRODUCTION ..................................................................... 1
1.1 Background of the Study............................................................................ 1
1.2 Statement of the Problem ........................................................................... 7
1.3 Objective of the Study................................................................................ 8
1.4 Significance of the Study ........................................................................... 8
1.5 Scope and Limitation ................................................................................. 8
1.6 Definition of Key Terms ............................................................................ 9
CHAPTER II REVIEW OF RELATED LITERATURE ................................ 11
2.1 Theoretical Framework .............................................................................. 11
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2.1.1 Speech Act ....................................................................................... 11
2.1.2 Speech Act of Refusal ..................................................................... 16
2.1.3 The Concept of Context of Situation ............................................... 21
2.1.4 To Kill a Mockingbird by Harper Lee ............................................. 23
CHAPTER III RESEARCH METHODS ........................................................ 26
3.1 Research Design ......................................................................................... 26
3.2 Instruments ................................................................................................. 26
3.3 Data and Data Source ................................................................................. 27
3.4 Data Collection........................................................................................... 28
3.5 Data Analysis ............................................................................................. 31
CHAPTER IV FINDINGS AND DISCUSSIONS .......................................... 35
4.1 Findings ...................................................................................................... 35
4.1.1 Types of Refusal Expressions ................................................................. 35
4.1.2 Context of Situation .............................................................................. .. 49
4.2 Discussions................................................................................................. 61
CHAPTER V CONCLUSION ......................................................................... 68
REFERENCES................................................................................................. 71
APPENDICES ................................................................................................. 73
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CHAPTER I
INTRODUCTION
In this chapter, the researcher presents the background of the study which
contains the previous studies, the reason why the researcher chooses this title in
her study, the statement of problems that are analyzed in this study, the objective
of the study which describes some significant things of this study to the readers
and also to the researcher herself, scope and limitation of the study, and definition
of key terms to define some terms used in this study.
1.1
Background of Study
Research on refusal expressions grows in many focuses; some of
them are (Andriani, 2008; Angryani, 2011; Arum, 2012). These researches
focus on the types of refusal and limited only in indirect refusal. They use
a movie as the object of their research. The result of these researches is
categorization of indirect refusal; they are excuse/reason/explanation,
expression of regret, and positive opinion. This is different from Beebe‟s
finding that mention in his journal that there are three types of refusal and
eleven categories of indirect refusal. This difference in findings about
types of refusal motivated the researcher to study further about this.
Sarfo (2011) also found three types of indirect refusal which are
different from Beebe and Takashi‟s findings (1985). In this study, he
identifies and discusses the different ways of refusing requests and how
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those ways of refusing are influenced by age and socio-economic status
among members of the Berekum Training College community. The paper
finds two main forms of refusals used by the members of the college
community, namely, direct and indirect refusals. Three types of direct
refusals are identified, the use of: (a) definite or flat no without any other
form(s) of expression; (b) definite no with some other expression(s), and
(c) negative expression(s) without the word no. These forms are
influenced, to a large extent, by age and socioeconomic status. Generally,
the different forms of direct refusals are used when a high-status and/or
older person refuses a low-status and/or younger interlocutor. In other
words, the relationship is hierarchical (Sarfo, 2011).
Then, Widowati‟s (2011) study found out all types of refusal
mentioned in Beebe and Takashi‟s (1985). There are three types of refusal
expressions based on Beebe and Takashi‟s theory (1985); they are direct
refusal, indirect refusal, and adjunct to refusal. Nonetheless, these
researches only deal with the characters in a movie, not in a real life.
Inspired by Widowati‟s (2011) study, Gozzali (2013) tries to conduct
another object of refusal expressions. He analyzes this topic in real life and
focuses on grown-up Chinese Indonesian sons and daughters toward their
parents request in Surabaya. Gozzali provides a solution for the researcher
problem that there are many types and categories of refusal expressions.
This research also analyzes a conversation that occurs in a real life
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between parents and their child. It makes the researcher happy to find this
solution for her problem.
After reviewing the existing literature, it is important to note that
gaps in refusal expressions have been analyzed in a movie and real life,
while none of the researchers has focused on written text and literature
such as novels or short stories. Widowati (2011) and Arum (2012) suggest
that the future research on refusal expression in written text and literature.
Therefore, the researcher chooses a novel as her object in this present
research.
The ample studies of refusal expressions in Indonesia have been
analyzed in comparison between male and female in such interaction of
shop assistants and seller (e.g. Liena, 2001; Utomo and Prawito, 2007). In
these researches, they only focus on comparison between male and female
sellers in some places. The result of their studies is almost the same that
male is more dominant in using direct refusal while the female shop
assistants prefer to use indirect refusal than another types of refusal.
Nonetheless, this result raise a number of question why the researchers do
not provide the last type of refusal expressions, adjunct to refusal, and also
why the object always in buyer and seller communication.
There are a number of studies of refusal; most of them deal with
either English or Japanese (e.g., Morrow 1995, Gass & Houck 1999).
Some of the studies also focus on Chinese (e.g., Liao 1994, Chen & Zhang
1995, Chen 1996), and these studies tend to analyze refusal from the
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perspective of semantic content. Although examples of refusal strategies
are given, the contexts in which these strategies were used are not
analyzed in detail. For example, they did not study the contextual
restriction of each strategy and hence may make over-generalizations.
Furthermore, these studies have focused primarily on the content of refusal
expressions not in contextual background that influence the refusal
expression.
Considering these limitations, it is necessary to examine when,
where, and as well as the roles of the interlocutors (“initiator” and
“refuser”). This is the kind of knowledge that learners of Chinese most
need when they encounter situations of refusals. This paper therefore
analyzes situations in which refusal will occur and examines the refusal
strategies and corresponding linguistic forms that can be employed to react
to certain refusal situations. Since refusal is an act in response to other
acts, acts that prompt refusals play an important role in the choices of
refusal strategies (Chen, 1996). Therefore, this paper categorizes situations
of refusal according to the initiating acts of refusal.
Refusal is important in maintaining the relationship because
sometimes people must say “no” directly or indirectly toward request,
demand, command, offer, invitation, or suggestion. In conducting refusal,
people should pay attention to the form of refusal because expressing
refusal has a possibility of offending the listener. Therefore, people must
be aware in selecting the appropriate refusal strategies.
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The refuters have different style when they deliver the refusal
expression because refusing a request or an offer from interlocutor is not
easy for them. In refusal expression, the refuters have to make the
listener‟s feel not to be offended or to be hurt. Refusing is not just saying
“no”. Refusing is an expression that is expressed by the speaker and it is
unexpected for the listener. Therefore, the refuters need some ways to
express their refusal expression in order to make the speakers who invite
them are not disappointed. There are ways to deliver refusal expression
which can be said politely or impolitely.
There are many different categories of refusal expressions
especially in indirect refusal form. Andriani (2008), Angryani (2011),
Arum (2012) categorize indirect refusals into three types, they are reason
and explanation, statement of regret, and positive opinion. While
Widowati (2011) and Gozzali (2013) categorize indirect refusals into ten
types, they are (a) statement of regret, (b) wish, (c) excuse and
explanation, (d) statement of alternative, (e)statement of principle, (f) set
condition for future or past acceptance, (g) promise of future acceptance,
(h) statement of philosophy, (i) attempt to dissuade interlocutor, and (j)
avoidance.
In the present study, the researcher takes into account some
previous studies that have successfully revealed that refusal expressions
are divided into three types (see Widowati, 2011; Gozzali, 2013). They
are, direct refusal, indirect refusal, and adjunct o refusal. Commonly,
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refusal expression can be expressed by saying “no” but it can also be
delivered indirectly. Saying “no” or “I refuse” does not exist in the indirect
refusal
expression. Uttering
a
reason is
widely used
in
refusal
expression. People usually use an explanation and a reason to refuse
someone‟s offer or request. Politeness strategies are also necessary
because they have to deliver the refusal expression politely or impolitely.
Andriani (2008) in her research also analyzes refusal expression
and its context of situation. There is a context that gives an influence to
someone using expressions. The result of this study is only focused on the
purpose of why people use refusal expressions. In this study, Andriani
analyzes the context of situation based on Hymes theory, but she does not
provide all of the parts of context of situation. She only takes the second
part, purpose, in Hymes‟ SPEAKING theory. By evaluating this case, the
researcher finds new solution to study further about context of situation
detail. In this research, the researcher takes Halliday‟s (1989) theory to
analyze the context of situation of refusal expressions in the novel.
