NOMINALIZATION IN LEGAL DISCOURSE a SYSTEMIC FUNCTIONAL ANALYSIS DANH hóa TRONG văn bản LUẬT PHÁP PHÂN TÍCH THEO QUAN điểm CHỨC NĂNG hệ THỐNG

Using the theory of systemic functional grammar which is considered a satisfactoryexplanation of the phenomenon of nominalization as developed by Halliday 1994 andsome other systemic lin

HANOI NATIONAL UNIVERSITY UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES

POST GRADUATE DEPARTMENT

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NOMINALIZATION IN LEGAL DISCOURSE A SYSTEMIC

FUNCTIONAL ANALYSIS

DANH HÓA TRONG VĂN BẢN LUẬT PHÁP PHÂN TÍCH

THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG

nominalization characterizes almost all English written texts and its frequency ofoccurrence varies in different functional varieties, especially those formal functionalvarieties As one type of very formal written discourse, English legal discourse is noted forits high frequency of nominalization Apart from the roles of nominalization inconstructing the specific characteristics for this genre, nominalization is also one of thegrammar structures causing a higher degree of ambiguity in legal discourses Whennominalizing, semantic information is usually left out, which increases the degree ofambiguity and the difficulty in correctly decoding the sentence Therefore, understandingthe nature and characteristics as well as the roles of nominalization in English legaldiscourse will make great contribution to the perception of this discourse genre, which isvery necessary in today’s world when globalization and integration has become aninevitable trend Thus, it is of great necessity to conduct a study on the phenomenon ofnominalization in legal discourses if we want to learn more about this important variety ofEnglish and benefit the reading and writing of English legal discourses as well as helptranslators much easier in translating Vietnamese legal discourses into English and viceversa

Using the theory of systemic functional grammar which is considered a satisfactoryexplanation of the phenomenon of nominalization as developed by Halliday (1994) andsome other systemic linguists, this thesis attempts to explore how nominalization isrealized in English legal discourse with the hope that it will help readers to recognize theimportance of nominalization for the comprehension and manipulation this specific genre

2 Significance of the study

The result of this study may help improve the ability of understanding English legaldiscourses and limit avoidable misunderstandings in interpreting legal discourses It alsomakes contribution to the teaching and learning of ESP for English teachers and studentsmajoring in law Besides, this thesis hopes to assist the translation of Vietnamese legaldiscourses into English and vice versa

3 Aims of the study

The aim of the study is to make an inquiry into how nominalization is realized in Englishlegal discourse To achieve this aim, the study will examine the nature of nominalization,

its functions as well as its types Besides, the main characteristics of English legaldiscourse will be pointed out to set the base for finding out the typical realization ofnominalization in this legal discourse

Thus, to achieve the aim of the study, the main research question needs to be raised forexploration is:

How is nominalization realized in English legal discourse?

However, to find the answer for this main question, two following questions must beinvestigated first:

1 What is nominalization?

2 What are the main characteristics of English legal discourse?

4 Scope of the study

The scope of this study is just to investigate the typical realization of nominalization inEnglish legal discourse Since this genre consists of various subtypes, within the limitedspace for a minor thesis, I only explore the use of nominalization in one of genre in English

legal discourse - prescriptive legal text In this thesis, the legal text “Convention on the Rights of the Child” (1989) was chosen as data for my study

5 Method of study

This is a case study which sets its main objective of investigating how nominalization isrealized in English legal discourse using systemic functional grammar as the theoreticalframework

To achieve the goal of the study, both quantitative and qualitative method will beemployed These two methods are complimentary with the quantitative approach beingused to collect and categorize data and the qualitative one to interpret the statistics takenfrom the data

6 Design of the study

The study consists of three chapters:

Chapter 1 provides the theoretical background of the study This chapter focuses onintroducing important concepts in systemic – functional linguistics relevant to the topic ofthe thesis such as definitions of grammatical metaphor and its classifications.

