THE MEANING AND STRUCTURE OF a FAIRY TALE a SYSTEMIC FUNCTIONAL ANALYSIS

study seeks to answer is: “How is the text expressed in terms of transitivity, mood andtheme-rheme?” The following goals are expected to be accomplished in current study − Theoretically,

( CẤU TRÚC VÀ NGỮ NGHĨA CỦA MỘT CÂU CHUYỆN

CỔ TÍCH: PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG)

M.A Minor Programme Thesis

Field: English Linguistic Code: 60 22 15

Ha 2010

( CẤU TRÚC VÀ NGỮ NGHĨA CỦA MỘT CÂU CHUYỆN

CỔ TÍCH: PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG)

M.A Minor Programme Thesis

Field: English Linguistic Code: 60 22 15 Supervisor: Prof Dr Hoàng Văn Vân

Ha 2010

The reason for choosing to investigate this specific type of text lies in my personalinterest in fairy tales Specifically, I often spend “delicious” hours before sleeping timetelling fairy tales to my small daughter Besides providing entertainment, these tales “hide

a wealth of insights just below the surface” (Young, 1997) and provide my child with agood sense of imagination as well as rich context for language that is important in laterreading The fairy tales by Andersen adapt a humorous and colloquial style, reminiscent oforal story telling techniques rather than the sophisticated literary devices of the fairy taleswritten by other precursors Therefore, “the stories are for children, but adults too should

be able to listen in “ (Andersen, 1863)

1.2 Aims and Scope of the Study

The thesis has been conducted in an attempt to meet the need for more functional language learning Specifically, it explores the grammar and meaning of a fairy tale withinthe framework of systemic functional grammar The research question that the present

study seeks to answer is: “How is the text expressed in terms of transitivity, mood and

theme-rheme?”

The following goals are expected to be accomplished in current study

− Theoretically, the present study re-examines some basic analytical instrumentsprovided by systemic functional linguistics

− Practically, the study investigates who these instruments are employed in the

fairy tale “The Princess and the Pea” by Hans Andersen.

1.3 Methods of the Study

The study is undertaken with a view to analyzing the meaning and grammar of a fairytale Given this nature of the study, the descriptive and analytical methods will beemployed as the principal ones The descriptive method is concerned with the description

of concepts related to systemic functional grammar The analytical method is resorted toanalyze the chosen text The procedures and conventions used in the analysis are based on

the framework of Halliday’s (1994) An Introduction to Functional Grammar.

1.4 Description of the Study

This thesis consists of four chapters Chapter 1 provides an introduction to the topic ofresearch, and by stating the aim and scope of the study It also presents the researchmethods of the study Finally, it outlines the structure of the thesis Chapter 2 reviews themain concepts which serve as the theoretical framework for the analysis of the text In

chapter 3, these concepts will be used to analyze the text “The Princess and the Pea” The

analysis will proceed from clauses and clause complex analysis, the transitivity pattern, themood pattern, the theme-rheme pattern, the cohesive harmony of the text; to the summary

of the context of situation of the text The final chapter draws conclusions, suggestscontributions of the thesis, presents educational implication, and proposes further research

CHAPTER 2 THEORETICAL BACKGROUND 2.1 An Overview on Systemic Functional Linguistics

2.1.1 Features of Systemic Functional Grammar

According to Halliday (1994), the fundamental difference between systemic functionalgrammar and formal models of grammar is that the former is based on a functionalframework It is functional in three closely related senses: in its interpretation (1) of text,(2) of system, and (3) of the elements of linguistic structures

(1) It is functional in the sense that it is designed to account for how the language is

used A functional grammar is essentially a ‘natural’ grammar, in the sense that

everything in it can be explained, ultimately, by reference to how language isused

(2) The fundamental components of meaning in language are functional

components Systemic functional grammar distinguishes three functionalcomponents of meaning in language: the ideational metafunction, theinterpersonal metafunction, and the textual metafunction

