Beruflich Dokumente
Kultur Dokumente
and beyond
Utrecht Studies in Language and Communication
25
Series Editors
Wolfgang Herrlitz
Paul van den Hoven
Refusals in instructional contexts
and beyond
Edited by
Otilia Mart-Arnndiz and Patricia Salazar-Campillo
The paper on which this book is printed meets the requirements of ISO
9706:1994, Information and documentation - Paper for documents -
Requirements for permanence.
ISBN: 978-90-420-3715-1
E-Book ISBN: 978-94-012-0971-7
Editions Rodopi B.V., Amsterdam New York, NY 2013
Printed in The Netherlands
Contents
Acknowledgements vii
Introduction
Otilia Mart-Arnndiz and Patricia Salazar-Campillo 1
First and foremost, we would like to thank all contributors in the volume for
accepting to take part in this project. We are also very grateful to the
anonymous reviewers of preliminary versions of the chapters for their
comments and thoughtful suggestions.
We would like to state that parts of the volume and some studies included in
it have been conducted within the framework of a research project funded by
(a) the Spanish Ministerio de Ciencia e Innovacin (FFI2008-05241/FILO)
and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
Introduction1
This volume arises out of the need for empirical investigation on one under-
research issue in speech acts studies, that of refusals. Refusals are inherently
face-threatening acts and require a high level of pragmatic competence so as
not to risk the interlocutors face. Moreover, if refusals are produced by non-
native speakers, the possibility of sounding impolite or abrupt is evident due
to their limited pragmatic competence. Taking these insights into
consideration, the present work aims at opening new venues of investigation
on refusals and at contributing to scholarly discussion. Previous volumes on
this speech act have mainly focused on their comparison in different cultures
(for example, Lyuhs (1992) between Korean and American; Gass and
Houcks (1999) cross-cultural study of Japanese-English or Flix-Brasdefers
(2008) study of refusals in Mexico and the U.S.). However, this book
explores refusals from a more applied perspective, which may have an effect
on pedagogical applications in foreign language instructional contexts.
The present volume includes ten chapters which are divided into three
different parts: the four chapters in Part I focus on ways to enhance refusals
in formal settings; thus contexts such as the English-as-a-foreign language
(EFL) classroom and virtual platforms used for pedagogical purposes are
presented. The three chapters in Part II attempt to shed light on the
production of refusals by examining some variables such as proficiency and
study-abroad programs. Finally, in Part III we find three chapters which
investigate learners production of refusals taking into account the impact of
different data collection methods on subsequent analysis of refusals and the
insights from stimulated recall methodology in order to widen the scope and
further our understanding of refusal behavior.
The book opens with Ana B. Fernndez-Guerras study which compares
refusals in TV series and in naturally occurring discourse taken from
different spoken corpora. Her main aim is to ascertain if the former may
serve as input source of refusals in formal settings. The analysis of the results
demonstrates that refusal behavior is rather similar in both databases, except
1
As members of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), we would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO), (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
2 Otilia Mart-Arnndiz and Patricia Salazar-Campillo
for direct and avoidance refusals, which were more frequent in the TV series.
As for adjuncts to mitigate refusals, there is a greater amount in natural
discourse than in the episodes. Taking these findings into account,
Fernndez-Guerra considers the use of video in the classroom beneficial as
foreign language learners can be exposed to authentic input which, in turn,
may enhance their pragmatic competence.
The chapter written by Elina Vilar and Sabela Melchor-Couto takes into
consideration the impact of stay-abroad periods on learners use of refusal
strategies by two groups of learners of Spanish in the UK: second year (SY)
students who had never been to the target language country and final year
(FY) students who had already spent their compulsory year abroad in Spain.
In the digital era we are immersed in the authors employ the virtual world
Second Life to offer a context for their students interaction and production of
refusals. Although both groups obtained similar scores in pre- and post-
refusal strategies, the FY students were shown to be more indirect and used
more negotiation strategies. Moreover, Second Life appears to be an effective
tool to collect data on refusals and to provide students with further digital
literacy.
Taking as a point of departure the under-research discourse level for the
teaching of speech acts, Eva Alcn and Josep R. Guzmans chapter aims at
checking two hypotheses: 1) whether instruction will make a difference in the
use of refusal strategies an 2) whether instruction will influence learners
negotiation of such speech acts. The four-step pedagogical proposal for
teaching refusals Alcn suggests consists of first, identifying refusals in
interaction; second, explaining the speech act sets; third, noticing and
understanding refusal sequences and fourth, negotiating learners use of
refusals. The study followed a pretest-instruction-posttest design and the
results related to the Hypothesis 1 demonstrate that before instruction,
learners resorted to direct and avoidance strategies. This trend changes
towards a greater use of indirect refusals in the posttest. Alcns second
hypothesis is qualitatively analyzed from a discourse perspective which
shows the learners attempts to accommodate the non-compliant nature of
refusals over extended negotiations.
In the last chapter of this first part, Esther Us-Juan addresses the effects of
explicit instruction on refusals. The pedagogical intervention her university
students followed one week after the pre-test was made up of a six-step
sequence (Researching, Reflecting, Receiving, Reasoning, Rehearsing and
Revising). Both in the pre- and the post-test the students carried out a written
DCT as data-collection tool, showing that after the instructional intervention,
a greater and wider variety of refusal strategies were employed. In light of
these findings, Us-Juan argues that the use of an explicit instructional
framework which includes not only awareness raising but also production
activities may be beneficial for enhancing appropriate use of refusals.
Introduction 3
The first chapter included in Part III, written by Alicia Martnez-Flor, widens
the scope of investigation on the types of instruments which can be employed
in the production of refusals in the English-as-a-foreign-language setting. The
study examines two data-gathering methods (i.e., interactive written
discourse completion test and oral role play) in terms of length of
participants responses, amount of refusal strategies and choice of semantic
formulae. The comparison of results in both instruments reveals that similar
responses were collected as far as length is concerned. Likewise, no
statistically significant differences were found in the overall quantity and
type of semantic realizations. Therefore, this study lends support to previous
findings which showed that the two research instruments under analysis
elicited comparable learners behavior when refusing to a series of requestive
situations.
The chapter by Maria-Pilar Safont-Jord and Laura Portols- Falomir centers
on the impact of research methods on production of refusals by their 6
bilingual and 6 monolingual participants learning English as an L3. This is an
innovative study as no research on refusals by L3 learners have been
published to date. An open role play and classroom discourse recordings
were used to gather data on the speech act of refusing. Findings of this study
show, first, that whereas the role play provided a wider amount of formulas,
classroom discourse included a higher variety of refusals. Therefore, the
authors point to the impact of the research method employed on the number
and type of refusal routines. Secondly, the bilingual participants (i.e.,
Catalan-Spanish bilinguals learning English as an L3) employed a wider
amount and variety of refusal formulas, confirming previous research on
pragmatic outperformance of L3 learners over L2 counterparts.
Production of refusals is investigated from the perspective of stimulated
recall (SR) methodology in Patricia Salazars chapter in an attempt to
ascertain the students thought processes at the moment of uttering refusals.
This small-scale study employed 5 different role plays with requests the
students had to refuse. The participants refusals were video-recorded so as to
provide a strong stimulus for recall and discussed in individual interviews in
order to elicit verbalizations of the participants thoughts while they were
refusing in the role plays. Thanks to SR, six categories were identified aimed
at capturing the different types of refusals subjects had produced: acceptance,
provision of reasons, personal experience, making the interlocutor aware of
the situation, common sense and obeying the rule. This study concludes by
stating that through SR, new supplementary information can be gathered with
the aim of shedding further light on refusal behavior.
Using TV series as input source of
refusals in the classroom1
Refusing is a face-threatening act in which speakers have to say no. This can be a
difficult task for FL learners, since applying inappropriate refusal strategies may
make them sound impolite. Recent studies have shown the importance of teaching
speech acts in the FL classroom and a possible resource could be using TV series.
Other scholars, however, argue that these do not reflect authentic interactions, since
they contain previously prepared and planned conversations. This chapter compares
the use of refusals in TV series and in naturally occurring discourse, to determine
whether TV series really resemble real-life situations and can, therefore, be a useful
input source in the classroom.
1
As a member of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), I would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
6 Ana B. Fernndez-Guerra
In this chapter we will first review the speech act of refusing, as well as some
of the literature dealing with the use of films and TV programs in language
teaching. We will then attempt to determine whether TV series really
resemble natural and genuine discourse, by comparing the differences and
similarities of all the realization strategies used to perform refusals in
prepared TV speech and in naturally occurring ethnographic data. In
order to do so, we will analyze the type and frequency of refusals found in
TV series and in some real conversations extracted from two well-known
corpora of spoken English. Finally, we will try to ascertain whether film
language has a close correspondence to naturally occurring discourse, at least
as regards the speech act of refusing, and can thus be considered as an
authentic representation of actual language use.
REFUSALS
Direct Strategies
1. Bluntness / Flat no: No/ I refuse
2. Negation of proposition: I cant, I dont think so.
Indirect Strategies
1. Plain indirect: It looks like I wont be able to go.
2. Reason/Explanation: I cant. I have a doctors appointment.
3. Regret/Apology: Im so sorry! I cant.
4. Alternative:
Change option: I would join you if you chose another restaurant.
Change time (Postponement): I cant go right now, but I could next week
5. Disagreement/Dissuasion/Criticism: Under the current economic
circumstances, you should not be asking for a rise right now!
6. Statement of principle/philosophy: I cant. It goes against my beliefs!
7. Avoidance
Non-verbal: Ignoring (Silence, etc.)
Verbal: Hedging: Well, Ill see if I can.
Change topic
Joking
Sarcasm
ADJUNCTS TO REFUSALS
1. Positive opinion: This is a great idea, but
2. Willingness: Id love to go, but
3. Gratitude: Thanks so much, but
4. Agreement: Fine!, but
5. Solidarity/Empathy: Im sure youll understand, but
All these studies related to the issue show that a fairly large number of
scholars have already praised the use of authentic video sequences in the
classroom as extremely positive and convenient.
Using TV series as input source of refusals in the classroom 9
Yet, as Tatsuki (2006: 4) indicates, with the exception of Rose and Tatsuki,
there has been virtually no research to assess the validity of film use as an
authentic representation of actual language use. In this study we will thus
compare the language used in TV series and in language collected through
the use of ethnographic methods, focusing on one pragmatic aspect, namely,
that of the speech act of refusing, to find out whether the way characters
refuse in TV series represents what real-life people say in unadapted, natural
and spontaneous interactions.
The reason for comparing TV speech with naturalistic speech from corpora is
clear if we take into account that it provides large databases of naturally-
occurring discourse so that analyses can be based on real structures and
patterns of use rather than perceptions and intuitions (Zhang, 2000: 9). In
fact, language corpora have also been widely used in many areas of linguistic
research for many applications; and corpora can also be of great help in the
analysis, description and teaching of speech acts (Campoy, 2008). The
transcripts analyzed were chosen because they all include naturally occurring
spoken interaction between American English native students. They were
extracted from the Michigan Corpus of Academic Spoken English
(MICASE) and from the Santa Barbara Corpus of Spoken American English
(SBC):
(1) Media Union Service Encounters (MUS): this transcript from
MICASE includes conversations from 82 speakers in a library and
computer center. It was recorded in October 2000. Its duration is
187 minutes and it contains 17,093 words.
(2) Objectivism Student Group (OSG): It deals with five students in
an informal student-led study group dealing with philosophy. It was
recorded in the University of Michigan in October 2000. The
recording is 125 minute- long and its transcript has 20,830 words.
(3) Doesn't Work in this Household (DW): This recording belongs to
the SBC and it contains a family conversation. Frank and Jan (a
married couple) are talking with Ron, who is visiting them from
12 Ana B. Fernndez-Guerra
The procedure followed in this study consisted of watching closely the five
TV episodes and reading carefully the four spoken corpora transcripts in their
entirety, so as to compile all the refusals. These were first classified
according to Salazar, Safont and Codinas (2009) typology of refusal
realization strategies, distinguishing between direct and indirect strategies, as
well as the different subtypes specified above.
(2) - I cant just go in there without him noticing. I mean, theres serious security. (Gr)
- You know, tonight I cant, my roommates having this whole party. (Fe)
- Come on, lets try upstairs. / - There isnt going to be anybody up here. This is pointless.
(GG)
- No really, she didnt sleep well last night, so we cant wake her up. (Fr)
- I cant now, Im working. (BB)
The use of all the subtypes of avoidance strategies is also considerable in the
five episodes, accounting for a 40% of the total occurrences in Felicity and in
Friends, and a 50% in The Big Bang Theory:
(3) - Well, if you put it like that... [and leaves, indicating no] (Gr)
- Oh. Adam, whatre you doing. [Adam leans in. Felicity pulls back.] (Fe)
Using TV series as input source of refusals in the classroom 13
Disagreement 0 0 0 0 0 0
Statement of principle 3 0 1 0 0 4
Non-verbal 2 0 0 1 1 4
Avoidance
Hedging 1 2 2 1 0 6
Change topic 1 4 2 0 2 9
Joking 0 0 0 1 0 1
Sarcasm 1 1 0 2 1 5
Other 1 3 0 1 1 6
Total 30 25 22 14 10 101
The occurrences of refusals used in the two transcripts from the MICASE and
the two transcripts from SBC are shown in Table 3. There is also a wide
variety of refusal strategies which range from avoidance to direct
realizations, although the most employed categories belong, as in the case of
14 Ana B. Fernndez-Guerra
(5) - You dont have any tools or anything, that I could, use? / - No. (MUS)
- Go ahead [] / - No no no no no (OSG)
- Now can I stay up here? / - No. (DW)
- You should make it. / - No. (JWH)
(7) - <LAUGH> yeah, you wish. Hey, can I please use my computer? (MUS)
- Okay, um, who are, who are we up to now? you- your turn? / - Me? (OSG)
- I dont wanna hear any more. / - [COUGH] [COUGH] (DW)
- So I dont know, ... like they were gonna unpack... (JWH)
Disagreement 4 3 1 0 8
Statement of principle 1 3 2 0 6
Non-verbal 1 5 3 2 11
Avoidance
Hedging 0 0 0 0 0
Change topic 1 3 4 1 9
Joking 1 1 1 0 3
Sarcasm 0 0 2 0 2
Other 0 1 0 0 1
Total 35 27 27 11 100
Figure 1 compares the occurrence of the main refusal types in both the
spoken corpora and in TV series. The behavior used when refusing to an
invitation, offer, suggestion or request in both of them is rather similar.
Noteworthy differences, as can be noticed, occur only in the strategy of
disagreement or criticism on the requesters action of asking (not a single
occurrence of this strategy in the TV series) and in the use of direct refusals,
that appeared more often in the TV series (19 instances of bluntness and 10
negations of propositions) than in the spoken corpora (12 cases of bluntness
and 6 negations of proposition).
Overall, however, we can see that there is a wide variety of strategies used in
both of them, and all the conversations display varying degrees of directness
and indirectness.
30.69%
28.71% Spoken corpora
26%
Tv series
22.77%
19%
18%
10%
9%
8%
5.94% 6%
4.95%
4% 3.96%
2.97%
0%
Alternative
Regret
Statement
Direct refusal
Disagreement
Plain indirect
Avoidance
Reason
We also need to take into account adjuncts to refusals. These are part of the
whole speech act, but do not constitute a refusal by themselves. They
represent external modifications to the refusal, supporting the refusal in some
way. In this sense, by accompanying the refusal head act, they vary
politeness levels and reduce the face-threatening act of saying no. Table 4
presents the amount of adjuncts to refusals that were found in TV series and
in the two spoken corpora.
As can be observed, a very small amount of clearly classifiable adjuncts were
found in both of them, accounting for 15% of the refusals in the spoken
corpus and for only 7.92% in the TV series. This may be due to the close
relationship between the interlocutors (except for MUS, in which most
conversations take place between people that do not know each other), and to
the fact that most strategies were indirect refusals. Showing agreement is the
adjunct that appeared more often, being OSG the one with the highest
frequency of this subtype of adjunct to refusals:
Agreement
Gratitude
Empathy
Positive
ADJUNCTS TO
Total
REFUSALS
Gr 0 1 0 1 0 2
Fe 0 0 1 0 0 1
TV GG 1 0 1 0 0 2
series Fr 0 0 0 2 0 2
BB 0 0 0 0 1 1
Total 1 1 2 3 1 8
MUS 0 1 1 1 0 3
OSG 1 0 0 6 1 8
Spoken
DW 1 0 0 1 0 2
corpus
JWH 1 0 0 1 0 2
Total 3 1 1 9 1 15
Table 4. Use of adjuncts to refusals in the TV series and in the spoken corpus
The use of the other types of adjuncts was quite low. The following is a
selection of examples containing one of those modification elements made by
Using TV series as input source of refusals in the classroom 17
(10) Positive opinion: I know. But Im just not sure if shes the girl for me. (GG)
Willingness: Well, I was waiting to surprise you, and to see if I passed, but now Im not so
sure I can. (Gr)
Gratitude: Im waiting for a supervisor to get here [...] Thank you. (MUS)
Agreement: Fine, but if we end up not doing this Maxim thing because of this party... (Fr)
Solidarity/empathy: Maybe I dont want to misinterpret the argument [...] no. (OSG)
6 Conclusion
As has been widely stated, a great advantage of video material is that it
provides authentic language input. The present chapter has envisaged the use
of TV series as genuine material that can be employed in the FL classroom. I
was joining then, on this issue, the researchers who consider that using FL
video sequences in the classroom can be beneficial, since these resources
have the potential to enhance learners knowledge of the target language, of
cultural differences, pragmatic aspects, non-verbal forms of communication,
and the like. It is true, nonetheless, that quite a few authors question the
naturalness of the conversations appearing in films and TV programs, as they
are based on previously written scripts. But, as Tatsuki states, we could also
question the naturalness of spoken corpora, because even though the
samples in some ethnographic studies come from so-called natural sources,
they are not always direct, they are filtered through the notes and memory of
the researcher. For this reason, it might not be accurate to refer to them as
natural data (2006: 5).
18 Ana B. Fernndez-Guerra
As I hope to have proved in the previous pages, on the whole, we can say that
TV series do resemble quite well natural and genuine discourse, and can thus
provide learners with exposure to authentic, real-life input in which native
speakers produce refusals. Therefore, this can certainly be helpful in enhancing
learners pragmatic competence in this particular pragmatic issue, considering
the fact that, as studies have shown, there can be considerable differences in the
strategies used when realizing refusals in different languages, which can cause
misunderstandings and pragmatic failure among non-native speakers.
Albeit slight divergences were found in the use of refusals, the use of them in
TV series and in the two corpora of spoken American English, both in the
case of direct refusals and in that of adjuncts, overall results indicate that
refusals in the episodes analyzed correspond fairly closely to the ones taking
place in naturally occurring discourse.
Since the teaching of speech acts should adequately focus on naturally
occurring data, based on discourse-interactive phenomena, and bearing in
mind all the positive implications of using audiovisual materials to develop
learners pragmatic competence in the classroom, we could claim that
segments from TV series can be an excellent input source for several
pedagogical tasks, in order to draw learners attention to the language forms
that are used in English when performing the speech act of refusing,
providing exemplification of most types or strategies used in real-life to
perform the speech act, as well as other variables, such as setting,
participants relationship, social differences, politeness, and the like. This
implies that they can be considered as an authentic and realistic
representation of actual language use to incorporate in the FL classroom,
provided that teachers design appropriate activities to exploit this material.
For those that provide arguments against the authenticity of the language
found in films and TV programs, we could reply, in line with Baddock (1996:
20), that the language of films is made by native speakers, for native speakers
to hear, and so consists of authentic language. Likewise, Grant and Starks
claim that TV material is even better than spontaneous conversations because
it is usually free of a range of performance errors such as stuttering, thought
pauses, repetition, incomplete sentences, slips of tongue and malapropisms
(2001: 43). However, further research should be conducted because the
present study is limited both in the small number of episodes and in the
length of the corpora transcripts analyzed; so that the findings cannot,
obviously, be extrapolated to other pragmatic aspects.
References
Al-Kahtani, S. A. L. (2005) Refusals realizations in three different cultures:
A speech act theoretically-based cross cultural study, Language &
Translation (18): 35-57.
Using TV series as input source of refusals in the classroom 19
This study analyzes the influence of a stay abroad on Spanish learners refusal
strategies. A group of 11 students were organized in pre and post year abroad dyads;
they were instructed to complete a role-play activity in the virtual world Second Life.
The students communicated via chat and were expected to refuse suggestions,
requests and invitations as specified in the instructions. Similar role-play contexts to
those in Flix-Brasdefer (2004) were used. The results yielded suggest that a stay
abroad may increase both the level of indirectness and variety of the strategies, thus
approximating students refusal performance to that of native speakers.
1 Introduction
The last three decades have witnessed a growth in studies on Interlanguage
Pragmatics (ILP). Within this body of research, and more specifically that of
speech acts, some investigations have considered aspects such as effects of
proficiency level in the development of the target language (Bardovi-Harlig
and Drnyei, 1998; Niezgoda and Rver, 2001; Taguchi 2006) or the results
of explicit or implicit instruction in pragmatics (Alcn, 2005; Flix-
Brasdefer, 2008a; Martnez-Flor, 2006). However, not many studies have
examined the influence of stays in the target language country as a variable
for analysis. Furthermore, most studies that have considered the potential
influence of a Study Abroad (SA) have analyzed languages other than
Spanish (Flix-Brasdefer, 2004). No studies to date have examined the
influence of SA in the development of Peninsular Spanish; in this regard this
study is unique. Furthermore, the speech act under scrutiny has not as yet
received much attention in the literature. It is argued that, while other speech
acts such as apologies or requests (Blum-Kulka and Olshtain, 1986;
Matsumura, 2003; Olshtain and Blum-Kulka, 1985; Schauer, 2006) have
attracted considerable interest, refusals have received less attention, and even
less so in Spanish as a foreign language (FL). Refusals are face-threatening
acts that require the refuser to turn something down and hence, put the
speakers positive and negative face at risk. For that reason, successful
refusals require good pragmatic competence and awareness.
Apart from the fact that this pilot study is unique in dealing with Peninsular
Spanish and also in considering a less investigated speech act and a
somewhat overlooked variable, i.e., refusals and length of stay abroad, it is
also rather novel in its approach towards data collection. In the past, authors
such as Kasper and Dahl (1991) or more recently Flix-Brasdefer (2003;
24 Elina Vilar-Beltrn and Sabela Melchor-Couto
2 Background
As mentioned in the Introduction, not many studies have analyzed the effects
of a stay abroad in the development of pragmatic competence. Flix-
Refusing in Second Life 25
Brasdefers (2004) is to date one of the few studies that have considered the
influence of SA periods in the ability to mitigate and negotiate refusals. He
analyzed role-play data and verbal reports of 24 advanced foreign language
learners of Spanish who had spent between 1 and 30 months abroad.
Nonnative (NNS) speakers were divided into four groups according to the
amount of time spent in the target language country. Findings revealed that
learners who spent 9 months or more in the foreign community showed
greater attempts at negotiation of a refusal than those who spent less than 5
months abroad. Furthermore, bluntness was only observed in the data from
those who spent less than 5 months abroad. In contrast, participants who had
spent between 9 and 30 months abroad demonstrated greater degrees of
interaction and indirectness and thus, an approximation to native speaker
norms. These results are in line with previous studies that have analyzed the
potential effects of foreign contexts in pragmatic development. For example,
Olshtain and Blum-Kulka (1985) investigated whether NNSs of different L1
backgrounds with lengths of stay in Israel that ranged from two to ten years
would assimilate their acceptability perceptions of requests and apologies to
NS norms. It was found that after ten years in Israel, learners perceptions
became similar to those of NSs, learners displayed appropriate levels of
directness according to the Hebrew politeness system and had developed a
greater tolerance for positive politeness strategies. In a similar study, Blum-
Kulka and Olshtain (1986) examined whether the use of external
modification of requests and apologies elicited via DCTs influenced the
pragmatic production of advanced learners with various lengths of stay in
Israel. Consistent results were found with the previous study; in this case
after five years of sojourn the amount of external modification decreases to
approximate to the native norm. In a more recent study, Schauer (2006)
suggests that the learning environment plays a significant role in priming the
language learners linguistic awareness. Participants in her study increased
their pragmatic awareness during their 1-year stay in England. The 53
participants in her study included 16 German students studying at a British
university, 17 German students enrolled in a higher education institution in
Germany, and 20 British English native users. Schauer (2006) showed that
the German EFL participants were less aware of the pragmatic infelicities
than the ESL group and that the ESL learners significantly increased their
pragmatic awareness during their stay in the L2 context, since they detected
more pragmatic infelicities at the end of their sojourn in England than at the
beginning.
