A THESIS
Presented as Partial Fulfillment of the Requirement for the Attainment of Sarjana Sastra Degree in English Language and Literature
Ananda Chastalia Asri (11211144004)
ENGLISH LANGUAGE AND LITERATURE STUDY PROGRAM ENGLISH EDUCATION DEPARTMENT
FACULTY OF LANGUAGES AND ARTS YOGYAKARTA STATE UNIVERSITY
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- QS Ash-Sharh (94): 6
―And be steadfast in patience, for verily Allah will not suffer the reward of the righteous to perish‖
- QS Hud (11): 115
―You control your destiny –you don‘t need magic to do it. And there are no magical shortcuts to solving your problems‖
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for always embracing my imperfections, trusting my choices
and praying for my success.
To
mbak
Arum Handini,
for being the coolest sister on the planet and
being patient with her spoilt younger sister.
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All praises be to the Almighty Allah SWT, who always gives me mercy
and blessing, without which I would never have finished this thesis. I wish to
express my sincere gratitude to all parties who have helped and supported me
during the process of writing this thesis. I would like to thank:
1. Titik Sudartinah, M.A, my first supervisor, for her valuable time, advice,
patience, help, guidance, and knowledge given during the process of writing
this thesis;
2. Paulus Kurnianta, M.Hum, my second supervisor, for his advice, help,
guidance, and positive criticism given during the process of writing thesis;
3. Drs. Asruddin Barori Tou, M.A, Ph.D, my academic consultant, for his
support and motivation in teaching and guiding me during the process of
study;
4. all lecturers of the English Education Department who have taught and
guided me during the years of my study;
5. my parents, for the never-ending love, support, patience, and prayer;
6. my partner in crime, mbak Arum, for being a loving sister by taking care of me and being my shoulder to cry on;
7. my incredible friends in English Language and Literature 2011 particularly
SASING G, for every memorable and precious time we spent during our
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CHAPTER II LITERATURE REVIEW AND CONCEPTUAL FRAMEWORK ... 10
A.Literature Review... 10
1. Pragmatics ... 10
2. Speech Acts ... 11
3. Searle‘s Classification of Speech Acts ... 12
4. Speech Act of Refusals ... 15
a. Types of Refusals ... 15
1) Direct Type ... 15
a) Performative Statement ... 16
b) Non-performative Statement ... 16
2) Indirect Type ... 17
a) The Statement of an Alternative ... 17
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f) The Statement of a Principle/Philosophy ... 22
g) Set a Condition for Future or Past Acceptance ... 22
h) Wish ... 23
i) The Acceptance that Functions as a Refusal ... 23
3) Adjuncts to Refusals ... 24
a) The statement of Positive Opinion/feeling of Agreement ... 24
b) The Statement of Empathy ... 25
c) Pause Fillers ... 25
d) Gratitude/aprreciation ... 25
b. The Functions of Refusals ... 26
5. Movie ... 27
6. 12 Years a Slave ... 28
7. Previous Studies ... 30
B.Conceptual Framework ... 32
CHAPTER III RESEARCH METHOD ... 35
A.Types of the Research ... 35
B.Forms, Contexts, and Sources of Data ... 35
C.Data Collecting Technique ... 36
D.Research Instruments ... 38
E. Data Analysis Techniques... 38
F. Trustworthiness ... 39
CHAPTER IV FINDINGS AND DISCUSSION ... 41
A.Findings... 41
B.Discussion ... 45
1. Types and Realizations of Refusals Employed by the Characters in 12 Years a Slave ... 45
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3) Excuse/reason/explanation ... 55
4) The Attempt to Dissuade the Interlocutor ... 57
5) The Statement of a Principle/Philosophy ... 61
c. Adjuncts to Refusals ... 62
2. The Functions of Refusals in 12 Years a Slave ... 63
a. Direct Type ... 64
1) Showing a Determination in Refusing ... 64
2) Showing Unwillingness to Comply with the Request, Offer, Suggestion, or Offer ... 66
b. Indirect Type ... 65
1) Negotiating the Request, Offer, Suggestion, or Invitation .. 66
2) Avoiding a Conflict or Ending an Argument with the Refusee ... 66
3) Demanding Understanding from the Refusee ... 68
4) Mocking the Refusee or the Request, Offer, Suggestion, or Invitation ... 70
5) Implying the Unfairness of the Request, Offer, Suggestion, or Invitation ... 71
c. Adjuncts to Refusals ... 72
CHAPTER V CONCLUSION AND SUGGESTIONS ... 75
A.Conclusion ... 75
B.Suggestions ... 78
REFERENCES ... 80
APPENDICES ... 83
A.The Data Sheet of Types, Realizations, and Functions of Refusals in 12 Years a Slave... 83
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Figure 2. Analytical Construct ... 34
Table 1. Sample of Data Sheet of the Types, Realizations, and Functions
of Refusals ... 37
Table 2. Data Findings of the Types, Realizations, and Functions of Refusals
xiii ABSTRACT
This research investigates refusals performed by the characters in Steve McQueen‘s 12 Years a Slave. The objectives of the research are to identify the types, to describe the realizations, and to analyze the functions of refusals.
The research applied descriptive-qualitative method. The data were in the form of utterances spoken by all characters in 12 Years a Slave, while the contexts of the data were the dialogues among the characters. The source of data was 12 Years a Slave movie. The data analysis was conducted by watching the movie; transferring the data into data sheet; identifying the data into the types, realizations, and functions of refusals; applying trustworthiness; and drawing conclusions. To enhance trustworthiness of the data, the data was triangulated by the researcher‘s supervisors and fellow linguistic students.
The results of the research are described as follows. First, there are three types of refusals which are performed by the characters in 12 Years a Slave. The types of refusals are direct type, indirect type, and adjuncts to refusals. Indirect type becomes the main type of refusals which is performed by the characters. Second, each type of refusals has particular realizations. Direct type is realized in the form of non-performative statement. Meanwhile, indirect type is in the form of the statement of an alternative, avoidance, excuse/reason/explanation, the attempt to dissuade the interlocutor, and the statement of a principle/philosophy. Then, adjuncts to refusals are realized in the form of gratitude/appreciation. Third, there are eight functions of refusals found in 12 Years a Slave. The functions of refusals include (1) showing a determination in refusing; (2) showing unwillingness to
1 CHAPTER I INTRODUCTION
A. Background of the Research
As the member of society, people are constantly communicating with one
another in order to keep in touch with them and to gain as well as to give
information. The form of communication is divided into two types. They are
verbal communication and non-verbal communication. In verbal communication,
the speaker transmits the messages to his interlocutor verbally. This type of
communication is further divided into two, namely oral and written
communication. In oral communication, a spoken language is used. Meanwhile,
symbol or written signs are used in written communication. In the second type of
communication, which is non-verbal communication, sign language and body
language, such as gesture and facial expression, are employed by its speaker to
communicate.