Chapter 2 investigates the general notion of nominalization in the light of the systemicfunctional theory and some other linguistic approaches In this chapter, nominalization’sdefinitions, functions and classification will be presented

Chapter 3 provides the background knowledge of English legal discourse by giving itsdefinition, classification and main characteristics Then, an attempt is made to find out hownominalization is realized in English legal discourse In this part, the frequency ofoccurrence of nominalization, its typical types, characteristics and semantic roles seenfrom ideational, interpersonal and textual metafunctions will be investigated

PART B: DEVELOPMENT

CHAPTER 1

THEORITICAL BACKGROUND

1.1 Introduction

Grammatical metaphor is one of the most interesting theoretical notions developed byHalliday (1985/1994) and some other systemic linguists such as Thompson (1996), Martin(1985), etc In this chapter, the first focus is to examine the concept of grammaticalmetaphor in systemic functional linguistics We will start by providing the definitions ofgrammatical metaphor Then, different views on the classification of grammaticalmetaphor are also presented

1.2 An overview of grammatical metaphor theory

1.2.1 Definitions of grammatical metaphor

The concept of grammatical metaphor arose from the ancient time by the Ancient Greekphilosopher - Aristotle For him, metaphor was defined as “one word for a concept used torefer to another one” Therefore, metaphor involves a transference His theory of metaphorputs the primitive foundation for the concept of grammatical metaphor which has beendeveloped by modern linguistists two thousand years later

The concept of grammatical metaphor was then introduced in Halliday’s An introduction

to Functional Grammar (1985/1994) In this book, Halliday revised and improved his

Functional Grammar constantly, and put forward the concept of grammatical metaphor.Halliday took a new approach which is different from the traditional one, looking metaphor

“from above” as “variation in the expression of a given meaning” not “from below” as

“variation in the meaning of a given expression” of the traditional approach For him,

metaphor is also a transference, which uses a kind of grammar means to replace another,but expresses the same grammatical meaning From this point, grammatical metaphor hasits unique performance characteristics as a kind of grammar phenomenon The congruenceand metaphor are two means to express the meaning, both of which have difference in theevent of the order, frequency, and cognitive habit

According to Halliday and Martin (1993: 79) cited in Wang (2002), a grammaticalmetaphor (GM) is a substitution of one grammatical class, or one grammatical structure, by

another; for example, “his departure instead of he departed” Put it simply, the process of depart has been turned into a noun

Another systemic linguist who is also concerned about the concept of grammatical

metaphor is Thompson In his book – Introducing functional grammar (1996: 165), he

defined grammatical metaphor as the expression of a meaning through a grammatical form which originally evolved to express a different kind of meaning Theexpression of the meaning is metaphorical in relation to a different way of expressing the

lexical-‘same’ meaning which would be more congruent Consider the following examples:

[1:1] (i) Water evaporates from a puddle.

(ii) Evaporation occurs more quickly in hot weather.

(ii) is grammatical metaphor because in this sentence a process evaporates is rendered in a nominal type Evaporation.

1.2.2 Classification of grammatical metaphor

Systemic linguists often pay attention to the function of grammatical metaphor whenclassifying different types of grammatical metaphor According to Halliday, language hasthree metafunctions involved in one clause: ideational function, interpersonal function, andtextual function Language is used to organize, understand and express our perception ofthe world by the ideational function, which can be divided into experiential function andlogical function The experiential function is mainly associated with the ideas, while thelogical is concerned with the relationship between ideas People use language tocommunicate with other people, to express their feelings and attitude by interpersonalfunction On the basis of these metafunctions, Halliday (1994: 343) classifies grammaticalmetaphor into two main types: metaphors of mood (including modality) and metaphors oftransitivity In terms of model of semantic functions, these are, respectively, interpersonalmetaphors and ideational metaphor

When classifying grammatical metaphor, Martin (1992) seems more detailed He divided itinto ideational (logical and experiential), interpersonal and textual metaphor