From all of the previous studies above, the researcher concludes
that there are some reasons to do this analysis. First, the topic of this study
is interesting and important, because it is related to daily life of the
researcher. The researcher wants to know how to refuse in right and polite
way. Refusal expressions have different function and different types, so
the researcher knows how to use it in appropriate place. People use an
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appropriate expression in the right situation and in the
right
place.
Refusal expression is the example of people's expression.
The second reason is the object of this study. Some of the
researchers before are use a movie as the object of their analysis. Some of
them also analyze the interaction of sellers and buyers in some places.
Therefore, the researcher tries to analyze a novel as the object of her
research to get new finding about refusal expressions in written text.
Refusal expression do not only occur in the real life but also happens in the
literary work like a novel. Many novels show the refusal expression, and
this novel is one of them.
From these two reasons, the researcher chooses this topic and the
object for her study. The researcher sates “Refusal Expressions Performed
by the Main Characters in To Kill a Mockingbird, a Novel by Harper Lee”
as the title in this study.
1.2
Research Problems
As mentioned before, this research deals with the refusal
expressions. By understanding the significance of the issue, the main
problems that will be analyzed in this research can be seen as follow:
1. What are the types of refusal expression performed by the main
characters in To Kill a Mockingbird, a novel by Harper Lee?
2. In what context of situation the refusal expression is performed by the
main characters in To Kill a Mockingbird, a novel by Harper Lee?
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1.3
Research Purposes
The purposes of this research are as follow:
1. To describe the types of refusal expressions performed by the main
characters in To Kill a Mockingbird, a novel by Harper Lee.
2. To know in what context of situation the refusal expression is
performed by the main characters in To Kill a Mockingbird, a novel by
Harper Lee.
1.4
Significance of Study
This research is expected to provide the significance of the study.
This research is expected to enrich knowledge about pragmatics, especially
speech act which has a relation to the refusal expression. This research can
give an additional reference about pragmatics, especially refusal
expression. Many previous studies about refusal have been done by some
researchers. Nonetheless, no one of them find all of types of refusal,
especially adjunct to refusal. They only found direct and indirect refusal.
Therefore, the researcher contributes new findings about refusal
expression in the form of adjunct to refusal.
1.5
Scope and Limitations
In this research, the analysis is limited on utterances of refusals
expressed by the main characters on the novel entitled To Kill a
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Mockingbird. For avoiding deviation in this research, the researcher just
focuses on the refusal expressions based on Beebe, Takashi and UlissWeltz‟s classification. The researcher will analyze the utterances
performed by three main characters namely Atticus, Scout, and Jem in
their conversation, which is related to refusal expressions.
Meanwhile, in doing this research the limitations are the
weaknesses of this analysis. To kill a mockingbird also has been filmed by
Rrobert Mulligan in 1962. Nonetheless, the researcher does not take the
movie as the object because she wants to try to analyze another form of
object using refusal expressions theory. She tries to understand the refusal
expressions from the description of the novel. The analysis of the
researcher on this research is not totally true or right, because it is just a
prediction (of course by using a theory) of the researcher. The researcher
just can predict it using theory without knowing the gesture and visual
expressions from the main characters when they perform refusal
expressions since the data of this analysis is a novel.
1.6
Defition of Key Terms
In order to avoid misinterpretation about the used terms, it is
important for the researcher to give the suitable meaning of the key terms.
Some terms are defined as follows:
a. Speech act is the action performed in saying something.
b. Commisive is the speech functions to promise something to someone.
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c. Refusal expression is the speech act of saying”no”, expressing the
addressee‟s non-acceptance, declining of or disagreeing with a request,
an invitation, a suggestion or an offer (Felix-Brasdever, 2008: 42).
d. Context is the set of circumstances or facts that surround a particular
event, situation, etc (Halliday and Hasan, 1985: 45-46).
e. Field is the subject matter in conversation (Halliday and Hasan, 1985:
45-46).
f. Tenor is the social relation existing between the interactants in a
speech situation. It includes relations of formality, power, and affect
(manager/clerk, father/son) (Halliday and Hasan, 1985: 45-46)..
g. Mode is the way the language is being used in the speech interaction,
including the medium (spoken, written, written to be spoken, etc.) as
well as the rhetorical mode (expository, instructive, persuasive, etc.)
(Halliday and Hasan, 1985: 45-46).
h. Main character is the central or primary personal figure of a literary,
theatrical, cinematic or musical narrative, who enters conflict because
of the antagonist (Urban Dictionary). There are three main characters
of this novel (Atticus, Scout, and Jem) as the object of this research.
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CHAPTER II
REVIEW OF RELATED LITERATURE
2.1 Theoretical Framework
In this chapter, the researcher reviews some theories, which are going to
be used in the study. The researcher includes the important theories which are
relevant for her study. In this part, the researcher explains the review of related
theories. She reviews the theories which fully support her study about refusal
expressions. The researcher discusses in brief about speech act, refusal
expressions, and the concept of context of situation. These theories can help the
researcher to solve her problem.
2.1.1 Speech Acts
a. Definition of Speech Act
People do not only produce utterances which contain grammatical
structure and words when they speak. But also perform an action through those
utterances. Utterances that perform an action are generally called as speech act
(Yule, 1996: 47). Similarly Aitchison (2003: 106) defines speech act as a
number of utterance behave somewhat like actions. Based on that opinion
above, it can be concluded that speech act is the act performed by a speaker in
uttering a sentence. The functions of the speech act itself is to state the
speaker‟s intention to the hearer.
The discussion of speech act cannot be separated from the other aspects of
speaking activities, such as speech situation and speech event. Speech situation
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is a speech which is associated with the situation and an event may consist of
one or more speech acts (Hymes in Fasold. 1999: 42). Austin (in Levinson,
1983: 236) divides three basic senses in which when someone says something,
he or she is also doing something at the same time, they are:
1) Locutionary act is the real word that is uttered by a speaker and it
contains the speaker‟s verbalized message.
2) Illocutionary act is the power or intention behind the words that is
uttered by the speaker. It indicates the speaker‟s purpose in saying
something. The speaker‟s expression can be in the form of
statement, offer, promise, etc.
3) Perlocutionary act is the effect of the illocution on the hearer, such
as the effect on the feelings, thoughts, or action of the hearers.
In the other word, locutionary act is the simple act of saying words and the
meaning of those words which are spoken by the speaker. Illocutionary act is
what is done by the speaker in saying something, and perlocutionary act is the
effect that arises when the speaker is saying something.
b. Direct and Indirect Speech Act
Searle (in Cutting, 2002: 19) said that a speaker using a direct
speech act wants to communicate the literal meaning that the words
conventionally express; there is a direct relationship between the form and the
function. Thus, a declarative form (not to be confused with declaration speech
acts) such as „I was going to get another one‟ has the function of a statement
or assertion; an interrogative form such as „Do you like the tuna and sweet
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corn ones?‟ has the function of a question; and in imperative form such as
„Get me one‟ has the function of a request or order.
On the other hand, Searle (in Cutting, 2002: 19) explained that
someone using an indirect speech act wants to communicate a different
meaning from the apparent surface meaning; the form and the function are
not directly related. There is an underlying pragmatic meaning, and one
speech act is performed through another speech act. Thus a declarative from
such as „I was going to get another one‟, or „You get me a tuna and sweet
corn one‟ might have the function of a request or order, meaning ‟Get me
one‟, similarly an interrogative form such as „Could you get me a tuna and
sweet corn one please?‟ has the function of a request or order.
Indirect speech acts are part of everyday life. The classification of
utterances in categories of indirect and direct speech acts is not an easy task,
because much of what we say operates on both levels, and utterances often
have more than one macro-functions (representative, commissive, directive,
expressive, and so on).
1) Direct Speech Act
Finch (2000: 183) direct speech act is a speech act that has direct
connection with the structure used. In a direct speech act, the sentence meaning
and speaker‟s meaning match with the speaker‟s meaning, i.e. The form of the
utterance is in accordance with what the speaker is intending to convey. Searle
(in Cutting, 2002: 19) states that the speakers use direct speech act to
communicate the literal meaning that the words conventionally express;
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there is a direct relationship between the form and the function (declarative,
imperative and interrogative).