In this modern era where technology has evolved in almost every aspect of
people‘s life, some inventions have helped people to ease their communication
both in verbal and non-verbal communication. Any communication media such as
electronic mail (email), video call, and short messages service (SMS) are the
examples of how technology has helped people in term of communication.
However, those media are not the primary media to communicate. They are only
devices which help people to ease their communication with others living rather
environment or the neighborhood they are living in because they are considered as
social beings. Besides using media to communicate, they do interact with people
around them, and in doing so, they conduct a face to face conversation.
In conducting a conversation, at least two participants are involved. The
first participant acts as the speaker, while the other as the hearer. The speaker is in
charge of delivering messages in a conversation; meanwhile, the hearer is the one
who receives the messages. To make the conversation work, the participants can
take a turn to deliver their messages. The purpose or the topic of conversation will
vary, depending on to whom and where the participants conduct the conversation.
Various linguistic expressions are used when people conduct a
communication, specifically in face to face conversation. When the speaker says
I’m sorry for coming late, he performs apologetic expression. His utterance is
aimed to make an apology because the speaker has made the hearer waiting.
Meanwhile, when the speaker says Congratulation! I heard that you have launched your own clothing products. I am so proud of you, he performs congratulating expression. He wants to congratulate the speaker for his success to
launch his clothing products. Besides, refusals, agreements, and compliments are
the other examples of expressions in a conversation.
In performing linguistic expression, the speaker will be influenced by the
context. Context is the physical environment in which a word is used (Yule, 1996:
21). By comprehending the context, it is expected that the speaker can perform
linguistic expression appropriately. In funeral, for example, it is not appropriate to
is delivering his sorrowful expression since the context in this example is in a
sorrowful situation. In addition, it is also not appropriate if the speaker
congratulate the hearer in apologetic expression as in ―I regret that you win this
competition‖. Saying congratulating expression such as in “I’m very happy you could win this competition. Congratulation” is more appropriate in this context.
In linguistics, some approaches such as sociolinguistics, psycholinguistics,
and pragmatics can be employed to analyze a conversation, especially the
language used by the speakers. In sociolinguistics, social factors are the prominent
elements in analyzing the language used by the participants in a conversation.
Meanwhile, in psycholinguistics, physiological factors take an important role
when analyzing language. However, among the approaches, pragmatics is the
most appropriate approach to analyze expressions in a conversation due to its
focus on language in context.
Hence, analyzing language under the umbrella of pragmatics will be
comprehensive in this research since this discipline studies words meaning and its
context. Analyzing the literal meaning of the words can be explained by the
knowledge about social and physical factors as well as where, when, and whom
the participants are talking to. Therefore, when studying language through
pragmatics, it is necessary to involve the interpretation of what people uttered in a
particular context and the interpretation of how the context affects the speaker‘s
utterances.
In pragmatics, people can perform an action through utterances. This is
people do not only produce utterances containing grammatical structures and
words, they perform actions via those utterances. Some linguists have
distinguished speech acts into several types, one of which is commissive speech
acts. Refusals, promises, and agreements are the examples of the expressions
which are classified under commissive speech acts.
Refusals are very interesting to be studied because they happen in daily life.
Wierzbicka in Phuong (2006: 16) states that refusals mean the speech acts of
saying no, expressing the addressee‘s non-acceptance, and declining of or disagreeing with a request, an invitation, a suggestion or an offer. People will not
accept other‘s suggestion, request, offer, or invitation all the time; however, they
sometimes need to refuse them. They express their refusals by employing refusing
expressions. In refusing, the refuser can simply say No in order to refuse something. According to Beebe, Takahashi, and Uliss Welz (1990: 72-73) this
style of refusals is called direct type of refusals. In addition, the refuser can also
use indirect type to refuse the refusee. As the example, when the refuser says My mom is sick, he refuses the refusee by making a reason. The refuser can also prcede is refusals with an adjunct as in Thak you, but I have a plan for tonight. According to Beebe, Takahashi, and Uliss Welz (1990: 72-73) this type of
refusals is called adjunct of refusals.
Refusals can be seen not only in the real life, but also in a movie. Bordwell
and Thompson (2008: 2) state that movies communicate information and ideas;
movies show the audiences places and ways of life they might not otherwise
experience to the audiences by giving stories which engage their emotions and
minds. Even though movies are the result of human creativity, they are means to
portray the social realities which occur in daily life. Even, some movies are
adapted from true stories. One of those movies is 12 Years of a Slave.
The choice of this movie is based on some considerations. First, the
researcher is interested in analyzing the refusals performed by the characters
whose social statuses are different from one another. The difference in social
status between the masters and the slaves as well as the conflict among the slaves
can cause some problems. The problems sometimes force the characters to
perform refusals. For instance, there is a scene where Solomon refuses Patsey‘s
request to kill her. The various contexts, however, will affect the characters in
performing different refusals. Second, 12 Years a Slave is adapted from slave narrative memoir Twelve Years a Slave by Solomon Northup. This memoir depicts the true story of Solomon Northup who is kidnapped and sold to be a
slave. Third, this movie is considered as one of the best movies in 2013. It has
received so many awards and nominated in several movie awards. In the 56th
Academy Award, 12 Years a Slave earns 3 awards including the best picture and
nominates in 9 nominations. Furthermore, it also has won in other awards such as
British Academy Film Awards for Best Film, Golden Globe Awards for Best
Motion Picture, African-American Film Critics Association for Best film of the
B. Research Focus
Movie is the depiction of real life. Under linguistics, several researches can
be conducted by examining people‘s utterances and languages in a movie.