(3) Each element in a language is explained by reference to its function in the total

linguistic system A functional grammar is one that construes all the units of alanguage – its clauses, phrases and so on – as organic configurations offunctions

(M K Halliday, 1994: xiv)

2.1.2 Three Metafunctions of Language

According to Halliday (1970, 1985), language has three functions The first function is

called the ideational function This function serves for the expression of ‘content’: that is,

of the speaker’s experience of the real world, including the inner of his consciousness The

ideational function has two subtypes: experiential function and logical function In

serving this function, language also gives structures to experience, and helps to determineour way of looking at things and combining things in a logical way

The second function of language is the interpersonal function This function serves

to establish and maintain social relation: for the expression of social roles created by

language itself – for example, the roles of questioner or respondent, which we take on byasking or answering a question; and also for getting things done, by means of interactionbetween one person and another.

The third function of language is the contextual function This function is concerned

with providing links with language itself and with the features of the situation in which it isused This function of language enables speaker or writer to construct texts, or connectedpassages of discourse that is situationally relevant; and enables the listener or reader todistinguish a text from a random set of sentences

(Van, Hoang Van, 2006: 28-29)

2.2 The Role of Contextual Analysis

2.2.1 What is Context?

Probably, context has become one of the most fluid concepts in modern linguistics.For some scholars, context seems just to be the minimal stretch of language that helps tounderstand what is written and spoken (Brown & Yule) Context, according to NguyenHoa (2000), are the non-linguistic factors that contribute and constrain the interpretation ofdiscourse

From another perspective, Hymes (1962), sees context as a limiter of the range ofpossible interpretations, and, on the other hand, a supporter of the intended interpretation.Here is what he says:

The use of a linguistic form identifies a range of meanings A context can support a range

of meaning When a form is used in a context it eliminates the meanings possible to that context other than those the form can signal: the context eliminates from consideration the meanings possible in the form other than those the context can support.

2.2.2 The Model of Context

Halliday in Halliday & Hasan (1989) develops a model for contextual analysis whichconsists of three components or parameters: field (of discourse), tenor (of discourse), andmode (of discourse) His model of context can be represented as follows:

(1) Field of discourse: refers to what is happening, to the nature of the social action that is

taking place: what is it that the participants are engaged in, in which the languagefigures as some essential components

(2) Tenor of discourse refers to who is taking part, to the nature of the participants, their

statuses and roles: what kind of role relationships of one kind or another, both the types

of speech role that they are taking on in the dialogue and the whole cluster of sociallysignificant relationships in which they are involved

(3) Mode of discourse refers to what part the language is playing, what it is that the

participants are expecting the language to do for them in that situation: the symbolicorganization of the text, the status that it has, and its function in the context, includingthe channel (is it spoken or written or some combination of the two?) and also therhetorical mode, what is being achieved by the text in terms of such categories aspersuasive, expository, didactic, and the like

(Halliday in Halliday & Hasan, 1989:12) 2.3 Clause and Clause Complex

2.3.1 Clause Simplex and Clause Complex

In Halliday’s grammar, clauses can be divided into clause simplex and clausecomplex Clause simplex contains one clause, whereas clause complex contains a Headclause together with other clauses that modify it The notion of “clause complex” asHalliday (1994:216) states, “enables us to account in full for the functional organization ofsentences”

|| Computer facilities are free of charge || ||| If this applies to you || tick this box |||

2.3.2 Types of Relations between Clauses

According to Halliday, the clauses which comprise a clause complex are related interm of tow systems: Taxis and Logical-semantic type

so “we only need to distinguish them by the order in which the speaker has chosen to saythem” This is done by using the number 1,2,3 … as in:

||| John ran away,|| and Fred stayed behind.|||

Hypotaxis is “the binding of elements of unequal status” (Halliday, 1994:221) Therelation of hypotaxis between a dominant unit and a dependent one is signaled by using analpha (α) for the dominant, a beta (β) for a clause dependent on it, and a gamma (χ) for onedependent on that, and so on

||| The stiff crackling noises of frozen animals’ skin told him|| that the chief’s