Meanwhile, H.V.Van (1999) shows that an instance of grammatical metaphor may beinvolved in more than one metafunction This means that a congruent realization in theinterpersonal metafunction may have its metaphorical realization in the experientialmetafunction For example,

[1:2] (i) She should go to the meeting

(ii) Her obligation is to go to the meeting

In the two above examples, “should” is a congruent realization in the interpersonal metafunction and “obligation” is a metaphorical realization in the experiential

metafunction

In the following sections, we will adopt Halliday’s view in classifying grammaticalmetaphors into ideational metaphor and interpersonal metaphor

1.2.2.1 Ideational metaphor (metaphor of transitivity)

Ideational metaphors are usually expressed through the transitivity system (material, ralational, behavioral, mental, verbal, and existential) According to Halliday (1994: 343),

there are three steps involving in the process of choices in the transitivity system of

language First is the selection of process type (material, mental, relational) Second is the configuration of transitivity functions (Actor, goal, senser, manner…) Third is the sequence of group – phrase classes (verbal group, nominal group, adverbial group, prepositional phrase, and their various sub-classes) Variation in any of the selection can

lead to ideational grammatical metaphor Let look at the following examples:

[1:3] (i) They arrived at the summit on the fifth day.

(ii) The fifth day saw them at the summit.

(i) and (ii) can be represented diagrammatically in two following figures:

Figure 1a: Analysis of congruent form

They arrived at the summit on the fifth day

(Source: Halliday (1994: 346)

Figure 1b: Analysis of metaphorical form

Senser Mental perception Phenomenon Place

1.2.2.2 Interpersonal metaphor

As we have seen above, the interpersonal component of grammar especially concerns theareas of MODALITY and MOOD In these two areas, Halliday (1994) also distinguishesbetween basic, non-metaphorical expressions, and metaphorical ones, i.e interpersonalmetaphors Let us look at each area in turn

1.2.2.2.1 Metaphors of modality

According to Halliday (1994), the first type of interpersonal metaphor is the metaphor ofmodality Modality is used to express the speaker’s opinion of thing There are fourvariable in modality, which are TYPE, ORIENTATION, VALUE and POLARITY.Modality refers to the area of meaning that lies between yes and no – the intermediateground between positive and negative polarity What this implies more specifically willdepend on the underlying speech function of the clause If the clause is an “information”clause, it is modalization If the clause is a “goods - & - service” clause, it is calledmodulation Each type contains two degrees: Modalization has degree of probability andmodulation has degree of obligation or of inclination However, the orientation is the factorthat determines how each type of modality will be realized Thus, they should be

distinguished between subjective and objective modality; between explicit and implicitvariants The third variable in modality is the value that is attached to the modal judgment:high, median or low The median value is clearly set apart from the two “outer” values bythe system of polarity: the median is that in which the negative is freely transferable

between the proposition and the modality (Eg: Direct negative: It’s likely Mary doesn’t know  Transferred negative: It isn’t likely Mary knows) With the outer values, if the

negative is transferred the value switches (Eg: Direct negative: It’s certain Mary doesn’tknow (high)  It isn’t possible Mary knows (low))

A network of modality systems is set up as in table 1.1 below:

median

low POLARITY

something to take place Each of these functions has its standard, default type of encoding:statements are encoded by the declarative, questions by the interrogative, and commands

by the imperative clauses The expression of statements and questions is fairlystraightforward, but with regard to commands, the situation is different There is a largevariety of expressions that can be used to express the same command:

[1:6] Send your proposal by email, please.

[1:7] (i) Could you send your proposal by email, please?

(ii) I would advise you to send it by email.

(iii) You are kindly requested to send your proposal by email.

(iv) It is recommended that you send your proposal by email.

(v) It is advisable to send your proposal by email.