While the four studies described above seem to indicate that considerable
progress in learners pragmatic competence is made in the latter stages of
learners residence in the target context and claim that the more the students
stay in the foreign country the better for their pragmatic performance,
Matsumuras (2003) results indicate that the first three months are
26 Elina Vilar-Beltrn and Sabela Melchor-Couto
3 Methodology
3.1 Participants
The data used for the experiment presented were collected from a group of
Spanish foreign language (SFL) learners studying modern languages degrees
in two universities in England. The participants were 11 students from two
different universities in London (i.e., Queen Mary, University of London and
Roehampton University). One group consisted of FY students who had just
completed the compulsory stay abroad; the second group was made up of
second year students who were preparing for their year abroad. There were 5
subjects in their SY and 6 FY students who had come back from their SA
Refusing in Second Life 27
four months prior to this study. The data obtained from two of the SY
participants was disregarded, as they had spent time in a Spanish-speaking
country. The remaining 3 SY students had never spent time in a Spanish-
speaking country. They were all volunteers, two female and one male
amongst the SYs and four females and two males within the FY group. They
had different L1s (English, French, Hungarian, Polish) and were all at least
bilingual. They completed an on-line Spanish placement test provided by
Instituto Cervantes1, which included three sections vocabulary and
grammar, reading comprehension and listening comprehension. All SYs
obtained a homogeneous result of B1 (+) of the Common European
Framework of Reference for Languages (CEFRL) and FYs achieved a C1
(+). The test reflected their proficiency levels.
No instruction was provided prior to the study, although participants were
told that they had to refuse whatever their partner proposed. Pragmatics is not
a component that features strongly in British modern foreign languages
degrees or indeed in Spanish foreign language textbooks. We can certainly
claim that our participants had never received explicit instruction on
pragmatics, let alone the speech act of refusals. A two-hour workshop was
organized for the students to familiarize with the virtual world of Second Life
prior to the study.
3.2 Procedure
The first stage of this project involved designing the role-play activities to be
developed as well as creating the appropriate setting in Second Life.
Roehampton Universitys virtual island was the setting chosen for the
learners interactions. It was decided that the students, organized in dyads,
would need separate chatting spots to develop their role-play activity. A
hobbit village was purchased almost for free in the Marketplace section in
Second Lifes official website 2. The E-learning Team at Roehampton
University assisted the authors in setting up this virtual scenario as well as
the text-chat storage system provided in Second Life.
The hobbit village comprised six huts (see Image 1). Each couple was
instructed to carry out a role-play situation in each of the huts; however, due
to the fact that there were only 5 SY students, only five situations were
developed.
1
http://ave.cervantes.es/prueba_nivel
2
http://marketplace.secondlife.com/
28 Elina Vilar-Beltrn and Sabela Melchor-Couto
All students were asked to create their avatars and were given a handout
detailing the situations to be performed in each of the huts; two handouts
were produced, one including only the requests, suggestions and invitations
leading to the refusals and the other one explaining what they did not want to
do or could not do. The role-play scenarios chosen for this study are similar
to those used by Flix-Brasdefer (2004) in a study that involved Spanish
learners. A number of modifications were introduced, including removing the
variable power and adding rank of imposition. Brown and Levinson (1987)
identify three main sociopragmatic variables that influence the selection of
specific pragmalinguistic forms, namely power, social distance and ranking
of imposition. Power is related to the relationship between speaker and
hearer; consequently, those in a lower position of power will need to modify
their refusals accordingly. The second variable or parameter, social distance,
is linked to the degree of familiarity and type of relationship between
interlocutors. Again, refusal strategies used between close friends or
strangers will vary. Finally, the ranking of imposition concerns the degree of
imposition involved in each situation. Accordingly, it may relate to the
topical nature of what it is being refused (e.g., to lend someone a bright new
car or a spare piece of paper). On the basis of Brown and Levinsons (1987)
politeness theory, briefly described above, Scollon and Scollon (1995)
Refusing in Second Life 29
[HUT 1] You are from Madrid and have been working at a London pub for a month.
You are going back to your country soon. A work colleague invites you for a
goodbye beer, but you cannot make it. (-P, +D, Low Rank of Imposition)
[HUT 2] One of your good friends went as an Erasmus student to the same university
where you will go next year. He/she suggests you take an extra course but you do not
want to. (-P, -D, Low Rank of Imposition)
[HUT 3] You are studying in Spain. You meet a good friend of yours who asks you to
work for him at the library. You cannot make it. (-P, -D, High Rank of Imposition)
[HUT 4] An Erasmus student who you have known for ten months and who you have
helped a lot invites you to his/her birthday party. You are unable to attend. (-P, -D,
Low Rank of Imposition)
[HUT 5] You have just met a student from Queen Mary/Roehampton and asks you to
leave the activity you are doing and go to another Island. You do not want to go. (-P,
+D, High Rank of Imposition)
3
P stands for Power and D for Distance. The symbol + means that there is a difference in Power
or Distance amongst the participants, whereas the symbol means that there is a close
relationship of Power and Distance.
30 Elina Vilar-Beltrn and Sabela Melchor-Couto
start the relevant role-play. Students were always paired up in FY-SY dyads.
Even though the study ran smoothly and the logistics of the project only
seemed to cause few hiccups, the data obtained in HUT 2 had to be
disregarded due to the amount of communication breakdowns encountered. It
is worth noting here that the students involved in this study performed both
parts of the role-plays on their own. Text-only answers (instant messaging,
IM) were the preferred form of communication for this pilot study, although
voice-chat was also available and might be explored in future studies. The
data were digitally stored in Second Life, which allows easy access to the chat
transcripts for their analysis.
4 Results
Figure 1 shows that both groups performance is rather similar, with more pre
and postrefusal strategies found in the FYs data. However, head acts were
slightly more frequent in the SY group. In fact, it was in this group that blunt
answers such as no puedo (I cant) or no quiero (I dont want to) were
found, repeated upon insistence of the FY students. The level of indirectness
found amongst those participants who had stayed in the target language
country for twelve months was higher than that found in the SYs data. The
two examples below demonstrate the difference in linguistic ability of one of
our (FY) subjects and that of a (SY):
Example 1: Farewell
FY1 (1) Me encantara tomar una caa
(I would love to have a pint)
[Willingness]
(2) pero no ser posible
(but it will not be possible)
[Head Act]
(3) tengo un montn de cosas que hacer antes de marcharme.
(I have many things to do before I leave)
[Reason/Explanation]
Example 2: Birthday
FY1 (1) Quiero celebrar mi cumpleaos antes de
irmequieres venir?
(I would like to celebrate my birthday before I
leavewould you like to come?)
SY1 (2) Lo siento mucho,
(I am really sorry)
32 Elina Vilar-Beltrn and Sabela Melchor-Couto
[Apology]
(3) pero no puedo!
(but I cant)
[Head Act]
FY1 (4) Qu pena!
(What a shame!)
SY1 (5) Tengo que trabajar ese da.
(I have to work that day.)
[Reason/Explanation]
The two examples above show how the FY answers were more elaborate than
those of the SY students. In most situations, prerefusals, head acts and
postrefusals were included in one episode, whereas SY students produced
shorter sentences and provided further information as reactions to the FY
students comments. With regard to prerefusals, FYs delayed the head act
more than the SYs. Common examples of strategies used were request for
information / clarification (only found in FYs data), willingness and mainly
apologies. The use of such strategies allowed for smooth transitions in the
interactions and to save the subjects positive face.
According to Figure 1, postrefusals were the strategies more often used, and
sometimes carried on in one turn or were the consequence of the interaction
between the speakers, as in example 3 below.
Example 3: Birthday
SY2 (1) Mira mi cumple es este fin de semana, quieres venir?
(Look my birthday is this weekend, would you like to come?)
FY2 (2) cundo es?
(when is it?)
[Request for information]
SY2 (3) Es el sbado por la noche
(Its on Saturday night.)
FY2 (4) Es que no puedo,
(The thing is that I cant.)
[Head Act]
(5) este fin de semana mis padres vienen a verme!
(My parents are visiting this weekend!)
[Reason/Explanation]
(6)
[Apology/Emoticon Sadness]
SY2 (7) No me digas
(Really?)
[Postrefusal sequence]
FY2 (8) Lo siento.
(Im sorry.)
[Apology]
(9) Mis padres vienen solo para dos das
(My parents only come for two days.)
[Reason/Explanation]
SY2 (10) Pues qu pena, porque estoy segura de que va a ser una fiesta estupenda.
(What a shame, I am sure it is going to be a great party.)
FY2 (11) Bueno s, te llamar si puedo venir pero no te lo puedo prometer!
Refusing in Second Life 33
(Right, ok, I will call you if I can come but I cant promise you
anything.)
[Indefinite Reply]
The role-play in which a student asked their friend to replace them at work
was the one that elicited more strategies. Data obtained in these interactions
were more elaborated than in those data found in the other three. FY
participants negotiated their refusals more in solidarity situations both with
low and high rank of imposition. Examples 4 and 5 below show the different
responses to a FY and a SY to work for them. Data on the request itself have
also been provided, as it was found that a higher number of mitigation
devices were used in these situations compared to the others. Due to the fact
that Spanish language learners produced all the data being analyzed here, as
opposed to other studies in which either the researchers or native speakers
feature in the interactions, it is believed that there is scope for further analysis
of their invitations, suggestions and requests and whether these, in turn,
might have affected the choice of refusal strategies. However, this will have
to be the topic of another study.
Mean
SY FY
5 Discussion
In the present pilot study, results from the analysis of strategies used point
towards a superiority regarding negotiation strategies on behalf of those
participants who had spent a year in the target language country. This
superiority was also observed in their use of indirect strategies. These results
are very much in line with Flix-Brasdefer (2004) and seem to confirm that
those participants who had spent twelve months abroad approximated NSs
norms. In Flix-Brasdefers study, those participants who had stayed in the
target language country for more than 9 months demonstrated greater
attempts at negotiation of a refusal than those who had stayed less than 5
months. His baseline data from Mexican Spanish speakers showed that
postrefusals were their preferred means of external modification and,
although it seems that this was also the case for the two cohorts of students
that took part in the present study, the FYs used almost twice as many. In
general, the group of participants who had spent a year abroad outperformed
the other group in terms of complexity and variety of strategies used.
With regard to strategy use depending on a given situation, variables such as
social distance (solidarity and deference) and rank of imposition (high and
low) were considered here. It was found that, apart from the obvious
difference in the number of strategies used, in general there was only one
Refusing in Second Life 37
situation that showed a different pattern between the two groups. The SY
students (i.e., those who had not spent any time abroad) used more refusal
strategies and, in fact, more blunt answers, in the situation where they were
asked to leave the island (deference and high imposition). FYs seemed to
insist in this situation more than in any of the others, which in many cases
resulted in frustration on behalf of both participants. SY students seemed not
to be able to negotiate that situation successfully. It might be that our low-
imposition situations were more common and linguistically and
pragmatically less demanding than the high-imposition ones. But when it
came to higher imposition situations in which the participants did not have a
close relationship, our group of SYs failed to respond appropriately. This, of
course, might not only have been caused by the lack of experience abroad but
also due to the different proficiency levels. In that sense, Taguchi
(forthcoming), in her study of requests and opinions, found that high-
imposition situations required greater levels of linguistic sophistication and
thus, higher proficiency level participants in her study showed superior
performance in appropriateness in such situations. This author found that
proficiency, as opposed to stay abroad, was the sole factor influencing better
performance. In the case of the present study, and due to the overall higher
negotiation capacity showed by the FYs, we would be inclined to suggest that
both proficiency and stay abroad affected the data. Further investigations
should be carried out in order to provide statistically valid results.
Due to the fact that the language analyzed was that used for instant
messaging (IM), potential influences of the year abroad in other areas, such
as digital literacy, have been observed. Typical expressions of Spanish IM
have been found, such as the substitution of the work que (what/that) for its
phonetic sound k and more universal ones such as the use of emoticons to
mitigate the speech act or the use of letter repetition to express insistence
such as Vengaaaaaaaaaaaaaaaa (Come onnnnnnnn). Furthermore, the
independence of the students in Second Life meant that they were able to
carry out the role-plays with no external influence; by allowing the
participants to perform the situations on their own, it has also been possible
to obtain data for other speech acts such as requests and suggestions.
believed that this pilot study provides grounds for more pragmatic research to
be carried out in similar conditions.
For language students, almost every Modern Languages department across
the UK now regards the integrated year abroad as a compulsory part of the
degree program. Every year thousands of students go abroad to fulfill this
standard feature of their program and there is a clear need in understanding in
what ways stays abroad can benefit our students. Larger-scale studies than
the one presented here can shed some light on these matters. Second Life
seems to be an appropriate and effective tool to engage the students and
collect research data. It also provides our participants with attributes they can
take on with them (e.g., digital literacy). The tasks created can be used in the
Spanish foreign language classroom or in specialist workshops for the
improvement of training in intercultural issues and interlanguage pragmatics.
References
Achiba, M. (2003) Learning to request in a second language: a study of child
interlanguage pragmatics, Clevedon: Multilingual Matters.
Alcn, E. (2005) Does instruction work for learning pragmatics in the EFL
context?, System (33) 3: 417-435.
Bardovi-Harlig, K. and Z. Drnyei (1998) Do language learners recognize
pragmatic violations? Pragmatic vs. grammatical awareness in
instructed L2 learning, TESOL Quarterly (32) 2: 233-259.
Beebe, L. M., T. Takahashi and R. Uliss-Weltz (1990) Pragmatic transfer in
ESL refusals. In Scarcella, R., E. S. Andersen and S. D. Krashen (eds)
Developing communicative competence in second language, New
York: Newbury House: 55-73.
Bell, D. (2009) Learning from Second Life, British Journal of Educational
Technology (40) 3: 515-525.
Blum-Kulka, S. and E. Olshtain (1986) Too many words: Length of utterance
and pragmatic failure, Studies in Second Language Acquisition (8) 2:
965-981.
Bradshaw, D. (2006) New Practices in Flexible Learning. Virtual Worlds
Real Learning! Pedagogical Reflections, Australian Flexible Learning
Framework. Department of Education, Science and Training.
Available at:
http://virtualworlds.flexiblelearning.net.au/reports/VWRL_pedagog_r
eflect.pdf
Brown, P. and S. Levinson (1987) Politeness: Some universals in language
use, Cambridge: Cambridge University Press.
De Freitas, S. (2007) Learning in Immersive Worlds. A Review of Game-
Based Learning. Technical Report, JISC. Available at:
Refusing in Second Life 39
http://www.jisc.ac.uk/media/documents/programmes/elearninginnovat
ion/gamingreport_v3.pdf
Deutschmann, M., L. Panichi and J. Molka-Danielsen (2009) Designing Oral
Participation in Second Life: A Comparative Study of Two Language
Proficiency Courses, ReCALL (21) 2: 70-90.
Ellis, R. (1992) Learning to communicate in the classroom: A study of two
language learners requests, Studies in Second Language Acquisition
(14) 1: 123.
Flix-Brasdefer, C. (2003) Validity in Data Collection Methods in
Pragmatics Research. In Kempchinsky, P. and C. E. Pieros (eds)
Theory, Practice, and Acquisition. Papers from the 6th Hispanic
Linguistics Symposium and the 5th Conference on the Acquisition of
Spanish and Portuguese, Somerville, MA: Cascadilla: 239-257.
Flix-Brasdefer, C. (2004) Interlanguage Refusals: Linguistic Politeness and
Length of Residence in the Target Community, Language Learning
(4): 587-653.
Flix-Brasdefer, C. (2008a) Pedagogical Intervention and the Development
of Pragmatic Competence in Learning Spanish as a Foreign Language,
Issues in Applied Linguistics (16) 1: 49-84.
Flix-Brasdefer, C. (2008b) Sociopragmatic variation: Dispreferred responses
in Mexican and Dominican Spanish, Journal of Politeness Research
(4) 1: 81-110.
Flix-Brasdefer, C. (2010) Data collection methods in speech act
performance: DCTs, role plays, and verbal reports. In Us-Juan, E.
and A. Martnez-Flor (eds) Speech act performance: Theoretical,
empirical, and methodological issues, Amsterdam: John Benjamins
Publishing: 41-56.
Freed, B. (1998) An overview of issues and research in language learning in
a study abroad setting, Frontiers (4): 3160.
Garca, C. (1999) The three stages of Venezuelan invitations and responses,
Multilingua (18): 391-433.
Henderson, M., H. Huang, S. Grant, and L. Henderson (2009) Language
acquisition in Second Life: Improving self-efficacy beliefs, Same
places, different spaces. Proceedings ascilite Auckland 2009.
Available at
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df
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Martnez-Flor, A. (2006) The effectiveness of explicit and implicit treatments
on EFL learners confidence in recognizing appropriate suggestions.
In Bardovi-Harlig, K., C. Flix-Brasdefer and A. Omar (eds),
40 Elina Vilar-Beltrn and Sabela Melchor-Couto
Research into Interlanguage Pragmatics has often focused on the effect of instruction
on speech act production. However, features related to the interactive nature of
conversation are rarely used in most of the pedagogical proposals for teaching the
speech acts. Considering research outcomes on the benefits of pragmatic instruction,
the need to conduct pragmatic intervention at the discourse level (Flix-Brasdefer,
2006b; Kasper, 2006) and the value of audiovisual input as a source of pragmatic
input (Alcn, 2007; Fernndez-Guerra, 2008; Martnez-Flor, 2008), the present study
focuses on the effect of instruction on learners use of refusal strategies and concern
for pragmatics. Alcns (forthcoming) pedagogical proposal for teaching the speech
act of refusals at the discourse level is used during the instructional treatment. In
addition, pragmatic input is provided for the present study by means of scenes from
the series Stargate, which were controlled for speech act type (refusals to requests)
and social distance (+ power and + social distance). Findings from the study support
Schmidts (1993, 1995, 2001) noticing hypothesis, thus providing further evidence
that high levels of attention-drawing activities are helpful for pragmatic learning. In
addition to the differences as regards learners use of refusal strategies, learners
attempts to accommodate the non-compliant nature of the speech act of refusals seem
to have also been influenced by the teaching of refusals at the discourse level.
1 Introduction
Research into Interlanguage Pragmatics (ILP) has often focused on speech
act production. Speech acts such as requests, apologies, complaints and
refusals have received a great deal of attention over the years, but most of
these studies ignore the interactive nature of conversation in their analyses of
speech acts. Similarly, features related to the interactive nature of
conversation are rarely used in most of the pedagogical proposals for
teaching the speech acts or in most studies on speech act instruction
(Martnez-Flor and Alcn, 2007, on suggestions; Olshtain and Cohen, 1990,
on apologies; Rose and Ng Kwai-Fun, 2001, on compliments and
compliment responses; Alcn, 2005, 2008; Martnez-Flor, 2007; Safont,
2005, 2007; Salazar, 2007; Takahashi, 2001; Us-Juan, 2007, on requests;
1
As coordinator of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), Eva Alcn-Soler would like to
acknowledge that this study is part of a research project funded by (a) the Spanish Ministerio de
Ciencia e Innovacin (FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa
Castell-Bancaixa (P1.1B2011-15).
42 Eva Alcn-Soler and Josep R. Guzman i Pitarch
Taking into account the above research questions as well as previous research
on the role of instruction in speech act performance (see Takahashi, 2010, for
a review of the effect of instruction on speech act performance), two research
hypotheses were formulated:
Hypothesis 1: There will be significant differences in learners use
of refusal strategies after the instructional treatment.
Hypothesis 2: There will be changes in learners success in
negotiating refusals.
2 The study
2.1 Participants
The study involved 99 students, all of them enrolled in the Degree in
Translation at the University. Their ages ranged from 18 to 30 years old, the
average age being 22.1 years. Since the months that participants had spent in
a target language country may have influenced the development of pragmatic
competence, we excluded four participants for being bilingual in
English/Spanish, two for having studied in a bilingual English/Spanish school
during secondary education and one for having studied in an English-
speaking environment for more than six months. The 92 students that finally
participated in the study did not show any statistically significant differences
in their level of proficiency in English, as measured by the university
entrance exam they were required to pass in order to enroll in the translation
degree. In addition, participants did not differ to any significant extent with
regard to ethnicity or academic background. Two lecturers also participated
in the study. While one of them focused on teaching refusals during two-hour
sessions held every week for 6 weeks following the pedagogical proposal
outlined below, the other observed the lesson in order to indicate (should it be
the case) any bias shown by the instructor for or against the instruction.
Finally, following Salazar et al.s (2009) taxonomy, two researchers scored
44 Eva Alcn-Soler and Josep R. Guzman i Pitarch
Step 2, Explaining the speech act set, is also planned as a teacher-led activity
in the classroom and it aims to provide pragmalinguistic and sociopragmatic
information related to the issue of directness in the performance of refusals.
The instruction focuses on:
Explicit instruction on direct and indirect strategies and on how
to soften refusals in response to a request, taking into account
the power, social distance and degree of imposition involved in
the situation.
Examples taken from the series Stargate, which were controlled
for speech act type (refusals to requests), are provided in
Spanish, Catalan and English and cross-linguistic differences in
the performance of refusals in the three languages are
emphasized.
The effect of instruction on learners use and negotiation of refusals 45
REFUSALS
Direct Strategies
1. Bluntness No. / I refuse.
2. Negation of proposition I cant, I dont think so.
Indirect Strategies
The effect of instruction on learners use and negotiation of refusals 47
In order to examine whether the differences in strategy use before and after
pragmatic instruction are statistically significant we resorted to statistical
tests. The Kolmogorov-Smirnov test retains the null hypothesis and confirms
a normal distribution in our data (p = 0.284 for the pre-test and p = 0.96 for
the post-test). Thus, we make use of parametric tests to see whether there are
significant differences in learners use of refusal strategies at two different
moments (pre-test and post-test). As shown in Table 2, the t value (t = 7.673)
denotes statistically significant differences that point to a probability level of
p = 0.000. Thus, results of a paired/matched t-test reveal that the differences
in strategy use before and after instruction are large enough to attribute them
to random variations in scores.
50 Eva Alcn-Soler and Josep R. Guzman i Pitarch
Pair 1
Strategy Pre- Strategy Post-
Mean .32283
Paired Differences
T 7.673
df 91
On comparing the type of strategy used we found that while 80.4% of direct
refusal strategies are used in the pre-test interview, 41.3% do not resort to
direct strategies to refuse the lecturer requests in the post-test interview.
Moreover, the Wilcoxon Signed Ranks test denotes that the differences in use
of direct strategies in the pre-test and post-test interview are significant (Z = -
8150; P = 0.000). Similar patterns can be observed in relation to avoidance
strategies, since the percentage of participants that resort to avoidance
strategies in the pre-test (86.9%) contrasts with findings in the post-test
(69.6%). Finally, in relation to indirect strategies, Figure 2 shows the total
number and types of indirect strategies found in the pre-test and post-test
The effect of instruction on learners use and negotiation of refusals 51
interviews.