Clark and Clark (1977: 28) note that telling is usually done with
declaratives, questioning, with interrogatives are used to question about
some states of affair and imperatives are used to request or order something are
all direct speech acts. For example, (a) Andrea picks up the phone; (b) Did
Andrea pick up the phone? (c) Pick up the phone, Andrea! In (a) the speaker
asserts that Andrea picks up the phone, in (b) the speaker asks whether or
not Andrea picks up the phone, while (c) the speaker requests/commands
Andrea to pick up the phone.
2) Indirect Speech Act
Finch (2000: 183) states that indirect speech act occurs when there is
an indirect relationship between a surface structure and function and in
indirect speech act, the speaker means what the sentence means but something
else as well. Searle (in Cutting, 2002: 19) also explains that someone who
uses an indirect speech act wants to communicate a different meaning from
the apparent surface meaning; the form and function are not directly
related (statements, question, command/request).
Yule (1996: 55) gives some examples where the speaker wants the hearer
not to stand in front of the TV. The basic function of all utterances is a
command or requests but only the imperative structure in (a) represents a
direct speech act. The interrogative structure in (b) is not being used only as a
question but also as an indirect request. The declarative structure in (c) is also
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15
an indirect request. Example: (a) Move out of the way! (b) Do you have to
stand in front of the TV? (c) You‟re standing in front of the TV
c.
Speech Act Classification
Searle (in Levinson, 1983: 240) proposes that in speaking, one can
perform five basic kinds of illocutionary acts, namely:
a) Representatives or Assertives: the speech functions to assert
something. This class includes: stating, claiming, suggesting, insisting,
criticizing, boasting, predicting, hypothesizing, describing, and
complaining. For example: “ I bought the book yesterday”.
b) Directives: the speech functions to ask someone to do something. This
class includes: requesting, questioning, demanding, ordering, asking,
advising, commanding, daring, forbidding, inviting, defying, and
challenging. For example: “ will you close the door please?”.
c) Commisives: the speech functions to promise something to someone.
This class includes: promising, threatening, offering, refusing,
volunteering, intending, vowing, assuring, to do or to refrain from
doing something. For example:“ I will take you to the zoo tomorrow”.
d) Expressives: the speech functions to express feeling. This class
includes: thanking, congratulating, deploring, condoling, praising,
mocking, welcoming, and apologizing. For example: “ I am very
exited today”.
e) Declarations: the speech functions to change the state of affair in this
world. This class includes: blessing, firing, baptizing, bidding,
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16
passing, sentence, excommunicating. For example: “ I bet you ten
dollar”.
2.1.2 Speech Act of Refusal
Refusals are considered to be face-threatening act because they
contradict the listener‟s expectation (Chen, 1995).
Refusal is an
expression which is expressed by saying „no‟ but it is not easy. BlumKulka (1982: 30-31) mentions that it is not common in English to express
refusal by saying „no‟ or to say „no‟ in response to a request for
information (for example in shops, hotels, restaurants).
Felix-Brasdever
in
his book
which
entitles Politeness
in
Mexico and United States: a Contrastive Study of The Realization and
Perception of Refusals (2008: 42) states that the speech act of refusals
represents one type dispreferred response. Refusal expression has to
be used in an appropriate form and the function depends on the
context.
This expression includes of speech act especially commisives
speech act which the word commits to future action. According to Searle
(1977) refusals belong to the category of commisives because they
commit the refuter to performing an action. Beebe, Takahashi, and
Uliss-Weltz (1990) explain that refusal expression can be expressed
directly, indirectly and adjunct. These are the classifications of refusal
expression:
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Direct refusals
Indirect refusal
Adjunct to refusals
Performative
Statement of regret
Statement of positive
Non-performative
Wish
opinion/feeling or
Excuse, reason,
agreement
explanation
Statement of empathy
Statement of alternative
Pause fillers
Set condition for future
Gratitude/appreciation
or past acceptance
Promise of future
acceptance
Statement of principle
Statement of philosophy
Attempt to dissuade
interlocutor
Acceptance that
functions as a refusal
Avoidance
Table 2.1 The Classification of Refusal Expressions
A. Direct Refusals
1. Performative
The speaker usually is in the speech such as “I refuse…”
which based on Leech (1996: 215) states that performatives are self-
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naming utterances. The performative verb usually refers to the act in
which the speaker is involved at the moment of speech.
2. Non performative
“no”, saying “no” for refusing is common and it shows
that the speaker refusing directly.
Negative willingness/ability
The use of negative willingness is showed by speaker by saying “I
can‟t…”, “I won‟t…”, “I don‟t think so…”
B. Indirect Refusals
1. Statement of regret
In the statement of regret, the speaker feels sorry or regret and it can
be showed by saying “I‟m sorry…”, “I feel terrible…”
2. Wish
The speaker uses the statement of wish for refusing by saying “I wish I
could help you…”
3. Excuse, reason, explanation
Commonly, people use this category for refusing which they give reason
or explanation. “my children at home…”, “I‟m headache…” are the
examples.
4. Statement of alternative
The speaker gives the alternative such as “I‟d rather…”, “I‟d
prefer…” or “why don‟t you ask someone else?...”
5. Set condition for future or past acceptance
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19
In this situation, the speaker gives an opportunity for the hearer by
past acceptance in which the hearer does not ask the speaker. It can be
shown by saying “if you had asked me earlier, I would have…”
6. Promise of future acceptance
Promising is another strategy for refusing which can be performed as “I‟ll
do it next time…”, “I promise I‟ll…”, “next time I‟ll…”
7. Statement of principle
The speakers use their principle for refusing which can be shown by
saying “I never do business with friends…”
8. Statement of philosophy
Saying statement philosophy is one of strategies for refusing
indirectly. For example the speaker will say “help one, help all”
9. Attempt to dissuade interlocutor
In this strategy, the speaker uses:
Threat or statement of negative consequences to the requester. “I
won‟t be any fun tonight…” this is the example to refuse an
invitation.
Guilt trip, the example of this situation can be shown on
waitress to customers who want to sit a while: “I can‟t make a
living off people who just order coffee…”
Criticize the request/requester (statement of negative feeling or
opinion; insult/attack. This is the example “who do you think
you are?”, “that‟s terrible idea!”
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Request for help, empathy, and assistance by dropping or
holding the request.
Let interlocutor off the hook
Self-defense, it is the example: “I‟m trying my best…”, “I‟m doing
all I can do…”
10. Acceptance that functions as a refusal
Unspecific or indefinite reply
Lack of enthusiasm
11. Avoidance
Non-verbal
Silence
Hesitation
Doing nothing
Physical departure
Verbal
Topic switch
Joke
Repetition of part request
Postponement
Hedge
C. Adjunct to Refusals
1. Statement of positive opinion/ feeling of agreement
This statement can be shown as “That‟s good idea….”; “I‟d love to….”
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2. Statement of empathy
Example: “I realize you are in difficult situation”
3. Pause fillers
Example: “oh…”; “well…”; “uhm…”
4. Gratitude/appreciation
Example: “thanks, but…”
2.1.3
The Concept of Context of Situation
Context is one of the factors that give an effect to people how they
use the language. According to Asher (1994: 731) context is one of those
linguistic terms which are constantly used in all kinds of context but never
explained. It has the relationship with meaning and they are important in
pragmatics. Finnegan et al. (1997: 345) state that the essential element in
the interpretation of an utterance is the context in which it is uttered. The
context can influence the speaker on how to use the language. Yule (1996:
21) states that context simply means the physical environment in which a
word is used. The importance of taking of context into account is also
well expressed by Hymes (in Brown and Yule, 1983: 37) who views
the role of the context in interpretation as, on the one hand, limiting
the range of possible interpretation and, on the other hand, as supporting
the intended interpretation:
“The use of linguistic form identifies a range of meanings. A
context can support a range of the meanings. When a form is
used in a context, it eliminates the meaning possible to that
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22
context other than those the form can
signal:
the
context
eliminates from consideration the meanings possible to the form
other than those the context can support.”
Besides, Mey (1993: 39-40) states that context is more than a
matter of reference and of understanding what things are about. It gives a
deeper meaning to utterances. The utterance “It is a long time since we
visited your mother”, when uttered in the living room by a married
couple, has a totally different meaning from it is uttered by a
husband
and
wife while
they
are
standing
in
front
of
the
hippopotamus enclosure at the zoo, in which it can be considered as a joke.
a. Context of situation
All of the language has a context. The „textual‟ features are
enabled to cohere the textual itself and with its context of situation.