Pragmatic study is the study which concerns with analyzing language and its
context. Leech (1983:10) states that pragmatics is the study of how utterances
have meaning in situation. It means that in analyzing language through
pragmatics, context cannot be analyzed separately since it will influence the
language use. In 12 Years a Slave, the researcher found three problems which can be examined under pragmatics. They are adjacency pairs, politeness, and speech acts of the speaker.
The first problem is adjacency pairs. Adjacency pairs are the sequences of
the speakers‘ utterances when they conduct a conversation. They always consist
of a first part and a second part, produced by the different speaker (Yule, 1996:
77). The most frequently used adjacency pairs is a sequence of a question
followed by an answer. Besides question-answer, greeting-greeting,
congratulation-thanks, and apology-acceptance are the other types of adjacency
pairs.
The second problem is politeness. Politeness is a system of interpersonal
relations designed to facilitate interaction by minimizing the potential for conflict
and confrontation inherent in human interchange (Yule, 1996: 106). In other
words, it is a means to show awareness of others‘ face. Face is public self-image
of a person which refers to that emotional and social sense of self that every
Brown and Levinson (in Wardhaugh, 2006: 276) distinguish face into two,
namely positive face and negative face. Positive face is the need to be accepted.
On the other hand, negative face is the need to be independent.
The third problem is speech acts. Yule (1996:47) states that in attempting to
express themselves, people do not only produce utterances containing
grammatical structures and words, they perform actions via those utterances. It
means that by uttering certain utterances, the speaker can perform an action, such
as promising, apologizing, and refusing. Some linguists have distinguished speech
acts into several types. Austin (1962: 107) identifies three levels of action beyond
the act of utterance, namely locutionary act, illocutionary act, and perlocutionary
act. Meanwhile, Searle (1969: 23-24) classifies the illocutionary acts into five
general functions: declarative, representative, expressive, directive, and
commissive. Another classification comes from Leech (1983: 104). He
categorizes speech act into 4 types. They are competitive, convivial, collaborative,
and conflictive
However, this research only focuses on analyzing speech acts due to the
limitation of the time and knowledge of the researcher. Since the classifications of
speech acts are varied, the researcher focuses on analyzing refusals which are
classified under commissive speech acts. In refusals, several problems can be
analyzed. They are the types, the realizations, and the functions of refusals.
Based on the limitation of the study above, the formulation of problems in
1. What are the types of refusals performed by the characters in 12 Years a Slave?
2. How refusals are realized by the characters?
3. What are the functions of refusals performed by the characters in 12 Years a Slave?
C. Objectives of the Research
In line with the research focus, the research objectives are:
1. to identify the types of refusals performed by the characters in 12 Years a Slave,
2. to describe the realizations of refusals performed by the characters in 12 Years a Slave,and
3. to analyze the functions of refusals in 12 Years a Slave.
D. Significances of the Research
This research is expected to give significant contributions both theoretically
and practically. In term of theoretical contribution, this research might be useful
for:
1. enriching the research in linguistic field, especially in speech acts which are
under pragmatic study, particularly in term of refusals; and
2. serving as a bibliographical variation to the reader to give more knowledge
in relation to language and refusals.
1. the students majoring in linguistics
The research finding can be used as an example of how to interpret language
within context.
2. the other researchers
The research can be used as reference in conducting other pragmatic studies,
especially which focus on analyzing refusals.
3. the lecturers
This research can be used as a supplement in teaching pragmatics,
10 CHAPTER II
LITERATURE REVIEW AND CONCEPTUAL FRAMEWORK
A. Literature Review 1. Pragmatics
Yule (1996: 47) states that pragmatics is concerned with the study of
meaning as communicated by the speaker (or writer) and interpreted by the
listener (or reader). In addition, Yule (1996: 47) mentions that pragmatics is more
to do with the analysis of what people mean in their utterances than what the
words or phrases in those utterances might mean by themselves. Moreover, Mey
(2001: 6) suggests that pragmatics studies the use of language in human
communication which is determined by social conditions. Pragmatics studies the
users of a language and their linguistic and communicative means as determined
by the society.
Leech (1983:10) states that pragmatics can be defined as the study of how
utterances have meaning in situation. In studying language through pragmatics,
people cannot ignore the situation or the context in which the utterances are
uttered. The same utterances will have different meaning if they are spoken in the
different context.
In short, pragmatics is the study on the use of language which is affected
by context. The context around the language users becomes one of the
2. Speech Acts
Dijk (1977: 195) mentions that what is meant by speech acts are doing
something when making an utterance. This means that people can perform an
action by uttering an utterance. In line with him, Yule (1996:47) states that in
attempt to express themselves, people also perform action via utterances, not only
produces containing grammatical structures and words.
Analyzing speech acts cannot be separated from the other aspects of
speaking activities, such as speech situation and speech event. Hymes in Fasold
(1999: 42) defines speech situation as a speech which is associated with the
situation and an event may consist of one or more speech acts. Meanwhile, Yule
(1996: 135) defines speech event as a set of circumstances in which people
interact in some conventional way to arrive at some outcome. In other words, the
circumstances surrounding the speaker‘s utterance help the hearer to recognize the speaker‘s intention. Speech event also determines the interpretation of an
utterance. It means that changing the circumstances of the utterance will be
changing the meaning of that utterance.
The action performed by uttering an utterance consists of three related
action. They are locutionary act, illocutionary act, and perlocutionary act. Locutionary act is roughly equivalent to uttering certain sentence sense and reference (Austin, 1962: 108). In other words, when the speaker performs
Meanwhile, perlocutionary act is what the speaker brings about or achieves by saying something (Austin, 1962: 108).
Several linguists, such as Searle and Leech, also have distinguished speech
acts into several classifications. However, only the classification of speech acts
proposed by Searle which is used in this research since Searle clearly defines
refusals as the part of speech acts.
3. Searle’s Classification of Speech Acts
Searle (1969: 23-24) starts with the notion that people perform three
different acts when they speak. The three acts include utterance acts, propositional
acts, and illocutionary acts. Utterance acts consist of uttering string of words.