Pretest Postest
62.02
31.63 30.47
23.47
13.57 13.57
10.85
14.43
Finally, in order to calculate the mean number of adjuncts used before and
after pragmatic instruction the total number of adjuncts was divided into
partitions (0.33). As shown in Table 4, the mean number of adjuncts used in
the pre-test interview is lower (0.4484) than the mean in the post-test
interview (1.9477), and the range shows that while the distance in the pre-test
is nearly one point (0.00-0.99), in the post-test it is more than two points
(0.99-3.30). In addition, the Wilcoxon Signed Rank Test shows how the
differences are large enough to attribute them to random variation in scores
(Z = -8,100; p = 0.000 for positive opinion and Z = -8,267; p = 0.000 for
partial agreement).
54 Eva Alcn-Soler and Josep R. Guzman i Pitarch
Mitigation-
.4484 92 .28769 .02999 0.00 0.99
Pre
Mitigation-
1.9477 92 .47949 .04999 0.99 3.30
Post
23. S: ok Tuesday
24. L: same time. Tuesday at 5
25. S: ok
26. L: and >think about it<! Its a great opportunity!
See you on Tuesday!
27. S: yes, see you Tuesday!
The interaction begins with an opening sequence in which the lecturer (L)
asks the student (S) to take a seat, which is accepted (line 1-2). This is
followed by a pre-request, a contextualization of the lecturers request to
participate in the conference (line 3), and students gratitude for thinking of
him as a student to take part in the conference (line 4). In line 5, this is
followed by the lecturer indirect request (I wonder whether you could come
next week to our first meeting). The refusal to this request is accomplished in
line 6 by means of silence, which is not accepted as a refusal and the teacher
indirectly repeats the request (It will be great if you could come). This time
the request is refused by means of a direct strategy (next week is not possible)
followed by a Reason (I have my first exam). From line 9 we can observe
how the interlocutors negotiate a solution to a refusal. After the lecturers
alternative in line 9 (then you could come the following week and some other
students could inform you), which is rejected by the student by means of an
excuse in line 10 (but we have exams until the end of the month and), the
lecturer interrupts the student by expressing partial agreement, but keeps on
trying to persuade him to accept the request in line 11 (yes, I know but this is
also a great opportunity). In line 12 we can observe the learners inability to
deal with the negotiation of the refusal and a silence occurs, which is broken
by an indirect request performed by the lecturer in line 13 (we have selected
the best students and now we need to know if you can attend the conference).
However, the student does not respond to the request and a silence occurs
again in line 14. Finally, the lecturer is in charge of the interaction from line
15 until the end of the interaction. Thus, in line 15 information is provided
about the dates of the conference, although this is not asked for by the
interlocutor (the conference is from 20th to 24th July, I think, you might go and
check dates of the exams before saying no), telling the students when to
decide in line 17 (and let me know your decision by next Monday) and giving
a reason for that in line 19 (I have to give the list of participants next week.
So we still have time...). In contrast, the students use of ok in lines 16, 18 and
20 or the students uptake in lines 22 (yes Monday) and 24 (ok Tuesday) are
to be understood as a listener response to keep the conversation going and a
sign of acceptance of the interlocutors higher position. From line 25 to the
end of the episode we observe a closing sequence where the lecturer is again
in charge of the interaction and the student accepts his role in this asymmetric
situation.
The effect of instruction on learners use and negotiation of refusals 57
(four days, but you have to pay for the whole conference). In line 8, the use of
well and a willingness expression followed by but anticipates the
students refusal to accept the request (well, I would love to attend the
conference, but...). This is understood by the lecturer, who, in line 9,
interrupts the student again and after partial agreement redirects the request
by means of an indirect strategy (yes, I think it is good for you to have that
experience). However, the student manages to express the reasons for the
refusal in line 10 (I have to think that this is my last year and I am worried
about the exams) and interrupts the lecturer to give one possible solution in
line 12 (I could go on 24th after my exam, but I couldnt on...). This is
accepted by the lecturer in line 13 (well, that would be great. Some of the
students cant go on 24th), but the student gains the floor again in line 14 and
suggests the possibility of postponing the final decision (well, Ill reconsider
it and send you an email this evening). Finally, both interlocutors agree in
line 15 (yes, please do. So I can send the final list of participants...) and 16
(yes, yes Ill do it) and the exchange of the negotiated refusal sequence is
closed.
References
Alcn, E. (2005) Does instruction work for pragmatic learning in EFL
contexts?, System (33) 3: 417-435.
Alcn, E. (2007) Fostering EFL learners awareness of requesting through
explicit and implicit consciousness-raising tasks. In Garca Mayo, M.
P. (ed) Investigating tasks in formal language learning, Clevedon:
Multilingual Matters: 221-241.
Alcn, E. (2008) Investigating pragmatic language learning in foreign
language classrooms, International Review of Applied Linguistics
(46) 3: 173-196.
Alcn, E. (forthcoming) Teachability and bilingualism effects on third
language learners pragmatic knowledge, Intercultural pragmatics.
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language learning, System (33) 3 (Special issue).
Alcn, E. and A. Martnez-Flor, A. (eds) (2008) Investigating Pragmatics in
Foreign Language Learning, Teaching and Testing, Clevedon:
Multilingual Matters.
Al-Eryani, A. A. (2007) Refusal strategies by Yemeni EFL learners, The
Asian EFL Journal (9) 2: 19-34.
Al-Issa, A. (2003) Sociocultural transfer in L2 speech behaviors: evidence
and motivating factors, International Journal of Intercultural
Relations (27) 5: 581-601.
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theoretically-based cross-cultural study, Language and Translation
(18): 35-57.
Beebe, L., T. Takahashi and R. Uliss-Weltz (1990) Pragmatic transfer in ESL
refusals. In Scarcella, R., E. S. Anderson and S. Krashen (eds)
Developing Communicative Competence in Second Language, New
York: Newbury House.
Blum-Kulka, S. (1991) Interlanguage pragmatics: the case of requests. In
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60 Eva Alcn-Soler and Josep R. Guzman i Pitarch
Appendix 1
TRANSCRIPTION CONVENTIONS
. Falling intonation
? Rising intonation
! Exclamation talk
, Comma indicates a level, continuing intonation; suggesting non-
finality
[ ] Square brackets indicate overlapping utterances
(.) Full stop within brackets indicates a micropause
(2.0) Number within brackets indicates length of pause (to approximately
the nearest second)
ye:s Colon indicates stretching of sound it follows
yes Underlining indicates emphasis
YES Capital letters indicate increased volume
yes Degree marks indicate decreased volume of materials between them
(yes) Brackets indicate transcribers doubts about what is said in the
passage
(xxx) Unintelligible speech
>yes< Speeded-up talk
<yes> Slowed-down talk
((laugh))Aspects of the utterance, such as whispers, coughing, and
laughter, are indicated with double parentheses
SS Students
Sn Unknown Student
S1 Student 1
L Lecturer
R Recorder
Effects of metapragmatic instruction on
1
EFL learners production of refusals
1 Introduction
Over the last few decades, specifically after the original formulation of the
notion of communicative competence (Hymes, 1972), the seminal description
of its components for pedagogical purposes (Canale, 1983; Canale and
Swain, 1980) and the emphasis placed on the component of pragmatic
competence (Bachman, 1990), one of the main goals of language teaching
professionals is the development of learners communicative competence in a
second (L2) or foreign (FL) language. As recent models of communicative
competence have shown (Celce-Murcia, 2007; Us-Juan and Martnez-Flor,
2006), communicating appropriately and effectively in the target language
requires not only mastery over the features of the language system but also
over the pragmatic rules of language use. It is necessary to learn how to use
and understand language that is appropriate to the contextual and cultural
parameters of the specific situation, because failure to do so may characterize
non-native speakers as being insensitive, rude or even offensive. Given this
necessity, instruction in pragmatics has been a major concern in
communicative language teaching (Martnez-Flor and Us-Juan, 2010), but
1
As a member of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), I would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
66 Esther Us-Juan
written DCT and a written self-report, to supplement the refusal data. The
treatment implemented lasted two hours for each stimulus type and was
similar to both groups, except that no explicit information was provided for
the implicit group. The general features of teaching for the two groups
included five main stages: i) presentation of learning targets, ii) awareness
raising activities, iii) planning sessions, iv) communication sessions and v)
feedback. Results showed that participants in the study learned how to refuse
appropriately in English after explicit and implicit instruction. Furthermore,
the participants could retain English refusal patterns after three months. As to
the comparison of the two teaching methods, the author speculated that
mainly due to the salient features in the explicit instruction, the performances
in quality of information, level of formality and strategy choices in the
explicit group were better than in the implicit group.
The review of the interventional pragmatic studies on English refusals,
except for the study of King and Silver (1993), shows some evidence of the
effectiveness of instruction. These studies however, have addressed ESL
learners from a mixed L1 (Bacelar Da Silva, 2003; Morrow, 1995) or have
focused on Japanese (Kondo, 2001; 2008) or Chinese EFL learners (Lingli,
2008). As Eslami and Eslami-Rasekh (2008) point out, more studies are
needed in this area to expand the range of the participants L1 in order to
allow researchers and language educators to better assess what is transferable
to other languages. To date, the effect of instruction on Spanish EFL learners
production of refusals has not been investigated. Furthermore, apart from the
study by Bacelar Da Silva (2003), no previous research has used film
sequences for teaching refusals in the classroom. Therefore, taking into
account the value of audiovisual input as a source of pragmatic input in
instructional settings (Martnez-Flor, 2007), it should be interesting to
examine the efficacy of an instructional approach that includes film segments
to raise learners awareness of refusals.
3 The study
3.1 Participants
The subjects of the study were 20 second-year Spanish EFL learners enrolled
in the degree of English at Universitat Jaume I in Castell, Spain. However,
since learners were paired and required each to perform the role of a
requester or a refuser for the production task, just data from 10 students were
considered in the present study since its main aim is to analyze the learners
refusal responses to the elicited requests. The 10 learners (5 males and 5
females; age range, 19-21) had all learned English in classroom settings and
did not differ to any significant extent with regard to ethnicity or academic
background. As for their level of proficiency in English, they all had lower-
intermediate level (or B1 according to the Council of Europe level), as
illustrated by the Quick Placement Test (2001) distributed among them prior
to the beginning of the study. None of the participants had been in English
speaking countries.
In the first step, researching, learners were first provided with a brief
introduction about key concepts in pragmatics (i.e., Leechs (1983)
distinction between pragmalinguistics and sociopragmatics; Brown and
Levinsons (1987) politeness theory and Brown and Yules (1983) discourse
interaction types). In addition, they were given a basic explanation of what
the speech act of refusal implies (i.e., the fact that it is a dispreferred second
action and it can be expressed directly or indirectly). Then, learners were
asked to become researchers and note down five naturally occurring refusals
they hear or make in their L1. For this activity, learners were provided with
worksheet 1 (see Appendix A) and they were asked to analyze the social
factors (i.e., age, gender, social distance, power and imposition) and setting
that influence the use of particular refusal strategies. The purpose of this first
step was twofold: i) to develop learners awareness of the crucial role
pragmatic issues play in communicative situations and ii) to develop learners
sensitivity to the speech act of refusing that they carry out naturally in their
normal life.
In the second step, reflecting, learners worked on their own L1 samples as the
starting point for the analysis and they reflected on rejection sequences in
requesting interactions by answering basic pragmalinguistic and
sociopragmatic awareness-raising questions. Here, the teacher distributed
worksheet 2 (see Appendix A) to students and, after the individual analysis of
the awareness-raising questions, learners were encouraged to compare their
data with their partners in order to gain access to a wider sample of refusal
strategies. Moreover, this activity helped them think further about how
refusals are made in their L1 and how sociolinguistic factors affect the
appropriate selection of strategies. It was the purpose of this second step to
make learners aware of the important role that the context of the conversation
plays when selecting a particular refusal strategy.
In the third step, receiving, learners were provided with research findings
about how to politely say no in American English, that is, they received
instruction in English refusals. Here, learners were explained that in refusing
a request, Americans often begin with a delay (i.e., expressions such as Oh,
Well, Uhm) and an expression of positive statement (i.e., Thats a good
idea, Id love to). Then, they generally offer an apology (i.e., Im sorry,
Thats too bad) followed by a reason/explanation for the refusal (i.e., I
have a lot of work, I have plans) and sometimes, a suggestion of an
alternative in which the request can be fulfilled (i.e., What about tomorrow?
Maybe some other time...). Learners were taught that this model can change
depending on the contextual and interactional factors, but it is a very
common form among Americans. Worksheet 3 (see Appendix A) includes all
instructional activities practiced in this model presentation. Following that, a
chart of all possible refusal strategies and adjuncts to refusals based on
Salazar et al. (2009) was sketched on a power point presentation and
72 Esther Us-Juan
refusal situations are described in detail in Table 2 (see Appendix B for full
description of each role play).
*Interaction
Pre-test and post-test were distributed one week before and after the
instructional period, respectively. The researcher, who was also the lecturer
Effects of metapragmatic instruction on EFL learners refusals 75
of this group of students, made sure students were sitting in exactly the same
pairs in the pre-and post-test and each one was performing the corresponding
role (i.e., requester or refuser). Students were given ample time to plan and
execute the responses.
N Mean Sig.
Table 3. Differences as regards the overall use of refusal strategies in the pre-
test and post-test. Sig. at p<0.05 level
From the above results we can claim that the instructional treatment designed
for the present study had a positive effect on the amount of refusal strategies
used by learners in the post-test. Example (1) illustrates these results by
presenting the performance of the same pair of learners in situation 1 (see
Appendix B) before and after being engaged in the training period.
2
Learners responses in the interactive written DCT have been copied as originally written by
them (independently of having grammatical mistakes). Pseudonyms have been used to preserve
learners anonymity.
Effects of metapragmatic instruction on EFL learners refusals 77
3. A. I would like to ask you if you could lend me your class notes.
4. B. Uhm I would love to but Im busy right now.
5. A. I can wait. I need the notes for the exam. Please.
6. B. Well, I dont know. Right now I have a meeting with a teacher. Sorry.
7. A. Okay. Bye.
8. B. Good-bye.
Before receiving instruction (the pre-test) the refusal was performed in two
turns and included four refusal strategies. The first turn (see line 4) consisted
of a regret (Im sorry) and a reason (I need them for studying). Similarly, the
second turn (see line 6) resorted to a regret (Sorry) and a negation of
proposition (I cant). After the instructional period (the post-test) however,
the refusal was also performed in two turns but contained more refusal
strategies. The first turn started with a hesitation (Uhm), then used an
expression of positive feeling towards the request (I would love to) and
finished with an explanation (Im busy right now). The second turn also
started with a hesitation (well), used a type of verbal avoidance, that of
hedging (I dont know), gave a further explanation (I have a meting with a
teacher) and finished with a regret (Sorry). Thus, this performance in the
post-test provides evidence of the learners improved ability to refuse
requests appropriately.
These findings seem to ascertain the positive role of instruction in developing
EFL learners pragmatic competence in the language classroom and are in
line with observational research in interlanguage pragmatics (Alcn and
Martnez-Flor, 2005, 2008; Rose and Kasper, 2001; Tatsuki, 2005).
Specifically, and in line with the studies by Morrow (1995), Kondo (2001;
2008), Bacelar Da Silva (2003) and Lingli (2008), our study has also found
positive evidence regarding the implementation of an instructional treatment
on an under-researched speech act, that of refusals. It is worth mentioning
that the length of the treatment could have played a positive role in assessing
the effectiveness of pragmatic instruction in our study, since it lasted three
sessions of two hours each. In fact, the limited effects of instruction in King
and Silvers (1993) study may have been attributed to the short amount of
instructional time, which was only seventy minutes. Therefore, it appears that
the longer the instructional time implemented, the more pragmatic benefits
learners can get (Martnez-Flor, 2012).
Apart from considering the overall amount of refusal strategies employed by
learners, we also examined the type of general categories (i.e., direct, indirect
and adjuncts) being used prior to instruction (pre-test) and after it (post-test).
As presented in Table 4, the results from applying the statistical procedure
show that direct refusal strategies were more frequent in the pre-test
(M=7.70) than in the post-test (M=0.90). In contrast, indirect refusal
strategies and adjuncts to refusals displayed a higher frequency in the post
test (M=21.90 and M=6.30 respectively) than in the pre-test (M=12.00 and 0
78 Esther Us-Juan
Table 4. Differences as regards the type of formulae for refusals used in the
pre-test and post-test
*Sig. at p<0.05 level
** t cannot be calculated because the standard deviation is 0
Prior to instruction (the pre-test), the refusal was performed in two turns and
employed a total of three refusal strategies. The first refusal response (see
line 4) consisted of a regret (Im sorry) and a reason which was not specific (I
have to do something) and the second refusal response simply included a
negation of proposition (I cant). After instruction (the post-test), the learner
also organized the refusal in two turns but approximating the learning target
in content and form. In fact, the first refusal response (see line 5) included a
hesitation (Uhm), then an expression of positive feeling towards the request (I
would like to) followed by a statement of regret (sorry) and a specific reason
(I have an important meeting in half an hour). The second refusal (see line 5)
just included an alternative, that of changing time (Maybe tomorrow)
followed by a regret (Sorry).
These results are therefore in line with previous research (Bacelar Da Silva,
2003; Kondo, 2001; 2008) that found that after treatment, learners used far
more indirect refusal strategies, decreasing the use of direct ones
proportionally. Furthermore, similar to Bacelar Da Silvas (2003) study,
learners also displayed a high level of accuracy in terms of order of strategies
in their refusal turns. Additionally, as in Kondos (2001; 2008) study where
excuses were more specific after instruction, in the present research we also
found a much more accurate content in learners responses. See for instance
the Example 2 previously described, which includes a vague excuse for
stating the reason for refusing in the pre-test (i.e., I cant today) and a
specific one in the post-test (i.e., I have an important meeting in half an
hour). Considering these findings, it seems that the particular teaching
Effects of metapragmatic instruction on EFL learners refusals 81
5 Conclusion
This study was set up to investigate the effect of metapragmatic instruction
on English refusals among Spanish EFL learners. Specifically, the
pedagogical intervention was designed to help learners understand the form-
function relationship of refusals in different social contexts. Results of the
present study showed that the refusal strategies (i.e., direct, indirect and
adjunct to refusals) produced by learners in the pre-test differed significantly
from those produced in the post-test. In fact, results illustrated that the high
use of direct strategies found before instruction decreased after the treatment,
allowing thus for an increase in different indirect strategies, such as those of
reason/explanation, regret/apology, alternative, and plain indirect. Similarly,
after instruction, there was a higher use in frequency and variety of adjuncts
to refusals, including the strategy of willingness and positive opinion, which
also denoted a politeness orientation. Overall, the results obtained in the
study demonstrate the efficacy of the devised instructional approach to
integrate pragmatics in the foreign language learning syllabi.
Additionally, essential pedagogical insights may be drawn from the study.
Firstly, it appears that an explicit instructional model that includes both
awareness raising and production activities implemented throughout three
two-hour sessions has been beneficial for learners. Secondly, it seems that
providing them with a treatment that includes the three necessary conditions
for the acquisition of their pragmatic ability, namely i) exposure to
appropriate and rich input (i.e., from steps 1 to 4 of the approach), ii)
opportunities for communicative practice (step 3) and iii) teachers feedback
(stage 4) has also been positive. Thirdly, the inclusion of the English target
culture and the learners culture in the instructional framework has been
effective to clarify cultural differences and similarities involved in the use of
English refusals (stage 1 of the approach). Finally, audiovisual material has
proved to be a rich and useful source for providing learners with pragmatic
input and practicing awareness-raising activities (step 4 of the approach).
Although this study has some limitations, such as a relatively small number
of participants involved in the instruction, the lack of a control group and the
no inclusion of a delayed post-test, it is our belief it has added new insights
on how pragmatics can be taught and learned through instruction in an EFL
setting. In the meantime and to sum up, it is our hope that the pragmatically
oriented activities elaborated for the present study could facilitate other
language teachers the task of incorporating pragmatics in foreign language
instructional contexts.
82 Esther Us-Juan
References
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Alcn, E. and A. Martnez-Flor (eds) (2008) Pragmatics in Foreign
Language Learning, Teaching and Testing, Clevedon: Multilingual
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Andriani, D. (2008) Indirect Refusal Strategies of the Main Characters
Utterances in A Walk to Remember Bachelor thesis, Petra Christian
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Bacelar Da Silva, A. J. (2003) The effects of instruction on pragmatic
development: teaching polite refusals in English, Second Language
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Bachman, L. F. (1990) Fundamental Considerations in Language Testing,
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Beebe, L. M., T. Takahashi and R. Uliss-Weltz (1990) Pragmatic transfer in
ESL refusals. In Scarcella, C., E. Anderson and D. Krashen (eds)
Developing Communicative Competence in a Second Language, New
York: Newbury House: 55-73.
Brown, P. and S. Levinson (1987) Politeness: Some Universals in Language
Use, Cambridge: Cambridge University Press.
Brown, G. and G. Yule (1983) Teaching the Spoken Language, Cambridge:
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Canale, M. (1983) From communicative competence to communicative
language pedagogy. In Richards, J. C. and R. W. Schmidt (eds)
Language and Communication, London: Longman: 2-27.
Canale, M. and M. Swain (1980) Theoretical bases of communicative
approaches to second language teaching and testing, Applied
Linguistics (1) 1: 1-47.
Celce-Murcia, M. (2007) Rethinking the role of communicative competence
in language teaching. In Alcn, E. and M. P. Safont (eds) Intercultural
Language Use and Language Learning, Dordrecht: Springer: 41-57.
Eslami, Z. R. (2010) Refusals: How to develop appropriate refusal strategies.
In Martnez-Flor, A. and E. Us-Juan (eds) Speech Act Performance:
Theoretical, Empirical and Methodological Issues, Amsterdam: John
Benjamins: 217-237.
Eslami, Z. R. and A. Eslami-Rasekh (2008) Enhancing the pragmatic
competence of non-native English-speaking teachers candidates
(NNESTCs) in an EFL context. In Alcn, E. and A. Martnez-Flor
(eds) Investigating Pragmatics in Foreign Language Learning,
Teaching and Testing, Clevedon: Multilingual Matters: 178-197.
Effects of metapragmatic instruction on EFL learners refusals 83
Appendix A: Worksheets
L1 Data-collection worksheet
Pragmalinguistic questions:
How many refusal strategies have you thought of?
Can you organize refusal strategies according to types?
How many adjuncts to soften the non acceptance have you thought of?
Can you organize adjuncts to refusals according to types?
Sociopragmatic questions:
Which different refusal strategies and adjuncts have you found
depending on the degree of familiarity that exists between the
speakers?
Which different refusal strategies and adjuncts have you found
depending on the speakers power over the hearer?
Which different refusal strategies and adjuncts have you found
depending on the degree of the imposition involved in the request?
Are the interactional and contextual factors important when selecting a
particular refusal strategy and adjunct?
Effects of metapragmatic instruction on EFL learners refusals 87
(2) Read the different parts of Claires response and say what she did to
politely refuse Jacks request. Circle the correct answer:
4. When Claire says but I have to study for an exam tomorrow, she:
a. gives an excuse c. says she feels bad
b. hesitates d. gives a positive opinion
(3) Look at Claires response again and list the sequence of phrases
Americans use to say no politely:
Claire: Uhm. Id love to. Sorry, but I have to study for an exam
tomorrow. Tomorrow maybe?
88 Esther Us-Juan
[Some situations from this test were adapted from the study conducted by
Nguyen (2006)]
1. You are a student at a University. You are about to go home in your car.
Another student, whom you have never met before, approaches you and asks
you for a lift home saying that you both live in the same area of the city. You
refuse by saying:
- Im sorry, but I am not going straight home. There are quite a few
things I need to do before heading home! Perhaps another day.
Appropriate Inappropriate
Reason:
- Sorry, its not possible, as all students must sit the exam on the
scheduled date. I cant make exceptions for you as then I would have
to do so for everyone.
