CHAPTER 2
THEORETICAL FRAMEWORK
Theory is a foundation researchers seek and learn in order to make their
researches accurate and acceptable in public. In this chapter, all the theories collected
related to the topic which is the politeness strategies, are going to be elaborated in
details. The whole analysis of this paper is based on the theories presented in this
chapter.
The theories are grounded in linguistics, especially in pragmatic study in
which are focusing on the politeness strategies. This study is the main theory put as
the tool of conducting the analysis.
2.1
Face Threatening Act (FTA)
According to Brown and Levinson in Cutting (2008, p.43) “in order to enter
into social relationships, we have to acknowledge and show an awareness of the face,
the public self-image, the sense of self, of the people that we address”. This quote
implies that public-self image might picture the result of the politeness expressed by
the speaker to the hearer. For instance when a speaker asks a request to the listener,
the faces of both the speaker and the listener directly show up and reveal some
expression as the result of the politeness expressed.
Brown and Levinson (1978) declare that there are two aspects of face:
positive face and negative face. Positive face means a need to be approved and
accepted by others in social interaction while negative face is an independent feeling
needed and wanted to have a freedom instead of being imposed on by others.
Negative face and positive face can be threatened by some different factors.
According to Jaszczolt, “negative face is threatened when it deals with orders,
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requests, suggestions, advice, reminder, threats, warnings, offers, promises,
expressions of envy, admiration, hatred, anger, and lust. Whereas, positive face is
threatened when it deals with disapprovals, criticism, contempt, complaint,
accusation, insult, disagreement, violence, taboo topics, interruption, and other noncooperation” (2002, p.319). So, people’s negative faces threatened can be seen when
they are given orders , requests, suggestions, advice, reminder, threats, warnings,
offers, promises, expressions of envy, admiration, hatred, anger, and lust by their
speakers. When speakers show disapprovals, criticism, contempt, complaint,
accusation, insult, disagreement, violence, taboo topics, and interruption to their
interlocutors; it means that they threaten the positive faces of the interlocutors’. For
example when the speaker says, “You had better take a taxi”; it means that the
speaker threatens the listener’s negative face because the speaker gives a suggestion
to the listener which is assumed as one of the factors causing the threatened negative
face. When the speaker says, “I don’t think you’re right”; it means that the speaker
threatens the positive face of the listener’s because the speaker expresses
disagreement.
According to Yule “if a speaker says something that represents a threat to
another individual’s expectations regarding self-image, it is described as a face
threatening act. Alternatively, given the possibility that some action might be
interpreted as a threat to another’s face, the speaker can say something to lessen the
possible threat. This is called face saving act” (1996, p.61). In other words, when the
speakers do some threats such as imposing their needs on the interlocutors and
asking requests improperly without showing any respect, it automatically damages
the interlocutors’ faces. To avoid the FTA (Face Threatening Act) the speakers may
say something that makes the hearers feel more comfortable to save their faces.
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Brown and Levinson (1987) offer five possible strategies for speakers to
minimize interlocutors’ faces from FTA (Face Threatening Act)
Lesser
1. without redressive action,
On
Estim
ation
of
risk
of
face
loss
Do the FTA
record
4. Off
baldy
2. Positive
With redressive
politeness
action
3. negative
politeness
record
5. Don’t do the FTA
Greater
Figure 2.1. Possible strategies for doing face-threatening act
Brown and Levinson 1987, p.60
There are two kinds of estimation of risk of face loss, they are lesser and greater;
they are also dived into two aspects which are “Do the FTA” and “Don’t do FTA.”
When people do FTA, it means that they have two options to estimate the
addressees’ faces they are talking to, on record and off record. On record has two
other ways which are without redressive action, baldly” and “with redressive action”.