Meanwhile, propositional and illocutionary acts consist characteristically in
uttering words in certain context, under certain condition, and with certain
intention.
a. Assertives or Representatives
Assertives or representatives are speech acts which state what the speaker
believes to be the case or not (Yule, 1996:53). By employing assertives or
b. Directives
Searle (1976: 11) states that the illocutionary point of directives is to get the
hearer to do something. In line with Searle, Yule (1996: 54) states that directives
are those kinds of speech acts which the speaker uses to get someone else to do
something. In other words, the speaker expresses what he wants and makes the
world to fit the word. The verbs denoting the members of directives are ask, order, command, request, beg, plead, invite, permit, and advise. Buy me a cup of coffee and Please lend me a pen are the examples of directives. The speakers in the examples make someone (the hearer) to do certain action for them. The
statement Buy me a cup of coffee shows that the speaker orders the hearer to buy him a cup of coffee. Meanwhile, the second statement shows the request of the
speaker to the hearer. In the example, the speaker makes the hearer lending him a
pen.
c. Commissives
Commissives are the illocutionary acts which purpose is to commit the
speaker to some future course of action (Searle, 1976: 11). Yule (1996: 54)
suggests that commisives are speech acts that the speakers use to commit
themselves to some future action. Further, Kreidler (1998: 192) explains that
commissive verbs are illustrated by agree, ask, offer, refuse, and swear. An example of commisives is the statement I refuse the invitation. The example shows the speaker who performs a speech act of refusal; he refuses to comply
with the hearer‘s invitation. The speaker‘s statement indicates that he will not
I swear to pay my debt. The speaker‘s statement in the second example is considered as a commisive speech act because he commits himself to pay his debt.
d. Expressives
Yule (1996: 53) defines expressives as the kinds of speech acts that state
what the speaker feels. The function of expressive speech acts is to express the
speaker‘s psychological states. Expressives can be statement of apology,
compliment, pleasure, pain, like, dislike, or sorrow. An example of expressive speech acts can be seen in the statement I’m really sorry!. The utterance is stated by the speaker when he accidently hits someone. His statement shows that he feels
sorry to the hearer for accidently hitting him. Another example is presented in the
statement This is so beautiful. The statement is spoken by someone who is mesmerized by a painting. He expresses his admiration by saying a compliment
such as This is so beautiful. e. Declarations
Yule (1996: 53) simply defines declarations as the kinds of speech acts that
change the world via utterances. Baptizing, declaring war, abdicating, resigning, and dismissing are the examples of declarations. Declarations will be valid if they are performed by appropriate people. For example, the statement Inow pronounce you husband and wife is not valid if it is spoken by a ten year old child. This statement will be valid if it is spoken by a priest. Similarly, an umpire at a
basketball match can cause a player to be out by uttering You’re out. On the other hand, the statement will be invalid if it is stated by a tennis umpire since the
4. Speech Act of Refusals
Refusals are the negative response to acceptances and consents (Searle and
Vandervken, 1985: 195). In addition, Searle in Felix-Brasdefer (2008: 42)
explains that refusals belong to the category of commisives because they commit
the refuser to perform an action. Wierzbicka in Phuong (2006: 16) states that
refusals mean the speech acts of saying no, expressing the addressee‘s non -acceptance, and declining of or disagreeing with a request, an invitation, a
suggestion or an offer.
Beebe, Takahashi, and Uliss Welz (1990: 72-73) classify refusals into three
types. They are direct type, indirect type, and adjuncts to refusals. In addition,
Felix-Brasdefer in his book entitled Politeness in Mexico and United States: A Contrastive Study of The Realization and Perception of Refusals also states that linguistic expression employed in refusals may include direct strategies, indirect
strategies, and adjuncts to refusals (2008: 42 - 43).
a. Types of Refusals
Bebee, Takahashi, and Uliss Welz (1990: 72 – 73) classify the types of refusals into three types. The types of refusals are direct type, indirect type, and
adjuncts to refusals.
1) Direct Type
Direct type of refusals is performed by the refuser without reservation. The
refuser states directly that he will not comply with the request, suggestion, offer,
a) Performative Statement
Meanwhile, performative verb refers to the act in which the speaker is
involved at the moment of speech (Leech, 1983: 215). In refusals, performative
statement is indicated by the statement I refuse and I decline. An example of performative statement can be seen in the statement I refuse to postpone the final exam. The speaker in the example is a teacher who will hold a final exam. However, his students request to postpone the final exam by next week. By
uttering I refuse to postpone the final exam, he directly refuses to comply with his students‘ request.
b) Non-performative Statement
In the non-performative statement, there are two realizations which can be
employed by the refuser. The realizations are no and negative willingness/ability.
i) No
The speaker will say No in refusing. Phuong (2006: 34) explains that saying No to someone is usually followed by language softener, except when people are extremely direct in refusing. An example is presented in the conversation below:
A: Go to bed. B: No!
The example shows how A directly refuses B‘s request. The refusal
performed by B is considered an extreme direct refusal because B‘s refusal is not followed by language softener.
ii) Negative Willingness/ability
The statement of refusals contains any words which negate a proposition
A: Can I borrow your car? B: I will not lend you my car.
In the example above, A wants to borrow B‘s car. However, B refuses to lend A his car. In order to refuse A‘s request, B performs a negative willingness/ability
refusal as indicated by particle not in I will not.
Another example of negative willingness/ability is the statement I can’t come to your party. The speaker shows his inability to comply with the hearer‘s invitation. Similar to the previous example, the speaker‘s statement contains
particle not which is used to negate the proposition. 2) Indirect Type
Gudykunts and Ting-Toomey in Felix Brasdefer (2008: 74) state that
indirect verbal style refers to verbal messages which camouflage and conceal the
speakers‘ true intention in term of their wants, needs, and goals in the discourse
situation. Therefore, indirect type is employed by the refuser if they want to
indirectly refuse the request, offer, suggestion, or invitation. Indirectness is
usually performed by the refuser if he tries to be polite
a) The Statement of an Alternative
An alternative is suggested by the refuser when he cannot fulfill the
refusee‘s request, invitation, suggestion or offer. Chen, Ye, and Zhang (1995:
133) state that an alternative is used to soften the threatening power of refusals.
Moreover, it is used to avoid a direct argument or confrontation.