Appropriate Inappropriate
Reason:
3. You are a student in a Business studies class at the university. One of your
lecturers asks you to pick him/her up every day from his/her home, saying
that his/her house is near yours. You refuse by saying:
Effects of metapragmatic instruction on EFL learners refusals 89
Appropriate Inappropriate
Reason:
4. You are a student going to the bank to withdraw some money to pay for a
ski trip organized by the university. Once in the bank, you meet your younger
brother/sister who is also there to withdraw some money to pay for an
excursion organized by the High School. He/she is always short of money
and this time, again, he/she asks you to pay for the excursion. You refuse by
saying:
- I cant lend you any money right now. Next weeks your birthday,
just ask mum for it.
Appropriate Inappropriate
Reason:
5. You are a student at University. A classmate, and close friend of yours, has
been sick and has not been able to attend classes. He/she asks if he/she can
borrow your class notes. You refuse by saying:
Appropriate Inappropriate
Reason:
6. You are a student who enters a bakery to buy the only cherry oat muffin
left in the shop. You are about to pay for the muffin when a
businessman/woman behind you suddenly explains how he/she came to the
bakery on purpose to buy the delicious muffins baked there for his pregnant
friend and asks you to buy another pastry. You refuse by saying:
Appropriate Inappropriate
Reason:
calls and says he/she cannot come on that date and asks for an alternative
date for the consultation. You are pretty busy writing your PhD dissertation.
You refuse by saying:
Appropriate Inappropriate
Reason:
8. You are a research assistant to a Professor, with whom you have a good
academic relationship. At the end of the office hours, you are going to leave.
The Professor asks if you can stay with him/her and help him/her with some
papers. You refuse by saying:
Appropriate Inappropriate
Reason:
9. You are a business student who enters a bookshop looking for a book. In
the bookshop you are stopped by another student doing the same degree as
you, who asks you to fill out a 30-minute questionnaire as part of a work
project. However, you do not have the time to spend 30 minutes filling in the
questionnaire out. You refuse by saying:
Appropriate Inappropriate
Reason:
Effects of metapragmatic instruction on EFL learners refusals 91
Worksheet 6: Role-plays
Read the following role-plays, and after preparing them with your
partner, perform them in front of the class.
Role play 1
B. You are a student in your professors office trying to clarify some doubts
about one of his/her books. After discussing them with the professor, you are
about to leave when he/she asks whether you can help him/her by leaving a
book in the library when going home. You refuse by saying:
Role-play 2
A. You are a student carrying a lot of books in the university canteen. You
want to buy some food so you put all the books on a table and you ask
another student, whom you have never met before, to watch them until you
bring the food. You ask the student:
B. You are a student in the university canteen finishing your lunch. Another
student, who you have never met before, puts his/her books on the table and
he/she asks you to watch them until she brings the food. You see there is a
long queue to buy the food and you do not want to miss class, you cannot
wait. You refuse by saying:
Effects of metapragmatic instruction on EFL learners refusals 93
Sociopragmatic features
SCENARIO 1
A. You are a student at University. You have been sick and were not able to
attend classes last week. You want to know if one of your classmates can
lend you the class notes. You ask the classmate:
B. You are a student at University. You have attended all classes during this
semester. One of your classmates wants to borrow your class notes. Although
you understand he/she has been sick, you do not want to lend your notes. You
refuse by saying:
SCENARIO 2
A. You are a waitress who works in a cafeteria located close to the local
University. A research assistant, whom you have never seen before, wants to
buy a doughnut. You tell him/her it costs 2 euros and ask him/her if he/she
could give you the exact amount of money since you only have money in the
form of notes. You ask the research student:
give him/her the exact amount of money since he/she only has money in the
form of notes. You refuse by saying:
SCENARIO 3
B. You are a student who arrives half an hour late to class because you had to
go to the doctor for an important health issue. The course policy states that
late arrivals are not permitted, except for serious documented excuses. The
Professor tells you that your behavior is disruptive and asks you to leave the
class. You refuse by saying:
SCENARIO 4
A. You are a student at University. You are about to go home when you see a
student parking the car you are so eager to buy. You have not had the
opportunity to go to the local car dealer to request a test drive. Although you
do not know him/her, you ask if he/she could lend you the car just to drive it
within the University campus for a while. You ask the student:
B. You are a student parking at the University campus. You have already
parked your car when a student, whom you have never seen before, explains
to you that he/she is very eager to buy the same car you have. He/she asks
you if he/she could borrow it to drive it for a while within the University
96 Esther Us-Juan
SCENARIO 5
A. You are a first-year student at University. You have a paper due in three
days and you havent started working on it yet. The day you start working on
it your laptop doesnt work. A close friend of yours is working as a research
student in the department of Computer Science at University. You ask
him/her if he/she can urgently help you fix the laptop. You ask the research
student:
SCENARIO 6
B. You are a student at University who helps your father working in his
butchers. Very recently, the office of the primary care and health of your
town hall has sent all local shops flue prevention techniques they may use to
Effects of metapragmatic instruction on EFL learners refusals 97
keep themselves and clients healthy. An important one is the use of gloves
when handling food. A middle-aged man/woman explains to you that he/she
is responsible for the office of primary care and health of your town hall and
asks you to wear plastic gloves to handle food. You refuse by saying:
SCENARIO 7
SCENARIO 8
A. You are a Professor working in your office. Your assistant, with whom
you have a good academic relationship, doesnt understand some concepts in
one of your books. You clarify them to him/her and when he/she is about to
leave, you ask him/her whether he/she can help you to finish an online
questionnaire by discussing some items. You ask the assistant:
98 Esther Us-Juan
B. You are an assistant to a Professor, with whom you have a good academic
relationship. You go to his/her office to clarify some doubts about one of
his/her books. After discussing them with him/her, you are about to leave
when he/she asks you whether you can help him/her to finish an online
questionnaire by discussing some items. You refuse by saying:
SCENARIO 9
REFUSALS
Direct Strategies
1. Bluntness No. / I refuse.
2. Negation of proposition I cant, I dont think so.
Indirect Strategies
1. Plain indirect It looks like I wont be able to go.
2. Reason/Explanation I cant. I have a doctors appointment.
3. Regret/Apology Im so sorry! I cant.
4. Alternative:
Change option I would join you if you choose another
restaurant.
Change time I cant go right now, but I could next
(Postponement) week
5. Disagreement/Dissuasion/ Under the current economic
Criticism circumstances, you should not be asking
for a rise right now!
6. Statement of I cant. It goes against my beliefs!
principle/philosophy
7. Avoidance
Non-verbal: Ignoring
(Silence, etc.)
Verbal:
o Hedging Well, Ill see if I can.
o Change topic
o Joking
o Sarcasm
ADJUNCTS TO REFUSALS
1. Positive opinion This is a great idea, but
2. Willingness Id love to go, but
3. Gratitude Thanks so much, but
4. Agreement Fine!, but
5. Solidarity/Empathy Im sure youll understand, but
Refusals in L2 English: Proficiency
effects on appropriateness and fluency
1 Introduction
The speech act of refusal is a face-threatening act because of its non-
compliant nature. In a refusal to a directive (e.g., request, suggestion), the
speaker averts a threat to her negative face, while a refusal to a commissive
(e.g., offer, invitation) involves the speaker declining support of her positive
face (Brown and Levinson, 1987). If they are not performed appropriately,
refusals could lead to unintended offense and communication breakdown. As
a result, it is important to examine if and/or how second language (L2)
learners refusal patterns might deviate from those of native speakers in order
to account for potential causes of miscommunication and suggest ways to
teach appropriate linguistic strategies involved in this speech act.
This study investigates the effects of general proficiency on production of
refusals. Fifty-nine Japanese college students of English at two different
proficiency levels (determined by TOEFL scores) were evaluated for their
ability to produce a speech act of refusal in role-plays. The task elicited four
refusals (refusals to invitation, offer, request, and suggestion) in formal and
informal situations. Learners refusals were analyzed for overall
appropriateness and fluency. Appropriateness was assessed quantitatively by
rating performance on a six-point scale, as well as qualitatively by identifying
the directness levels of the linguistic expressions used to produce refusals.
Fluency was examined for speech rates (average number of words per
minute). Results revealed a significant proficiency influence on
102 Naoko Taguchi
2 Background
Previous studies that examined interlanguage patterns of refusals typically
used a categorical analysis by comparing native and non-native refusal
strategies for their directness levels based on coding systems (e.g., Al-Eryani,
2007; Beebe, Takahashi and Uliss-Weltz, 1990; Flix-Brasdefer, 2003;
Fujiura, 2007; Garca, 1999; Ikeda, 2007; Kawate-Mierzejewska, 2009;
Robinson, 1992; Takahashi and Beebe, 1987; Widjaja, 1997). An earlier
study by Takahashi and Beebe (1987) examined pragmatic transfer in
Japanese ESL learners refusals. Using a discourse completion test (DCT),
the researchers compared the differences in the order, frequency, and content
of refusal strategies between American and Japanese students. They found
evidence of L1 transfer in all three areas. Frequency of transfer interacted
with proficiency. Low-proficiency learners were more direct in their refusals
than high-proficiency learners, suggesting their lack of pragmalinguistic
knowledge.
In a more recent study, Flix-Brasdefer (2003) investigated the use of direct
and indirect refusal strategies among L1 and L2 speakers of Spanish. Role-
plays with three invitation situations were administered to native speakers of
English, native speakers of Spanish, and advanced learners of Spanish.
Results revealed that Spanish learners were less direct in their choice of
semantic moves compared with their L1 cohort. They could not use certain
linguistic expressions, such as promise of future acceptance (e.g., "I'll call
you. I promise."), conditional expressions (e.g., "We'll stop by, if we can."),
or solidarity (e.g., "You have been an excellent boss"). Follow-up verbal
reports revealed that the lack of L2 sociocultural knowledge limited the use
of strategies even for advanced learners of Spanish.
A few recent studies have analyzed naturalistic interaction of refusals.
Kawate-Mierzejewska (2009) investigated request-refusal sequences by L2
learners of Japanese in telephone conversations. Native Japanese speakers
and American learners of Japanese of advanced proficiency received a phone
call in which they were asked by the researcher to tape-record a telephone
conversation with their friends. If a participant refused the request, the
conversation was transcribed and analyzed by coding the participants refusal
strategies. Results revealed that the learners used a wide variety of refusal
moves (i.e., giving an excuse, delaying a compliance, avoiding the request,
and providing a positive comment), while native speakers refusals were
largely formulaic (i.e., giving an excuse and delaying compliance).
Refusals in L2 English: Proficiency effects on appropriateness & fluency 103
Although these studies revealed that learners were often too direct or too
indirect in their choice of refusal strategies due to cultural differences or
limited L2 proficiency, the question remains as to whether learners' poor
performance is entirely attributable to the choice of particular semantic
moves. Features such as fluency and discourse management could also
contribute to a successful refusal. Several studies incorporated these
interactional features in their analyses. Using open role-plays, Gass and
Houck (1999) analyzed refusals by three Japanese ESL students. Their
analysis extended beyond the coding of refusal expressions to the analysis of
non-verbal features, vocal characteristics, turn-taking sequences, and
communication strategies. Results revealed that the learners negotiated their
way by using various means to establish solidarity with the native speaker
interlocutor. For instance, they often used communication strategies such as
backchannel cues (e.g., nodding, affirmative responses) as emphatic
responses to mitigate the negative effect of refusals. They also used non-
verbal expressions of affect (e.g., laughter) in order to mitigate refusals. They
sometimes called the interlocutor's attention to their non-nativeness (e.g.,
reference to their lack of linguistic knowledge) to solicit support from the
interlocutor. These findings suggest that learners refusals could be analyzed
in a wider range of communicative resources, including discourse tactics and
turn takings.
In another study, Bardovi-Harlig and Hartford (1993) examined L2 refusals
in authentic academic advising sessions between international students and
their faculty advisors in a U.S. university. They documented that
international students became more native-like in their rejections over a 7- to
14-week period. Their success in the rejection speech act was evident in the
increased instances of student-initiated suggestions, long negotiation
sequences, and the use of more credible content as excuses for rejection.
Although students moved over time toward using more suggestions and
became more successful negotiators, they changed less in their ability to use
appropriate forms of rejection. Results suggest that the success of a refusal
does not solely depend on the types of semantic moves used. It also depends
on other interactional features such as overall structuring of talk exchanges
and distribution of turns.
In summary, a refusal requires a constellation of semantic strategies to
mitigate its potential face-threat. Due to this linguistic complexity, even
advanced learners were found to have difficulty performing a refusal at a
proper level of directness and appropriateness. Constructing a target-like
refusal requires knowledge of variety linguistic forms mapped with the right
contextual requirements (i.e., relationship between the speakers, settings, and
degree of imposition). In addition to linguistic knowledge, performance
knowledge is required for a successful refusal. Learners need to have
sufficient discourse and interactional skills to mobilize their knowledge of
104 Naoko Taguchi
3 Methodology
3.1 Participants
Participants were 59 Japanese learners of English enrolled in a branch
American university in Japan. English was the instructional medium of the
university, and participants were exposed to spoken English mainly through
their classes. However, because approximately 90% of the student population
was Japanese, the participants did not receive extensive English outside the
class. There was no explicit instruction on refusals in class. The participants
formed two proficiency groups: 29 higher-proficiency students (15 males and
14 females, a mean age of 20.48, ranging from 17 to 25) and 30 lower-
proficiency students (15 males and 15 females, a mean age of 19.19, ranging
Refusals in L2 English: Proficiency effects on appropriateness & fluency 105
from 18 to 27) based on the institutional TOEFL scores (ITP TOEFL). The
higher-proficiency L2 group (n = 29) had an average ITP TOEFL score of
508, ranging from 480 to 590. Their average oral proficiency rating was 5.48.
The lower-proficiency L2 group (n = 30) had an average ITP TOEFL score
of 397, ranging from 330 to 457. Their average oral proficiency rating was
2.56. One higher learner had more than six months of experience living
overseas. In addition to L2 learners, native English speakers, 10 males and 10
females, participated in the study and provided base-line data. These native
speakers were all students in a American university with a mean age of
23.35, ranging from 20 to 31.
PDR-low
1. You are in the library studying for tomorrows test. Your friend comes and
asks if you want to take a break and go to the movie with her. You want to
refuse the invitation because you have to study more for the test.
2. You are in the living room in your house watching TV with your older
sister. Your sister has just stood up to make herself a cup of coffee. She is
offering you some coffee too. You want to refuse the offer.
PDR-high
3. You are talking with your teacher in her office. She suggests that you
should take summer session because your grades are low. You want to refuse
the suggestion because you already have plans.
4. You work part-time at a city library. Your boss asks if you can work next
Friday night instead. You want to refuse the request because you are leaving
very early next morning for camping.
Ratings Descriptors
5 Excellent - Expressions are fully appropriate for the situation.
- No or almost no grammatical and discourse errors.
4 Good - Expressions are mostly appropriate.
- Very few grammatical and discourse errors.
3 Fair - Expressions are only somewhat appropriate.
- Grammatical and discourse errors are noticeable,
but they do not interfere with appropriateness.
2 Poor - Due to the interference from grammatical and
discourse errors, appropriateness is difficult to
determine.
1 Very - Expressions are very difficult or too short to
poor understand.There is no evidence that the intended
speech acts are performed.
0 - No performance
Six native speaker raters, all experienced ESL instructors, evaluated refusals.
The raters were asked to listen to each role-play interaction and indicate the
rating of appropriateness (0-5) based on the rating descriptions. While rating,
they were asked to judge each request independently of the others. After the
initial group norming session that lasted one to two hours, a set of 20-25
samples was assigned randomly to each rater and evaluated independently.
Two raters evaluated each set of samples. Overall interrater reliability was
0.90, r = 0.89 for PDR-high and r = 0.87 for PDR-low speech acts. About 2%
of the samples that were more than one point off were discussed in the
follow-up meetings, and the average score between the raters was assigned as
the final score.
I. Direct Expressions
1. No /Negative willingness/ability e.g., I don't want to./I
can't.
II. Indirect Expressions
2. Statement of Regret e.g., I'm sorry.
3. Wish e.g., I wish I could go.
4. Excuse e.g., I have to study for
the exams.
5. Statement of Alternative e.g., I'd rather drink tea.
6. Promise of Future Acceptance e.g., I'll do it next time.
7. Indefinite reply/Hedging e.g., Maybe we can
work something out.
Refusals in L2 English: Proficiency effects on appropriateness & fluency 109
4 Results
1
Each situation type had two items. Mean refers to the average score based on six-point scale
ranging between zero and five. There were 29 higher and 30 lower L2 learners.
110 Naoko Taguchi
All groups demonstrated the same patterns: they were more fluent when
producing PDR-low refusals than PDR-high refusals, as shown in their faster
speech rates. The speech rate for the higher-proficiency L2 group was faster
than that for the lower-proficiency L2 group. An independent sample t-test
confirmed that the difference was statistically significant, t=-6.88, p=.000, for
PDR-high situation refusals, and t=-3.37, p=.001, for PDR-low situation
refusals. Effect size comparison revealed that the group difference was
greater for the PDR-high refusals (eta-square=.38) than PDR-low refusals
(eta-square=.17).
NS Higher L2 Lower L2
% (n) % (n) % (n)
I. Direct Expressions 39.5%(30) 33.1%(41) 29.6%(37)
2
Each situation type had two items. Mean refers to the number of words spoken per minute.
There were 20 native speakers, 29 higher and 30 lower L2 learners.
Refusals in L2 English: Proficiency effects on appropriateness & fluency 111
Learners use of apologies is shown in the examples (2) and (3) below. In
contrast, native speakers used an expression of positive evaluation (e.g., "I'd
love to") often, as shown in (1):
3
The numbers in the parentheses show the raw counts. There were 20 native speakers (NS), 29
higher and 30 lower L2 learners. Each participant produced two PDR-low refusals, so the total
number of refusals analyzed was 40 for native speakers, 58 for higher L2 learners, and 60 for
lower L2 learners.
112 Naoko Taguchi
I: OK.
L: So, next time, I can go.
Lower L2 Sample:
Refusing the offer of coffee:
(3) I: Hey, I'm gonna make some coffee. Do you want some?
L: Sorry, no thank you.
NS Higher L2 Lower L2
% (n) % (n) % (n)
8. Postponement 3.3(4) 0 0
9. Positive opinion 0.8(1) 4.4(7) 1.3(2)
10. Empathy 8.3(10) 3.8(6) 0.7(1)
11. Gratitude 2.5(3) 0 0
12. Repetition/Question 7.4(9) 9.4(15) 6.7(10)
Among the indirect strategies, giving an excuse was most frequent, appearing
in between 30% and 40% of the refusals across the three groups. Some
indirect, face-saving expressions appearing in PDR-high situations included
indefinite replies, hedging, and suggesting alternatives. All were common in
the native speaker data. Almost 30% of native speakers refusals included
indefinite replies and hedging (e.g., "I'm not sure", "Maybe it's not possible"),
while higher-proficiency L2 learners used them only 12% of the time, and the
lower-proficiency L2 group almost never used them (2%). By using elements
of hedging or indefiniteness instead of direct rejections, speakers do not have
to specify their precise rejection intentions, and they can consequently avoid
the potential provocation of being precise. As illustrated in native speaker
samples below, specific lexical and phrasal hedging devices, such as
"probably" and "kind of" in (5), function to soften the impositive force of
refusals. In other occasions, syntactic properties such as clause structures, as
shown in the samples (6), also had a mitigating function in refusals.
NS Samples:
Refusing to reschedule work:
(5) I: So can you come in work the night before instead?
NS: Probably that wouldn't work out. We have to leave early next
morning, on Saturday, so it kind of defeat the purpose.
4
Tables 6 and 7 appeared in Taguchi (2007) which examined the effect of task difficulty in oral
speech act production.
5
The numbers in the parentheses show the raw counts. There were 20 native speakers (NS), 29
higher and 30 lower L2 learners. Each participant produced two PDR-high refusals, so the total
number of refusals analyzed was 40 for native speakers, 58 for higher-proficiency L2 learners,
and 60 for lower-proficiency L2 learners.
114 Naoko Taguchi
Higher-Proficiency L2 Sample:
Refusing to reschedule work:
(7) I: Ah . . . but do you think you could work on Friday night before
that Saturday instead?
L: Well, maybe it's difficult because I have to leave home early in
the morning, so I would like to sleep.
Another common mitigating strategy among native speakers was asking for
alternatives. Approximately 10% of native speakers gave alternatives during
a refusal, while the percentage of use was almost zero in both L2 groups. The
alternatives strategy helps speakers to convey the intention of rejections
without actually articulating rejections. See the native speaker data (8):
NS Sample:
Refusing to reschedule work:
(8) I: I need someone to work on Friday night. Do you think you can
work then?
NS: Ah . . . gee . . . we wanted to, we wanted to leave that night . . .
ah . . . is there something else I can do?
In stark contrast with native speakers, L2 learners used apologies quite often.
About 27% of the lower-proficiency L2 group and 11% of the higher-
proficiency L2 group used apologies, while the percentage of use was less
than 1% in native speaker data. Apologies were more common in PDR-high
situations than in PDR-low ones, suggesting that the learners who were not
familiar with hedging or indefinite expressions used apologies as politeness
strategies to downgrade the refusals. The learners used apologies in
combination with direct expressions in order to modulate the impact that their
directness was likely to have on the interlocutor. See example (9).
Lower-Proficiency L2 Sample:
Refusing to reschedule work:
(9) I: Do you think you can work on Friday night?
L: Ah, I'm so sorry. Ah . . . I want to, I will leave early morning.
I: OK, OK, I understand.
Refusals in L2 English: Proficiency effects on appropriateness & fluency 115
In addition, there were several cases where learners negotiated over multiple
turns when rejecting the teacher's suggestion. They responded to the
suggestion with questions in order to negotiate the circumstance with the
teacher and delay the rejections. The questions often allowed learners to
avoid committing to the teacher's suggestion. The excerpt below from the
higher-proficiency L2 group is an example of this type of avoidance of
rejection. The questions usually took a form of requesting information (10).
This type of question appeared more frequently in PDR-high situations,
suggesting that, similar to apologies, this strategy was used by learners in
order to minimize the degree of face-threat in direct rejections.
Higher-Proficiency L2 Samples:
Refusing the advice to take summer classes:
(10) I: I was just looking at your grades and they seem a little bit low,
so I think you should take summer school.
L: Summer school?
I: Uh.
L: Oh, how long is gonna be?
I: Summer school? Maybe about, ah. . . two months or about three
months.
L: Ah . . . that's long, because I've heard I'm gonna about to do
this summer, but I'm really feeling, I'm . . . this is kind of possible to do
that, but . . .
I: OK, well, good luck making a, making a decision.
5 Discussion
This study examined L2 proficiency influence on appropriateness and
fluency of refusals, as well as on the choice of linguistic strategies used to
construct refusals. Results revealed that, regardless of the speakers
proficiency, production of PDR-low refusals was easier and faster than that
of PDR-high refusals. There was a statistically significant effect of
proficiency on appropriateness scores and speech rates; however, the effect
was greater for PDR-high refusals than for PDR-low refusals.
The difficulty involved in PDR-high refusals probably stemmed from the
greater number of supporting moves required in these refusals. Native
speakers in this study used many complex sentences and mitigated them with
supporting devices, such as hedges and indefinite responses. These
expressions were rare in L2 data. Instead, L2 learners used expressions that
were too direct (e.g., explicit "no" for refusals), or too implicit (e.g.,
questioning). Due to greater linguistic demand in PDR-high situations, the
proficiency effect was probably more evident in these situations than in PDR-
low refusals. Higher-proficiency learners were more skilled at locating
appropriate linguistic forms and producing them efficiently under the on-line
demand of speaking.
116 Naoko Taguchi
References
Al-Eryani, A. A. (2007) Refusal strategies by Yemeni EFL learners, Asian
EFL Journal (9) 2: 19-34.