Expansion: the secondary clause picks up the message of the primary one and

expands on it It may be done in one of the three ways: by elaborating, extending orenhancing

Elaborating means saying the same thing over again, either by direct repetition, or byrewording, clarifying, or giving an example:

||| They weren’t show animals; || we just had them as pets.|||

Extending means adding something new, giving an exception on it, or offering analternative

||| The window in the room was open|| and half noises came of from the street |||

Enhancing means giving some further information that is related in a systemic way by

a semantic feature of time, clause, condition or concession

||| When the morning came, || the other shepherds returned from Bethlehem |||

Projection: the secondary clause is instated by the primary one as what somebody

said (locution) or thought (idea) In other words, locutions are projected verbal events andideas are projected mental events

||| “Oh, it will be clear tomorrow and hot as June”,|| said Stuart ||| (locution)

||| You’d think || there’d be a warning ||| (idea)

Projection relationship can be either paratactic or hypotactic

||| He said, || “Get in here, Hunt.” |||

2.4.1.1 Material process

Material process is the process of doing: action and event The one that does the deed

is called Actor, and the one that is affected by the action is called Goal The one that benefits from the process is called Receiver.

Actor Process: material Goal Receiver

2.4.1.2 Behavioural process

Behavioural process is the process of physiological and psychological behaviour Typical of this type of process in English is that there is usually one participant referred to

as Behaver and this participant is always a conscious being, not a lifeless thing.

Behaver Process: behavioural Circumstance

2.4.1.3 Mental process

Mental process is the process of sensing It consists of four main subtypes: cognitive,perceptive, affective and desiderative In a mental process there are usually two

participants referred respectively as Sensor and Phenomenon What is typical of a mental

process is that the Sensor is always a human being

Sensor Process: mental Phenomenon

2.4.1.4 Verbal process

Verbal process is the process of saying It can contain one participants referred to as

Sayer, two participants referred to respectively as Sayer and Target or Sayer and Verbiage, and even three participants referred respectively as Sayer, Target, and Recipient

Sayer Process: verbal Target Recipient

2.4.1.5 Relational process

Relational process is the process of being, having and being at It comes under threesubtypes: The intensive, the circumstantial, and the possessive Relational process consists

of two modes: attributive and identifying When a relational process is in the attributive

mode, it has one participant referred to as Carrier and the quality referred to as Attribute.

When the relational process identifies the other, it has two participants referred to

respectively in two pairs of terms such as Identified/Identifier and Token/Value.

Carrier Process: relational Attribute

Identifier/Token Process: relational Identifier/Value

2.4.1.6 Existential process

Existential process is the process of existing, indicating that something or some natural

force exists In this type of process, there is a participant, the Existent and one or two

circumstantial elements

There is a man in the room

Process: existential Existent Circumstance

2.4.2 Mood System

As an exchange or interactive event, a clause can be seen as consisting of two

components: the Mood (M) and the Residue (Res) The Mood is the component whose

function in the clause is to carry the syntactic burden of the exchange and to carry the

argument forward In English, the Mood consists of two functional elements: the Subject (Sub) and the Finite (Fin) The Subject is the nominal component of the Mood, it is the

thing by referred to which a proposition can be affirmed The Finite is the verbal element

in the Mood which has the function of making the proposition finite The Residue is the

remainder of the clause It consists of three functional components: The Predicator (Pred), the Complement (Compl), and the Adjunct (Adjct).