In the example above, B suggests an alternative in order to refuse A‘s suggestion
to go out for dinner. B suggests A to have dinner at another time.
b) Avoidance
Non-verbal and verbal refusals are the realizations which can be employed by the refuser in avoidance.
i) Non-Verbal
In non-verbal, the refuser will refuse the request, suggestion, invitation, and
offer by silence, hesitation, doing nothing, or physical departure. An example of
non-verbal refusal is presented in the conversation below:
A: Instead of watching TV, why don‘t you clean your messy room? B: (still watching TV)
Even though A suggests B to clean his room, B still watches TV. B‘s response shows a non-verbal refusal. He chooses to do nothing in refusing.
ii) Verbal
In verbal refusals, the refuser perform refusals by using several strategies,
such as using joke, using hedge, switching the topic, offer, suggestion, and
invitation. The conversation below is an example of a verbal avoidance:
A: (offering cigarette)
B: I cannot buy cigarette from you. I could spend all my salary on cigarette since the seller is beautiful.
The refuser in the example above uses joke to refuse the refusee‘s cigarette offer. He jokes about the seller for being so beautiful that he can spend all his salary on
cigarette. Another example of avoidance by using verbal strategies is presented in
the conversation below:
B: Let’s decide what we will have for lunch.
B‘s refusal is the example of verbal-avoidance by switching the topic. He changes
the topic of conversation in order to show A that he does not want to comply with
the request.
c) Excuse/reason/explanation
Through this strategy, the refuser indirectly refuses the request by providing
an excuse, reason, or explanation. The examples can be seen in the statements I have an important meeting tonight and My children are at home. The first statement, I have an important meeting tonight, is stated by an employee to refuse his friend‘s suggestion to watch a movie. Meanwhile, the statement My children
at homeis stated by a mother to refuse her neighbor‘s invitation to go on a trip for four days. Both of the refusers in the examples use an excuse/reason/explanation
in order to refuse the request, offer, suggestion, or invitation. The first refuser uses
his job to make an excuse in order to refuse the suggestion. On the other hand, the
second speaker provides an explanation about her children to refuse the invitation.
d) Promise to the Future Acceptance
The refuser refuses the refusee by promising that the request, offer,
suggestion, or invitation will be performed later. For example, the statement I’ll do it next time is spoken by the refuser as a response to the refusee‘s request. The refuser refuses to perform the request at the time the refusee asks him. However,
her son a new notebook for his birthday gift. However, she promises her son that
she will buy him a new notebook on his next birthday.
e) The Attempt to Dissuade the Interlocutor
There are several strategies which can be employed by the refuse to refuse
the request, invitation, suggestion or offer.
i) Threat or Statement of Negative Consequences to the Requester
The refuser tries to make some threat that may have negative impact to the
refusee if the refuser agrees to perform the task (Phuong, 2006: 35). For example,
the statement You could break up with your partner if I buy you a ring is stated by refuser to refuse the refusee‘s request to buy her a ring. The refuser states the
negative consequence the refusee might get if he complies with the request.
ii) Guilt Trip
In guilt trip, the refusers point out things the refusee failed to do in the past
(Chen, Ye, and Zhang, 1995: 129). For instance, when the refusee tries to borrow
the refuser‘s calculator, the refuser says Yesterday I tried to borrow your notebook, why didn’t you lend it to me? The refuser in the example indirectly refuses the refusee‘s request by making the refusee feels guilty about the past.
iii) Criticisms
The refuser can criticize the refusee or the request, offer, suggestion, and
invitation in order to show his refusals. In addition, the refuser can give a negative
opinion in an attempt to refuse the request, invitation, offer, or suggestion. The
examples can be seen in the conversations below:
The example shows the refuser who criticizes the refusee. B thinks that A does
not have an authority to order him what he should do. The second example is
presented in the conversation bellow:
A: It seems that going to the beach this weekend would be so nice.
B: That’s a terrible idea.
The second example shows the refuser who criticizes the refusee‘s idea. He thinks
that going to the beach during weekend is a terrible idea.
iv) Request for Help, Empathy, and Assistance by Dropping or Holding the Request
In this strategy, the refuser asks for empathy, help, or assistance from the
refusee. For example, the statement I beg you to let me live here is stated when the refuser refuses to move out from his apartment. The example shows the refuser
who asks for the landlord‘s empathy, so he does not need to move out.
v) Let the Interlocutor Off the Hook
The refuser will refuse the request, offer, suggestion, or invitation by
escaping the refusee from difficult situation. For example, the statement That’s okay or Never mind are stated by someone when he refuses the his friend‘s offer to pay for a pair of broken glasses.
vi) Self-defense
In this type, the refuser uses self-defense when he performs refusals. An
example of self-defense is presented in the example below:
B‘s response is the form of a self-defense. He defends himself that he has done
his best in finishing the report in order to indirectly refuse the request from A.
f) The Statement of a Principle/philosophy
In this category, the refuser will use his principle which he has followed for
a long time. An example of statement of a principle is presented in the
conversation below:
A: You will gain a lot of profits if you join my business. B: I never do business with friends.
A asks B to join his business. However, B does not want to join his friend
business. In order to refuse A‘s offer, B states his principle about doing a business
with friends.
In addition, the refuser can use a philosophy to indirectly refuse the refusee.
For example, the statement of philosophy Things with shapes eventually break is stated by the refuser when he refuses to accept some money from a cleaning man
for a broken vase.
g) Set a Condition for Future or Past Acceptance
Phuong (2006: 36) states that in a promise to the future or past acceptance
the refusers aim to direct the refusals to situation when it is better if the requesters
have asked in advance. An example of setting a condition for future or past
acceptance can be seen in the statement I could help you if you have asked me earlier. The speaker of the statement is a part time worker. He is asked by his friend to exchange the shift. However, the speaker has to refuse his friend‘s request because he is too busy. In order to refuse the request, he makes
me earlier. Another example is in the statement If your birthday party is held on weekend, I will come to your party. I have to go to my friend’s wedding this Tuesday. In this example, the refuser is invited to a birthday party. However, the refuser refuses the invitation because he has to attend his friend‘s wedding. He explains that he will come to the refusee‘s birthday party if it is held on weekend.