Bardovi-Harlig, K. and B. Hartford (1993) Learning the rules of academic
talk: A longitudinal study of pragmatic change, Studies in Second
118 Naoko Taguchi
The present study attempted to explore the role that learner proficiency plays in the
written production of refusals. A total of 100 Spanish university undergraduates
representing four proficiency levels in English participated in the study. To assess
learners pragmatic competence, a written Discourse Completion Test (DCT) was
administered. Learners production of refusals was analyzed following Salazar,
Safont and Codinas (2009) taxonomy. Results indicated that, with regard to the
production of direct refusal strategies, beginners (A1) outperformed the rest of the
groups included in the present study. Additionally, most learners showed a preference
for the use of indirect strategies, and in line with other studies (Kwon, 2004; Sadler
and Erz, 2002) most of the participants resorted to the ubiquitous pattern of refusing
by expressing regret for not complying with the request, as well as presenting an
excuse for not being able to do so. As for adjuncts, we have suggested that the least
proficient group may have transferred L1 patterns into the L2. Moreover, we have
claimed that, due to age differences of the beginners, age could make a difference in
L2 pragmatic development, and deserves further analysis.
1 Introduction
The major and probably most important goal in second/foreign language (L2)
learning is to be able to communicate successfully in the L2, which in turn
implies not only being able to understand but also be understood by both
other learners of the L2 as well as native speakers (NSs) of the target
language.
Although successful communication has been for many years equated to
using the L2 grammatically correct, especially in instructed settings, it is
incontrovertible that grammatical competence is not enough, and that L2
learners need to use the L2 accurately and appropriately. Moreover,
successful L2 learners need to exhibit an acceptable command of pragmatic
knowledge in the target language. Consequently, how L2 learners acquire and
develop their pragmatic ability in the L2 has become one of the major
concerns in the study of L2 development.
1
As a member of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), I would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
122 Victria Codina-Espurz
particular speech act in our L1 does not imply that it is performed in the same
way or even it means the same in the L2. The learning of how to say no
happens very early in our childhood, so it is a speech act that most speakers,
at least in the most direct way, master in the L1 from an early age. However,
when learning an L2, the situation is somewhat different. It is obvious that
the learner needs to learn a new set of linguistic elements to perform the act
of refusing. Moreover, the L2 learner also needs to learn the sociopragmatic
norms associated with refusing in another language. As we know, what may
be acceptable and/or appropriate in one culture can be totally unacceptable
and inappropriate or even insulting in another.
Unlike production of other speech acts, refusing in an L2 is a more complex
task to accomplish than requesting or inviting, for example, due to its face-
threatening nature, which demands from the learner a high L2 pragmatic
ability (Flix-Brasdefer, 2003). Thus, research on how learners convey the
act of refusing in an effective and appropriate manner and how learners learn
to save face in the L2 and avoid a misunderstanding or even worse, an
embarrassing or insulting situation, becomes crucial in the study of
interlanguage pragmatics. In this respect, like much of the research dealing
with the study on a particular speech act, some studies have attempted to
provide a taxonomy on the linguistic realizations of the targeted speech act.
Therefore, several proposals have been presented to classify the different
strategies used when refusing in English (Beebe, Takahashi and Uliss-Weltz,
1990; Salazar, Safont and Codina, 2009).
Much of the research has been devoted to exploring cross-cultural differences
in the realization of refusals (Flix-Brasdefer, 2003; Fujiwara, 2004; Gass
and Houck, 1999; Geyang, 2007; Kondo, 2001; Kwon, 2004; Sadler and
Erz, 2002). In most cases, differences in terms of the overall frequency of
strategies used have been found, and lead researchers to advocate for the
importance of knowing how refusals are realized in English in order to avoid
pragmatic failure (Al-Issa, 2003; Kwon, 2004). Furthermore, claims about
the teachability of refusals have also been made (Kondo, 2008).
A great number of studies have focused on describing how L2 learners
perform the act of refusing (Bardovi-Harlig and Hartford, 1991; Keshavarz,
Eslami and Ghahreman, 2006). Most of the studies focusing on non-native
refusal production have examined how non-native speakers differ from
natives when refusing in English and have usually found both quantitative
and qualitative differences in the use of the semantic formulas to perform the
refusal, and suggested a role for instruction. Other studies have focused on
how refusals are performed among a particular group of non-native speakers
in an attempt to determine the most frequently used strategies, or describe
how task or data collection instrument affects production of refusals (Duan
and Wannaruk, 2008). In many instances researches have emphasized the
lack of correspondence between grammatical and pragmatic competences
124 Victria Codina-Espurz
and pointed out that even advanced L2 learners lack the necessary
sociocultural knowledge in the L2 (Flix-Brasdefer, 2003). Provided that
proficiency may determine the linguistic expressions learners use in speech
act production, some researchers have claimed that advanced learners tend to
produce more target-like expressions, and thus approximate to native-like
performance (Taguchi, 2007). Yet, we believe that more studies are needed to
study how some of these individual differences (age, gender, proficiency,
etc.) may affect the production of refusals in particular and other speech acts
in a wider sense. In light of some of these results, the present study attempted
to explore how learner proficiency affected their written production of
refusals.
3 The study
The purpose of the present study was to determine the differences, if any, in
refusal production by non-native speakers of English at different levels of
English proficiency. Thus, this study attempted to analyze how L2
proficiency affects written production of refusals. In particular, we analyzed
the refusal strategies learners produced at four levels of English proficiency
when asked to conduct a written task.
The main objective of the study was twofold. On the one hand, we attempted
to determine if the overall number of refusal strategies increased as learners
exhibit a higher level of proficiency in the L2. On the other hand, we also
analyzed how strategy choice relates to proficiency level. That is, we aimed
at exploring how L2 proficiency qualitatively and quantitatively affects
written refusal production.
In short, the following two questions have guided this study:
1. Whether higher-proficiency learners will produce more refusal
strategies than lower-proficiency learners in written production in
English.
2. Whether higher-proficiency learners will exhibit a greater variety
of refusal strategies than lower-proficiency learner in written
production in English.
3.1 Subjects
A total of 193 university undergraduate students from two different majors
(Education, English Philology), and University/Education for the Elderly
were initially considered for the present study. Since we intended to compare
learners production of refusals at different proficiency levels, subjects were
chosen in order to represent as many proficiency levels as possible.
Proficiency level was determined by the Quick Placement Test (Oxford
University Press). After administering and analyzing the subjects results on
The role of proficiency in the production of refusals 125
the Quick Placement Test, only four different proficiency levels could be
identified: Beginner (A1), Elementary (A2), Lower-Intermediate (B1), and
Upper-Intermediate (B2). However, the majority of the initial sample of
subjects exhibited either an A2 or B1 level in English and was dropped from
consideration in the study for the sake of keeping the same number of
individuals in each group. Thus, out of the total initial sample only 100 were
finally selected to represent the four proficiency groups (25 subjects each)
identified. Although English majors were expected to exhibit an advanced
level of proficiency in English (C1 or C2), as Figure 1 illustrates, this was not
the case. Unfortunately, the subgroup of English majors (mainly sophomores)
included in this study did not surpass an upper-intermediate level of
proficiency in English.
A high percentage of the participants (73%) were female, while only 27%
were male. Subjects age ranged between 19 and 77 years old (mean almost
26 years of age, mode 19 years old). This high dispersion in age is due to the
consideration of a small group of senior subjects (a total of nine) enrolled in a
university program called University/Education for the Elderly.
The DCT was administered by the learners professor during regular class
time.
REFUSALS
Direct Strategies
1. Bluntness No.
2. Negation of proposition I cant.
Indirect Strategies
1. Plain indirect It looks like I wont be able to go.
2. Reason/Explanation I have a doctors appointment.
3. Regret/Apology Im so sorry! I cant.
4. Alternative:
Change option I would join you if you choose
another restaurant.
In order to illustrate how the analysis was done, for example, the response
provided by subject 59 to situation 2 (a classmate requests to borrow a
dictionary), in which the learner refused by saying
Thus, data were analyzed for each of the subjects in order to examine the
different strategies used at each proficiency level and in an attempt to explore
how learners L2 proficiency may affect strategy choice, both qualitatively
and quantitatively. Grammatical accuracy was not taken into account when
analyzing the learners production of refusals. As long as the strategy the
learner used to refuse the request was unequivocally understood by the
researcher, this was coded and counted as valid. Thus, the total number and
type of refusal strategies used were calculated for each subject in each of the
nine situations presented in the DCT.
In order to determine whether differences in refusal production were
statistically significant among the four proficiency groups, a one-way
ANOVA was conducted.
Sum of Mean
Squares df Square F Sig.
DIRECT Between Groups 24.720 3 8.24 2.63 .05*
Within Groups 300.320 96 3.12
Total 325.040 99
INDIRECT Between Groups 60.560 3 20.18 1.85 .14
Within Groups 1046.080 96 10.89
Total 1106.640 99
ADJUNCTS Between Groups 3.470 3 1.15 1.23 .30
Within Groups 89.920 96 .93
Total 93,390 99
*. The mean difference is significant at the .05 level.
Descriptive statistics (see Table 5) indicate that with regard to the production
of direct refusal strategies, beginners (A1) outperform the rest of the
proficiency groups included in the present study. The mean for beginners is
significantly higher (M=2.36) than the mean for the elementary (M=1.84),
Lower-intermediate (1.24), and Upper-intermediate (M=1.12) groups.
Actually, a closer analysis of the data reveals that as proficiency increases,
the mean in the production of direct refusals diminishes.
130 Victria Codina-Espurz
95%
Confidence
Interval for
Mean
Std. Lower Upper
N Mean SD Error Bound Bound Min. Max.
A1 25 2.36 1.729 .346 1.65 3.07 0 7
A2 25 1.84 2.211 .442 .93 2.75 0 8
DIRECT
These results suggest a clear preference for direct strategies among beginning
learners when refusing in English. However, as the L2 learner becomes more
proficient in English, s/he seems to disfavor the use direct strategies.
Beginners lack the linguistic ability to allow them to approach the
confrontational nature of refusing to a request in a more indirect manner. As
learners become more proficient in the English language, their production of
direct strategies diminishes in favor of an increase of more indirect devices or
even adjuncts.
In order to further analyze the overall production of refusals produced by the
respondents, post-hoc multiple comparisons (Table 6) were made among the
four proficiency groups. With regard to direct strategy use, post-hoc
comparisons indicate that the difference is statistically significant between
the beginners and the lower-intermediates (mean difference=1.1, CI=2.1, .1,
p<.05) as well as the beginners versus the upper-intermediates (mean
difference=1.2, CI=2.2, .25, p<.05), but not between the beginners and the
elementary group. Although the mean for the A2 group is lower than that of
the A1 group, the difference between the groups is not statistically
significant.
The role of proficiency in the production of refusals 131
Multiple comparisons
Dependent (I) (J) 95%
Variable Confidence
Proficiency Proficiency Interval for
level as level as Mean Mean
measured measured Differences Std. Lower Upper
by the QPT by the QPT (I-J) Error Sig. Bound Bound
DIRECT Beginner(A2) .520 .500 .301 -.47 1.51
(A1) (B1) 1.120* .500 .027 .13 2.11
(B2) 1.240* .500 .015 .25 2.23
Elementary (A1) -.520 .500 .301 -1.51 .47
(A2) (B1) .600 .500 .233 -.39 1.59
(B2) .720 .500 .153 -.27 1.71
Lower (A1) -1.120* .500 .027 -2.11 -.13
Intermed. (A2) -.600 .500 .233 -1.59 .39
(B1) (B2) .120 .500 .811 -.87 1.11
Upper (A1) -1.240* .500 .015 -2.23 -.25
Intermed. (A2) -.720 .500 .153 -1.71 .27
(B2) (B1) -.120 .500 .811 -1.11 .87
INDIRECT Beginner (A2) 1.080 .934 .250 -.77 2.93
(A1) (B1) -.920 .934 .327 -2.77 .93
(B2) .800 .934 .394 -1.05 2.65
Elementary (A1) -1.080 .934 .250 -2.93 .77
(A2) (B1) -2.000* .934 .035 -3.85 -.15
(B2) -.280 .934 .765 -2.13 1.57
Lower (A1) .920 .934 .327 -.93 2.77
Intermed. (A2) 2.000* .934 .035 .15 3.85
(B1) (B2) 1.720 .934 .069 -.13 3.57
Upper (A1) -.800 .934 .394 -2.65 1.05
Intermed. (A2) .280 .934 .765 -1.57 2.13
(B2) (B1) -1.720 .934 .069 -3.57 .13
ADJUNCTS Beginner (A2) .280 .274 .309 -.26 .82
(A1) (B1) .200 .274 .467 -.34 .74
(B2) -.200 .274 .467 -.74 .34
Elementary (A1) -.280 .274 .309 -.82 .26
(A2) (B1) -.080 .274 .771 -.62 .46
(B2) -.480 .274 .083 -1.02 .06
Lower (A1) -.200 .274 .467 -.74 .34
Intermed. (A2) .080 .274 .771 -.46 .62
(B1) (B2) -.400 .274 .147 -.94 .14
Upper (A1) .200 .274 .467 -.34 .74
132 Victria Codina-Espurz
As can be observed, in general, learners show a clear preference for the use
of indirect strategies in contrast to the limited use of direct strategies and
adjuncts. Also, it is interesting to note that B2 learners tend to use fewer
The role of proficiency in the production of refusals 133
[regret] + [reason]
This result is in line with most studies dealing with refusals among learners
of English (Gass and Houck, 1999; Kondo, 2001; Salazar, Codina and Mart,
2010). With regard to L1 production, the use of reason appears to be quite
universal when refusing. Liao (1994) and Chen, Ye and Zhang (1995) report
136 Victria Codina-Espurz
written answer. The learner is not really provided the option to avoid in a
non-verbal manner by either ignoring the request or offering some sort of a
gesture to respond to the speakers request. Therefore, this result may be
different when learners engage in an oral task (even in instructed settings), in
a natural situation or spontaneous conversation. Even spoken activities
conducted in instructional settings are not likely to elicit many instances of
non-verbal avoidance because learners are expected to perform and complete
the instructional task.
Figures 4a, 4b, 4c, and 4d summarize the means of indirect strategies used
and better illustrate the overall pattern in the production of indirect refusals
across the four proficiency levels analyzed in this study.
Figure 4c. Indirect strategy use in lower Figure 4d. Indirect strategy
intermediates use in upper intermediates
4 Conclusion
In the present study, some of the refusal strategies were underrepresented due
to the type of instrument used to collect the data. As mentioned above,
certain strategies (avoidance non-verbal) were not present in our data, which
we attributed to the type of instrument used to collect our data. Therefore,
different results could be obtained when other types of activities or test
(DCTs vs role plays) are used to elicit the refusals. Different elicitation
measures, then, can yield differences in results (Rose and Ono, 1995). Also
the type of data collected (oral vs written) could provide divergent results.
Thus from a methodological perspective, studies which focus on production
in naturally occurring interaction among L2 speakers in contrast to studies
based solely on elicited data are needed in order to better understand how L2
learners deal with refusing in English.
In general, and in line with other studies, (Kwon, 2004; Sadler and Erz,
2002) at least at the four proficiency levels considered here, most learners
resort to the ubiquitous pattern of refusing by expressing regret for not
complying with the request, as well as presenting an excuse for not being
able to do so. However, as several studies ( Flix-Brasdefer, 2004; Salazar,
Codina and Mart, 2010; Tanck, 2004) have claimed, regardless of L2
proficiency level, learners still do not seem to possess enough
pragmalinguistic knowledge to produce a variety of refusal strategies. As
pointed out by many researchers (Bardovi-Harlig and Hartford, 1990; Flix-
Brasdefer, 2003; Hoffman-Hicks, 1992) a certain level of linguistic
competence in the L2 does not guarantee the same level in pragmatic
development.
We have suggested that our least proficient group may have transferred L1
patterns into the L2, mainly in the production of adjuncts. However, we have
claimed that due to the difference in age of some of our subjects, age could
make a difference in L2 pragmatic development, and therefore, it deserves
further analysis. Age differences in learners production of refusals should be
considered, but differences in gender should also be pursued as some studies
suggest (Kinjo, 1987).
Unfortunately, advanced learners (C1 and C2) could not be included in the
present study. Therefore, it would be interesting to examine a wider spread
of proficiency levels to determine whether a pattern more similar to the way
native-speakers of English refuse in English emerges, which could then
suggest the need of a threshold level in English for the L2 learner to be able
to assimilate to the sociocultural norms of the target language community.
142 Victria Codina-Espurz
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The role of proficiency in the production of refusals 143
1 Introduction
This chapter examines the effects of context of learning on the production of
refusals among US learners of Spanish during an eight-week summer
immersion program in Mexico. The acquisition of pragmatic knowledge,
such as the learners ability to produce and comprehend social action (e.g.,
requests, compliments) or interactional activities (e.g., leave-takings or
issuing and responding to requests) in study abroad (SA) contexts has
received little attention in comparison to the acquisition of pragmatics in at
home (AH) contexts. My understanding of pragmatics centers on meaning
as communicated by a speaker (or writer) and interpreted by a listener (or
reader) (Yule, 1996: 3). Pragmatic knowledge, according to Leech (1983)
and Thomas (1983), is comprised of two components: (1) pragmalinguistic
competence knowledge about and performance of the conventions of
language use or the linguistic resources available in a given language that
convey particular illocutions in contextually appropriate situations (Leech,
1983: 11), and (2) sociopragmatic competence knowledge of and
performance consistent with the social norms in specific situations in a given
society, as well as familiarity with variables of social power and social
distance. To develop pragmatic knowledge in SA (and in AH) contexts,
learners not only need to develop their ability to make form-meaning
connections, but also they need to consider the significance of context and
the pragmatic function expressed through their illocutions in pragmatically-
appropriate contexts (Schmidt, 1993). This chapter focuses on the
development of one aspect of pragmatic knowledge, namely, the ability to
refuse an invitation, a request, and an offer, in two learning contexts (all
148 Csar Flix-Brasdefer
Campos, 2004), oral language oral skills (Martinsen, 2008), accuracy during
monitoring processing (DeKeyser, 2010), and individual differences
(Isabelli-Garca, 2006); however, learners acquisition of aspects of
pragmatic competence has received considerably less attention. This section
will review relevant literature on the acquisition of pragmatic competence in
study abroad contexts. To date, this research has generally been conducted
among learners in SA contexts who do not receive formal instruction in
pragmatics and who spend short periods abroad (6-8 weeks), a semester, or a
year abroad (10 months). It also includes learners in AH contexts and Native
Speakers (NSs) of the target language as well as NSs from the learners L1.
While inclusion of all these groups is rare in one single study, when two
learner groups are compared, pre- and posttest data are often collected at
various times during the observational period, beginning, middle, and end, or
simply at the beginning (pretest) and end of the study abroad experience
(posttest). Instruments used to collect learner data in SA contexts include
various formats of role plays, production questionnaires, natural data, and
methods of measuring perceptive skills such as the Likert scale, multiple-
choice questionnaires, diaries or metapragmatic assessment tasks to elicit
reflections of the learners pragmatic choices.
In general, this line of research focuses on developmental patterns,
comparing the SA group (beginning and end of study abroad period) to the
production of NSs of the target language. For example, Barron (2003)
examined the development of L2 pragmatic competence among 33 Advanced
Irish learners of German in Germany with data collected at three times, T1
(prior), T2 (during), and T3 (end of observational period) using a Free
Discourse Completion Task (FDCT). In addition, data from two control
groups of NSs (NSs of German and NSs of English [Ireland]) were collected
to examine L1 transfer and deviation from or approximation to the target
norms. The pragmatic targets included the acquisition of requests, offers, and
refusals of offers. Overall, while some progress was noted for requests (e.g.,
internal modification, mainly, an increase in syntactic complexity over time)
and offers, little change was noted for refusals, where development is slower
[than] in [] other situations (Barron, 2003: 216). Little change in the
learning of refusals to requests by US learners of Spanish in Spain was also
noted in VonCanons (2006) study using pre- and posttest data from SA
learners which also included two control groups of NSs (L1 English and L1
Spanish). In VonCanons study, the posttest data from the SA learners did not
approximate the NS norm at the end of one semester. Using the same learner
population as her 2003 study (over 10 months abroad) and one NS control
group (NSs of German), Barron (2006) examined the sociolinguistic
competence of advanced learners of German in the use of forms of address,
namely, you-formal (Sie, V) and you-informal (du, T) at two times, prior to
150 Csar Flix-Brasdefer
and at the end of the study abroad period. Overall, the results showed some
change over the ten-month study period, mainly in informal situations.
In an examination of requests by US learners of Spanish during one semester
(four months) in Valencia, Spain, Bataller (2010) analyzed the production of
requests in two role-play situations with two groups, 31 US learners of
Spanish and 32 NSs from Valencia, Spain. The results of her study showed
little change (from pre- [beginning] to posttests [end of study abroad period])
with regard to the choice of request strategy type (direct or indirect) that
approximated the pragmatic norms of the host culture. Specifically, most
learners showed a preference for direct (over indirect, as observed in the NS
data) requests, even in the posttest measures. In a different learning context,
Magnan and Back (2006) examined the development of pragmatic features of
requests for help (address forms, polite forms, and direct and indirect
requests) among six learners of French over one semester in France. One
striking finding of this study was the change in the opposite direction,
namely, from more indirect requests [pretest] in the program OPI [Oral
Proficiency Interview] (12 direct vs. 15 indirect) to fewer indirect requests in
the post-program OPI [posttest] (21 direct vs. 17 indirect) (Magnan and
Back, 2006: 33). Finally, using natural data from a variety of service
encounters in Toledo, Spain, Shively (2011) investigated the pragmatic
development of requests among seven US learners over a semester (14
weeks). Unlike the previous studies, the learners in Shivelys study received
pedagogical intervention, specifically, explicit instruction in pragmatics with
regard to requests in this region of Spain in the context of service encounters.
Results showed that some changes in the opening sequences and a change
from indirect (e.g., puedo comprar can I buy) to direct requests (e.g.,
elliptical requests such as cien gramos de salchichn 100 grams of salami),
reflecting the pragmatic norm of NSs in this region of Spain. Another change
included a shift from speaker- to hearer-oriented verbs in learners requests,
similar to the NS data.
A different line of research focused on pragmatic development by contrasting
the SA group to the AH group to examine changes as a result of the learning
context. For example, Rodrguez (2001) examined learners ability to judge
the appropriateness of Spanish requests over the course of one semester, and
found no significant differences between the SA and the AH groups in the
assessment of request forms. In contrast, Matsumura (2001) examined
changes over time in the learners sociocultural perception of social status
during an 8-month study abroad program. For this study, data were collected
from three groups: Japanese learners of English in Canada (SA), Japanese
learners of English in Japan (SA), and a group of NSs from the same region
in Canada (Vancouver). A multiple-choice questionnaire was used to assess
perceptions of social status when offering advice. Learner data were collected
at four times: prior to departure (T1), and then three times while studying
Refusing in L2 Spanish: Effects of a short-term study abroad program 151
abroad (every three months), (T2, T3, T4). Results showed an advantage for
the SA group (over the AH group) over time as well as an approximation of
the production of this group to NS norms with regard to perception of
offering advice in situations of equal and unequal status. In an examination of
communication strategies by learners of Spanish in Alicante over the course
of one semester, Lafford (2004) found that although both groups decreased
their reliance on communication strategies (e.g., self-repair, circumlocution,
asking for confirmation) learners in the SA group used significantly fewer
communication strategies on the posttest than the AH group. The data for this
study consisted of extracts and role plays taken from OPI interviews both
before (pre-test) and after (post-test) study abroad.
Other studies used NS data as a comparison to account for approximation to
the NS norm (with both SA and AH learners). In one such study with data
collected from a Multimedia Elicitation task (MET), Schauer (2004) reported
that the majority of the SA group (German Speakers in Britain) tended to use
syntactic downgraders (over lexical downgraders) in later sessions. In a
subsequent study, Schauer (2007) used the same SA learners as in her 2004
study and two control groups (an AH group and a NS group from the target
culture) to examine the frequency and type of external modifiers in requests
over an academic year. Results showed that the SA group and the NSs used a
broader repertoire of external modifiers (e.g. disarmers and preparators) than
the AH learner group. Finally, using role-play data and verbal reports, Flix-
Brasdefer (2004) examined pragmatic development of learners of Spanish in
the use lexical and syntactic mitigators in refusals to an invitation, a request,
and a suggestion. The learners were returnees from various Spanish-speaking
countries in Latin America, whose experiences ranged from 1 month abroad
to two years and six months. Results showed that the use of lexical and
syntactic mitigators was more frequent and varied as length of residence
increased (especially among learners who had spent nine months abroad or
longer), approximating the NS pragmatic norm.
