Nominalization in legal discourse a systemic functional analysis m a thesis linguistics 60 22 15

Concluding remarks...24 CHAPTER 3: REALIZATION OF NOMINALIZATION IN ENGLISH legal discourse: “Convention On The Rights Of The Child”...25 3.1.. Realization of nominalization in prescript

HANOI NATIONAL UNIVERSITY UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES

POST GRADUATE DEPARTMENT

*****

NGUYỄN THỊ HUYÊN

NOMINALIZATION IN LEGAL DISCOURSE:

A SYSTEMIC FUNCTIONAL ANALYSIS

DANH HÓA TRONG VĂN BẢN LUẬT PHÁP:

PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG

M.A THESIS

English Linguistics

60 22 15

HANOI – 2011

HANOI NATIONAL UNIVERSITY UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES POST GRADUATE DEPARTMENT *****

NGUYỄN THỊ HUYÊN

NOMINALIZATION IN LEGAL DISCOURSE:

A SYSTEMIC FUNCTIONAL ANALYSIS

DANH HÓA TRONG VĂN BẢN LUẬT PHÁP:

PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG

TABLE OF CONTENTS

DECLARATION i

ACKNOWLEGMENT ii

ABSTRACT iii

TABLE OF CONTENTS iv

LIST OF ABBREVIATIONS vii

LIST OF FIGURES AND TABLES …viii

PART A: INTRODUCTION 1

1 Rationale 1

2 Significance of the study 1

3 Aims of the study 2

4 Scope of the study 2

5 Method of study 2

6 Design of the study 3

PART B: DEVELOPMENT 4

CHAPTER 1: THEORITICAL BACKGROUND 4

1.1 Introduction 4

1.2 An overview of grammatical metaphor theory 4

1.2.1 Definitions of grammatical metaphor 4

1.2.2 Classification of grammatical metaphor 5

1.2.2.1 Ideational metaphor 6

1.2.2.2 Interpersonal metaphor 7

1.2.2.2.1 Metaphors of modality 7

1.2.2.2.2 Metaphors of mood 8

1.3 Concluding remarks 10

CHAPTER 2: NOMINALIZATION 11

2.1 Introduction 11

2.2 What is nominalization? 11

2.3 Functions of nominalization 12

2.4 Categories of nominalization 14

2.4.1 Lexical nominalization 14

2.4.1.1 Derivational nominalization 14 2.4.1.1.1 Deverbal nominalization 14 2.4.1.1.2 Deadjectival nominalization 15 2.4.1.2 Zero derivational nominalization (conversion) 16 2.4.2 Clausal nominalization 16

2.4.2.1 That-clauses 17 2.4.2.2 Wh-clauses 19 2.4.2.3 To-clauses 20 2.4.2.4 Ing-clauses 23 2.5 Concluding remarks 24

CHAPTER 3: REALIZATION OF NOMINALIZATION IN ENGLISH legal discourse: “Convention On The Rights Of The Child” 25

3.1 Introduction 25

3.2 English Legal discourse 25

3.2.1 Classification of English legal discourse 25

3.2.2 Characteristics of English legal language 25

3.2.2.1 Lexical characteristics 26 3.2.2.2 Grammatical characteristics 27 3.2.2.3 Textual characteristics 29 3.3 Realization of nominalization in prescriptive legal text “Convention on the Rights of the Child” 30

3.3.1 Introduction 30

3.3.2 Frequency of nominalization 30

3.3.3 Typical types and characteristics of nominalization 31

3.3.3.1 Typical types of nominalization 31 3.3.3.2 Some typical characteristics of nominalization 34 3.3.4 Semantic role of nominalization realized in terms of ideational, interpersonal

and textual metafunctions 35 3.3.4.1 In terms of ideational metafunction 35 3.3.4.2 In terms of interpersonal metafunction 38