Hence, in this example, the speaker refuses the request by setting a condition for
future acceptance.
h) Wish
In this type, the refuser refuses the refusee by using any statements which
indicate a wish. An example of this strategy is presented in the statement I wish I could help you finish this project. In the example, someone asks the refuser to help him finish his school project. However, the refuser has an assignment to be
done. In refusing the request, the refuser shows his desire to help.
i) The Acceptance that Functions as a Refusal i) Unspecific or Indefinite Reply
By using an indefinite reply, the speaker‘s intentional message remains
vague, uncertain, or undecided (Felix-Brasdefer, 2008: 75). An example of giving
unspecific or indefinite reply can be seen in the conversation below:
A: You should join us in the next trip. B: I’m not sure if I can join it or not.
ii) Lack of Enthusiasm
In refusing, the refuser will show his lack of enthusiasm towards the offer,
suggestion, request, or invitation. An example of lack of enthusiasm can be seen
in the conversation below:
A: This kind of t-shirt is very hot lately. You should buy one! B: I’m not interested in fashion.
The example above shows A who suggests B to buy a new t-shirt. In order to
refuse A‘s suggestion, B shows his lack of enthusiasm about the latest fashion by
saying I’m not interested in fashion.
3) Adjuncts to Refusals
Takahashi and Beebe (1987: 139) explain that adjunct is formula which, if
standing alone, does not constitute a refusal. Adjunct must be combined with
another refusing expression if the speaker intends to use it in performing refusals.
Adjuncts to refusals are used in order to express the solidarity between the
interlocutors.
a) The Statement of Positive Opinion/feeling of Agreement
The refuser gives statement of positive opinion such as That’s a good idea and I’d love to before refusing. The examples are in the conversation below:
A: (stating his idea)
B: That’s a good idea, but we have decided the concept for this project.
The statement That’s a good idea indicates the statement of positive opinion. Meanwhile, the statement following the statement of positive opinion functions as
b) The Statement of Empathy
Before refusing, the refuser shows his empathy to the refusee. An example
of the statement of empathy is when the refuser says
A: (asking for help)
B: I realize you are in the difficult situation but I also need money to pay for my apartment rent.
The statement of the empathy is indicated in I realize you are in the difficult situation. Meanwhile, the refusing expression is shown in I also need money to pay rent for my apartment.
c) Pause Fillers
Pause fillers such as Oh…, Well…, and Uhm… can also be used to refuse the refusees‘ request if they are followed by refusing expression, for example:
A: Can I borrow your book?
B: Uhm…I don’t think I could lend you my book because I have an exam tomorrow.
In the example above, pause filler is indicated in Uhm. On the other hand, the statement I don’t think I could lend you my book because I have an exam tomorrow is the refusing expression.
d) Gratitude/appreciation
The statements indicating gratitude/appreciation are spoken before the main
refusals. The examples of refusals by using gratitude/appreciation can be seen in
the statement Thanks, but I have an important meeting today. The expression of gratitude is expressed in the statement Thanks. Meanwhile, the statement following the expression of gratitude is the refuser‘s main refusal. Statement I
policy is another example of refusing by showing gratitude. Statement I appreciate you for speaking up your ideashows the refuser‘s gratitude toward the refusee‘s idea. However, the idea opposes the company‘s policy. Hence, the
refuser must refuse it. The statement following the expression of gratitude is used
to refuse the suggestion.
b. The Functions of Refusals
Chen, Ye, and Zhang (1995: 121) state that refusals are responses to an
initiating act and they are considered as speech acts by which a speaker fails
to engage in an action proposed by the interlocutor. Edmonson in Amy Lynne
VonCanon‘s Just Saying 'no': Refusing Requests in Spanish as a First and Second
Language (2006: 9) also states that the action proposed by the interlocutor is called initiating act and it typically takes the form of one of the followings:
request, invitation, offer, suggestion. Furthermore, Sadler and Eroz (2002: 56-68)
mention that refusals are responses to refuse the request, invitation, suggestion,
and offer. An example of initiating acts presented in the conversation below:
A: This bag is for you.
B: This is too expensive for me.
The conversation above is an example of an offer. A offers B a gift which he has
bought. However, B thinks that she should not accept the gift because it is too
expensive. Therefore, B‘s refusal is used to refuse an offer. Another example is in
the following conversation:
The conversation above is an example of a request for information/advice. In the
example, A asks for information about Jane. However, B refuses to tell A where
Jane is. Hence, B‘s refusal is used to refuse a request.
However, the functions of refusals have not been specifically mentioned by
the previous research on refusals. Therefore, this research analyzes the functions
of refusals. An example of the functions of refusals can be seen in the
conversation below:
A: Please buy me a cup of coffee now
B: But, you just asked me to buy a bottle of juice.
B‘s response of A‘s request is classified as indirect type of refusals. He performs an indirect refusal in order to show an unfairness in A‘s request. B thinks that it is
so unfair if A forces him to buy him a coffee since A already asked him to buy a
bottle of juice.
5. Movie
Movie communicates the way people‘s life in other places. As stated by
Bordwell and Thompson (2008: 2), movies communicate information and ideas.
They portray the places and the ways of live which the audiences might not know.
In analyzing a movie, the researcher has to comprehend the element of a movie.
Pratista, (2008: 29) proposes five elements of a movie. The elements of movie
include:
a. Scene : a section of a movie or film usually made up of a number of shots, which is unified by time, setting, character, etc.,
c. Character : an imaginary person in a movie or film,
d. Point of View : the angle of vision from which a story is narrate e. Conflict : a struggle between opposing force in a movie or film, usually resolved by the end of the story.
6. 12 Years a Slave
12 Years a Slave is a 2013 narrative memoir based movie which is directed by Steve McQueen. The setting of the movie is in New Orleans during the 18th
century. It is starred by Chiwetel Ejiofor as Solomon Northup (Platt), Lupita
Nyong‘o as Patsey, Michael Fassbender as Epps, Benedict Cumberbatch as Ford,
Brad Pitt as Bass, Paul Dano as Tibeats, and Sarah Paulson as Mary Epps.
Figure 1. The Official Poster of 12 Years a Slave The movie was about Solomon Northup‘s slavery. In 1841, a free African
-American man named Solomon Northup was kidnapped from his hometown in
Saratoga. He was forced to be a slave. Then, he was shipped to New Orleans and
was given a new name, Platt.
Platt or Solomon was bought by William Ford. He managed to have a good
success in transporting the logs through the swamp which cost more effective than
manual transporting through the wood. Unfortunately, Platt was sold to Epps due
to his conflict with Tibeats, Ford‘s plantation overseer. Platt told Ford that he was
a free man in order to get his help. He asked Ford to save him. However, Ford
refused Platt‘s request because he has debt to take care of. When Platt was sold to Epps, Ford also transferred his debt to Epps.