Halliday and Hasan (1985: 45-46) analyzed the context of situation
into three components which are consistent with the three
multifunction in discourse field. This allows us to display the
redundancy between text and situation, how each component serves to
predict the other component. The three components are:
1. Field of discourse or the „play‟: the kind of activity, as recognized
in the culture, within which the language is playing some part
(predict experiential meaning)
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23
2. Tenor of discourse or the „player‟: the actors or rather the
interacting roles that are involved in the creation of the text
(predict interpersonal meaning)
3. Mode of discourse or the „parts‟: the particular function that are
assigned to language in this situation, and the rhetorical channel
that is therefore allotted to it (predict textual meaning)
The context of situation, as defined in this terms is immediate
environment in which a text is actually functioning. This concept has a
function to explain why certain things have been said or written on this
particular occasion, and what else might have not been said or written. The
reason of the researcher in using a context of situation is because the
context of situation is important for the reader in order to know the
intended meaning of the utterance.
b. Cultural or social context
Malinowski in Halliday and Hasan (1986: 6) defines context of
situation as environment of the text including the verbal and the situational
environment in which the text is uttered. The linguistic interaction involves
not only the immediate sight and sound surrounding the event but also the
whole cultural history that is behind the participants and the kind of
practices that they are engaging in.
2.1.4
To Kill a Mockingbird by Harper Lee
Scout and Jem Finch are growing up in the tired old Alabama town
of Maycomb. Their father, Atticus, is the local lawyer and as a single
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24
parent tries to raise his children with honor and respect to their
individualism. With the Depression on times are hard, and there is no
money to be found anywhere in town.
To amuse themselves Scout, Jem, and their best friend Dill begin a
relentless campaign during their summertimes to get Boo Radley, their
reclusive, legendary neighbor, to come out of his house. They concoct
endless schemes and even go so far as to create a play that details Boo's
life. Atticus forbids them to have anything to do with Mr. Radley, urging
them to let the poor man be.
Atticus is a good man, and one day takes on a case that affects him
personally. A black man, Tom Robinson, is accused of beating and raping
a white woman, Mayella Ewell. Most of the county is convinced
immediately that Tom is guilty of the crime, and begin to look at Atticus in
a very negative way for actually defending him and trying to do right by
him.
As the trial begins it becomes apparent to Scout and Jem that there
is no way that Tom Robinson could have beaten and raped Mayella Ewell,
as his left hand is crippled. Atticus proves that to the jury, and Scout and
Jem are astonished when Tom is slapped with a guilty verdict anyway.
They begin to realize that many people in town are very prejudiced against
blacks, and their hearts are saddened by it. Time crawls past, and finally
Bob Ewell is good to his word and attacks the children Halloween night
with a knife. He breaks Jem's arm and almost kills Scout, but Boo Radley,
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25
of all people, comes to their rescue and saves them. The sheriff, Heck
Tate, hushes the whole thing over so Boo Radley will not be dragged into
the spotlight, and Scout is thrilled to finally get to meet the man they for so
long fantasized about. As she walks him back home, she realizes that all
this time he was watching them from his front porch windows, and just for
a little while she is able to stand in his shoes.
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CHAPTER III
RESEARCH METHODS
In this chapter, the researcher discussed the research approach, the method
of the study, the source of data, the procedures of data collection, and the
procedures of data analysis.
3.1 Research Design
As this research was conducted in analyzing a specific element, which
is the refusal expression in a novel by Harper Lee, To Kill a Mockingbird, the
type of this research was descriptive research. It can be called descriptive
because it described a linguistic phenomenon. The researcher tried to explain
the phenomenon under the study. As stated by Ary (1990: 381): “Descriptive
research studies are designed to obtain information concerning the current
status of phenomena”. It explained that a descriptive research is used to give
more information or explanation of the utterance which is used by the main
character in the novel.
3.2 Instruments
As a descriptive interview and investigate the data (novel), the key
instrument of the present study was the researcher herself. Such study of
refusal expressions and the novel itself. Therefore, she spent a great deal of
her time reading and understanding the related theories and concepts before
collecting and analyzing the data. Thus, she acted as an instrument and a
data collector at the same time. The researcher was the main instrument,
26
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27
because it was impossible to investigate directly without any interpretation
from the researcher herself.
3.3
Data and Data Sources
In this present research, the data were utterances that are
considered as refusal expressions that were performed by the main
characters in a novel. According to Subroto, the source of data of
qualitative research appears in the form of discourse, sentences, clauses,
phrases or words (1992: 35). Based on these statement, the data source of
this research was be in the form of a novel by Harper Lee entitled To Kill a
Mockingbird.
This novel told about a small family of three; Atticus Finch, an
attorney, and his two children, Scout and Jem. As the novel proceeds
certain characters are linked with the three main characters to form a
dramatic story of events, attitudes, prejudices and values.The novel is set is
the quiet town of Maycomb; but the serenity is only superficial. The town
is comprised of three communities: the white folk, the black community,
and the „white trash‟. Outwardly there is peace among the three, but
underneath prevails a combination of hostility, racial prejudices, and
friendlessness.
The main plot of the novel revolves around the trial in which
Atticus defends Tom Robinson, a black, who has been accused of having
molested a white girl, Mayella Ewell. She is part of the „white-trash‟
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28
community. The children follow the case proceedings avidly and are
inconsolable when their father loses the case.
The case is lost simply because it was still impossible (despite
statutory laws protecting them) fo
IN TO KILL A MOCKINGBIRD, A NOVEL BY HARPER LEE
A THESIS
Submitted as Partial Fulfillment of the Requirements for the Sarjana Degree of
English Department Faculty of Letter and Humanities UIN Sunan Ampel
Surabaya
By:
Nur Liqaissa’adah
Reg. Number: A03211063
ENGLISH DEPARTMENT
FACULTY OF LETTERS AND HUMANITIES
STATE ISLAMIC UNIVERSITY SUNAN AMPEL
SURABAYA
2015
REFUSAL EXPRESSIONS PERFORMED BY THE MAIN CHARACTERS
IN TO KILL A MOCKINGBIRD, A NOVEL BY HARPER LEE
A THESIS
Submitted as Partial Fulfillment of the Requirements for the Sarjana Degree of
English Department Faculty of Letter and Humanities UIN Sunan Ampel
Surabaya
By:
Nur Liqaissa’adah
Reg. Number: A03211063
ENGLISH DEPARTMENT
FACULTY OF LETTERS AND HUMANITIES
STATE ISLAMIC UNIVERSITY SUNAN AMPEL
SURABAYA
2015
ii
ABSTRACT
Liqaissa’adah, Nur, 2015. A study of Refusal Expressions performed by the main
characters in To Kill a Mockingbird, a Novel by Harper Lee.
Advisor: Prof. Dr. Hj. Zuliati Rohmah, M. Pd.
Key words: Speech Act of Refusal, Context of Situation, To Kill a Mockingbird
Novel.
This study analyzes the Refusal Expressions in To Kill a Mockingbird, a
novel by Harper Lee. The problems proposed are: (1)What are the types of refusal
expression performed by the main characters in To Kill a Mockingbird, a novel by
Harper Lee? (2)In what context of situation the refusal expression is performed by
the main characters in To Kill a Mockingbird, a novel by Harper Lee? The source
of data is To Kill a Mockingbird novel which is written by Harper Lee.
The researcher used descriptive method because she wants to give more
information and explanation of the utterance which is used by the main characters
in the novel. In addition, she used descriptive analysis technique because she
wants to make data description about the problems. Through descriptive analysis
the researcher tried to supply a better understanding about speech act of refusal in
To Kill a Mockingbird novel. In collecting the data, the researcher took the
following steps: (1) choosing a novel, (2) reading the novel, (3) noticing the
utterance containing refusal expressions. Then, in data analysis, the researcher
took some procedures, they are: (1) identifying the data, (2) classifying the data,
(3) determining the data into each type of refusal expressions, (4) describing the
context of situation of each type of refusal expressions.
After analyzing the novel, the researcher found the types of refusal
expressions which are used by the main characters in the novel. Based on the data
that had been analyzed, the researcher found three types of refusal expressions;
they are direct refusal, indirect refusal, and adjunct to refusal. The most dominant
type of refusal expressions that is used by the main characters in this novel is
direct refusal. It shows that most refusals in this novel are to show the authority of
the main characters in refusing something.
xii
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INTISARI
Liqaissa’adah, Nur, 2015. A study of Refusal Expressions performed by the main
characters in To Kill a Mockingbird, a Novel by Harper Lee.