3.3.4.3 In terms of textual metafunction 38

3.4 Concluding remarks 41

PART C: CONCLUSION AND IMPLICATIONS 42

1 Recapitulation 42

2 Implications for teaching and translating English legal discourses 43

2.1 To teachers and students: 43

2.2 To translators 43

3 Limitation and suggestions for further studies 43

REFERENCES 45 APPENDIX A

APPENDIX B

RhemeNoun phraseConversationFictionAcademicDeverbal nominalizationDeadjectival nominalizationThat- clause

To- clauseWh- clauseIng- clause

LIST OF FIGURES AND TABLES

Figure 1a: Analysis of congruent form

Figure 1b: Analysis of metaphorical form

Table 1.1: Modality system

Table 2.1: Converted nouns

Table 2.2: Types of to-clause complements across registers

Table 3.1: Frequency of occurrence of nominalization

Table 3.2: Type of nominalization

Table 3.3: Ideational realization of nominalization

Table 3.4: Interpersonal realization of nominalization

Table 3.5: Textual realization of nominalization page

page 6page 7page 8page 16page 22page 30page 31page 36page 38page 39

PART A: INTRODUCTION

1 Rationale

Nominalization is one of the most prominent features of formal written discourses.According to Fowler (1991:79), “English is a sort of nominalized language” sonominalization 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 students

majoring 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 being

used 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 seen fromideational, 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 grammatical metaphorare 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

Actor

Figure 1b: Analysis of metaphorical form

The fifth day

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 called

modulation Each type contains two degrees: Modalization has degree of probability and

modulation has degree of obligation or of inclination However, the orientation is the factor

that determines how each type of modality will be realized Thus, they should be

distinguished between subjective and objective modality; between explicit and implicit

variants 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 by

the 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‟t

know (high) 

It isn‟t possible Mary knows (low))

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

ORIENTATION

POLARITY

1.2.2.2.2 Metaphors of mood

The second interpersonal area in grammar, according to systemic functional linguistics, is

that of mood In order to understand the notion of interpersonal metaphors of mood, it is

necessary to consider, again, what the default types of encoding are According to Halliday

(1994: 363), mood expresses the speech functions of statement, question, offer and

command Statements are expressions which give information, questions are expressions

which ask information, offers are the expressions which put forward something to be

considered and accepted or refused and commands are expressions which ask for

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 fairly

straightforward, but with regard to commands, the situation is different There is a large

variety of expressions that can be used to express the same command:

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

[1:7] (i)(ii)

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

(iv)(v)The examples in [1:7] are different metaphorical variants of expressing a command that

can 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 the

standard expression of requests for information), and the declarative mood type (which

normally, i.e non-metaphorically, expresses the speech function of giving information)

Halliday brings together these various expressions under the heading of the notion of

interpersonal metaphor of mood The reason why these examples are regarded as

metaphorical, lies in the fact that they deviate from the standard, most straightforward

realization 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 grammatical metaphor in theframework of the systemic-functional model Its major points may be summarized asfollows:

- Grammatical metaphor is a substitution of one grammatical class, or one grammaticalstructure, by another (Halliday and Martin, 1993: 79) or as the expression of a meaningthrough a lexical-grammatical form which originally evolved to express a different kind ofmeaning (Thompson, 1996: 165)

- Different systemic linguists have different views on grammatical metaphor It can beclassified into logical, experiential, interpersonal and textual metaphor by Martin orideational and interpersonal metaphor 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 is

the 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 thewithholding 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

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 writingthan 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

zero-derivation) In this case, no affix is added to the base but the base itself is converted into a

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:

Conversion

Base From

Table 2.1: Converted nouns

(Source: Biber et al 1992: 91)

2.4.2 Clausal nominalization

Clausal nominalization is a process by which a prototypical verbal clause […] is converted

into a noun phrase (Givón, 1990: 498) cited in (Carmen, 2008) According to Givón (1990:

498), clausal nominalization refers to any finite or non-finite clause which functions as a

nominal clause Meanwhile, nominal clauses are also called complement clauses because

they often occupy a noun phrase slot in a clause such as subject, object or predicate (Biber

et al 1992: 308)

2.4.2.1 That-clauses

That-clauses are finite Therefore, they are marked for tense and modality, and they have a subject For example,

(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

post-predicative position

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

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

 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

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,

(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.