The examples in [1:7] are different metaphorical variants of expressing a command thatcan also be expressed, in its most straightforward, standard way, as an imperative [1:6].The metaphorical examples in [1:7] include the interrogative mood type (which is thestandard expression of requests for information), and the declarative mood type (whichnormally, i.e non-metaphorically, expresses the speech function of giving information).Halliday brings together these various expressions under the heading of the notion ofinterpersonal metaphor of mood The reason why these examples are regarded asmetaphorical, lies in the fact that they deviate from the standard, most straightforwardrealization of a command by means of the imperative mood Their metaphorical nature can

be made clear by pointing to the literal meanings that these expressions have For instance,

(i), at face-value, is basically a request for information: ‘could you send your proposal by email, or couldn’t you’? Similarly, at face-value, (ii) only refers to a statement: I state that

I advise something to you

The metaphorical nature of such metaphors of mood is exploited in verbal play A case in

point is the well-known dinner-table example, where someone asks: Can you pass me the salt, please? and the addressee answers, ‘Yes, I could certainly do that’, without

undertaking any further action with regard to the salt

1.3 Concluding remarks

This chapter has been concerned with the examination of grammaticalmetaphor in the framework of the systemic-functional model Its majorpoints may be summarized as follows:

- Grammatical metaphor is a substitution of one grammatical class, orone grammatical structure, by another (Halliday and Martin, 1993: 79)

or as the expression of a meaning through a lexical-grammatical formwhich originally evolved to express a different kind of meaning(Thompson, 1996: 165)

- Different systemic linguists have different views on grammaticalmetaphor It can be classified into logical, experiential, interpersonaland textual metaphor by Martin or ideational and interpersonalmetaphor by Halliday (1994)

In the following chapter, the nature of nominalization along with its functions and typeswill be presented to set the background knowledge for understanding its realization in legaldiscourse

CHAPTER 2 NOMINALIZATION

2.1 Introduction

Nominalization is a prevalent linguistic phenomenon in English, especially in writtenEnglish so that this phenomenon has been investigated by many linguists In this chapter,different points of views toward the definitions of nominalization will be presented Then,

a substantial part will be devoted to the exploration of the functions and classification ofnominalization into different categories

2.2 What is nominalization?

The phenomenon of nominalization has been studied by many researchers Scholars fromdifferent linguistic schools present different points of view toward nominalization.Therefore, there are different definitions of nominalization in English

According to Quirk (Quirk et al 1985), nominalization is a process of turning a verb or anadjective into a noun In a somewhat similar manner, nominalization is defined as thegrammatical process of forming nouns from other parts of speech, usually verbs oradjectives (Longman Dictionary of Language Teaching and Applied Linguistics, 2002) or

as any process by which either a noun or a syntactic unit functioning as a noun phrase isderived from any other kind of unit such as a verb or an adjective (Oxford Dictionary ofLinguistics)

The common idea among these definitions is that all the definitions above are concernedabout the changes of the lexical elements but the function and structures of nominalization

in a clause Quirk et al (1985) refer to a narrow sense of nominalization and it onlyinvolves the change of form and grammatical categories

Having a broader view, Chomsky (1968) believes that “nominalization is a process bywhich a stem, verb phrase or sentence is transformed into a nominal” According to him,nominalization is not only the changes in terms of lexical elements but, more broadly, thechanges in terms of sentence also

Compared with other approaches, systemic functional linguists make a more thorough andprofound analysis of nominalization Thompson (1996: 167) argues that “nominalization isthe use of a nominal form to express a process meaning” He adds that “nominalization canalso be used to express an attributive meaning – a relational process together with theAttribute” To Mathews (1997), nominalization is “any process by which either a noun or asyntactic unit functioning as a noun phrase is derived from any other kind of unit” As one

of the most famous systemic linguists, Halliday (1985) points out that nominalizationrefers to any element or group that can function as nouns or noun groups in a clause,including clauses, nominalized adjectives or verbs, etc He emphasizes that nominalization

is the single most powerful resource for creating grammatical metaphor By this device,processes (congruently worded as verbs) and properties (congruently worded as adjectives)

are reworded metaphorically as nouns; instead of functioning in the clause, as Process or Attribute, they function as Thing in the nominal group In Halliday’s definition, he focuses

on the “function” of the elements in clause and provides a unique standpoint onnominalization as a meaning-making resource According to Dik (1997: 159), weunderstand that nominalization is an embedded construction which has one or moreproperties in common with a primary, nominal term This means that any elements thathave one or more characteristics in common with nominal term can be considered asnominalization