Advisor: Prof. Dr. Hj. Zuliati Rohmah, M. Pd.
Kata kunci: Speech Act of Refusal, Context of Situation, To Kill a Mockingbird
Novel.
Skripsi ini menganalisis tentang Refusal Expressions in To Kill a
Mockingbird novel by Harper Lee. Rumusan masalah dalam pembahasan ini
diantaranya: (1) apa saja tipe refusal expressions yang digunakan oleh karakter
utama dalam novel To Kill a Mockingbird? (2) dalam keadaan yang bagaimana
refusal expressions digunakan oleh karakter utama dalam novel To Kill a
Mockingbird? Sumber data yang dianalisis diperoleh dari novel To Kill a
Mockingbird yang ditulis oleh Harper Lee.
Penulis menggunakan metode deskriptif karena penulis ingin memberikan
informasi dan penjelasan yang lebih detail dari ungkapan-ungkapan yang
digunakan oleh pemeran utama dalam novel ini. Selanjutnya, penulis
menggunakan teknik deskriptif analisis karena dia memakai data yang berbentuk
deskriptif karena dia ingin membuat deskripsi data tentang masalah-masalah yang
akan dibahas dalam skripsi ini. Penulis juga ingin mencoba untuk mempermudah
pemahaman tentang speech act of refusal in To Kill a Mockingbird novel
menggunakan deskriptif analisis. Dalam pengumpulan data, penulis melakukan
beberapa langkah diantaranya; (1) memilih novel, (2) membaca novel, dan (3)
menandai ungkapan yang termasuk refusal expressions. Kemudian, dalam
menganalisis data, penulis menggunakan beberapa prosedure, diantaranya; (1)
mengidentifikasi data, (2) mengelompokkan data, (3) menentukan jenis refusal
yang digunakan dan frekuensinya, (4) menjelaskan context of situation dari setiap
jenis refusal expressions.
Setelah menganalisis novel To Kill a Mockingbird, penulis menemukan
jenis-jenis refusal expressions yang digunakan oleh pemeran utama dalam novel
ini. Berdasarkan data yang sudah dianalisis, penulis menemukan tiga jenis refusal
expressions, diantaranya; direct refusal, indirect refusal, dan adjunct to refusal.
Tipe yang dominan digunakan adalah direct refusal. Hal itu menunjukkan bahwa
sebagian besar refusal yang terdapat di dalam novel memperlihatkan tentang
kekuasaan dari pemeran utama.
xiii
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TABLE OF CONTENT
Inside cover page.............................................................................................. i
Inside title page ................................................................................................ ii
Thesis Advisor’s Approval Page ...................................................................... iii
Examiner Sheet ............................................................................................... iv
Declaration Page .............................................................................................. v
Motto ................................................................................................................ vi
Dedication Page ............................................................................................... vii
Acknowledgements .......................................................................................... viii
Table of Content ............................................................................................... x
Abstract ........................................................................................................... xii
Intisari .............................................................................................................. xiii
CHAPTER 1 INTRODUCTION ..................................................................... 1
1.1 Background of the Study............................................................................ 1
1.2 Statement of the Problem ........................................................................... 7
1.3 Objective of the Study................................................................................ 8
1.4 Significance of the Study ........................................................................... 8
1.5 Scope and Limitation ................................................................................. 8
1.6 Definition of Key Terms ............................................................................ 9
CHAPTER II REVIEW OF RELATED LITERATURE ................................ 11
2.1 Theoretical Framework .............................................................................. 11
x
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2.1.1 Speech Act ....................................................................................... 11
2.1.2 Speech Act of Refusal ..................................................................... 16
2.1.3 The Concept of Context of Situation ............................................... 21
2.1.4 To Kill a Mockingbird by Harper Lee ............................................. 23
CHAPTER III RESEARCH METHODS ........................................................ 26
3.1 Research Design ......................................................................................... 26
3.2 Instruments ................................................................................................. 26
3.3 Data and Data Source ................................................................................. 27
3.4 Data Collection........................................................................................... 28
3.5 Data Analysis ............................................................................................. 31
CHAPTER IV FINDINGS AND DISCUSSIONS .......................................... 35
4.1 Findings ...................................................................................................... 35
4.1.1 Types of Refusal Expressions ................................................................. 35
4.1.2 Context of Situation .............................................................................. .. 49
4.2 Discussions................................................................................................. 61
CHAPTER V CONCLUSION ......................................................................... 68
REFERENCES................................................................................................. 71
APPENDICES ................................................................................................. 73
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CHAPTER I
INTRODUCTION
In this chapter, the researcher presents the background of the study which
contains the previous studies, the reason why the researcher chooses this title in
her study, the statement of problems that are analyzed in this study, the objective
of the study which describes some significant things of this study to the readers
and also to the researcher herself, scope and limitation of the study, and definition
of key terms to define some terms used in this study.
1.1
Background of Study
Research on refusal expressions grows in many focuses; some of
them are (Andriani, 2008; Angryani, 2011; Arum, 2012). These researches
focus on the types of refusal and limited only in indirect refusal. They use
a movie as the object of their research. The result of these researches is
categorization of indirect refusal; they are excuse/reason/explanation,
expression of regret, and positive opinion. This is different from Beebe‟s
finding that mention in his journal that there are three types of refusal and
eleven categories of indirect refusal. This difference in findings about
types of refusal motivated the researcher to study further about this.
Sarfo (2011) also found three types of indirect refusal which are
different from Beebe and Takashi‟s findings (1985). In this study, he
identifies and discusses the different ways of refusing requests and how
1
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2
those ways of refusing are influenced by age and socio-economic status
among members of the Berekum Training College community. The paper
finds two main forms of refusals used by the members of the college
community, namely, direct and indirect refusals. Three types of direct
refusals are identified, the use of: (a) definite or flat no without any other
form(s) of expression; (b) definite no with some other expression(s), and
(c) negative expression(s) without the word no. These forms are
influenced, to a large extent, by age and socioeconomic status. Generally,
the different forms of direct refusals are used when a high-status and/or
older person refuses a low-status and/or younger interlocutor. In other
words, the relationship is hierarchical (Sarfo, 2011).
Then, Widowati‟s (2011) study found out all types of refusal
mentioned in Beebe and Takashi‟s (1985). There are three types of refusal
expressions based on Beebe and Takashi‟s theory (1985); they are direct
refusal, indirect refusal, and adjunct to refusal. Nonetheless, these
researches only deal with the characters in a movie, not in a real life.
Inspired by Widowati‟s (2011) study, Gozzali (2013) tries to conduct
another object of refusal expressions. He analyzes this topic in real life and
focuses on grown-up Chinese Indonesian sons and daughters toward their
parents request in Surabaya. Gozzali provides a solution for the researcher
problem that there are many types and categories of refusal expressions.
This research also analyzes a conversation that occurs in a real life
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between parents and their child. It makes the researcher happy to find this
solution for her problem.
After reviewing the existing literature, it is important to note that
gaps in refusal expressions have been analyzed in a movie and real life,
while none of the researchers has focused on written text and literature
such as novels or short stories. Widowati (2011) and Arum (2012) suggest
that the future research on refusal expression in written text and literature.
Therefore, the researcher chooses a novel as her object in this present
research.
The ample studies of refusal expressions in Indonesia have been
analyzed in comparison between male and female in such interaction of
shop assistants and seller (e.g. Liena, 2001; Utomo and Prawito, 2007). In
these researches, they only focus on comparison between male and female
sellers in some places. The result of their studies is almost the same that
male is more dominant in using direct refusal while the female shop
assistants prefer to use indirect refusal than another types of refusal.
Nonetheless, this result raise a number of question why the researchers do
not provide the last type of refusal expressions, adjunct to refusal, and also
why the object always in buyer and seller communication.
There are a number of studies of refusal; most of them deal with
either English or Japanese (e.g., Morrow 1995, Gass & Houck 1999).
Some of the studies also focus on Chinese (e.g., Liao 1994, Chen & Zhang
1995, Chen 1996), and these studies tend to analyze refusal from the
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4
perspective of semantic content. Although examples of refusal strategies
are given, the contexts in which these strategies were used are not
analyzed in detail. For example, they did not study the contextual
restriction of each strategy and hence may make over-generalizations.