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,

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

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

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)

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:

Post – predicate to- clause

Subject to- clause

Subject predicate to- clause

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 written registersthan in conversation Ing-clauses can occur in post- predicative position, subject positionand subject predicative position

2.4.2.4.1 Post predicate ing-clauses

a Grammatical patterns for ing-clauses controlled by verbs

Pattern 1: verb + ing-clause (eg, begin, remember,etc.)

Pattern 2: verb + NP + ing-clause (eg, see, find)

Don‟t be surprised to find (me) sitting on the tee in the lotus position.

Pattern 2a: verb + possessive determiner +ing-clause

And may be you won‟t mind (my) saying that you‟re getting a little old for studying.

Pattern 3: prepositional verb + ing-clause

We were thinking of bringing our video camera.

b Verbs controlling ing-clauses

The most common verbs controlling ing-clauses are verbs of aspect or manner such as

keep, start, go on, stop, etc.

Some other kind of verbs occur with moderate frequencies controlling ing- clauses such as

Communication and speech act verbs give indirect report of statements

Cognition verbs tell of a mental state or process

 Stance verbs tell the speaker/ writers‟ feelings or attitudes towards the

idea c Adjectives controlling ing-clauses

Most adjectives that control ing-clauses express a personal feeling or attitude, or some

evaluation of the idea in the ing-clause (I am sorry about being in a mood Saturday.)

2.4.2.4.2 Subject position

Ing-clauses can also occur in subject position:

Reflecting on this and related matters took him past his stop and almost into Dinedor itself.

2.4.2.4.3 Subject predicative position

They can also occur as subject predicatives: Sometimes being loud is being obnoxious.

In conlusion, this part has discussed four types of complement clauses: that-clauses, clauses, to-clauses and ing-clauses In many ways, the types are interchangeable: each type

wh-can complement verbs and adjectives, and each type occurs in several positions Overall,

that-clauses and to-clauses are more than twice as common as wh-clauses and ing-clauses.

Finite complement clauses (that-clauses and wh-clauses) are most common inconversation, followed by fiction They are relatively rare in academic prose However,

academic prose shows a moderately frequent use of communication verb such as show,

ensure, and indicate These verbs are often used with a non personal subject Non-finite

complement clauses (to-clauses and ing-clauses) are most common in fiction, followed by

news and academic prose They are relatively rare in conversation

of experiences and makes the text more ambiguous

-Nominalization can be divided into two types: lexical and clausal nominalization Thereare two subtypes named derivational nominalization and conversion existing in the firsttype In the second type-clausal nominalization, there are four subtypes of complement

clauses: that-clauses, wh-clauses; to-clauses and ing-clauses.

CHAPTER 3 REALIZATION OF NOMINALIZATION IN ENGLISH LEGAL DISCOURSE:

“CONVENTION ON THE RIGHTS OF THE CHILD”

3.1 Introduction

In this chapter, an attempt is made to investigate how nominalization is realized in the legal

text: “Convention on the Rights of the Child” Firstly, some general notion, classification

and the main characteristics of English legal discourse will be examined to set the base forfinding out the realization of nominalization in this legal discourse in the next part

3.2 English legal discourse

Legal discourse is a highly specialized use of language which is the language used betweenlawyer and client or between two lawyers; the language of the courts; the language of lawreports and academic texts on legal matters or the language of legal documents According

to William (2007: 23), the expression of “legal language” is used as an umbrella term to refer to “legal discourse” in general Thus, the use of terms legal discourse and legal

language is sometimes interchangeable

3.2.1 Classification of English legal discourse

Sarcevie (2000: 9) cited in William (2007: 28) divides written legal discourse into three

main types: prescriptive, descriptive and hybrid legal texts.