Subject Finite Predicator Complement Mood Residue

2.4.3 Theme-Rheme System

Systems of theme are two elements: the Theme (Th) and the Rheme (Rh) The theme

serves as the departure of the message, which in English coincides with the initialelement(s) of the clause; and the Rheme is the remainder of the message By analyzing thethematic structure of the clauses in a text we can find out the text’s mode of development.The theme may be realized by a nominal group, a prepositional phrase, an adverbial group,

or even a clause in the case of predicated theme Theme may be single or multiple, marked

or unmarked A theme is single when the thematic element itself is represented by just oneconstituent In contrast, a theme is multiple when it has a further internal structure of itsown An unmarked theme is one that is usual or typical, whereas a marked theme is onethat is unusual

Theme Rheme

Theme Rheme

2.5 The Role of Cohesion Analysis

2.5.1 Grammatical Cohesion

2.5.1.1 Reference

Reference expresses the relationship of identity which exists between units indiscourse Reference can be divided into anaphoric, cataphoric reference, personal,demonstrative and comparative reference

Anaphoric, Cataphoric and Exophoric Reference

Anaphoric reference is item(s) which points the reader or listener “backward” to a

previously mentioned entity, process or state of affairs In discourse analysis, anaphoricreference is indicated by ↰ as in :

↰

(1) Look at the sun It’s going down quickly ( It refers back to the sun)

Cataphoric reference is a cohesive device which points the reader or listener

forwards In discourse analysis, cataphoric reference is indicated by ↱as in:

↱

(2) It’s going down quickly, the sun ( It refers forwards to the sun)

Exophoric reference is a kind of reference which refers to the situation In discourse

analysis, exophoric reference is indicated by ↑ as in:

↑

(3) Look at that (that =

Personal , Demonstrative and Comparative Reference

Personal reference is reference by means of function in speech situation and through

the category of person as in:

(4) Nam and Lan didn’t say a word Perhaps they were angry

Demonstrative reference is a form of verbal pointing by the speaker who identifies

the referent by locating it on the scale of proximity in terms of space and time as in:

(5) He wanted to know how she could perform her work But this did not happen.

Comparative reference serves to compare items within a text in terms of identity and

similarity as in:

(6) A: Would you like these eggs?

B: No, as a matter of fact, I’d like the other eggs

2.5.1.2 Substitution

Substitution refers to the process or result of replacing one item by another at aparticular place in discourse There are there types of substitution: nominal, verbal andclausal substitution

Nominal substitution: is the use of a substitute word to replace the Head of a

corresponding nominal group

(1) There are three books on the table Which one do you like to borrow?

Verbal substitution: is “do” This operates as Head of a verbal group, in the place

that is occupied by the lexical verb

(2) the words did not come the same as they do

Clausal substitution: is one further type of substitution in which what is presupposed

is not an element within the clause but an entire clause

(3) A: Has anyone gone home?

B: I hope so

2.5.1.3 Ellipsis

Ellipsis is used in the sense that something is omitted by a structure but the missingpart can always be retrieved from another structure within a sentence or beyond a sentence.Elliptical cohesion can be studied in terms of nominal, verbal and clausal ellipsis

Nominal Ellipsis: When the Thing is omitted, one of the elements in the modifier

must take the role of the head, but the reader can recover the omitted Thing from thepresupposition

Sylia: I like the blue hat Mary: I prefer the green.

Verbal Ellipsis: The Mood element is present but the Residue omitted

A: Have you been working hard?

B: Yes, I have

Clausal Ellipsis: take the presupposing clause as a basic structure where ellipsis

occurs in constituents like the Subject Complement, Predicator, and Adjunct The missing

part can be retrieved from the corresponding presupposed structure in another sentence.

A: Jillian has gone to Ho Chi Minh City this morning.

B: Has he? He didn’t tell me.

2.5.2 Lexical Cohesion

2.5.2.1 Reiteration

Under reiteration there are five subtypes: repetition, synonymy, antonymy,superodinate and meronymy, and general word

Repetition : refers to the same lexical item with the same meaning occurring more

than one in the same discourses in: Algy met a bear The bear was bulgy.