Furthermore, these studies have focused primarily on the content of refusal
expressions not in contextual background that influence the refusal
expression.
Considering these limitations, it is necessary to examine when,
where, and as well as the roles of the interlocutors (“initiator” and
“refuser”). This is the kind of knowledge that learners of Chinese most
need when they encounter situations of refusals. This paper therefore
analyzes situations in which refusal will occur and examines the refusal
strategies and corresponding linguistic forms that can be employed to react
to certain refusal situations. Since refusal is an act in response to other
acts, acts that prompt refusals play an important role in the choices of
refusal strategies (Chen, 1996). Therefore, this paper categorizes situations
of refusal according to the initiating acts of refusal.
Refusal is important in maintaining the relationship because
sometimes people must say “no” directly or indirectly toward request,
demand, command, offer, invitation, or suggestion. In conducting refusal,
people should pay attention to the form of refusal because expressing
refusal has a possibility of offending the listener. Therefore, people must
be aware in selecting the appropriate refusal strategies.
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The refuters have different style when they deliver the refusal
expression because refusing a request or an offer from interlocutor is not
easy for them. In refusal expression, the refuters have to make the
listener‟s feel not to be offended or to be hurt. Refusing is not just saying
“no”. Refusing is an expression that is expressed by the speaker and it is
unexpected for the listener. Therefore, the refuters need some ways to
express their refusal expression in order to make the speakers who invite
them are not disappointed. There are ways to deliver refusal expression
which can be said politely or impolitely.
There are many different categories of refusal expressions
especially in indirect refusal form. Andriani (2008), Angryani (2011),
Arum (2012) categorize indirect refusals into three types, they are reason
and explanation, statement of regret, and positive opinion. While
Widowati (2011) and Gozzali (2013) categorize indirect refusals into ten
types, they are (a) statement of regret, (b) wish, (c) excuse and
explanation, (d) statement of alternative, (e)statement of principle, (f) set
condition for future or past acceptance, (g) promise of future acceptance,
(h) statement of philosophy, (i) attempt to dissuade interlocutor, and (j)
avoidance.
In the present study, the researcher takes into account some
previous studies that have successfully revealed that refusal expressions
are divided into three types (see Widowati, 2011; Gozzali, 2013). They
are, direct refusal, indirect refusal, and adjunct o refusal. Commonly,
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refusal expression can be expressed by saying “no” but it can also be
delivered indirectly. Saying “no” or “I refuse” does not exist in the indirect
refusal
expression. Uttering
a
reason is
widely used
in
refusal
expression. People usually use an explanation and a reason to refuse
someone‟s offer or request. Politeness strategies are also necessary
because they have to deliver the refusal expression politely or impolitely.
Andriani (2008) in her research also analyzes refusal expression
and its context of situation. There is a context that gives an influence to
someone using expressions. The result of this study is only focused on the
purpose of why people use refusal expressions. In this study, Andriani
analyzes the context of situation based on Hymes theory, but she does not
provide all of the parts of context of situation. She only takes the second
part, purpose, in Hymes‟ SPEAKING theory. By evaluating this case, the
researcher finds new solution to study further about context of situation
detail. In this research, the researcher takes Halliday‟s (1989) theory to
analyze the context of situation of refusal expressions in the novel.
From all of the previous studies above, the researcher concludes
that there are some reasons to do this analysis. First, the topic of this study
is interesting and important, because it is related to daily life of the
researcher. The researcher wants to know how to refuse in right and polite
way. Refusal expressions have different function and different types, so
the researcher knows how to use it in appropriate place. People use an
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appropriate expression in the right situation and in the
right
place.
Refusal expression is the example of people's expression.
The second reason is the object of this study. Some of the
researchers before are use a movie as the object of their analysis. Some of
them also analyze the interaction of sellers and buyers in some places.
Therefore, the researcher tries to analyze a novel as the object of her
research to get new finding about refusal expressions in written text.
Refusal expression do not only occur in the real life but also happens in the
literary work like a novel. Many novels show the refusal expression, and
this novel is one of them.
From these two reasons, the researcher chooses this topic and the
object for her study. The researcher sates “Refusal Expressions Performed
by the Main Characters in To Kill a Mockingbird, a Novel by Harper Lee”
as the title in this study.
1.2
Research Problems
As mentioned before, this research deals with the refusal
expressions. By understanding the significance of the issue, the main
problems that will be analyzed in this research can be seen as follow:
1. What are the types of refusal expression performed by the main
characters in To Kill a Mockingbird, a novel by Harper Lee?
2. In what context of situation the refusal expression is performed by the
main characters in To Kill a Mockingbird, a novel by Harper Lee?
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1.3
Research Purposes
The purposes of this research are as follow:
1. To describe the types of refusal expressions performed by the main
characters in To Kill a Mockingbird, a novel by Harper Lee.
2. To know in what context of situation the refusal expression is
performed by the main characters in To Kill a Mockingbird, a novel by
Harper Lee.
1.4
Significance of Study
This research is expected to provide the significance of the study.
This research is expected to enrich knowledge about pragmatics, especially
speech act which has a relation to the refusal expression. This research can
give an additional reference about pragmatics, especially refusal
expression. Many previous studies about refusal have been done by some
researchers. Nonetheless, no one of them find all of types of refusal,
especially adjunct to refusal. They only found direct and indirect refusal.
Therefore, the researcher contributes new findings about refusal
expression in the form of adjunct to refusal.
1.5
Scope and Limitations
In this research, the analysis is limited on utterances of refusals
expressed by the main characters on the novel entitled To Kill a
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Mockingbird. For avoiding deviation in this research, the researcher just
focuses on the refusal expressions based on Beebe, Takashi and UlissWeltz‟s classification. The researcher will analyze the utterances
performed by three main characters namely Atticus, Scout, and Jem in
their conversation, which is related to refusal expressions.
Meanwhile, in doing this research the limitations are the
weaknesses of this analysis. To kill a mockingbird also has been filmed by
Rrobert Mulligan in 1962. Nonetheless, the researcher does not take the
movie as the object because she wants to try to analyze another form of
object using refusal expressions theory. She tries to understand the refusal
expressions from the description of the novel. The analysis of the
researcher on this research is not totally true or right, because it is just a
prediction (of course by using a theory) of the researcher. The researcher
just can predict it using theory without knowing the gesture and visual
expressions from the main characters when they perform refusal
expressions since the data of this analysis is a novel.
1.6
Defition of Key Terms
In order to avoid misinterpretation about the used terms, it is
important for the researcher to give the suitable meaning of the key terms.
Some terms are defined as follows:
a. Speech act is the action performed in saying something.
b. Commisive is the speech functions to promise something to someone.
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c. Refusal expression is the speech act of saying”no”, expressing the
addressee‟s non-acceptance, declining of or disagreeing with a request,
an invitation, a suggestion or an offer (Felix-Brasdever, 2008: 42).
d. Context is the set of circumstances or facts that surround a particular
event, situation, etc (Halliday and Hasan, 1985: 45-46).
e. Field is the subject matter in conversation (Halliday and Hasan, 1985:
45-46).
f. Tenor is the social relation existing between the interactants in a
speech situation. It includes relations of formality, power, and affect
(manager/clerk, father/son) (Halliday and Hasan, 1985: 45-46)..
g. Mode is the way the language is being used in the speech interaction,
including the medium (spoken, written, written to be spoken, etc.) as
well as the rhetorical mode (expository, instructive, persuasive, etc.)
(Halliday and Hasan, 1985: 45-46).
h. Main character is the central or primary personal figure of a literary,
theatrical, cinematic or musical narrative, who enters conflict because
of the antagonist (Urban Dictionary). There are three main characters
of this novel (Atticus, Scout, and Jem) as the object of this research.
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CHAPTER II
REVIEW OF RELATED LITERATURE
2.1 Theoretical Framework
In this chapter, the researcher reviews some theories, which are going to
be used in the study. The researcher includes the important theories which are
relevant for her study. In this part, the researcher explains the review of related
theories. She reviews the theories which fully support her study about refusal
expressions. The researcher discusses in brief about speech act, refusal
expressions, and the concept of context of situation. These theories can help the
researcher to solve her problem.
2.1.1 Speech Acts
a. Definition of Speech Act
People do not only produce utterances which contain grammatical
structure and words when they speak. But also perform an action through those
utterances. Utterances that perform an action are generally called as speech act
(Yule, 1996: 47). Similarly Aitchison (2003: 106) defines speech act as a
number of utterance behave somewhat like actions. Based on that opinion
above, it can be concluded that speech act is the act performed by a speaker in
uttering a sentence. The functions of the speech act itself is to state the
speaker‟s intention to the hearer.