Overall, the studies reviewed above showed that learners in the SA context
made greater gains at the end of the observational period than those in the
AH context who were not exposed to authentic pragmatic input from the
target culture. Given the experimental nature of this research, most studies,
with the exception of Shively (2011), used experimental data from perception
and production instruments, such as written productions questionnaires in
various forms, open role plays, role plays taken from OPIs, and perception
data such as Likert scales, verbal reports, and multiple-choice questionnaires.
Taken together, the studies above also reveal that changes in pragmatic
development do not always favor the SA learners at the end of the treatment
period. For example, the change from direct to indirect requests in Spain
(Bataller, 2011), direct to less indirect requests in France (Magnan and Back,
2006), and from direct to indirect refusals in Spain (VonCanon, 2006)
152 Csar Flix-Brasdefer
showed that the learners posttest data at the end of the observation period
was far from approximating the pragmatic norms of NSs. While the issue of
length of residence is often considered as a possible explanation (Flix-
Brasdefer, 2004), it is also important to analyze the interplay of other
variables such as proficiency level and intensity of interaction (Bardovi-
Harlig and Bastos, 2011). And, with regard to refusals, the few studies
reviewed above that examined this speech act reported very little change over
time when making refusals to an offer or a request. Individual variation is
another issue that was not given sufficient attention in most of the studies that
examine the effects of study abroad on the development of pragmatic
competence in the L2. Also, it should be noted that the aforementioned
studies vary with regard to inclusion or absence of learners in an AH context.
Finally, since the length of stay alone did not have a significant effect on
production and recognition of conventional expressions in the host
environment (Bardovi-Harlig and Bastos, 2011), it raises the question of
whether a summer study abroad program (6-8 weeks), as in the present study,
is beneficial for improving learners pragmatic knowledge.
The current study set out to investigate the following research questions:
1) To what extent do learners in a short-term SA program improve
their ability to refuse when compared to AH learners and NSs of the
target language?
2) To what extent does situational variation influence the SA
learners ability to refuse in a short-term study abroad program?
3 Method
3.1 Participants and data collection procedures
Three groups provided the data for the current study: an SA group and two
control groups, namely, a group of AH learners and a group of NSs. The SA
group consisted of 12 US learners of Spanish (8 females and 4 males) on an
eight-week program in central Mexico (mean age: 20.58 years old). No
heritage speakers were included in the present study. These learners were part
of a US study abroad program representing seven US universities. Each
student had studied Spanish at the fifth-semester level prior to participating in
this program at a Mexican university. In addition, they had all studied
Spanish in a formal classroom setting for an average of 4.8 years. In Mexico
the learners took two or three courses in Spanish with Mexican faculty in
literature, film, advanced Spanish language, and Hispanic cultures. Students
attended classes four days a week and social activities around the city every
Friday. All of the learners lived with a Mexican host family during this
period and they were expected to speak Spanish at all times with their
families and at all program events. Scheduled program activities included
Refusing in L2 Spanish: Effects of a short-term study abroad program 153
visits to Mexican museums, theaters, concerts, and trips to other cities and
states around Mexico. In addition, most students participated in voluntary
service on a weekly basis at nursing homes, day camps with Mexican
children, daycare centers, etc. Spanish was used at all times during the
program scheduled events and voluntary service. Thus, the SA group enjoyed
a wide range of opportunities to socialize and speak Spanish in different
contexts: with their host families, at school, in scheduled program activities,
and during their independent time in the city.
One of the two control groups included 12 US learners of Spanish studying at
a Midwestern US university (AH group, 10 females; 2 males [mean age: 21
years old]) for six weeks, which is the duration at the US university where
the data were collected (summer season in same year). These learners were
taking one or two summer courses in Spanish beyond the fifth semester.
Similar to the SA group, the learners in the AH condition were taking
summer courses in Spanish literature, Hispanic Culture, and writing. They
had studied formal Spanish in the classroom for an average of 5.25 years.
None of these learners had studied Spanish in a Spanish-speaking country.
Learners in the AH group were mainly exposed to input in the classroom
with non-native speaker instructors, while the SA learners took classes with
Mexican faculty. Finally, the NS group consisted of 15 NSs from
Guanajuato, Mexico (8 males and 7 females [mean age: 23.3 years old]) who
were students in different majors at the same university where the SA group
studied.
After signing the consent form, in accordance with the Institutional Review
Board procedures, the SA learners were asked to respond orally to 15
situations presented in a modified version of the Multimedia Elicitation Task
(MET) (Schauer, 2004; 2007) delivered through a PowerPoint presentation in
a computer lab. The situations included four requests, four compliments, four
responses to compliments, and three refusals (one to an invitation, one to an
offer, and one to a request). The data from the three refusal situations were
used for the present study. The MET was originally designed by Schauer
(2004) to examine the production of requests among learners in both SA and
AH contexts. As pointed out by Schauer (2007: 200), this instrument
ensures that all of [the] learner data have indeed been collected under
comparable circumstances without any interference of factors, such as the
professionals interlocutors mood or tone. Unlike the traditional Discourse
Completion Task or the role plays (Flix-Brasdefer, 2010; Kasper, 2000), the
MET was designed to ensure equal conditions for every participant by
providing different types of input: audio, visual, and written input. It should
be noted that this instrument was designed to produce experimental data
under controlled conditions, and thus, and the data it produces cannot not be
equated to natural data.
The three refusal situations included in the present study include:
154 Csar Flix-Brasdefer
Each situation included a photo describing the situation with NSs of the
target culture and items from the target culture to illustrate the setting. For
each item, the participants read a situation prompt that described the setting,
participants, their gender, the speech act in question (e.g., to elicit a refusal to
friends invitation), and the relationship between the interlocutors, namely,
social status, distance, and degree of familiarity between the interlocutors. In
the next slide the learner read and listened to the invitation by a NS of
Spanish speaker to which the learner was asked to respond. After the
participants initial oral response, an insistence to an invitation, an offer, or a
request was issued by the NS, and the participant responded again. An
insistence was included in each situation because it represents a sociocultural
expectation in various regions of the Spanish-speaking world, including
Mexico (Flix-Brasdefer, 2008a; 2008b) and Peru (Garca, 1992).
The data for the SA group were collected on-site in Mexico at two different
times, namely shortly after arrival (pretest Time 1 [end of week 1]) and
right before learners departed for the United States (posttest Time 2 [end of
week 8]). Before the data were collected, each learner completed the
Language Contact Profile (LCP) (Freed et al., 2004) which gathers
information about the learners experience with Spanish, language
proficiency, frequency and variety of input, demographics, etc. The
questionnaire was completed at the beginning and end of the program for
each learner group. Then, each learner met with a research assistant to
complete the oral questionnaire at an office. Participants read each of the 15
situations and responded orally. Learners met the research assistant, read the
situations, listened to the opening of each dialogue and recorded their
responses. The data for the AH group were also collected twice, at the
beginning of the summer session (week 1) and at the very end of the summer
program (week 6). Finally, for the NS group, the researcher assistant in
Mexico contacted Mexican students from the same university and invited
them to participate in the study. The NS data were collected over a three
week period in different places at the university: cafeterias, classrooms, and
in offices. There was a 15-second transition between the situations in the
power point presentation. All responses were digitally recorded and
transcribed by a Mexican research assistant and verified by the author.
Since the current study aims at examining the production of forms (rather
than their use in social interaction), the oral production questionnaire was
Refusing in L2 Spanish: Effects of a short-term study abroad program 155
Direct
Direct refusal No / No, I cant / Its impossible for me to attend
the party
Indirect
Reason / I have plans
Explanation Im having dinner with my parents who are
visiting
Indefinite reply Oh, I dont know if I can come to your party.
Deja ver si puedo, no te aseguro nada let me see
if I can, I cant promise you anything
Apology/Regret I apologize / Im sorry
Lo siento Im sorry / Por favor, perdneme
please, forgive
Me da mucha pena, pero no puedo asistir (I feel
really bad, but I cant attend)
Alternative Why dont we out for dinner next week?
Adjuncts to
Refusals
Willingness Me encantara celebrar contigo, pero.. I would
love to celebrate with you, but
Gratitude Thanks for the invitation
Gracias Thanks / Muchas gracias thank you
very much
Positive Remark Thats a good idea, but
El guacamole se ve muy bueno, pero
The guacamole looks very good, but
156 Csar Flix-Brasdefer
The SA and AH groups (12 learners per group) each produced a total of 72
responses for all three situations (pretest = 36; posttest = 36). The NS group
produced a total 45 responses (15 NSs one time only).
The data were analyzed using the Statistical Package for the Social Sciences
(SPSS), version 19. In addition to the analysis of descriptive statistics, the
pretest and posttest data for each group (SA and AH) were analyzed using a
related samples t-test to examine gains over time. An independent samples t-
test was also used to examine levels of significance in the use of particular
strategies between the learner groups and the NS group. The probability level
was set at p = .05. Finally, to ensure inter-coder reliability, the data (L2
Spanish and L1 Spanish) were coded independently by the author and the
research assistant according to the classification in Table 1. A comparison of
the independent coding revealed that the researchers coincided in their
classification of 95% of the data, and the remaining 5% of the cases were
discussed in detail. Overall, the researchers arrived at a mutual agreement in
the coding of 98% of the data.
4 Results and discussion
Figure 1 shows the total distribution of direct and indirect refusals and
adjuncts to refusals for both learner groups (AH and SA) and the NS group in
all three situations (see Table 1 for strategy type for indirect refusals and
adjuncts to refusals and examples).
With regard to direct refusals, both learner groups increased the frequency of
this strategy from pre- to posttest. In contrast, however, the NS group
produced a much lower frequency of direct refusals (10%; 16 of 161 cases)
than both learner groups at the end of the observational period, AH (posttest;
26%; 39 of 150 cases) and SA group (posttest: 20%; 40/202 cases). Although
the use of direct refusals increased among both learner groups and moved
away from target-like production (i.e., less direct), the posttest measure of the
SA group reflected a lower percentage of direct refusals (20%) than the AH
group (26%). Figure 1 also shows that both learner groups improved their
preference for indirect refusals and adjuncts to refusals over time,
approximating NS pragmatic behavior with regard to the overall frequency of
strategy use. This increase was more pronounced in the SA group.
Table 2 shows the total means and standard deviations for direct and indirect
refusals, and adjuncts to refusal for the two learner groups (AH and SA) in
each measure as well as for the NS group.
158 Csar Flix-Brasdefer
At Study Native
Strategy
Table 2. Means and standard deviations for Direct Refusals, Indirect Refusals
and Adjuncts to Refusals
Table 2 shows that both learner groups increased their means for the use of
direct and indirect refusals over time from pre- to posttest. Only the AH
group increased the use of adjuncts to refusals on the posttest measure. The
results of a related samples t-test showed no significant differences for the
SA group in the use of these strategies (direct and indirect refusals, and
adjuncts to refusals) (p = < .05). However, a related samples t-test did show a
significant difference for the AH group for overall use of indirect refusals
(pretest [M = 3.42]; posttest [M = 5.08]), t (11), -2.246, p = .046). Further, an
independent samples t-test that compared the means on the learner posttest
measures to the NS group showed a significant difference in the use of direct
refusals in both the AH and NS groups. That is, the AH (M = 3.25) and SA
(M = 3.33) posttest measures each differed significantly from that of the NS
group, whose mean was significantly lower (M = 1.07). Thus the behavior of
both learner groups deviated from the NS pragmatic norm in the use of direct
refusals to an invitation, an offer, and a request at the end of the observational
period. Similarly, a significant difference was observed in the overall use of
indirect refusals when the mean of the SA posttest measure (M = 8.92) was
compared to that of the NS group (M = 5.93), t (25) = 3.33, p = .003). That is,
the SA group used significantly more indirect strategies after eight weeks in
the target culture than the NS group, whereas no significant differences were
Refusing in L2 Spanish: Effects of a short-term study abroad program 159
observed between the AH posttest means (Time 2) and the NS mean for the
use of indirect refusals.
Two important findings with respect to quantity of refusals strategies
produced by the learners and their preference for direct refusals are worth
discussing. Verbosity was a characteristic of learners production that was
revealed in study abroad contexts in previous studies. According to
Edmondson and House (1991: 273), verbosity or waffling refers as the
excessive use of linguistic forms to fill a specific discourse slot or move,
i.e., achieve a pragmatic goal. Magnan and Back (2006) and Flix-
Brasdefer (2004) found that learners with SA experience spoke more than
NSs producing requests and refusals, respectively. Schauer (2007) also found
that her SA learners used more external modifications in requests than her NS
group. In the current study, in the SA group verbosity was particularly noted
in the use of more indirect strategies at the end of the observational period (M
= 8.92), and less frequently used in the NS group (5.93). As a communication
strategy, verbosity helps learners to fulfill a metacommunicative function by
making the information more explicit (Flix-Brasdefer, 2004: 633).
Verbosity should be viewed as a developmental stage in the interlanguage
system of the SA learners. Verbosity reflects the conflicting experience of
language learners at a stage in their interlanguage development which is well
beyond the threshold of communicative competence, but still a long way
before near-nativeness (Faerch and Kasper, 1989: 245). And, although
verbosity appears to violate Grices (1975) maxim of quantity, it serves a
different purpose, namely an attempt to be more indirect by using longer and
a higher frequency of reasons and alternatives than NSs. It should be noted
that among the NSs reasons and alternatives were fewer (and expressed with
fewer words) than among the learner groups. By contrast, a lower use of
indirect strategies by AH learners (in comparison to both the SA and NS
groups) may indicate that they lack the real-life experience of having to
solely rely on their L2 to achieve desired outcomes (Schauer, 2007: 212).
Thus, in the present study the impact of the host environment influenced the
learners overuse of indirect refusals; specifically, more frequent and longer
reasons/explanations were noted in the learner data than in the NS group,
whose responses were shorter.
Further, the finding that both SA and AH learners showed an increased
preference for direct refusals at the end of the observational period represents
an development in the opposite direction than what was expected, as direct
refusals were infrequent among the NSs. A similar finding was noted in
Magnan and Backs study (2006), in which learners (after a semester abroad
in France) moved from more indirect strategies [Pretest] to fewer indirect
requests [posttest] (p.33), as measured by an OPI. The authors concluded
that one semester abroad was not enough time to achieve approximation to
the NS norm with regard to greater variety in request types, either direct or
160 Csar Flix-Brasdefer
indirect, or to the expected shift in the balance of request types from direct to
indirect overall (p. 34). A similar finding was noted by Bataller (2010), who
concluded that after one semester in Spain learners slightly changed the
strategies they used to request a service after being immersed in the target
country for 4 months (p. 171). Specifically, Batallers learners preferred
more direct requests (on pre- and posttest measures), while NSs preferred
indirect requests at least in one situation. With regard to refusals, the SA
group in VonCanon (2007) showed very little improvement when refusing a
request, when compared to the results of the NS group from the same region
in Spain. And Barron (2003) found some improvement in the production of
refusals of offers among Irish learners in Germany; specifically, an increase
was noted (from beginning to end of observation) in the use of lexical and
phrasal downgraders in four of six situations. And in their analysis of
requests and apologies among US learners of Spanish, Shively and Cohen
(2008) found similar results to those obtained in this study, namely, that in
certain ways the SA learners shifted their behavior that most likely resembled
the NS group, and in other cases these learners moved away from the NS
Spanish norms.
In the current study, an increase was noted mainly in the frequency of
indirect refusals and adjuncts to refusals from the pre- to posttest among
those in the SA group, which approximated the NS pragmatic norm.
Table 3 shows the total means and standard deviations for strategy type in the
use of indirect refusals and adjuncts to refusals for both learner groups
(pre/posttest) and NS group and across all three situations. (See Table 1 for
types of indirect refusals and adjuncts to refusals).
Strategy
At Study Native
Type
Table 3 shows that the preference for strategy type varied for each learner
group (on each measure) and in the NS group. With regard to the first three
indirect refusals (reason, indefinite reply, and alternative), although the
means of the SA group increased over time, a related samples t-test that
compared the means for strategy use from pre- to posttest showed no
significant differences for each of these strategies (p = .05). The SA posttest
data approximated the means noted in the NS group for the use of these
strategies; in particular, an increase was noted in the use of indefinite reply
and alternative. However, for the AH group, the results of a related samples t-
test that compared the means of the use of the reason strategy from pre- (M =
1.08) to posttest (M = 2.08) showed a significant difference between these
two, t (11) = -2.35, p = .039, at the end of the observational period. Thus, the
results of the present study show that although the AH group displayed a
change in their production of refusals in the direction of the NS norm at the
end of the observational period in one strategy (reason), the learners in the
SA condition showed change toward the NS pragmatic norm in the use of
three indirect strategies, namely, reasons, indefinite replies, and alternatives.
Previous studies on refusals to invitations and to requests show that these
strategies predominate among NSs of Spanish of different varieties (Flix-
Brasdefer, 2008a; 2008b; Garca, 1999).
The results for the fourth indirect refusal strategy, namely, apology/regret,
showed deviation from the NS norm in both the frequency and content. The
results of a related samples t-test showed that the difference was not
significant within each of the learner groups. However, an independent
samples t-test that compared the means of this strategy on the posttest
between the AH (M = 2.25) and the NS group (M = 1) as well as the SA (M =
3.33) and NS group (M = 1), showed significant differences (AH: t (25) =
2.37, p = .026; SA: t (25) = 4.85, p = .000). As noted in Table 3, the
apology/regret strategy was infrequent among the NSs (M = 1). The use of an
expression of apology/regret was more frequent when refusing a request for
help from a stranger in the NS group (12 of 15 cases), less frequent when
refusing an invitation (2 of 15 cases), and almost absent when refusing an
offer for a second helping of food (1 of 15 cases). Although the distribution
of this strategy was similar among the groups for each situation, learners in
both conditions overused this strategy as time increased. In addition to
differences in frequency use, the content of apology/regret was different
between the NS and the learner groups. Of the 15 cases of apology/regret
noted in the NS group overall, only two included the form lo siento (Im
sorry) (or lo siento mucho Im really sorry) by one male participant when
refusing a request for help from a stranger). The majority of NSs produced
different forms commonly used among NSs of Mexican Spanish of this
community, such as qu pena (I feel bad), me da mucha pena (I feel really
bad), disculpa/e or disclpame (I apologize [formal or informal] or forgive
Refusing in L2 Spanish: Effects of a short-term study abroad program 163
me), and lo lamento (I regret it). With the exception of two participants in
the SA group who used one instance each of apology/regret on the posttest
measure (2 of 40 cases), the majority of the learners in the SA and AH groups
overused this strategy on both the pre- and posttest and with one form,
namely, lo siento Im sorry, and to a lesser degree, lo siento mucho Im
really sorry.
The overuse of lo siento Im sorry by SA and AH learners across the three
situations can be viewed as either a developmental stage or as need for
instruction in the appropriate use of this strategy and form. With regard to
formula use, Bardovi-Harlig (2006) provides an incisive account of formula
research in L2 pragmatics. According to the author, in early stages of
development, formulas are unanalyzed because they literally cannot be
analyzed by the learner grammar. They are, thus, unanalyzable. In fact, the
unanalyzability of the formula is crucial in the developmental account
(Bardovi-Harlig, 2006: 6). Thus, although the AH and SA learners had taken
at least one or two courses in Spanish (advanced language, composition,
literature, or Hispanic Culture) beyond the fifth semester level, their
pragmatic ability to express an apology, through frequent use of lo siento
(Im sorry) with little or no intensification, reflected only their
pragmalinguistic knowledge of and transfer from their L1. Since only two
learners in the SA group showed an increase in the use of the apology/regret
strategy expressed through using other forms commonly used among NSs of
Spanish from this region, it appears that the host environment abroad did not
influence the majority of the learners ability to broaden their repertoire of
other forms according to the NS pragmatic norm. Learning to express an
apology/regret in Spanish entails not only grammatical development in the
use of other forms of regret and apology (e.g., me da pena I regret it,
disclpeme forgive me, lo lamento I regret it) (pragmalinguistic
knowledge), but also a sociopragmatic knowledge of the social norms, social
status and power, and situational variation with regard to the appropriateness
of when, where, and with whom to use this strategy. Thus, the overuse of this
strategy can be interpreted in at least two ways. Specifically, the presence of
this strategy in the data at the end of the study abroad experience represents a
stage where the internal grammar of the formulas exceeded [the learners]
grammar more generally (Bardovi-Harlig, 2006: 6). Alternatively, it may
reflect a need for pedagogical intervention with regard to pragmatics for most
learners; that is, teaching them how to produce and recognize expressions of
apology/regret according to NSs norms in different regions of the Spanish-
speaking world (Flix-Brasdefer, 2008a; Mrquez-Reiter, 2000) prior to
study abroad and during their in-country stay (Shively, 2010).
Finally, as noted in Table 3, both learner groups (AH and SA) and the NS
group employed five different strategies as adjuncts to refusals, which were
utilized prefacing or following the refusal response. Of these, four strategies
164 Csar Flix-Brasdefer
were used with low frequencies by all groups (willingness, positive remark,
well-wishing, and empathy), as reflected in the low means for each of these
strategies. The use of expressions of gratitude was most frequent, and, as
seen in Table 3, the means for this strategy increased in the posttest data,
approximating NS norm in the frequency of strategy use. However, despite
the increase from pre- to posttest among the AH and SA groups, a related
samples t-test that compared means on both measures showed no significant
difference within each learner group. This change observed in the data from
fewer to more expressions of gratitude shows an approximation to the NS
pragmatic norm.
To illustrate the frequency, content, and distribution of these strategies, the
following examples present refusal responses produced in each of the three
groups: (main refusal response is underlined).
f= 9 f = 15 f = 12 f = 14 f = 10 f = 11
Direct
f= 7 f = 10 f = 15 f = 15 f = 16 f = 15
f= 6 f = 11 f= 1 f= 3 f= 1 f= 0
Reply
f= 2 f= 1 f= 2 f= 1 f= 6 f = 11
f= 8 f = 12 f= 3 f= 2 f = 23 f = 26
Apology/
regret
f = 11 f= 8 f= 1 f= 2 f= 2 f= 0
f= 3 f= 0 f = 10 f= 9 f= 0 f= 0
%= 5.1 %= 0 %= 16.6 %= 14 %= 0 %= 0
Gratitude
f= 9 f = 11 f = 15 f= 17 f= 0 f= 0
f= 3 f= 5 f= 0 f= 0 f= 0 f= 1
Wishing
Well-
f= 0 f= 0 f= 1 f= 1 f= 2 f= 1
Empathy
Total f = 58 f = 73 f = 60 f= 64 f = 60 f= 65
refusing offer: 124 of 380; refusing request for help: 125 of 380). In each
situation direct refusals showed a slight increase on the posttest. While the
SA group produced a total of 71 instances of direct refusals (pretest: 31;
posttest: 40), the NS group only produced 16 direct refusals that were almost
evenly distributed across the three situations (invitation: 5; offer: 6; request:
5). In both the SA group and the NS group a reason that functioned as an
indirect refusal was more frequent in two situations, namely, refusing an
offer of food and refusing a request for help from a stranger on the street. As
noted in Table 4, there was no major increase in the use of reasons across the
three situations from pre- to posttest. The pre (n = 38) and posttest data (n =
40) mirrored the NSs use of reasons (n = 40). Further, an indefinite reply
was the expected and most frequent strategy when refusing a friends
invitation to a birthday party (15 of 16 cases).The preference for this strategy
was noted in the SA group with an increase from pre- (10.3%) to posttest
(15.1%). A similar positive direction was observed in the alternative strategy
which was mainly used among NSs when refusing a request for help (9 of 13
cases); there was an increase in the frequency of use of this strategy from the
pre- (10% or 5 of 12 learners) to posttest (16.9% or 7 of 12 learners).