As the main emphasis of each study is different, researchers have different opinions aboutnominalization But each definition has its own value and something in common – that isthe drift toward “thingness From definitions above, some functions of nominalization can

be pointed out as follows:

2.3 Functions of nominalization

- Nominalization is a powerful resource for making meaning in scientific and technicalregister, where it plays a dual role First, a noun typically refers to a “thing”, i.e somethingwhich exists By “nouning” a process, the writer can reflect a fact that he has negotiatedand established the meaning of the clause centred around the process – in other words, thatmeaning can now be treated as existing, as a kind of abstract “thing” Second, it makes itpossible to develop an argument step by step, using complex passages “packaged” innominal form as Theme This important function of nominalization is encapsulation(Thompson, 1996: 170)

- Nominalization helps create the sense of objectivity for the text The reason whynominalization is in harmony with the ideology of academic, formal writing in general, isthat it allows processes to be objectified, to be expressed without the human doer.Nominalization is used for ideological control as a “masking device” for they allow the

withholding of the identity of the actors It not only obscures the participants, it alsoobscures the time, space and modality Thompson (1996: 171) points out that nominalizedprocesses are non-finite: they are not tied to any specific time in relation to the time ofspeaking (Incidently, this is yet another reflection of the functional unity of Mood: bothSubject and Finite typically disappear when a process is nominalized) Thus a nominalizedprocess is detached from the here and now in a way that is not normally possible for aprocess expressed by a verb Thus by using nominalization, writer can obscure not only theparticipants but also the time, the space, and the modality to make the expression moreobjective and non-negotiable

- Nominalization can add another semantic dimension to what already exists in thecongruent form According to Halliday (1994: 353), the piece of wording that ismetaphorical has as it were an additional dimension of meaning: it means bothmetaphorically and congruently

- The use of nominalization has changed people's perception of the world, or the world ofexperiences Nominalization is a tool used to name things in certain forms in differentways, as though the identities have been transformed into different things Actually, thisoccurs when human beings begin to vision the situation from a new perspective, ametaphorical one The use of nominalization is a great progress made in the cognitivecapability of human beings

- Nominalization makes the text more ambiguous In a text packed with nominalizations,when clausal patterns or congruent forms are replaced by nominalized ones, some of theinformation is lost The writer presumably knows exactly what they mean; but the readermay not so this kind of highly metaphorical discourse tends to mark off the expert fromthose who are uninitiated (Halliday, 1994: 353) Therefore, it makes the text more formalwith a touch of ambiguity

2.4 Classification of nominalization in English

Basing on the systemic functional approach, we can divide nominalization into two maintypes: lexical nominalization and clausal nominalization Details of these will be presented

as follows:

2.4.1 Lexical nominalization

Lexical nominalization is a derivational process that creates nouns from lexical verbs and adjectives, and the resulting nouns become the head nouns in a noun phrase (Comrie & Thompson, 1995) For example,

Conclude - Conclusion (deverbal nominalization)

Concise - Concision (de-adjectival nominalization) Cheat - Cheat (zero derivational nominalization)

At the lexical level, basing on words’ morphological changes, we can classify

nominalization into two types: derivational nominalization and zero derivational

Adding suffixes to verbs is a way to create nominalizations, which can function as:

* The action, state or intance of verb

-age: breakage, storage, wastage, wreckage, etc:

-al: betrayal, dismissal, renewal, withdrawal, etc

-ance: acceptance, attendance, performance, assistance, etc

-ence: coherence, occurrence, adherence, transference, etc

-ation (-tion, -ion):: production, protection, reaction, reduction, etc

- ure : closure, departure, presssure, etc

- ing : feeling, meeting, reading, training, etc

-ment: accomplishment, achievement, etc

* The agent of the verb

-ant: assistant, accountant, applicant, attendant, consultant, etc

-er: worker, driver, employer, manager, painter, etc

-or: actor, spectator, supervisor, visitor, etc

-ar: beggar, burglar, etc

* The patient of the verb

-ee: employee, addressee, retiree, etc

* The instrument of the verb

-age: carriage, package, etc

-ant: pollutant, sealant, etc

-er: computer, cooker, mixer, printer, recorder, etc

2.4.1.1.2 Deadjectival nominalization

Adding suffixes to adjectives is another way to create nominalizations, which refer, amongother things, to:

* Abstract concepts having the quality described by the adjectives

-bility: ability, applicability, etc

-ness: sadness, ugliness, weakness, etc

- hood: falsehood, likelihood, etc

- dom: boredom, freedom, wisdom, etc

- ance, ence: dependence, difference, ignorance, etc

- cy: accuracy, adequacy, infancy, etc

-ity: creativity, curiosity, simplicity, etc

* Persons having the quality described by the adjectives

-ist: extremist, modernist, nationalist, etc

* Ideology, movement, tendency

- ism: modernism, capitalism, Marxism, nationalism, etc

Apart from –er, the most frequent noun suffixes are all abstract: tion, ity, ness, ism, ment In general, these suffixes are far more frequent and productive in academic writing than in the other registers (Biber et al 1992: 90)

-2.4.1.2 Zero derivational nominalization (conversion)

Another way to derive nouns from other word classes is known as conversion (or derivation) In this case, no affix is added to the base but the base itself is converted into a

zero-different word class, usually from a verb or adjective into a noun (Biber et al 1992: 91).The details will be presented in table 2.1 below:

l Someone who is A Presidential hopefuls

white Someone who is ASomeone that is A

They speak like the whites do in the

South

You could see the whites of his eyes.

Verbs (V) catch

Act of V-ingSomething that is V-edSomething used for V-ing

He took a brilliant catch (sport).

They had a fine catch of fish.

He loosened the catch and opened the

window

cheat Someone who V-s …accused him of being a cheat

walk Act if V-ingWay of V-ing

Place for V-ing

We can go for a walk later The walk of a gentleman The walk stretched for 154miles

Table 2.1: Converted nouns (Source: Biber et al 1992: 91)

(1) I think Stuart’s gone a bit mad.

(2) The truth is that the country is now specializing more in processing and marketing (3) It is virtually important that both groups are used to support one another.

2.4.2.1.1 Discourse functions of that-clauses

 Grammatical patterns

There are three major grammatical patterns for verbs that take a that-clause in predicative position

post- Pattern 1: Verb + that-clause (eg: agree, ask)

I didn’t agree that he should be compelled to do singing.

 Pattern 2: Verb + NP + that-clause (eg: tell, persuade)

I persuaded (myself) that something awful might happen.

 Pattern 3: Verb + to NP + that-clause (eg: suggest)

I suggested (to Mrs Kerrison) that she sit down on the chair and wait.

 Verbs controlling post-predicate that-clauses

- Mental verbs: mental verbs are very common with that- clauses, reporting various mental

states and attitudes such as know, think, guess, see, find, believe, mean, suppose, feel, realize, hear, hope, assume… Mental verbs are less common with that-clauses in academic

prose, because academic writers usually do not mark the reports of personal thoughtexplicitly

- Speech act and other communication verbs: some common verbs such as: say, show, suggest, ensure, and indicate While the verb say is extremely common in news and conversation, some verbs such as show, suggest, ensure and indicate are used quite

frequently in academic prose because these verbs are often used with a non- personalsubject

 Adjectives controlling post-predicate that-clauses

Some adjectives controlling post-predicate that-clauses are:

- Certainty: certain, confident, sure, positive, etc

- Emotive adjectives: afraid, angry, annoyed, hopeful, glad, etc

b Subject predicate that-clauses

When a that-clause serves as subject predicative to a copular verb it usually has one of

three functions

- Describe a problem of some kind: (The problem is that ….)