The discussion of speech act cannot be separated from the other aspects of
speaking activities, such as speech situation and speech event. Speech situation
11
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is a speech which is associated with the situation and an event may consist of
one or more speech acts (Hymes in Fasold. 1999: 42). Austin (in Levinson,
1983: 236) divides three basic senses in which when someone says something,
he or she is also doing something at the same time, they are:
1) Locutionary act is the real word that is uttered by a speaker and it
contains the speaker‟s verbalized message.
2) Illocutionary act is the power or intention behind the words that is
uttered by the speaker. It indicates the speaker‟s purpose in saying
something. The speaker‟s expression can be in the form of
statement, offer, promise, etc.
3) Perlocutionary act is the effect of the illocution on the hearer, such
as the effect on the feelings, thoughts, or action of the hearers.
In the other word, locutionary act is the simple act of saying words and the
meaning of those words which are spoken by the speaker. Illocutionary act is
what is done by the speaker in saying something, and perlocutionary act is the
effect that arises when the speaker is saying something.
b. Direct and Indirect Speech Act
Searle (in Cutting, 2002: 19) said that a speaker using a direct
speech act wants to communicate the literal meaning that the words
conventionally express; there is a direct relationship between the form and the
function. Thus, a declarative form (not to be confused with declaration speech
acts) such as „I was going to get another one‟ has the function of a statement
or assertion; an interrogative form such as „Do you like the tuna and sweet
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corn ones?‟ has the function of a question; and in imperative form such as
„Get me one‟ has the function of a request or order.
On the other hand, Searle (in Cutting, 2002: 19) explained that
someone using an indirect speech act wants to communicate a different
meaning from the apparent surface meaning; the form and the function are
not directly related. There is an underlying pragmatic meaning, and one
speech act is performed through another speech act. Thus a declarative from
such as „I was going to get another one‟, or „You get me a tuna and sweet
corn one‟ might have the function of a request or order, meaning ‟Get me
one‟, similarly an interrogative form such as „Could you get me a tuna and
sweet corn one please?‟ has the function of a request or order.
Indirect speech acts are part of everyday life. The classification of
utterances in categories of indirect and direct speech acts is not an easy task,
because much of what we say operates on both levels, and utterances often
have more than one macro-functions (representative, commissive, directive,
expressive, and so on).
1) Direct Speech Act
Finch (2000: 183) direct speech act is a speech act that has direct
connection with the structure used. In a direct speech act, the sentence meaning
and speaker‟s meaning match with the speaker‟s meaning, i.e. The form of the
utterance is in accordance with what the speaker is intending to convey. Searle
(in Cutting, 2002: 19) states that the speakers use direct speech act to
communicate the literal meaning that the words conventionally express;
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there is a direct relationship between the form and the function (declarative,
imperative and interrogative).
Clark and Clark (1977: 28) note that telling is usually done with
declaratives, questioning, with interrogatives are used to question about
some states of affair and imperatives are used to request or order something are
all direct speech acts. For example, (a) Andrea picks up the phone; (b) Did
Andrea pick up the phone? (c) Pick up the phone, Andrea! In (a) the speaker
asserts that Andrea picks up the phone, in (b) the speaker asks whether or
not Andrea picks up the phone, while (c) the speaker requests/commands
Andrea to pick up the phone.
2) Indirect Speech Act
Finch (2000: 183) states that indirect speech act occurs when there is
an indirect relationship between a surface structure and function and in
indirect speech act, the speaker means what the sentence means but something
else as well. Searle (in Cutting, 2002: 19) also explains that someone who
uses an indirect speech act wants to communicate a different meaning from
the apparent surface meaning; the form and function are not directly
related (statements, question, command/request).
Yule (1996: 55) gives some examples where the speaker wants the hearer
not to stand in front of the TV. The basic function of all utterances is a
command or requests but only the imperative structure in (a) represents a
direct speech act. The interrogative structure in (b) is not being used only as a
question but also as an indirect request. The declarative structure in (c) is also
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an indirect request. Example: (a) Move out of the way! (b) Do you have to
stand in front of the TV? (c) You‟re standing in front of the TV
c.
Speech Act Classification
Searle (in Levinson, 1983: 240) proposes that in speaking, one can
perform five basic kinds of illocutionary acts, namely:
a) Representatives or Assertives: the speech functions to assert
something. This class includes: stating, claiming, suggesting, insisting,
criticizing, boasting, predicting, hypothesizing, describing, and
complaining. For example: “ I bought the book yesterday”.
b) Directives: the speech functions to ask someone to do something. This
class includes: requesting, questioning, demanding, ordering, asking,
advising, commanding, daring, forbidding, inviting, defying, and
challenging. For example: “ will you close the door please?”.
c) Commisives: the speech functions to promise something to someone.
This class includes: promising, threatening, offering, refusing,
volunteering, intending, vowing, assuring, to do or to refrain from
doing something. For example:“ I will take you to the zoo tomorrow”.
d) Expressives: the speech functions to express feeling. This class
includes: thanking, congratulating, deploring, condoling, praising,
mocking, welcoming, and apologizing. For example: “ I am very
exited today”.
e) Declarations: the speech functions to change the state of affair in this
world. This class includes: blessing, firing, baptizing, bidding,
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passing, sentence, excommunicating. For example: “ I bet you ten
dollar”.
2.1.2 Speech Act of Refusal
Refusals are considered to be face-threatening act because they
contradict the listener‟s expectation (Chen, 1995).
Refusal is an
expression which is expressed by saying „no‟ but it is not easy. BlumKulka (1982: 30-31) mentions that it is not common in English to express
refusal by saying „no‟ or to say „no‟ in response to a request for
information (for example in shops, hotels, restaurants).
Felix-Brasdever
in
his book
which
entitles Politeness
in
Mexico and United States: a Contrastive Study of The Realization and
Perception of Refusals (2008: 42) states that the speech act of refusals
represents one type dispreferred response. Refusal expression has to
be used in an appropriate form and the function depends on the
context.
This expression includes of speech act especially commisives
speech act which the word commits to future action. According to Searle
(1977) refusals belong to the category of commisives because they
commit the refuter to performing an action. Beebe, Takahashi, and
Uliss-Weltz (1990) explain that refusal expression can be expressed
directly, indirectly and adjunct. These are the classifications of refusal
expression:
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Direct refusals
Indirect refusal
Adjunct to refusals
Performative
Statement of regret
Statement of positive
Non-performative
Wish
opinion/feeling or
Excuse, reason,
agreement
explanation
Statement of empathy
Statement of alternative
Pause fillers
Set condition for future
Gratitude/appreciation
or past acceptance
Promise of future
acceptance
Statement of principle
Statement of philosophy
Attempt to dissuade
interlocutor
Acceptance that
functions as a refusal
Avoidance
Table 2.1 The Classification of Refusal Expressions
A. Direct Refusals
1. Performative
The speaker usually is in the speech such as “I refuse…”
which based on Leech (1996: 215) states that performatives are self-
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naming utterances. The performative verb usually refers to the act in
which the speaker is involved at the moment of speech.
2. Non performative
“no”, saying “no” for refusing is common and it shows
that the speaker refusing directly.
Negative willingness/ability
The use of negative willingness is showed by speaker by saying “I
can‟t…”, “I won‟t…”, “I don‟t think so…”
B. Indirect Refusals
1. Statement of regret
In the statement of regret, the speaker feels sorry or regret and it can
be showed by saying “I‟m sorry…”, “I feel terrible…”
2. Wish
The speaker uses the statement of wish for refusing by saying “I wish I
could help you…”
3. Excuse, reason, explanation
Commonly, people use this category for refusing which they give reason
or explanation. “my children at home…”, “I‟m headache…” are the
examples.
4. Statement of alternative
The speaker gives the alternative such as “I‟d rather…”, “I‟d
prefer…” or “why don‟t you ask someone else?...”