Synonymy: refers to the relation between different words bearing the same meaning

or nearly the same meaning for a particular person, object, process or quality as in: He was

just wondering which road to take when he was startled by a sound from behind him It was the noise of trotting horses.

Antonymy: the function of antonymy is that a contrast between two word items can be

expected as in: Everybody knows that an army can be bribed to win, but nobody seems to

have thought of bribing it to lose a battle.

Superordinate and Meronymy: superordination is for class and subclass relation,

and meronymy is part/whole relation Superordinate relation: music: drum, violin; Meronymy relation: car: door, wheel

General Word: have generalized reference within the major noun classes as in:

Human noun: people, person, man, woman

2.5.2.2 Collocation

Collocation refers to lexical cohesion that is achieved through the association oflexical items that regularly co-occur Under collocation there are three subtypes:resultative, modificational, and contextual

Resultative: refers to the relation of one item leading to the outcome of another item.

E.g kill – die, rain – wet, dark – night.

Modificational refers to the relation holding between an item and one of its inherent

qualities E.g run – fast, bright – sun, dark – light

Contextual : house – build, doctor – examine

2.5.3 Logical Cohesion

2.5.3.1 Adversative

The semantic meaning of adversative is “contrary to expectation” The expectationmay be derived from the content of what is being said or from the communication process,

the speaker-hearer situation as in: I’m afraid I’ll be home late tonight However, I won’t

have to go in until late tomorrow.

It must consist of two elements, cause and effect

she felt that there was no time to be lost, as she was shrinking rapidly; so she got to work

at once to eat some of the other bit.

2.5.3.4 Temporal

Clauses are tied in accordance with the sequence of time

The alarm goes off at 4.30 I get up and go and wake Warren Then I go downstairs,

make some tea, and take a cup up to Warren.

2.6 Summary

In this chapter, I examined the main concepts which serve as the theoreticalframework for the analysis of the text in the following chapter In particular, I worked atthe overview of systemic functional grammar, the role of contextual analysis, clauses andclause complex, the role of grammatical analysis, and the role of cohesion analysis in

discourse Turn to chapter 3 where I will use these concepts to analyze the text “The

Princess and the Pea”.

CHAPTER 3 THE MEANING AND STRUCTURE

OF THE TEXT “THE PRINCESS AND THE PEA”

3.1 Data Collection

The data of the study is the fairy tale “The Princess and the Pea”, which is taken from

an English book Hans Andersen Fairy Tales a Selection published by Oxford University

Press in 1998 The tale was written by Hans Christian Andersen in 1835

3.2 Data Analysis

The procedures and conventions used in the analysis are based on the framework of

Halliday’s (1994) An Introduction to Functional Grammar The analysis will start by

introducing the context of the chosen text; exploring clauses and clause complex in thetext; then investigating the transitivity pattern, the mood pattern, the theme-rheme pattern,examining the grammatical and lexical cohesion of the text; next summarizing the context

of situation of the text in terms of the three contextual parameters: field, tenor, and mode

3.3 The Context of the Chosen Text

“The Princess and the Pea” is a literary fairy tale about a young woman whose royal identity is established by a test of her physical sensitivity Above the text, there is a picture

in which an old queen is laying quantity of mattresses on the bed Behind her, a femaleservant is holding mattresses Beside the bed, there is a chair on which there are numbers

of eiderdowns and mattresses

3.4 Clauses and Clause Complex Analysis

The analysis of the text into clauses and clause complexes can be done as follows:

There was once a prince [|who wanted to marry a princess|].

But she has to be a real princess

So he traveled all round the world

to find one, but there was always something wrong –

- there were plenty of princesses, though whether they were real princesses

8 he could never quite find out:

9 there was always something [|that was not just right|].

IV 10 So he came home again

11 and was very unhappy

12 because he wanted so much

13 to have a real princess.

V 14 One evening there was a dreadful storm:

15 it thundered

16 and lightened

17 and the rain poured down in torrents –

18 - it was really quite frightening!