- Prescriptive legal texts include laws and regulations, codes, contracts, treaties and

conventions Such texts are regulatory instruments containing rules of conduct or norms

- Descriptive legal texts are “written by legal scholars such as legal opinion, law

textbooks,

articles, etc Such texts constitute what is known as legal scholarship or doctrine

-Hybrid texts contain both prescriptive and descriptive features, e.g judicial decisions and

instruments used to carry on judicial and administrative proceedings such as actions,pleadings, beliefs, appeals, requests, petitions, etc

It can be seen that the legal text “Convention on the Rights of the Child” is an international

convention which belongs to Prescriptive legal text

3.2.2 Characteristics of English legal language

Up to now, there have been a growing number of studies into the field of English legaldiscourse This special genre has attracted more and more scholars including linguists Inthe following part, the main linguistic features of English legal discourse will besummarized in terms of lexical, syntactic and textual features

3.2.2.1 Lexical characteristics

 Technical vocabulary

Every profession and occupation is typical of its special technical vocabulary, or “terms ofart” Legal English makes use of a great deal of terminology that is generally unfamiliar to

the lay audience These are words and phrases like restrictive covenant, restraint of trade,

promissory estoppel, etc

 Use of modal verbs to establish rights and obligations

The major aim of statutory provisions is to establish rights and obligations within theirscope of regulation For establishing obliged and forbidden actions, the modal verbs

“must” and “shall” are used, with “shall” being preferred and not being used simply as amarker of future tense as it often is For establishing permitted actions, the modal verbs

“may” and “can” are used, with “may” being preferred

 Archaic or rarely used words and expressions

According to Williams (2007: 32), one of the characteristics of legal language is theinclusion of words and expressions-generally archaic-which are only used in the legal

sphere These may take the form of adverbial expressions such as hereinafter or heretofore,

thereafter, etc or verbs such as to darraign For example,

…there shall be established a Committee on the Rights of the Child, which shall carry out

the functions hereinafter provided - (Convention on the right of the child – Article 43 -1989)

Here-, there- and where- words and their derivatives (-at, -in, -after, -before, -by, etc),

which are uncommon in ordinary English, are used primarily to avoid the repetition of

names of things in the document or of the document itself The parties to this contract shall then be reduced to the parties hereto.

 Foreign words and expressions, especially Latinisms

According to William (2007: 32), English legal language is heavily imbued with lexicalitems and expressions deriving in particular from French and from Latin Some examples

are proposal, effect, society, assurance, insured, schedule, duly, signed, agreeing, policy,

subject, (French origins); basis, table, declaration, registered, stated, part (Latin origins).

3.2.2.2 Grammatical characteristics

 Nominalization

Nominalization – this feature is considered by many scholars of legal language as one ofthe most prominent features According to Tiersma (1999: 77-79) cited in William (2007:37), there is a tendency to resort to nominalization where noun phrases are used inpreference to verb phrases Nominalization occurs where verbs or adjectives are

transformed into nouns For example, to develop, to protect are nominalized into to

development, protection Nominalization is seen as one of the devices that help create the

conciseness, objectivity for legal discourse See the following example,

To this end, States Parties shall encourage the development of appropriate guidelines for the

protection of the child from information and material injurious to his or her well-being…

(Convention on the right of the child – Article 40 -1989).

 Binominal and multinominal features

These terms (binominal) and (multinominal) are terms by Bhatia Very often in legalEnglish, two or three words of the same grammatical category which are syntacticallycoordinate and semantically related are strung together with „and‟ or „or‟ to convey a

single legal concept; for example null and void; fit and proper; perform and discharge;

dispute, controversy or claim; signed and delivered, etc.

 Complex prepositional phrases

Complex prepositional phrases (with the construction of P-N-P) are used in place of simple

prepositions; for example, for the purpose of, in respect of, in accordance with, etc.