5. Set condition for future or past acceptance
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In this situation, the speaker gives an opportunity for the hearer by
past acceptance in which the hearer does not ask the speaker. It can be
shown by saying “if you had asked me earlier, I would have…”
6. Promise of future acceptance
Promising is another strategy for refusing which can be performed as “I‟ll
do it next time…”, “I promise I‟ll…”, “next time I‟ll…”
7. Statement of principle
The speakers use their principle for refusing which can be shown by
saying “I never do business with friends…”
8. Statement of philosophy
Saying statement philosophy is one of strategies for refusing
indirectly. For example the speaker will say “help one, help all”
9. Attempt to dissuade interlocutor
In this strategy, the speaker uses:
Threat or statement of negative consequences to the requester. “I
won‟t be any fun tonight…” this is the example to refuse an
invitation.
Guilt trip, the example of this situation can be shown on
waitress to customers who want to sit a while: “I can‟t make a
living off people who just order coffee…”
Criticize the request/requester (statement of negative feeling or
opinion; insult/attack. This is the example “who do you think
you are?”, “that‟s terrible idea!”
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Request for help, empathy, and assistance by dropping or
holding the request.
Let interlocutor off the hook
Self-defense, it is the example: “I‟m trying my best…”, “I‟m doing
all I can do…”
10. Acceptance that functions as a refusal
Unspecific or indefinite reply
Lack of enthusiasm
11. Avoidance
Non-verbal
Silence
Hesitation
Doing nothing
Physical departure
Verbal
Topic switch
Joke
Repetition of part request
Postponement
Hedge
C. Adjunct to Refusals
1. Statement of positive opinion/ feeling of agreement
This statement can be shown as “That‟s good idea….”; “I‟d love to….”
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2. Statement of empathy
Example: “I realize you are in difficult situation”
3. Pause fillers
Example: “oh…”; “well…”; “uhm…”
4. Gratitude/appreciation
Example: “thanks, but…”
2.1.3
The Concept of Context of Situation
Context is one of the factors that give an effect to people how they
use the language. According to Asher (1994: 731) context is one of those
linguistic terms which are constantly used in all kinds of context but never
explained. It has the relationship with meaning and they are important in
pragmatics. Finnegan et al. (1997: 345) state that the essential element in
the interpretation of an utterance is the context in which it is uttered. The
context can influence the speaker on how to use the language. Yule (1996:
21) states that context simply means the physical environment in which a
word is used. The importance of taking of context into account is also
well expressed by Hymes (in Brown and Yule, 1983: 37) who views
the role of the context in interpretation as, on the one hand, limiting
the range of possible interpretation and, on the other hand, as supporting
the intended interpretation:
“The use of linguistic form identifies a range of meanings. A
context can support a range of the meanings. When a form is
used in a context, it eliminates the meaning possible to that
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context other than those the form can
signal:
the
context
eliminates from consideration the meanings possible to the form
other than those the context can support.”
Besides, Mey (1993: 39-40) states that context is more than a
matter of reference and of understanding what things are about. It gives a
deeper meaning to utterances. The utterance “It is a long time since we
visited your mother”, when uttered in the living room by a married
couple, has a totally different meaning from it is uttered by a
husband
and
wife while
they
are
standing
in
front
of
the
hippopotamus enclosure at the zoo, in which it can be considered as a joke.
a. Context of situation
All of the language has a context. The „textual‟ features are
enabled to cohere the textual itself and with its context of situation.
Halliday and Hasan (1985: 45-46) analyzed the context of situation
into three components which are consistent with the three
multifunction in discourse field. This allows us to display the
redundancy between text and situation, how each component serves to
predict the other component. The three components are:
1. Field of discourse or the „play‟: the kind of activity, as recognized
in the culture, within which the language is playing some part
(predict experiential meaning)
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2. Tenor of discourse or the „player‟: the actors or rather the
interacting roles that are involved in the creation of the text
(predict interpersonal meaning)
3. Mode of discourse or the „parts‟: the particular function that are
assigned to language in this situation, and the rhetorical channel
that is therefore allotted to it (predict textual meaning)
The context of situation, as defined in this terms is immediate
environment in which a text is actually functioning. This concept has a
function to explain why certain things have been said or written on this
particular occasion, and what else might have not been said or written. The
reason of the researcher in using a context of situation is because the
context of situation is important for the reader in order to know the
intended meaning of the utterance.
b. Cultural or social context
Malinowski in Halliday and Hasan (1986: 6) defines context of
situation as environment of the text including the verbal and the situational
environment in which the text is uttered. The linguistic interaction involves
not only the immediate sight and sound surrounding the event but also the
whole cultural history that is behind the participants and the kind of
practices that they are engaging in.
2.1.4
To Kill a Mockingbird by Harper Lee
Scout and Jem Finch are growing up in the tired old Alabama town
of Maycomb. Their father, Atticus, is the local lawyer and as a single
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parent tries to raise his children with honor and respect to their
individualism. With the Depression on times are hard, and there is no
money to be found anywhere in town.
To amuse themselves Scout, Jem, and their best friend Dill begin a
relentless campaign during their summertimes to get Boo Radley, their
reclusive, legendary neighbor, to come out of his house. They concoct
endless schemes and even go so far as to create a play that details Boo's
life. Atticus forbids them to have anything to do with Mr. Radley, urging
them to let the poor man be.
Atticus is a good man, and one day takes on a case that affects him
personally. A black man, Tom Robinson, is accused of beating and raping
a white woman, Mayella Ewell. Most of the county is convinced
immediately that Tom is guilty of the crime, and begin to look at Atticus in
a very negative way for actually defending him and trying to do right by
him.
As the trial begins it becomes apparent to Scout and Jem that there
is no way that Tom Robinson could have beaten and raped Mayella Ewell,
as his left hand is crippled. Atticus proves that to the jury, and Scout and
Jem are astonished when Tom is slapped with a guilty verdict anyway.
They begin to realize that many people in town are very prejudiced against
blacks, and their hearts are saddened by it. Time crawls past, and finally
Bob Ewell is good to his word and attacks the children Halloween night
with a knife. He breaks Jem's arm and almost kills Scout, but Boo Radley,
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of all people, comes to their rescue and saves them. The sheriff, Heck
Tate, hushes the whole thing over so Boo Radley will not be dragged into
the spotlight, and Scout is thrilled to finally get to meet the man they for so
long fantasized about. As she walks him back home, she realizes that all
this time he was watching them from his front porch windows, and just for
a little while she is able to stand in his shoes.
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CHAPTER III
RESEARCH METHODS
In this chapter, the researcher discussed the research approach, the method
of the study, the source of data, the procedures of data collection, and the
procedures of data analysis.
3.1 Research Design
As this research was conducted in analyzing a specific element, which
is the refusal expression in a novel by Harper Lee, To Kill a Mockingbird, the
type of this research was descriptive research. It can be called descriptive
because it described a linguistic phenomenon. The researcher tried to explain
the phenomenon under the study. As stated by Ary (1990: 381): “Descriptive
research studies are designed to obtain information concerning the current
status of phenomena”. It explained that a descriptive research is used to give
more information or explanation of the utterance which is used by the main
character in the novel.
3.2 Instruments
As a descriptive interview and investigate the data (novel), the key
instrument of the present study was the researcher herself. Such study of
refusal expressions and the novel itself. Therefore, she spent a great deal of
her time reading and understanding the related theories and concepts before
collecting and analyzing the data. Thus, she acted as an instrument and a
data collector at the same time. The researcher was the main instrument,
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because it was impossible to investigate directly without any interpretation
from the researcher herself.
3.3
Data and Data Sources
In this present research, the data were utterances that are
considered as refusal expressions that were performed by the main
characters in a novel. According to Subroto, the source of data of
qualitative research appears in the form of discourse, sentences, clauses,
phrases or words (1992: 35). Based on these statement, the data source of
this research was be in the form of a novel by Harper Lee entitled To Kill a
Mockingbird.
This novel told about a small family of three; Atticus Finch, an
attorney, and his two children, Scout and Jem. As the novel proceeds
certain characters are linked with the three main characters to form a
dramatic story of events, attitudes, prejudices and values.The novel is set is
the quiet town of Maycomb; but the serenity is only superficial. The town
is comprised of three communities: the white folk, the black community,
and the „white trash‟. Outwardly there is peace among the three, but
underneath prevails a combination of hostility, racial prejudices, and
friendlessness.
The main plot of the novel revolves around the trial in which
Atticus defends Tom Robinson, a black, who has been accused of having
molested a white girl, Mayella Ewell. She is part of the „white-trash‟
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community. The children follow the case proceedings avidly and are
inconsolable when their father loses the case.
The case is lost simply because it was still impossible (despite
statutory laws protecting them) fo