VI 19 Then there came a knock at the town-gate,

20 and the old king went out

21 and opened it.

VII 22 It was a princess [|who stood outside|].

VIII 23 But my, what a sight she was with the rain and the storm!

IX 24 Her hair and her clothes were running with water:

25 water was running in through the toes of her shoes and out at the heels.

27 she was a real princess.

XI 28 ‘Well, we shall soon find out!’

29 thought the old queen to herself.

XII 30 She went into the bedroom,

31 took all the bed-clothes off

32 and put a pea on the bottom of the bed.

XIII 33 Then she took twenty mattresses

34 and laid them on top of the pea, and then twenty eiderdowns on top of the

mattresses.

XIV 35 And there the princess had to spend the night.

XV 36 In the morning they asked her

37 how she had slept.

XVI 38 “Oh, terribly badly!’ said the princess.

39 ‘I have hardly shut my eyes the whole night!

40 Heaven knows

41 what there was in the bed!

42 I have been lying on something hard –

43 - I am black and blue all over!

44 It’s really dreadful!’

XVII 45 And so they could see

46 she was a real princess,

47 because she had felt the pea through twenty mattresses and twenty eiderdowns XVIII 48 No one but a real princess could possibly be so sensitive.

XIX 49 Then the prince married her,

50 for he was now sure [|that he had found a real princess|],

51 and the pea was placed in the art museum,

52 where it can still be seen

53 if no one has taken it.

XX 54 And that’s a true story!

The text consists of 54 clauses which make up 20 clause complexes Most of theclauses in the clause complexes are in paratactic relation showing their interdependence.Their semantic relations are mainly of elaboration and extension Two clause complexes(XI, XVI) are of quoting and quoted relation characterizing the dialogic portion of the text.Three clause complexes (X, XV, XVII) are of reporting and reported relation Hypotacticand paratactic relations combine into the same clause complexes (III, IV, XVI, XIX) The

division of clause complexes XVI which read as ‘Oh, terribly badly!’ said the princess ‘I

have hardly shut my eyes the whole night! Heaven knows what there was in the bed! I have been lying on something hard – I am black and blue all over! It’s really dreadful!’ It is the

conventional full stop in writing that causes argument The full stop in writing heresuggests that there may be two clause complexes in each In our analysis, all the fourclauses are combined into one clause complex, representing one semantic structure in thewriter’s own thinking Table 3.1 represents the clauses and clause complexes of the text.Boundary Markers used for this text analysis:

||| : clause complex boundary || : clause boundary

• Type of dependence:

… : paratactic relation

= : elaboration x : enhancement

+ : extension " : projection / locution (wording)

• Others: I, II, III … : Number of clause complex in the whole text

(1), (2), (3) …: Number of clause in the whole text1,2,3 … : Number of clause within a clause complex

Table 3.1 Clauses and Clause Complex

…princess. But she has to be a princess real

TRANS Proc: exist Circ Existent Car Proc: rel Attribute MOOD Sub Fin Pred Adjct Compl Sub Fin Pred Compl

Mood Residue Mood Residue

THEME Theme Rheme Theme Rheme

TRANS Actor Process: material Circ Pro: material Goal MOOD Subject Finite Predicator Adjunct Predicator Compl

Mood Residue Residue THEME Theme Rheme Theme

TRANS Proc: exist Circ Existent Proc: exist Existent MOOD Sub Fin Pred Adjct Compl Sub Finite Pred Compl

Mood Res Mood Residue Mood Residue THEME Theme Rheme Theme Rheme

(9)

TRANS Process: existential Circumstance Existent

MOOD Subject Finite Predicator Adjunct Complement

Mood Residue Mood Residue THEME Theme Rheme

TRANS Actor Proc: mat Goal Circ Proc: rel Circ Attr MOOD Sub Fin Pred Comp Adjct Fin Pred Adjct Compl

Mood Residue Mood Residue THEME Theme Rheme Theme Rheme