“Without redressive action, baldly” means the speakers baldly say what they want to,
to the interlocutors. While “with redressive action” has two other aspects, they are
positive and negative politeness. Positive politeness means and refers to the
closeness and friendship between speakers and interlocutors. Whereas, negative
politeness refers to the freedom between interlocutors and speakers, so the speakers
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who use this method means that the interlocutors they are talking to, are new
acquaintances or people they are not close to. When people or speakers don’t do
FTA, it means that they don’t do saving their interlocutors’ faces.
2.2
Politeness
Based on Oxford Dictionary, politeness is the way of having and showing
behavior which is respectful and considerate of other people. In linguistics, according
to Grundy in Bloomer “Politeness is the term we use to describe the extent to which
actions, including the way things are said, match addressees’ perceptions of how they
should be” (2005, p.111). In order to save and minimize hearers’ faces from FTA,
speakers mostly convey a language in a good, proper way. They must know who the
hearers are and where the interaction takes place. This idea describes the theory of
Brown and Levinson, which is the politeness strategies: Bald on Record, Positive
Politeness, Negative Politeness, and Off Record.
2.2.1
Politeness Strategies
Based on what Thomas wrote he assumes that “politeness is interpreted as a
strategy (or series of strategies) employed by a speaker to achieve a variety of goals,
such as promoting or maintaining harmonious relations” (1995, pp.157-158). So
when people or speakers would like to have their interlocutors do something and get
their intentions without damaging their faces, they commonly think of strategies that
can make the interlocutors feel comfortable instead of directly revealing their own
purposes. Those strategies refer to the politeness strategies developed by Brown and
Levinson (1987); they are Bald on Record, Positive Politeness, Negative Politeness,
and Off Record.
For example:
1. A refuses B’s invitation to a party by saying:
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 I don’t want to join the party! Because I got many assignments.
2. A refuses B’s invitation to a party by saying:
 I’d love to, but I need to do my homework.
The ways of refusing an invitation in example 1 and 2 might be based on the
relationship or closeness between the speaker and the interlocutor or the speaker’s
personality itself. If the speakers’ interlocutors are their own close friends, mostly
they will prefer using the example 1; however, if the interlocutors are people they are
not close to, they will prefer using the example 2.
The figure 2.2 is the theory of Brown and levinson’s politeness strategies
including the example using the possible strategies for speakers to minimize
interlocutors’ faces from FTA (Face Threatening Act), which is the pattern of ways
how to ask for something to interlocutors based on Brown and Levinson’s strategies
of politeness.
How to get a pen from someone else
Say something
Say nothing
(but search in bag)
Off record
(‘I forgot my pen’)
On record
Bald on record
(‘Give me a pen’)
Face saving act
Negative politeness
Positive politeness
(‘How about letting me use your pen?’) (‘Could you lend me a pen?’)
Figure 2.2. How to get a pen from someone else (following Brown and Levinson
1987)
Yule (1996, p.66)
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Brown and Levinson’s ‘strategies of politeness’ has been the standard for speakers in
showing and expressing politeness to avoid and minimize interlocutors’ faces from
FTA (Face Threatening Act) from interlocutors. For example, John forgets to bring
his pen and he really needs it now because he wants to write down something on his
book. He knows that Anna, his friend, has more than one pen, therefore, he intends to
have her lend him one of her pens. According to Brown and Levinson, the first step
to ask something to someone is “say something” or “say nothing” (but doing an
action as a sign instead), if john uses the way “say nothing”, he will automatically do
something that makes Anna ask him such as searching in his bag. This method is
used to avoid imposing. When john prefers to say something, there will be two
choices how to deliver his need to Anna, “on record” and “off record”, if John uses
off record strategy, he will try to say another thing whose meaning refers to his need
in order to avoid imposing on Anna, he may say “I forgot my pen”, the sentence is
aimed to make Anna lend him her pen. However, when John uses on record strategy,
he gets two options which are “face saving act” and “Bald on record”. If John uses
bald on record strategy, he will ask his need to Anna directly by saying “give me a
pen”, this method actually contains imposing feeling that makes hearers’ negative
faces threatened seeing that imperative sentences refer to orders. Nevertheless, if
John wants to avoid FTA (Face Threatening Act) he will go with the face saving act
strategy which has two other options, “Positive politeness” and “negative
politeness”. John will prefer using positive politeness strategy to negative politeness
strategy if the relationship between him and Anna is quite close, then he might say
“how about letting me use your pen?”. Nonetheless, if the relationship between John
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and Anna is not close, he will use negative politeness to have a quick, clear
interaction referring to his need only instead by saying “could you lend me a pen?”