Unlike William Ford, Epps was crueler. He required all his slaves to pick
cotton at least 200 pounds each day. All the slaves would be punished if they
could not accomplish the target. A young female slave named Patsey became
Epps‘s favorite slave because she managed to pick cotton as much as 500 pounds each day. However, Epps treated her rudely and even raped her. Mrs. Epps‘
jealousy made Patsey more suffered.
One day, Platt asked a former overseer, Armbsy, to send him a letter.
However, Armbsy reneged on the deal he has made with Platt. He took Platt‘s money but he reported Platt to Epps. Platt managed to escape from Epps‘
punishment after ensuring Epps that he was innocent.
One day, Platt helped a Canadian worker named Bass to build a gazebo for
Epps. He also asked Bass to send him a letter. Bass agreed to help him because he
believed that every man has freedom.
When working in the field, Platt was called over by the local sheriff who
arrived in a carriage with a man. The sheriff asked Northup or Platt a series of
questions in order to confirm that he was Solomon Northup. Then, Platt
Finally, after living as a slave for 12 years, Solomon Northup was freed and could
reunite with his family.
7. Previous Studies
There have been many researches on the speech acts of refusals. One of the
researches was A Contrastive Pragmatic Study on American English and Mandarin Refusal Strategies by Chao-chih Liao and Mary I. Bresnahan. Their research finding showed that Chinese people generally do not express positive
opinions first because the expression of wo hen le-yi (‗I’d love to…‘) was not a formulaic expression in refusals. In contrast, most of Americans refused by stating
their principle. Moreover, the most common mode of refusals in Chinese was an
address form and apology followed by the reason of refusals. Otherwise,
Americans would say I’d love to followed by the reasons of refusing.
A Pragmatic Analysis of Refusal Expressions Used by the Characters in Orphan Movie by Arum Sari was another research on refusals. The research focused on analyzing refusals performed by the family in Orphan. The first objective was to analyze the types of refusals. The finding revealed that there
were two types of performed refusals, namely direct and indirect type. Indirect
type, especially avoidance, had the highest frequency in the occurrence of
refusals. Most of the family characters in the movie used avoidance in order to
avoid the conflict with the interlocutor.
Arum Sari discussed the strategies of refusals in her second objectives. The
than positive politeness, bald on-record, and off-record strategy. Indicating
reluctance, being indirectness, using hedge, and using question were negative
politeness strategies which were employed by the family members to express their
refusals.
The last objective of Arum Sari‘s research was to describe the functions of
refusals. The finding showed that refusals expressed by the family members had
functions to refuse suggestion, request, and offer.
This research is different from Arum Sari‘s research. The difference lies on the second objective, the third objective, and the object of the research. The
second objective of Arum Sari‘s research was to describe the strategies in refusals
by employing politeness strategies proposed by Brown and Levinson. Meanwhile,
the second objective in this research is to describe the realizations of refusals by
using Beebe, Takahashi, and Uliss-Weltz‘s classification of refusals.
The third objective in Arum Sari‘s research was to describe the functions
of refusals. In analyzing the data, she employed a theory proposed by Edmonson.
On the other hand, this research analyzes the functions of refusals by examining
the contexts, the types, and the realizations of refusals.
B. Conceptual Framework
In this research, the researcher analyzes the character‘s utterances in Steve McQueen‘s 12 Years a Slave movie through pragmatic approach. Pragmatics is
the most appropriate approach to support this research due to its concerns about
the inseparable relationship between language and context. This research concerns
with analyzing refusals within the domain of pragmatics. The researcher focuses
on the types, realizations, and refusals performed by the characters in 12 Years A Slave.
Refusals are expressions which contradict the interlocutor‘s expectation. Searle in Felix-Brasdefer (2008: 42) explains that refusals belong to the category
of commisives because they commit the refuser to perform an action. Beebe,
Takahashi, and Uliss-Welz (1990: 72-73) have classified refusals into 3 types.
The types of refusals are direct type, indirect type, and adjuncts to refusals.
Beebe, Takahashi, and Uliss-Welz (1990: 72-73) also distinguish the
realizations of each type of refusals. Direct type can be realized in the form of
performative and non-performative statement. Meanwhile, indirect type can be
realized in the form of the statement of an alternative, avoidance,
excuse/reason/explanation, promise to the future acceptance, the attempt to
dissuade the interlocutor, the statement of a principle/philosophy, set a condition
for future or past acceptance, wish, and the acceptance that functions as a refusal.
Then, adjuncts to refusals are realized in the form of the statement of
opinion/feeling of agreement, the statement of empathy, pause fillers, and
The researcher also analyzes the functions of refusals performed by the
characters since every type of refusals has different functions. The functions of
refusals include showing a determination in refusing; showing unwillingness to
comply with the request, offer, suggestion, or invitation; negotiating the request,
offer, suggestion, or invitation; avoiding a conflict or ending an argument with the
refusee; demanding understanding from the refusee; mocking the refusee or the
request, offer, suggestion, or invitation; implying the unfairness of the request,
offer, suggestion, or invitation, and showing gratitude to the refusee.
Then, the researcher makes an analytical construct based on the
explanation above. The analytical construct is made on the basis of the conceptual
35 CHAPTER III
RESEARCH METHOD
A. Types of the Research
Descriptive-qualitative method was employed in this research. The method
was used to describe the types, realizations, and functions of refusals. Wiersma
(1995: 12) defines descriptive-qualitative research as a research that describes
phenomenon in the form of word instead of number or measure. Moreover,
Bogdan and Biklen (1982: 28) suggest that qualitative research is descriptive
since the collected data is in the form of word or picture rather than number.
Furthermore, Vanderstoep and Johnson (2008: 7) state that qualitative
research produces narrative or textual description of the phenomena under study.
In other words, the finding in the qualitative research is presented in a narrative
form or textual description rather than in a statistical from. Therefore, the result of
data analysis in this research was presented in the form of word rather than
number since descriptive-qualitative research provided a richer and deeper
understanding of the object being analyzed.
B. Forms, Contexts, and Sources of Data
The data of this research were in the form of utterances which were uttered
by the characters in 12 Years a Slave. Bungin (2007: 103) suggests that the data in the qualitative research are in the form of sentences, utterances, and short stories.
form of this research was the characters‘ utterances. Meanwhile, the source of data of this research was 12 Years a Slave movie.