- Present reasons, results, or conclusions: (Our first conclusion at this point was that….)

- Present accepted truths or facts: (The truth is that….)

c Extraposed that-clauses

Extraposed that-clauses often involve a main clause that reports an attitude or stancewithout attributing it to anybody Usually they show the attitude of the speaker or writer ofthe text, but the author does not assume direct responsibility Extraposed that-clauses areused primarily in news and academic prose That-clause usually has a non-human subject,and reports a state or relationship in an impersonal manner

Eg: It is certain that the challenges ahead are at least as daunting as anything the cold war produced.

 Verbs controlling extraposed that-clauses

The copula be is the most common verb controlling this type of clause Some other such as seem, appear, follow, etc (It now appears that I will be expected to part with a further portion of my income.)

 Adjectives controlling extraposed that-clauses

Some common adjectives controlling extraposed that-clauses are: clear, (un)likely,true… Others include: - Certainty: certain, doubtful, evident, obvious, etc.

- Emotion or evaluation: amazing, curious, disappointing, good, great, etc.

- Importance: critical, essential, important, necessary, vital, etc.

2.4.2.2 Wh-clauses

There are three basic types of wh- complement clauses: Interrogative clauses, nominal relative clauses and exclamatives Interrogative clauses and nominal relative clauses use

the same wh- words, except that whether is used only with interrogatives Exclamative wh– clauses begin with how or what For example,

(1) Jill was asking what happened (Interrogative clauses)

(2) What baffles me is how few of them can spell (Nominal relative clauses)

(3) He still remembered how wonderful it had been (Exclamatives)

2.4.2.2.1 Structure and functions of Wh-clauses

a Wh-clauses controlled by verbs

 Post-predicate wh-clauses

With verbs, wh-complement clauses often occur in object position For example,

 Grammatical patterns:

- Pattern 1: verb + wh-clause (eg, know, remember, see, etc.)

I don’t know what they are

- Pattern 2: verb + NP + wh-clause (eg, ask, show, tell, etc.)

I didn’t tell (you) what Emma thought.

 Verbs controlling wh-clauses

There are four types of verbs that are most common with wh-clauses

- Mental verbs: know, think, remember, understand, guess, realize, find (out)

- Speech act verbs: tell, ask, say, explain

- Other communication verb: show

- Perception: see, look(at)

Wh-clauses are generally less common in academic prose However, there are some mentaland communication verbs that are particularly useful with wh-clauses in academic prose

such as: discover, describe, and indicate.

 Subject

Wh-clauses can also occur as subject For example,

How to read the record is the subject of much of this book.

 Subject predicatives

Wh-clauses also occur as subject predicatives These structures are particularly common in

conversation with the demonstrative pronoun that as subject, and the copula contracted to

‘s for example: That’s what I am saying.

b Wh-clauses as complements of adjectives and prepositions

 Wh-clauses can also follow adjectival predicates For example,

I am not sure when it’s open for anybody.

 Unlike that-clauses, wh-clauses can be the complement of a preposition or theobject of a prepositional verb For example,

She was amazed at how exhausted she was.

2.4.2.3 To-clauses

In general, infinitive clauses are more common in the written registers than inconversation Infinitive complement clauses serve a wide range of functions They reportspeech, mental states, intentions, desires, efforts, perceptions, and other general actions.They usually occur in post predicate position although they can also occur in subjectposition and in extraposed constructions

2.4.2.3.1 Post predicate to-clauses controlled by verbs

a Grammatical patterns

There are five major grammatical patterns for post – predicate infinitive clauses following

a verb:

 Pattern 1: verb + to- clause (eg, try, hope)

I am trying to get away early.