2.2.1.1 Bald on Record
According to Cutting “if a speaker makes a suggestion, request, offer or
invitation in an open and direct way, we say that they are doing FTA bald on record”
(2008, p.44). It can be concluded that all imperative sentences produced by speakers
to interlocutors show bald on record. For example, when a speaker wants to ask the
hearer to turn off a radio, they would rather say ‘turn off the radio’ than ‘could you
please turn off the radio?’ because they intend to directly utter their need, and that is
what bald on record strategy means.
According to Moore (2005), there are 4 categories of bald on record, they are
an emergency, task oriented, request, and alerting. Here are the categories of bald on
record including the examples
The categories of Bald on Record Strategy
An Emergency
Task Oriented
Request
1. HELP!!!
2. Look out!
3. Hang on!
4. Get out of here!! (there’s a bomb inside the room in which
the speaker and the listener are)
Note: it is commonly used when speaker directly wants to
express a very urgent thing to the hearer.
1. Give me those!
2. Turn off the light!
3. Get the phone!
4. Come here!
Note: it happens when speakers directly order the hearers to do
what they want them to.
1. Put your jacket away!
2. Get me a glass of water!
3. Do your homework!
4. Buy me some new shoes!
Note: it shows when speakers directly request the interlocutors
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to do what they want. Usually it deals with imperative
sentences.
Alerting
1. Turn your lights on! (While driving)
2. be careful! The floors are slippery (the speaker gives a
warning to the hearer)
3. Charge the cellphone! Its battery is getting low (the speaker
wants the hearer to charge the battery because the cellphone is
almost off)
Note: it shows when speakers directly give alerting messages to
hearers in a kind of urgent situation.
Table 2.1. The Categories of Bald on Record
Actually there are many other utterances showing and referring to bald on
record that are categorized as other categories, such as “don’t be shy” and “please
stay”.
2.2.1.2 Positive Politeness
According to Cutting “positive politeness aim to save positive face, by
demonstrating closeness and solidarity, appealing to friendship, making other people
feel good and emphasizing that both speakers have a common goal” (2008, p.46). In
other words, speakers aim to be friendly and accepted by the interlocutors as a
member of the certain group by acting friendly and talking about the interlocutors
want. In this case, the speakers also attempt to make the situation comfortable.
Positive politeness generally occurs in social interactions among people
especially in groups of friends. People usually talk to their friends in less formal way
to reduce the distance among them and make the situation more convenient.
Here are the categories of positive politeness strategy according to Brown and
Levinson’s Politeness Strategies in Moore (2005) including the examples.
The Categories of Positive Politeness Strategy
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Attend to the hearer
A: what a new hair cut! Where did you have your
hair cut?
B: really? at the barbershop I’ve ever told you. Still
remember that?
Note: this idea takes place when speakers want to be
friendly and save hearers’ faces from FTA by giving
flatteries.
A: what is she, small?
B: Yes, yes, she's small, smallish, um, not really
small but certainly not very big.
Avoid disagreement
Assume agreement
Hedge opinion
A: do you think the model is pretty?
B: um.. yes but her dress doesn’t fit her very well.
Note: it shows when speakers are trying to avoid a
disagreement with their interlocutors
A: So when are you coming to see us?
B: okay, I’ll be there in ten minutes.
Note: this idea is seen when speakers assume an
agreement with the hearers.
A: You really should sort of try harder.