C. Data Collecting Technique
The procedures of data collecting technique in this research took the
following steps:
1. watching the movie which was used as the object of the research followed
by downloading its transcript,
2. re-watching the movie and checking the accuracy of the transcript,
3. collecting the data found in the movie in accordance with the objectives of
the research,
4. classifying all the collected data into the data sheet.
Table 1. Sample of Data Sheet of the Types, Realizations, and Functions
A : Performative Non-Performative
B : Non-performative 1 : No
C : Statement of alternative 2 : Negative willingness
D : Avoidance Avoidance:
E : Excuse/ reason/ explanation 3 : Non-Verbal
F : Promise 4 : Verbal
G : Attempt to dissuade interlocutor Attempt to dissuade interlocutor
H : Statement of principle/ philosophy 5 : Negative consequences statement I : Set condition of future or past acceptance 6 : Guilt trip
J : Wish 7 : Criticisms
K : Acceptance that function as refusal 8 : Request for help, empathy L : Statement of positive opinion 9 : Let the interlocutor off the hook M : Statement of emphaty 10 : Self defense
N : Pause fillers Acceptance that function as refusal
O : Gratitude 11 : Unspecific reply
D. Research Instruments
The primary instrument of the research was the researcher since it employed
descriptive-qualitative research. Bogdan and Biklen (1982: 27) state that a
descriptive research has natural setting as the direct source and the researcher is
the key instrument. In addition, Lincoln and Guba (1985: 198) mention that in the
qualitative method, the researcher is the instrument. Therefore, the researcher in
qualitative research played as a planner, a data collector, an analyst, a data
interpreter, and a reporter of research results (Moleong, 2001:121).
The secondary instrument was the data sheet. The data sheet was used to
note important information related to the objectives of the research which was
found in the characters‘ utterances. The data sheet consisted of a table which was
used to list the types, realizations and to explain the functions of refusals
performed by the characters in 12 Years a Slave. The transcript of the movie was taken from www.austinfilmfestival.com.
E. Data Analysis Techniques
The researcher conducted data analysis after the data were collected.
Bogdan and Biklen (1982: 157) state that data analysis is the process that is
systematically searching for and arranging the interview transcripts, field notes,
and other materials that the researcher accumulates to increase the researcher‘s
own understanding and to enable the researcher to present what he/she has
before drawing conclusions and presenting the findings. The processes of data
analysis in this research were stated below.
1. The researcher watched the movie and reading the movie script retrieved via
internet to check the suitability of the characters‘ utterances in the script and in the movie.
2. The researcher transferred the data into data sheet.
3. The researcher identified the types, realizations, and functions of refusals.
4. The researcher applied the trustworthiness of the data by asking friends and
supervisors to check the data and to support the analysis of the data.
5. The researcher drew conclusion based on the result of the research.
F. Trustworthiness
Trustworthiness was applied in order to establish reliability, credibility, and
the truthfulness of the data. Vanderstoep and Johnson (2008: 179) state that
triangulation method can be employed to establish the validity and reliability of
the data. Meanwhile, Moleong (2001: 128) says that triangulation is a technique to
check trustworthiness of the data by using something outside the data to verify the
data or to compare them. Hence, the researcher employed triangulation technique
to enhance trustworthiness.
Patton (2002: 556 – 562) identifies four main types of triangulation, namely method triangulation, data triangulation, multiple analysts, and theory
triangulation. Triangulation through multiple analysts was used to support the
is having two or more persons who independently analyze the same qualitative
data and compare the findings. Therefore, the researcher asked her peers to review
and recheck the finding of the research by analyzing the researcher‘s data. In
41 CHAPTER IV
FINDINGS AND DISCUSSION
The objectives of this research are to identify the types, to describe the
realizations, and to analyze the functions of refusals. This chapter consists of two
parts, namely findings and discussion. The findings section is presented in the
table of data findings which contains the types, realizations, and functions of
refusals found in 12 Years a Slave. Meanwhile, the discussion section explains the analysis of the types, realizations, and functions of refusals found in the movie.
A. Findings
The findings of the types, realizations, and functions of refusals found in 12 Years a Slave are presented in the following table.
Table 2. Data Findings of the Types, Realizations, and Functions of Refusals in
12 Years a Slave
No. Types Realizations Functions Datum
refusee since they are in the same social level. In addition, the characters have an
intimate relationship with the refusee, so they are free to refuse directly. On Based
on the table of data findings, there are three types of refusals which are performed
by the characters in 12 Years a Slave. The types of refusals found in the movie are direct, indirect, and adjuncts to refusals. The most dominant type of refusals is
indirect type as the characters want to emphasize that the request, offer,
suggestion, or invitation is impossible to be performed. Moreover, indirect type
becomes the dominant type since some characters do not have a close relationship
with the refusee. In addition, the characters try to avoid offending the refuse
because they want to maintain their relationship with the refusee.
Each type of refusals is realized differently. There are two realizations of
non-performative statement. Non-non-performative statement is mostly used to refuse the
request, offer, suggestion, or invitation from the refusee who has the same social
level with the characters. They do not need to consider respect to the the other
hand, the realization of direct type which is not found in the movie is performative
statement. Performative statement is not performed because the characters prefer
to state a flat no or show their unwillingness when directly refuse the request,
offer, suggestion, or invitation. Moreover, employing performative statement to
refuse the request, offer, suggestion, or invitation in daily conversation sounds too
direct. The refusee can be offended if the characters refuse the request, offer,
suggestion, and invitation in a very direct way. Therefore, the characters in 12 Years a Slave only employ non-performative statement.
Meanwhile, indirect type is realized in five realizations. The realizations of
indirect type are (1) the statement of an alternative, (2) avoidance, (3)
excuse/reason/explanation, (4) the attempt to dissuade the interlocutor, and (5) the
statement of a principle/philosophy. There are four realizations which are not
found in 12 Years a Slave, namely promising to the future acceptance, setting a condition for future or past acceptance, stating a wish, and showing an acceptance
that functions as a refusal. The four realizations are not found in the movie
because all the characters make their refusals clear at the time the refusing
statements are uttered. They state their refusals without indicating their desire or
promise to comply with the request, offer, suggestion, or invitation. By promising
to the future acceptance, the characters commit themselves to comply with the