With regard to apology/regret, the NS group mainly used this strategy when
refusing a request for help (12 of 15 cases). As noted in Table 4, among the
SA learners this strategy was employed in two situations, refusing an
invitation and refusing a request for help. In both of these situations there was
a slight increase in the frequency of strategy use from Time 1 to Time 2.
However, unlike the NS group, which used the expression lo siento (Im
sorry) very infrequently, the SA (and the AH group) group used this
expression often on the pretest. And as mentioned in section 2.1, only two
learners in the SA group employed other expressions used by NSs on the
posttest measure in one situation (refusing an invitation) (i.e. es una pena
its too bad and disclpame forgive me). More importantly, the SA group
overused the apology/regret in the request situation (using the lo siento form)
on both the pre-test (11 of 12 learners; 38.3% or 23 of 60 cases) and the
posttest (12 learners; 40% or 26 of 65 cases). Thus, it is unknown whether the
use of this strategy would continue to increase among the learner group with
longer lengths of stay in the host environment, or whether it would shift
toward the NS pragmatic norm both by reducing its frequency in situations of
this nature as well as broadening the repertoire of expressions used to convey
apology and regret in Spanish.
Finally, situational variation was also noted in the preference for adjuncts to
refusals that preceded or followed the main refusal. For example, similar to
the NS group, the SA group used expressions of willingness and positive
remarks infrequently when refusing an invitation and an offer of food on both
measures. Although an expression of gratitude was employed more
frequently when refusing an offer of food among the SA group (with a slight
168 Csar Flix-Brasdefer
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172 Csar Flix-Brasdefer
1 Introduction
Over the last decades, the area of interlanguage pragmatics (ILP) has shown
an increasing interest in examining how learners pragmatic competence in a
second (L2) or foreign (FL) language is learnt and taught (Alcn and
Martnez-Flor, 2005, 2008; Ishihara and Cohen, 2010; Kasper and Rose,
2002; Martnez-Flor et al., 2003; Rose and Kasper, 2001; Tatsuki, 2005).
Since pragmatic language use is a very complex phenomenon with a lot of
contextual factors influencing its actual performance, it is of paramount
1
As a member of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), I would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
176 Alicia Martnez-Flor
2
Terminology related to research methodologies varies from one study to another.
Throughout this paper, terms such as research methods, instruments, tasks, elicitation measures
or elicitation techniques are used interchangeably.
Learners refusals: Interactive written DCT versus oral role play 177
(see for instance the content-enriched DCT in Billmyer and Varghese (2000);
the cartoon oral production task in Rose (2000); the multiple-rejoinder DCT
in Cohen and Shively (2003); the computer-based multimedia elicitation task
in Schauer (2004) or the student-generated DCT in McLean (2005); among
others).
Additionally, although employing a DCT may involve all the previously
mentioned limitations, Kasper and Rose (2002) point out that this instrument
still indicates which particular forms and strategies learners choose to employ
in a given situation. Thus, the authors claim that although not comparable to
face-to-face interaction, it can provide pertinent information regarding
learners pragmalinguistic and metapragmatic knowledge on the specific
pragmatic feature under study. In fact, Kasper (2000: 329) indicates that DCT
is an effective data collection instrument when the objective of the
investigation is to inform the speakers pragmalinguistic knowledge of the
strategic and linguistic forms by which communicative acts can be
implemented, and about their sociopragmatic knowledge of the context
factors under which particular strategies and linguistic choices are
appropriate. In contrast, if the aim of the study is to focus on conversational
interaction and the sequencing of communication, then an interactive
elicitation technique such as the role-play should be employed.
After reviewing the two most typical instruments used to collect learners
production data in ILP research (i.e., role-plays and DCTs) and acknowledge
that both present advantages and limitations, research has been conducted
with the aim of examining whether the differences of employing either
instrument influences the results of the study. A review of this research is
provided next.
One of the first studies comparing data from a written DCT with oral data
from authentic interactions, in this case from telephone conversations
between two native speakers (NSs), was conducted by Beebe and Cummings
(1985, later published in 1996). By comparing the refusals employed by the
NSs in these two types of production instruments, the authors observed that
the length and amount of data obtained in the oral responses was not only
longer and greater but also more repetitive and elaborated than in the written
one. Moreover, the telephone conversations also provided the participants
with opportunities to cooperate and, consequently, negotiate their refusal
exchanges. However, the authors also found that although the oral data
showed a better representation of authentic talk, the DCT could still be
validated, since the content of semantic formulae was similar in the two
180 Alicia Martnez-Flor
variety of strategies in the oral than in the written task, where participants
restored mainly to direct and hearer-oriented strategy types. Moreover,
responses from the oral role-play were longer involving several moves,
requests for clarification, comprehension checks or paraphrasing.
Nevertheless, the difference in use of requestive strategies was quantitatively
higher in the DCT than in the oral role-play, probably due to the fact that the
interlocutor in the role-play was another learner instead of the presence of a
NS, as it was the case in previous studies conducted in SL settings.
In the same vein, Safont (2005) contrasted Spanish EFL learners production
on requests in a DCT with role-play data and found that the oral task revealed
longer responses, involving more than one turn, than the written
questionnaire. However, in terms of number of request realization strategies,
the author reported that learners produced more appropriate responses in the
DCT than in the oral research method. The author claimed that these results
might have been due to the fact that the written task was carried out
individually with no time constraints, whereas the oral role-play involved an
interlocutor and it was tape-recorded. Similar results were obtained in
Martnez-Flors (2006) study which examined the task effects on two
production instruments specifically designed for her study (i.e., phone
messages and emails) on Spanish EFL learners production of suggestions.
Results showed that a greater number of pragmalinguistic forms for
suggestions were found in the written production task. The author points out
that this may have been due to the fact that the particular oral production task
(i.e., phone messages) employed in her study allowed participants to produce
only one turn, which may have seemed to resemble more a type of closed
role-play than an open role-play, which involves more than one turn.
Additionally, learners responses in the written task were longer and more
elaborate than those found in the oral task. This may have been caused by the
fact that the written production task in this study was not the typical pen and
paper DCT mainly used in previous studies but rather an email which seemed
to be a task learners were familiar with.
Also in an EFL setting, Salazar (2008) examined the amount and type of
Spanish learners request modification devices in DCTs and role-plays.
Results from her study showed that the DCT provided a wider amount of
mitigation devices than the oral role-play. The author argued that planning
time positively influenced the quantity and quality of learners output, since
in the DCT learners had ample time to reflect on their production, whereas in
the role-play students may have felt more under time pressure as they had to
formulate the request almost immediately after the situation was read and the
roles assigned. Regarding the type of request modifiers employed (i.e.,
internal versus external request modification devices), a qualitative analysis
of the data indicated that the role-play elicited a wider range of internal
modification devices, such as hesitators or attention-getters, thus
Learners refusals: Interactive written DCT versus oral role play 183
2.3.3 Summary
The review of the previous studies that have compared results from oral and
written production data has overall revealed that: i) given the interactive
nature of role-plays and authentic discourse, participants responses in the
oral elicitation instruments are longer and more elaborate than those elicited
in written form3; ii) the amount of appropriate speech act formulas used is
higher in the oral task in those studies conducted in SL contexts, whereas the
written production task contains a greater number of strategies in studies
conducted in FL contexts; and iii) different and inconclusive findings have
been obtained regarding the type of the semantic formulas used to express a
particular pragmatic feature, since some studies have obtained a wider range
of strategies in the oral task, whereas in other studies similar responses have
been found in both research methods. An explanation of these results is
provided next.
First, the findings regarding the length of the responses in oral (i.e., role-
plays and authentic encounters) and written (i.e., DCT) production
instruments seem to suggest that the DCT responses differ from natural
conversation primarily in that the elicitation method is not interactive. That is
the reason why instances of turn-taking, negotiation strategies, features of
cooperation or repetition are missing in the written DCT task. In fact, Sasaki
(1998: 479) concludes in her study pointing out that:
3
See, however, Martnez-Flors (2006) and Duans (2008) studies, which found longer
responses in the written production tasks.
184 Alicia Martnez-Flor
because the differences between the two methods appear to result from the
interactive nature of role plays, the results might have been different if the production
questionnaire had not taken the traditional open-ended form, but had required the
participants to write a more interactive exchange such as in a drama script. Further
studies should develop such interactive production questionnaires and compare their
responses with role play responses.
3 Method
3.1 Participants
Participants for the study consisted of 16 students who were enrolled in the
degree of English Studies at the University4. Before the study took place,
4
It is important to mention that there were in fact 32 students participating in the study, all of
them from the same course and with the same proficiency level in English. However, since they
were arranged in pairs to make the two production tasks, 16 of them had to make the requests
involved in each situation (i.e., requester) and the other 16 students had to refuse those requests
186 Alicia Martnez-Flor
(i.e., refuser). Since the focus of the present study is to analyze learners refusals, we are going to
pay attention to only the learners producing the refusal responses to the elicited requests.
Learners refusals: Interactive written DCT versus oral role play 187
REFUSALS
Direct Strategies
1. Bluntness No. / I refuse.
2. Negation of proposition I cant, I dont think so.
Indirect Strategies
1. Plain indirect It looks like I wont be able to go.
2. Reason/Explanation I cant. I have a doctors appointment.
3. Regret/Apology Im so sorry! I cant.
4. Alternative:
Change option I would join you if you choose another
restaurant.
Change time I cant go right now, but I could next
(Postponement) week
188 Alicia Martnez-Flor
Table 1. Taxonomy on the speech act of refusing (from Salazar, Safont and
Codina, 2009: 145)
with this weather, you should not be asking to go out for a walk!); vi)
statement of principle/philosophy, in which the refuser resorts to moral
beliefs to avoid performing the request (e.g., I never lend money to
strangers); and vii) avoidance, which includes non-verbal avoidance, in
which the refuser merely ignores the request by means of silence or going
away, and verbal avoidance, in which the refusal is performed by using some
hedges (e.g., Well, Ill see), changing the topic or making a joke.
On the other hand, Adjuncts refer to those expressions that accompany a
refusal but do not constitute a refusal by themselves. They include five
subtypes: i) positive opinion, in which the refuser expresses that the request is
a good idea but he/she cannot comply with it (e.g., This is a great idea, but
); ii) willingness, in which the refuser expresses that he/she would be
willing to perform the request but he/she cannot (e.g., Id love to help, but
); iii) gratitude, in which the refuser softens his/her refusal by thanking
his/her interlocutor (e.g., Thanks a lot, but ); iv) agreement, in which the
refuser expresses his/her consent before actually making the refusal itself
(e.g., Yes, but ); and v) solidarity or empathy, in which the refuser
demands the solidarity of the requester by asking for his/her sympathy (e.g., I
realize you are in a difficult situation, but ).
After describing the different refusal strategies included in Salazar et al.s
(2009) taxonomy (see Table 1 above), it is important to point out that, as
previously stated, refusals function as a second pair part in response to other
speech acts such as requests, suggestions, invitations and offers. In the
present chapter, we have considered the refusal strategies given to a
particular speech act, that of requests. Requests, as Trosborg (1995: 187)
claims, are considered as an illocutionary act whereby a speaker (requester)
conveys to a hearer (requestee) that he/she wants the requestee to perform an
act which is for the benefit of the speaker. Therefore, the speakers role is to
perform a request which he/she would like to be complied in his/her benefit,
whereas the hearers response would be that of refusing such a request.
Consequently, performing that refusal in an appropriate way would require a
good level of pragmatic competence in order not to offend the speakers
request5.
3.3 Instruments
The two particular instruments used in the present study were an oral role-
play and an interactive written DCT, which consisted of nine refusal
5
In this particular study we have not paid attention to the taxonomy of requests but to the
responses provided to them by means of refusals. Therefore, an analysis of requests is not
provided.
190 Alicia Martnez-Flor
refuses leaving a
document in the
library (interacting
with the secretary of
the department)
Sit.8 University Research assistant X X
refuses helping a
Professor finishing a
online questionnaire
Sit.9 Hairdressers Student refuses X X
bringing a coffee for
his/her colleague
Table 2. Variable distribution in the nine situations from both the interactive
DCT and the role-play
The nine refusal situations were exactly the same in both production
instruments so as to easily compare the results between the two instruments.
Additionally, in order to compare these two methodologies, the role-play was
made open, whereby the respondent was allowed to interact freely with the
interlocutor (see Appendix A for an example of the description of a situation
and the picture related to situation 5)6. Similarly, the interactive DCT
allowed learners to write as many turns as they needed for each situation (see
Appendix B for an example of the description of situation 5). In this sense,
both instruments gave learners the opportunity to interact and produce the
necessary responses across different turns7.
It is also important to mention that the situations were first used in a pilot
study with five NSs and four other FL students from the same population to
check whether the situations were clearly understood and elicited the speech
act under study (i.e., refusals). After receiving their comments and checking
their responses, we revised the nine situations.
Students were asked to come in pairs (n =16 pairs) to the researchers office
in order to perform nine different oral role-plays. The role playing was done
6
Such a situation has been chosen as a way to show an example of one of the situations that
takes place in the most used contextual setting, that of the university.
7
For more specific details about the elaboration of the two instruments and the presentation of
the nine situations, see Us-Juan and Martnez-Flor (forthcoming).
192 Alicia Martnez-Flor
on two different days and the researcher followed the same two steps with
each pair of students. First, she asked the students their full name and then
she explained that they were going to watch nine different situations which
had to be acted out by way of a role-play. For each situation, the researcher
showed them a picture and read aloud what the situation involved. After
reading these situations, she told them who had to perform each particular
role, that is, who the requester was and who the refuser was. The researcher
explained any doubts students had regarding the particular vocabulary they
needed for a given situation when necessary, and the task was performed
with no time restraints. After performing the nine role-plays, the same
procedure was followed with the next two students. All participants
responses were tape-recorded and transcribed (see Appendix C for the
transcription codes based on Jeffersons [2004] transcription symbols).
Two weeks after the participants had completed role playing, they responded
to the interactive written DCT during a regular class. The participants
responded to exactly the same nine refusal situations used for the role plays.
The researcher, who was also the lecturer of this group of students in a
particular course, made sure students were sitting in exactly the same pairs
that have participated in the role-playing activity (i.e., each student had the
same role as a requester or as a refuser as in the oral role-plays they had
previously performed). The students were given ample space and time to
write their responses. The role-plays were chosen before the DCT to
minimize practice effects for the role-plays, where spontaneity was more
desirable. All participants written responses were checked to examine the
quality of handwriting so that they could be properly read and analyzed.
8
Learners responses in the written DCT have been copied as originally written by them
(independently of having grammatical mistakes). Pseudonyms have been used to preserve
learners anonymity.
Learners refusals: Interactive written DCT versus oral role play 195
refusing intentions with this type of interactive DCT. That is the reason why
the refusal responses elicited through this instrument are relatively long and
negotiated, thus resembling the natural turn-taking behavior found in oral
role-plays and authentic encounters. In fact, the learner in Example 1 above
expressed his refusal responses in three different turns, as it happened in the
role-play. The findings related to the first research question seem therefore to
suggest that the interactive DCT elicits data with some of the characteristics
of oral data, such as instances of turn-taking, negotiation strategies, features
of cooperation and repetition. In this sense, it has had a positive effect
regarding learners response length when refusing.
Moving to the second research question of our study, it examined the amount
of refusal strategies used in the written DCT and the oral role-play to
ascertain whether it was similar in both production instruments. In order to
analyze this research question, we compared learners overall production of
refusal formulae in both instruments (see Figure 1).
48.40%
DCT
Role-play
51.60%
Figure 1. Overall use of refusal formulae in the interactive written DCT and
oral role-play
As can be seen in Figure 1, it seems that learners almost used the same
amount of formulae to express a refusal in the written DCT (51.60%) as in
the oral role-play (48.40%), their use being slightly higher in the former, that
is, in the written production instrument. Results from applying the statistical
procedure, which are illustrated in Table 4, reveal that the difference
observed between learners amount of refusal expressions in the DCT and the
role-play is not statistically significant (p<0.05).
Learners refusals: Interactive written DCT versus oral role play 197
N Mean Sig.
Role-play 23.19
Table 4. Differences as regards the overall use of formulae for refusals in the
written and oral production tasks
* Sig. at p<0.05 level
In view of these results, we may therefore claim that our second research
question indicates that a similar amount of strategies was found in both
instruments. This may have been related to the fact that performance in the
DCT was not conducted individually as in previous studies (Martnez-Flor,
2006; Safont, 2005; Safont and Alcn, 2001; Salazar, 2008). It seems that in
these studies participants produced a higher amount of strategies for the
particular speech act examined in the written DCT since students were doing
the task individually with ample time to reflect on their production. Thus,
planning time and reflection on what they were producing positively
influenced their pragmatic output. In contrast, since in our particular study
learners were also working in pairs, it appears that they were spontaneously
interacting with their partners instead of being individually thinking about
what they would write in a particular situation. Thus, it seems that learners
produced the same amount of refusal strategies in both production
instruments given the interactive nature of them. In order to examine this
fact, Example 2 shows the performance of the same pair of learners in
situation 1 on the two production instruments:
lessons
2. B. yeah I know that=
3. A. um I have missed some important lessons [and
4. B. [eh
5. A. but (.) umyou know could you just lend me the notes from
last week?
6. B. well (.) now I cant because Im very busy (.) I
have to meet some classmates for a
project worksorry
7. A. oh (.) so you could lend me next week
8. B. well (.) I dont know (.) ehI have a lot of work:
(.) sorry
9. A. okay (.) I appreciate if you can help me (.) let me know
please=
10. B. okay bye
11. A. bye
used was similar in both research methods. In order to investigate this issue,
we analyzed a total of 288 samples from the two production methods by
following Salazar et al.s (2009) taxonomy described in subsection 3.2. It is
worth pointing out that the written instrument contained 385 instances of
refusal strategies, and the oral instrument a total of 361 formulae for refusals.
Figure 2 below shows the type of strategies used by learners, namely direct,
indirect or adjuncts, when refusing in the two production research methods.
249
235
250
200
150
105 DCT
98
Role-play
100
31 28
50
0
direct indirect adjuncts
Table 5. Differences as regards the type of formulae for refusals used in the
written and oral production tasks
* Sig. at p<0.05 level
200 Alicia Martnez-Flor
5 Concluding remarks
The aim of the present paper was that of comparing learners performance
when making refusals to requests in two different production instruments
(i.e., an interactive written DCT and an oral role-play) to examine the
response length, amount of refusal formulae and type of strategies used in
both tasks. Results from our study have indicated that i) learners response
length when refusing; ii) the amount of refusal formulae employed; and iii)
the type of refusal strategy chosen was somewhat similar across the two
research methods. Considering these findings, it may be claimed that the
particular two instruments employed in this study were found to elicit
comparable learners behavior when refusing to a variety of requestive
situations. More specifically, the design of a written DCT that adopted an
interactive structure similar to the role-play appeared to have exerted a
positive effect on learners responses. In fact, the samples obtained from this
written instrument were relatively long, showed a negotiation of meaning
over the course of several turns and contained a variety of semantic strategies
to express a refusal in different situations. In this sense, it seems that
although written production questionnaires have received a lot of criticism,
when created in an accurate way, can still be effective data collection
instruments to examine how learners activate their pragmatic knowledge.
The present study is subject to some limitations that lead to a number of
issues to be examined in future research. One limitation concerns the
particular population of learners involved in the study, since it consisted of a
small sample of 16 male and female university students with an upper
intermediate level of proficiency in English. Thus, the number of participants
taking part in the study and the specific student individual variables may have
influenced the results. In fact, research with a larger group of students or with
just male or female participants would have probably provided different
results. Another limitation that may be attributed to the present study relates
to the fact that no instruments eliciting learners self-report data were
implemented. By employing a type of introspection method, such as think-
aloud protocols or retrospective verbal reports, learners pragmatic
development when producing refusals could have been examined by paying
Learners refusals: Interactive written DCT versus oral role play 203
References
Alcn, E. and A. Martnez-Flor (eds) (2005) Pragmatics in Instructed
Language Learning [Special Issue], System 33 (3): 381-536.
Alcn, E. and A. Martnez-Flor (eds) (2008) Investigating Pragmatics in
Foreign Language Learning, Teaching and Testing, Clevedon:
Multilingual Matters.
Al-Eryani, A. A. (2007) Refusal strategies by Yemeni EFL learners, The
Asian EFL Journal (9) 2: 19-34.
Bardovi-Harlig, K. (1999) Researching Method. In Bouton, L. F. (ed)
Pragmatics and Language Learning, vol. 9, Urbana, IL: University of
Illinois at Urbana-Champaign: 237-264.
Bardovi-Harlig, K. and B. S. Hartford (1991) Saying no in English: Native
and non-native rejections, Pragmatics and Language Learning:
Monograph Series (2): 41-57.
Beebe, L. M. and M. C. Cummings (1985) Speech act performance: A
function of the data collection procedure, Paper presented at the Sixth
Annual TESOL and Sociolinguistics Colloquium, TESOL, New York.
Beebe, L. M. and M. C. Cummings (1996) Natural Speech Data Versus
Written Questionnaire Data: How Data Collection Method Affects
Speech Act Performance. In Gass, S. and J. Neu (eds) Speech Acts
Across Cultures, Berlin: Mouton de Gruyter: 65-86.
Beebe, L. M., T. Takahashi and R. Uliss-Weltz (1990) Pragmatic transfer in
ESL refusals. In Scarcela, C., E. Anderson and S. Krashen (eds)
9
See for instance the studies by Woodfield (2008, 2010) and Salazar (this volume) on this
issue.
204 Alicia Martnez-Flor
Situation 5
A. You are a first-year student at University. You have a paper due in three
days and you havent started working on it yet. The day you start working on
it your laptop doesnt work. A close friend of yours is working as a research
student in the department of Computer Science at University. You ask
him/her if he/she can urgently help you fix the laptop. You ask the research
student:
SCENARIO 5
A. You are a first-year student at University. You have a paper due in three
days and you havent started working on it yet. The day you start working on
it your laptop doesnt work. A close friend of yours is working as a research
student in the department of Computer Science at University. You ask
him/her if he/she can urgently help you fix the laptop. You ask the research
student:
A: ________________________________________________________
B: ________________________________________________________
A: ________________________________________________________
B: ________________________________________________________
A. ________________________________________________________
B: ________________________________________________________
Learners refusals: Interactive written DCT versus oral role play 211
Contiguous utterances
= Equal signs indicate no break up or gap. They are placed when
there is no interval between adjacent utterances and the second
utterance is linked immediately to the first.
Overlaps
[ A left bracket indicates the point of overlap onset.
] A right bracket indicates the point at which two overlapping
utterances end, if they end simultaneously, or the point at
which one of them ends in the course of the other. It is also
used to parse out segments of overlapping utterances.
Intervals
( ) Parentheses indicate the time in seconds and placed within an
utterance mark intervals or pauses in the stream of talk.
- A dash marks a short untimed pause within an utterance.
Characteristics of speech delivery
: A colon marks a lengthened syllable or an extension of the
sound.
::: More colons prolong the sound or syllable.
. A period marks fall in tone.
, A comma marks continuing intonation.
? A question mark signals rising intonation.
Research method effects on third
language learners refusals1
1 Introduction
The main aim of the present paper is to examine the effect of two variables
on the pragmatic production of learners of English as a Foreign Language.
On the one hand, we have taken into account the effect of the research
method adopted on the use of refusal strategies. On the other, we have
considered the learners linguistic background, that is, whether they were
monolingual or bilingual and thus were learning English as a second (i.e., L2)
or as a third language (i.e., L3). Bearing our purpose in mind, we shall first
consider those studies which have contrasted results obtained by means of an
1
As members of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), we would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO), (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15), and (c) VALi+d program of Conselleria dEducaci de la Generalitat
Valenciana.
214 Maria-Pilar Safont-Jord and Laura Portols-Falomir
oral production task and those using ethnographic or pseudo natural data.