 Pattern 2: verb + NP + to – clause (eg, tell, believe, enable, expect)

It enables (the farmer) to maintain uniform and near constant condition in the house.

 Pattern 3: verb + for NP + to- clause (eg, ask, love, arrange, wait)

Hire a Daily Mirror van and wait for Mrs John to arrive.

 Pattern 4: verb + bare infinitive clause (eg, dare, help, let)

It could have helped clarify a number of issues.

 Pattern 5: verb + NP + bare infinitive clause (eg, have, feel, make, help, see)

I will have Judy do it.

b Verbs controlling post predicate to-clauses

 For speech act and other communication verbs: ask, prove, promise, tell, warn, etc.

 For cognition verbs: learn, expect, find, understand, etc.

 For perception verbs: see, feel, hear, watch, etc.

 For verbs of desire: hope, like, need, want, etc.

 For verbs of intention or decision: agree, decide, intend, mean, prepare, etc.

 For verbs of modality or caution: get, allow, enable, require, etc.

 For verbs of effort: attempt, fail, manage, try, etc.

 For verbs of probability or simple fact: appear, seem, tend, etc.

c Adjectives controlling post predicate to-clauses

The adjectives that control to-clauses fall into five semantic categories

 Degree of certainty: certain, sure, etc.

 Ability or willingness: anxious, careful, eager, ready, etc.

 Emotion or stance: afraid, amazed, angry, happy, etc.

 Ease or difficulty: awkwark, (un)pleasant, (im)possible, etc.

 Evaluation: bad, brave, careless, crazy, etc.

2.4.2.3.2 Subject predicative to-clauses

To- clauses acting as subject predicatives are relatively common in the written registers.They occur after a copula verb and identify the subject of the main clause They subject istypically abstract There are four major uses of subject predicative to-clauses:

 Framing points in a discussion

 Introducing an aim, objective, plan, goal, purpose, strategy, task, or idea

 Introducing a methodology

 Making a balanced sentence structure when a to-clause is also subject of the mainclause

2.4.2.3.3 Extraposed to-clauses

There are few verbs that control extraposed to-clauses The most common is copula be

combined with a subject predicative noun phrase or prepositional phrase For example,

It is still an adventure to travel down the canyon of the Colorado river in a small boat.

Although extraposed to-clauses controlled by verbs are rare, there are many adjectives that

can control extraposed to- clauses For example: It’s not safe to run down there

2.4.2.3.4 Subject to-clauses

Subject to- clause are rare in all registers When they do occur, they are used primarily inacademic prose In almost all cases, subject to- clauses are used for given information,creating cohesion with the previous discourse

To take away the profits of crime is one thing; to seize the assets that have no connection with crime is another.

2.4.2.3.5 To-clauses across registers

The distribution of to-clause type reflects their different discourse functions The detailswill be presented in the table 2.2 below:

CONV FICT NEWS ACAD Post – predicate to- clause

complementing a verb Common Very common Verycommon CommonPost – predicate to- clause

complementing an adjective Rare Moderately common Common Moderatelycommon Extraposed to- clause

complementing an adjective Rare Rare Relativelyrare Rare

Extraposed to – clause

complementing an adjective Rare Moderately common Moderatelycommon CommonSubject to- clause Rare Rare Rare Rare

Subject predicate to- clause Rare Moderately common Moderately

common Moderatelycommon

Table 2.2: Types of to-clause complements across registers

(Source: Biber et al 1992: 343)

2.4.2.4 Ing-clauses

Like that-complement clauses and to-complement clauses, ing-complement clauses serve a

wide range of functions They are used most often with verbs like begin, start, and stop,

etc to convey aspect, but they are also used to report speech acts, cognitive states,perceptions, emotions, and other actions Overall, ing-clauses are more common in the