B: yeah, you’re right
Note: this is seen when speakers give a suggestion or
opinion to the interlocutors
Table 2.2. The Categories of Positive Politeness Strategy
The other examples of other categories of positive politeness strategy are
“come on, buddy!”, “just go get it, will you?” etc.
2.2.1.3
Negative Politeness
Cutting states, “Negative politeness strategies pay attention to negative face,
by demonstrating the distance between interlocutors, and avoiding intruding on each
other’s territory” (2008, p.45). In other words, negative politeness is related to the
freedom and the independent feeling like what negative face is. It happens while
speakers are talking to or doing an interaction with the interlocutors they are not
close to or perhaps they are people they have not met before. They build a social
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distance upon the interaction by speaking in a clear and quick way that makes the
situation feel less comfortable.
For example, John and Anna are in the same library, they don’t know each
other very well. John is sitting near a window widely opened, unexpectedly the wind
blows through the window and makes Anna’s printed papers flown away, and she
wants to ask John to close the window.
Anna: could you close the window?
John: sure.
It is seen that Anna and John have a quick, clear interaction based on Anna’s
need only. They avoid a long talk and do not show any expression of acceptance
desired to be grouped into a closeness or relationship. This situation also makes
indirectness to happen between speakers and interlocutors. Therefore, speakers have
a tendency to make indirect statements to interlocutors. The example given between
Anna and John shows that Anna asks an indirect request to John.
Here are the categories of negative politeness strategy based on Brown and
Levinson’s Politeness Strategies in Moore (2005) including the examples.
The categories of Negative Politeness Strategy
Be indirect
Forgiveness
A: I’m looking for a comb. Could you help me look
for it? (In this situation you are hoping that you will
not have to ask directly, so as not to impose and take
up the hearer's time. Therefore, by using this indirect
strategy, you hope they will offer to go find one for
you)
B: ok.
Note: it happens when speakers need interlocutors’
helps but they don’t want to ask them directly
because the relationship between them is not close.
1. You must forgive me but....
2. I’m really sorry but…..
Note: it happens when speakers feel guilty with their
interlocutors and ask for the interlocutors’
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forgiveness
Minimize imposition
A: I just want to ask you if I could use your
computer.
B: yeah sure
Note: this happens when speakers try to minimize
imposition on their interlocutors. They usually make
polite requests.
1. We forgot to tell you that you needed to by your
plane ticket by yesterday.
Pluralize the person responsible
Note: the subjective pronoun “we” pluralize the
speaker who is responsible for the problem
concerning the interlocutors.
Table 2.3. The Categories of Negative Politeness Strategy
The other examples of negative politeness strategy in other category are “I’m
sorry to bother you, but can you lend me one of you pens?”, “if you’re not in a
hurry, will you help me find my pen?” etc.
2.2.1.4 Off Record
According to Brown and Levinson (1978) off record means an indirect
strategy that a speaker uses to have the interlocutor do something as intended without
doing any imposition or pressure.
Here are the categories of off record strategy based on Brown and Levinson’s
Politeness Strategies including the examples.
The Categories of Off Record Strategy
Give hints
1. it’s a bit cold in here (the speaker wants the interlocutor to
turn off the AC without mentioning a request)
2. I forgot to bring my cellphone (the speaker wants to borrow
the interlocutor’s cellphone but doesn’t ask a request.)
Note: the speaker doesn’t mention the request or the main
problem but only gives the hints instead.
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1. Perhaps someone should have been more responsible.
2. Oh God! i’ve got to stay up again tonight
Be vague
Note: speakers use this method when they want to be vague to
the interlocutors. They don’t want to directly point out the
problem or the person responsible.
Be sarcastic, or
joking
1. Yeah, he's a real rocket scientist!
2. He is the black sheep in his family
Note: this method is used when speakers want to express
something or someone with a joke to the interlocutors. Usually
they use idioms.
Table 2.4. The Categories of Off Record Strategy
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