Secondly, research on the role of bilingualism in language learners
pragmatic production will be taken into account and a particular focus will be
given to the use of L3 refusals. Finally, results from our study on the effect of
the research method and bilingualism in English learners production of
refusals will be described.
() With intuitions, you imagine examples of language used in this or that situation
and ask yourself whether they are grammatical or ungrammatical, natural or
unnatural, appropriate or inappropriate. This was Searles method. With experiments,
you invite people into the laboratory, induce them to produce, comprehend or judge
samples of language, and measure their reactions. With observations, you note what
people say or write as they go about their daily business. We will name these methods
by their characteristic locations: armchair, laboratory and field (Clark and Bangerter,
2004: 25).
2 Method
2.1 Participants
This is a cross-sectional study involving 12 adult English students engaged in
a B2 Level English Course. Their average age was 40.2. None of them had
been in an English speaking country before for more than one month. They
were carefully selected from a wider sample including 30 students so that
there was an equal number of male and female subjects and the same amount
of bilingual and monolingual participants. A bilingualism test designed on
the basis of Bakers (1993) and Weis (2000) definition of bilingual
competence was distributed to all participants. On the one hand, we
considered as bilingual (Catalan-Spanish) speakers, those participants who
were exposed and made regular use of both languages (i.e., productive
bilinguals). On the other hand, monolingual (Spanish) learners of English as
a second language understood both community languages (Catalan and
Spanish) but never made use of Catalan and were not regularly exposed to it
(i.e., receptive bilinguals). Participants were thus distributed into two groups
according to their degree of bilingual competence as shown in table 1 below.
Monolingual Bilingual
Male 3 3
Female 3 3
REFUSALS
Direct Strategies
Flat no No.
Negation of proposition I cant, I dont think so.
Indirect Strategies
Plain indirect It looks like I wont be able to go.
Reason/Explanation I cant. I have a doctors appointment.
Regret/Apology Im so sorry! I cant.
Alternative:
Change option I would join you if you choose another
restaurant.
Change time (Postponement) I cant go right now, but I could next week
Disagreement/Dissuasion/ Under the current economic
Criticism circumstances, you should not be asking
for a rise right now!
Statement of I cant. It goes against my beliefs!
principle/philosophy
Avoidance
Non-verbal: Ignoring
(Silence, etc.)
Verbal:
Hedging Well, Ill see if I can.
Change topic
Joking
Sarcasm
The instruments employed for analyzing the use of refusal strategies on the
part of learners belong to two different subtypes, that is, the laboratory and
the field. On the one hand, our participants were engaged in an open role-play
task which included ten situations that they were asked to act out. In all
situations one of the peers was prompted to refuse. Situations varied in terms
of social distance, power relationships and degree of familiarity (see
Appendix A). On the other hand, we audio-taped classroom discourse from
24 two-hour sessions. These sessions included teachers explanations,
learners performance in oral tasks and learners comments related to
classroom dynamics. For the purposes of the present study, we have mainly
examined learners comments as we felt they would best illustrate pseudo-
natural language use. In addition, we thought that most instances of refusing
behavior could be obtained in this specific discourse type.
Research method effects on third language learners refusals 221
The Kolmogorov-Smirnov test rejected the null hypothesis and did not
confirm a normal distribution in our data (p = 0.00 for the role-play task and
p = 0.01 for classroom data). Thus, we made use of non-parametric tests,
namely those of the Wilcoxon-Signed Ranks test and the Mann-Whitney test.
The former test was used to see whether there were significant differences in
the type and amount of refusal strategies elicited by means of two research
methods (laboratory and field). The Mann-Whitney test was applied to our
data in testing hypothesis 2, and thus, accounting for bilingualism effects in
refusals production.
According to results from the Wilcoxon Signed ranks test (Z= -6.791), the
above quoted difference is statistically significant (p= .001). In our opinion,
results are in line with the nature of the method employed since the
laboratory method is merely used to elicit refusal behavior. Furthermore, as
argued by Yuan (2001), controlled pragmatic production tests are most useful
in describing realization patterns of a given speech act in one language. In
order to further test out first hypothesis we also examined the types of refusal
routines obtained.
222 Maria-Pilar Safont-Jord and Laura Portols-Falomir
B. You are a student at University. You have attended all classes during this
semester. One of your classmates wants to borrow your class notes. Although you
understand he/she has been sick, you do not want to lend your notes. You refuse by
saying:
S1: Could you please lend me your notes? I was sick
S2: Im sorry I cant.
Research method effects on third language learners refusals 223
S6: Would you lend me your notes because I have been sick and have not attended
classes?
S7: Im afraid I cannot. Sorry.
Example 3
T: Next week well start with our newsletter project. Youll work in groups. Which
group will be first?
S9 (bilingual): We may talk about our ideas next month (3) >maybe< they could
[start]
S12 (bilingual): [Our] group will be third then (4) we have very good and
interesting ideas.
S2 (monolingual): We cannot start. We will not be first (6) another group.
Example 4
SITUATION 3
A. You are a Professor who is in the middle of a lesson. At that moment, a
student walks into class half an hour late and interrupts the lesson. The course
policy states that late arrivals are not permitted, except for serious documented
excuses. You tell the student that his/her behavior is disruptive and ask him/her
to leave the class. You ask the student:
B. You are a student who arrives half an hour late to class because you had to go to
the doctor for an important health issue. The course policy states that late arrivals
are not permitted, except for serious documented excuses. The Professor tells you
that your behavior is disruptive and asks you to leave the class. You refuse by
saying:
S5: Please, you should leave the class.
S6 (bilingual): Actually, I would next time, but today I have been at the doctor. I
could not postpone the appointment. Im sorry.
S11: Could you please leave the classroom? It is too late
S12 (monolingual): No, I cant. Im afraid I wont leave the class.
4 Conclusion
The present study aimed at examining the effect of the research method
employed and the role of bilingualism in English learners pragmatic
production. For that purpose, we have particularly focused on refusal
behavior that was codified on the basis of Salazar et al.s taxonomy (2009).
The first hypothesis guiding our study predicted that refusal strategies
obtained from laboratory and field techniques would be different in terms of
quantity and quality. Our results have confirmed this hypothesis and the
examples presented here (see Examples 1 and 2 in the previous section) have
shown that refusals obtained from classroom discourse were more elaborated
and indirect than those obtained by means of a controlled pragmatic
production test (i.e., role-play task). Considering these findings, we have
pointed out the implications of using laboratory techniques in interlanguage
pragmatics research. We believe that data obtained from DCTs or role-play
tasks may well serve the purpose of describing specific realizations of
particular speech acts but they also present a partial account of the learners
pragmatic competence. Controlled-pragmatic production tasks (i.e., DCTs
and role-play tasks) may be very useful for instructional purposes, but we do
need real pragmatic data to test and analyze pragmatic development of
English learners. Hence, more ethnographic approaches are suggested in
diagnostic assessments of language learners pragmatic competence.
The second hypothesis of the present study predicted the advantage of
bilingual over monolingual learners in their use of refusal pragmalinguistic
routines. Results from the Mann Whitney Test confirm our hypothesis and
they present further evidence on the inherent complexity of multilingualism.
We have argued for the acknowledgement of third language learners as a
distinct entity on the basis of recent findings (Barron, 2003; Safont-Jord,
2011). As argued by scholars in the field (Aronin and Hufeisen, 2009; Cenoz,
2009; Jessner, 2008) and as shown by our study, third language acquisition is
quantitatively and qualitatively different from second language acquisition
processes. Nevertheless, our study may be subject to a number of limitations
as we have only included 12 participants and we have focused on a series of
pragmalinguistic routines linked to refusal acts. Therefore, further research is
needed to explore the development of pragmatic competence on the part of
third language learners by considering other pragmatic aspects. In so doing,
we may best understand the processes underlying communicative
competence in multilinguals. Given the fact that the world is multilingual
(Cenoz, 2009), the global construct of communicative competence may well
benefit from research findings in that respect.
Research method effects on third language learners refusals 227
References
Alcn, E. (2011) Pragmatic awareness: Is it related to instruction and
bilingualism? Paper presented at 2011 AILA Conference, Beijing.
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228 Maria-Pilar Safont-Jord and Laura Portols-Falomir
Appendix A
SITUATION 1
A. You are a student at University. You have been sick and were not able
to attend classes last week. You want to know if one of your classmates
can lend you the class notes. You ask the classmate:
B. You are a student at University. You have attended all classes during
this semester. One of your classmates wants to borrow your class notes.
Although you understand he/she has been sick, you do not want to lend
your notes. You refuse by saying:
SITUATION 2
A. You are a waitress who works in a cafeteria located close to the local
University. A research assistant, whom you have never seen before, wants
to buy a doughnut. You tell him/her it costs 2 euros and ask him/her if
he/she could give you the exact amount of money since you only have
money in the form of notes. You ask the research student:
SITUATION 3
B. You are a student who arrives half an hour late to class because you
had to go to the doctor for an important health issue. The course policy
states that late arrivals are not permitted, except for serious documented
excuses. The Professor tells you that your behaviour is disruptive and asks
you to leave the class. You refuse by saying:
SITUATION 4
A. You are a student at University. You are about to go home when you
see a student parking the car you are so eager to buy. You have not had
the opportunity to go to the local car dealer to request a test drive.
Although you do not know him/her, you ask if he/she could lend you the
car just to drive it within the University campus for a while. You ask the
student:
B. You are a student parking at the University campus. You have already
parked your car when a student, whom you have never seen before,
explains to you that he/she is very eager to buy the same car you have.
He/she asks you if he/she could borrow it to drive it for a while within the
University campus. You refuse by saying:
SITUATION 5
SITUATION 6
B. You are a student at University who helps your father working in his
butchers. Very recently, the office of the primary care and health of your
town hall has sent all local shops flue prevention techniques they may use
to keep themselves and clients healthy. An important one is the use of
gloves when handling food. A middle-aged man/woman explains to you
that he/she is responsible for the office of primary care and health of your
town hall and asks you to wear plastic gloves to handle food. You refuse
by saying:
SITUATION 7
SITUATION 8
A. You are a Professor working in your office. Your assistant, with whom
you have a good academic relationship, doesnt understand some concepts
in one of your books. You clarify them to him/her and when he/she is
about to leave, you ask him/her whether he/she can help you to finish an
online questionnaire by discussing some items. You ask the assistant:
SITUATION 9
close friend, is cutting a womans hair and asks you whether you could
take him/her a coffee to wake up. You refuse by saying:
Production of refusals: Insights from
stimulated recall1
1 Introduction
Refusals are an interesting speech act to investigate in the field of
interlanguage pragmatics (ILP) due to their face-threatening nature.
Pragmatic failure may be deemed as being much more offensive than
syntactic or lexical errors (Koike, 1995) in conversations involving both
native speakers (NSs) and non-native speakers (NNSs). This claim has been
corroborated by Yamagashiras (2001: 261) words: the speech act of refusal
is highly problematic and susceptible to misunderstanding.
Of paramount importance is thus making NNSs or English-as-a-foreign
language (EFL) learners aware of the impact of refusing in an inappropriate
way in cross-cultural communication, since it has been widely reported (i.e.,
Rose, 1999) that pragmatic learning is poorly fostered in the EFL context due
to constraints such as large classes, few tuition hours and little opportunity
for intercultural communication. Moreover, other research has examined
pragmatic features in textbooks suggesting an inadequate presentation of
speech acts (Boxer and Pickering, 1995; Vellenga, 2004). Taking these
caveats into account, the first goal of the present study is to examine what
1
As a member of the LAELA (Lingstica Aplicada a lEnsenyament de la Llengua Anglesa)
research group at Universitat Jaume I (Castelln, Spain), I would like to acknowledge that this
study is part of a research project funded by (a) the Spanish Ministerio de Ciencia e Innovacin
(FFI2008-05241/FILO) and (b) Fundaci Universitat Jaume I and Caixa Castell-Bancaixa
(P1.1B2011-15).
236 Patricia Salazar-Campillo
refusal strategies EFL learners elicit for some given contexts in role play
situations. Secondly, we aim to analyze via stimulated recall methodology,
aspects of the production of refusals which may provide useful data in the
ongoing exploration of refusal behavior.
Therefore, we aim at answering the following research questions:
1. Are learners aware of sociopragmatic variables when eliciting
refusals? (Alcn and Guzmn, 2010)
2. Is stimulated recall methodology a valid indicator to report
learners accounts of their thoughts while producing refusals?
(Gass and Mackey, 2000; Nabei and Swain, 2002)
Two research hypotheses were suggested taking into account the above
research questions:
Hypothesis 1: When verbalizing their refusals, learners will be
aware of sociopragmatic features of the given situation.
Hypothesis 2: Stimulated recall will offer insightful comments in
order to interpret and supplement learners production of refusals.
REFUSALS
Direct Strategies
1. Bluntness No./ I refuse.
2. Negation of proposition I cant, I dont think so.
Indirect Strategies
Production of refusals: Insights from stimulated recall 237
two main methods in data gathering: one belonging to the written mode, the
Discourse Completion Task (DCT) and the other belonging to the oral mode
(role play). Both techniques have advantages and disadvantages, which we
deal with below.
5 The study
5.1 Participants
Prior to the study, an intact class of undergraduates enrolled in a compulsory
subject studying English Philology at a Spanish university carried out a
Quick Placement Test (Oxford University Press). In order to control for the
variable of proficiency, only those students with the same level were chosen
(according to the Council of Europe Scale, they were Independent Users or
B2 level). Therefore, from the larger sample size, only ten Spanish (2 males
and 8 females) participated in the study. They were in their 20s (mean age=
22) and on average, they had been studying English for 12.7 years.
5.2 Instrument
Five role plays were devised in order to elicit refusals (see Appendix 1).
From a sociopragmatic point of view, these role plays included two major
variables: social distance (stranger, acquaintance and intimate) and social
status (low, equal and high) put forward by Brown and Levinsons (1987)
politeness theory. Table 2 depicts the distribution of these variables in the
five situations.
several turns, as the researcher did not accept the first refusal as a rule and
was, on occasions, quite insistent. The 50 conversations (10 participants x 5
role plays) were video-recorded in two consecutive days and transcribed.
Once each student had carried out the role play, he/she was told to come back
to the researchers office within one hour. The subjects were not informed
that they would be asked for retrospective comments in this second meeting
so as not to affect their verbalizations. In the SR interviews, subjects watched
their performance on video and were allowed to stop the video-recording if
there was something they remembered about task performance. Recall was
prompted by the researcher by asking questions such as Why did you say
those words? or What were you thinking when you laughed here?
SR conversations were audio-recorded and later transcribed. In order to
reduce the level of omissions, and thus increase veridicalidity, the researcher
asked for retrospective report after each of the five role plays. This procedure
is commonly used in language research (Ericsson and Simon, 1987) and has
been found to provide useful information. Following Gass and Mackeys
(2000) proposals for increasing validity and reliability, in the present study
the time delay between task performance and recall was minimized (as we
said earlier, the SR took place one hour after the role play). Key to the
reliability issue is a) the need to reduce anxiety, b) participants need to be
stimulated to remember rather than being presented a new perspective and c)
they also should be allowed to produce a relatively unstructured answer. In
our study the subjects felt comfortable as they knew the researcher (she was
one of their lecturers), they were asked questions conforming Gass and
Mackeys (2000) instructions and they could code switch into Spanish or
Catalan to verbalize their thoughts more precisely if necessary.
The above table clearly shows that learners production of refusals in their
role plays revolve around two strategies to mitigate: regret (Sorry, I cant)
and reason, that is, the learners provided a motive for not complying with the
request. The results of our study are in line with some others (i.e., Bardovi-
Harlig and Hartford, 1991; Beebe et al., 1990; Sadler and Erz, 2002)
reporting regret and reason as the most common strategies of refusals. It is
also worth noting that due to the interactive nature of the role play, learners
refusals were produced over several turns.
In order to ascertain why our subjects had produced a specific refusal
strategy, SR interviews were conducted after they had watched a videotape of
themselves performing the task. The examination of the SR conversations
reveals that the students verbalization of their thoughts at the moment of
carrying out the role play may be classified into 6 categories, as follows:
1. Acceptance: on many occasions, students reported that they would
have accepted the interlocutors request instead of refusing it.
2. Provision of reasons: SR data offer frequent reports on reasons or
excuses explaining the justification for not complying with the
request.
3. Personal experience: when speaking out their thoughts, a number of
students appealed to a prior bad experience as the basis for refusing.
4. Making interlocutor aware of the situation: some students reported
that, in order to refuse, they tried to make their requestor aware of
the situation or problem to empathize with him/her.
5. Common sense: some interviews revealed that students appealed to
common sense so as not to accept the request.
6. Obeying the rule: this category was exclusively found in Role play 3
(professor) in which the variable of higher-status interlocutor may
Production of refusals: Insights from stimulated recall 243
have played an important role thus not letting other way out but to
follow the rule.
- Situation 2 (waitress)
When asked to verbalize what their thoughts were when saying no to the waitress, 6
students reported they were trying to look for excuses, 2 students used a previous
personal experience to help them refuse and the remaining 2 subjects tried to make
the waitress aware of their problem and solve it. This is clearly illustrated by Student
3:
S3: I just wanted the woman to understand the reason why I was doing something
wrong so I wanted the woman to understand why.
- Situation 3 (professor)
As mentioned earlier, this is the only role play in which, apart from giving reasons (7
students), two subjects reported they had to obey the rule and did not attempt to refuse
any more. As Student 2 said: and I know if this is the rule I I have to accept
it. Moreover, in this role play, one student also resorted to her own experience when
refusing to the professors request.
- Situation 4 (car)
In this situation, the status of participants was equal but the distance was high, as they
were strangers. Yet, 2 students said they would lend their new car to the unknown
university student:
S2: if a person comes here to university and asks me that of course I will say yes,
if this person has a driving license of course and I was thinking that I was being so
rude, because you are in a context, the university, where people is like normal, they
are not going to destroy your car.
S3: I couldnt rely on someone that I dont know thats what I tried to say
to this person, that it is not normal to ask that if you are not a close friend.
S8: I I think that the situation it was like who are you? And it was
very strange, very surrealistic because a person that you dont know who
is is telling you that if he can drive your car and its not OK.
- Situation 5 (laptop)
As in Situation 1, the majority of students, seven in this case, said in the SR interview
that if this had been a real situation, they would have consented to comply with the
request:
S5: I I was thinking that I of course I would help one of my friends if she is
so desperate she needed my help so I was being a little bit rude.
S9: this was kind of difficult to me because I would do it, because hes my friend
and he needs only five minutes, although Im busy I would do it so I felt bad
about this situation.
Reasons to refuse were reported by 2 subjects and one student tried to make the
interlocutor aware of the situation when asked why she had refused the request.
In all, this analysis of the students recalls in each role play is directly related
to the findings that the indirect categories of Regret and Reason are the most
widely used in our study. However, as pointed out by Salazar et al. (2009),
other strategies may appear which are not part of any taxonomy if data are
collected in more natural conversation (for example, accepting the initial
refusal if the petitioner is persistent). Due to the fact that our analysis of SR
was based on spoken data, we found out that indeed in several situations the
subjects would have consented to the request. This is an interesting finding
which may help in the construction of valid role plays taking into account
variables such as degree of intimacy, age or social status.
6 Conclusion
The results of the present study show that learners are aware of face-
threatening acts as refusals when they are given a context and some
sociopragmatic variables. This fact can be quantitatively attested by means of
percentage of use of specific strategies and also more qualitatively
demonstrated by the learners reports carried out after task performance.
Nonetheless, the analysis of spoken data prompted by the SR interview
shows that although role plays are closer to what may be regarded as natural
data in comparison, for example, to DCTs, there is still a wide gap as to
whether it reflects actual production of refusals. Indeed, the research we have
conducted reveals that on some occasions learners would not have refused,
since some variables at stake allowed the refusal to be turned into acceptance.
Production of refusals: Insights from stimulated recall 245
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Appendix 1
Situation 1
A. You are a student at the university. You have been sick and
couldnt attend classes last week. You want to know if one of your
female classmates can lend you the class notes. You ask your
classmate:
B. You are a student at the university. You have attended all classes
during this semester. One of your classmates wants to borrow your
class notes. Although you understand he/she has been sick, you do
not want to lend your notes. You refuse by saying:
Situation 2
A. You are a waitress who works in a cafeteria located close to the
university. A research assistant, whom you have never seen before,
wants to buy a doughnut. You tell him/her it costs 2 Euros and ask
him/her if he/she could give you the exact amount of money since
you only have banknotes. You ask the research assistant:
B. You are a research assistant at university. You go to a cafeteria,
where you have never been before, to buy a doughnut. Since you
dont know the exact price of the doughnut you have only brought a
20 Euro note. When you are about to pay, the waitress tells you it
costs 2 Euros and asks you to give her the exact amount of money.
You refuse by saying:
Situation 3
A. You are a professor who is in the middle of a lesson. At that
moment, a student walks into class half an hour late and interrupts
the lesson. The course policy states that late arrivals are not
permitted, except for documented excuses. You tell the student that
his/her behavior is disruptive and ask him/her to leave the class. You
ask the student:
B. You are a student who arrives half an hour late to class because you
had to go to the doctor for an important health issue. The course
policy states that late arrivals are not permitted, except for
documented excuses. The professor tells you that your behavior is
disruptive and asks you to leave the class. You refuse by saying:
Situation 4
A. You are a student at the university. You are about to go home when
you see a student parking the car you are so eager to buy. You have
not had the opportunity to go to the local car dealer for a test drive.
Although you do not know this student, you ask him/her if he/she
Production of refusals: Insights from stimulated recall 249
could lend you the car just to drive it for a while. You ask the
student:
B. You are a student at the university. You have just parked your car
when a student, whom you have never seen before, explains that
he/she is very eager to buy the same car you have. He/she asks you
to borrow it and drive for a while within the university campus. You
refuse by saying:
Situation 5
A. You are a first-year student at the university. You have a paper due
in 3 days and you havent started working on it yet. The day you
start working, your laptop doesnt work. A close friend of yours
works as a research student in the department of Computer Science
at university. You ask him/her if he/she can urgently fix your laptop.
You ask your friend:
B. You are a research student in the department of Computer Science at
university. While you are working, a first-year student, who is a
close friend of yours, asks you whether you can urgently help
him/her fix his/her laptop. He/she explains that he/she has a paper
due in three days and therefore needs his/her laptop. Although you
understand how urgent the matter is, you cannot do it. You refuse by
saying:
Notes on contributors
Eva Alcn-Soler is a Full Professor of English Language and Linguistics at
the University Jaume I (Castell) and leader of the Research Group in
Applied Linguistics to English Language Teaching. She holds a B.A. in
English Philology, a M.A. and a Ph.D. in Applied Linguistics from the
University of Valencia. Her research interests include the acquisition of L2
pragmatics and the role of interaction in L2 learning. She has published
widely on those issues both at an international (Communication and
Cognition, International Review of Applied Linguistics) and at a national
level (ATLANTIS, Revista Espaola de Lingstica Aplicada, Revista
Espaola de pedagoga, among others). She is the author of Bases
Lingsitcas y Metodolgicas para la Enseanza de la Lengua Inglesa
(2002), has edited Learning how to Requests in an Instrutcted Language
Learning Context (Peter Lang, 2008) and co-edited Intercultural Language
Use an Language Learning (Springer, 2007), and Investigating Pragmatics in
Foreign language Learning, Teaching and Testing (Multilingual Matters
2008) Together with Prof. Garca Mayo, she has guest-edited two special
issues on the topic of interaction and language learning in a classroom
context (International Journal of Educational Research, 2002; International
Review of Applied Linguistics, 2009), and, together with Dr. Martnez-Flor,
an special issue on the topic of pragmatic instruction (System, 2005). She is a
member of the scientific committee of Language Value.
articles in refereed journals and handbooks. Naoko is also the author of the
books Pragmatic Competence (2009) in Mouton de Gruyter series and
Context, individual differences, and pragmatic development
(contracted/under review).