According to Bhatia (1983), complex prepositional phrases are used instead of simple

prepositions; for example, “by virtue of” instead of “by”, “for the purpose of” instead of

“for” is because complex prepositional phrases help enhance precision and clarity for

the legal discourse

In accordance with their obligations…, States Parties shall take all feasible measures to ensure

protection and care of children who are affected by an armed conflict

(Convention on the rights of the child –Article 38 - 1989)

 Lengthy and complex sentences

Sentences in legal language are often longer and more complex than in other styles becausethey have more embeddings According to Crystal and Davy (1969: 200-201) cited inWilliam (2007: 33-34), even today written legal English tends to be sparing in its use ofpunctuation Although reforms in punctuation have been slowly introduced throughout thecenturies, a striking characteristic of contemporary written legal discourse continues to bethat of sentence length Even today it is not uncommon to find sentences running tohundreds of words, especially in preambles, with complex patterns of coordination andsubordination

the rights and freedoms set forth therein, without distinction of any kind, such as race, color…

(Convention on the rights of the child –Preamble –

1989)

In the above example, modifications have split the following verb complexes: has

proclaimed and agreed.

 Frequent use of passive constructions

Another commonly stressed aspect characterizing legal language is the frequent use ofpassive constructions Approximately one quarter of all verbal constructions in prescriptivelegal English take the passive form (William, 2004, p.231)

No child shall be deprived of his or her liberty unlawfully or arbitrarily.

(Convention on the rights of the child –Article 37 –

1989)

 Impersonal constructions

discourse helps to reinforce the idea of impartiality and authoritativeness For example,

everybody, no person, no one etc For example,

Every child alleged as or accused of having infringed the penal law has at least the following

guarantees:

(Convention on the rights of the child –Article 40 -1989)

3.2.2.3 Textual characteristics

 Repetition of particular words, expressions and syntactic structures

Another characteristic of legal language is the repetition of words, expressions andsyntactic structures instead of using pronouns references or other types of anaphora

(William, 2007: 33) In the example below, the word carriage is repeated 7 times out of

when the goods are loaded on to the time they are discharged from the ship.

(The Hague – Visby Rules – Article I – 1968)

The main reason for such repetition is to ensure without any shadow of doubt that there can

be no ambiguity as to what is being referred to Outside legal discourse, such repetitionwould be deemed as extremely odd, even comic

 Use of anaphoric and cataphoric reference

Anaphoric and cataphoric references are often used to refer the reader to another provisioneither before or after the present one They may also refer to a provision in another statute.For example:

Encourage the development of appropriate guidelines for the protection of the child from information and material injurious to his or her well-being, bearing in mind the provisions of

articles 13 and 18.

(Convention on the rights of the child –Article 17 -1989)

3.3 Realization of nominalization in prescriptive legal text “Convention on the Rights

of the Child”

3.3.1 Introduction

In this part, an attempt is made to investigate how nominalization is realized in the

prescriptive legal text: “Convention on the rights of the child” Firstly, the frequency of

occurrence of nominalization will be examined to find out if nominalization is a prominentfeature of this text Then, the distribution of semantic types of nominalization will beinvestigated to see the typical type and characteristics of nominalization used in this legaltext The final part is devoted to the exploration of the semantic roles of nominalizationrealized in the text seen from the point of view of ideational, interpersonal and textualmetafunctions in order to find the effects of nominalization on this legal text

3.3.2 Frequency of occurrence of nominalization

The ratio between the total number of nominalized processes and the total number of words

in the text is defined as the frequency of occurrence of nominalization In this study, totalnumber of words in the text is calculated instead of the number of clause for the sake ofeasy counting In fact, it is not easy to define what counts as clauses and computer hasdifficulty counting clauses The summary of frequency of occurrence of nominalization isshown in table 3.1 below:

Table 3.1: Frequency of occurrence of nominalization

Legal text Convention on the rights of the child

As can be seen from the table 3.1, in legal text “Convention on the rights of the child”, out

of 7561 words, nominalization occurs 748 times It means that nominalization occursapproximately once every 10 words This is a very high ratio in comparison with that ofsome other genres such as news reports (once every 19 words) However, the ratio issometimes much higher in some sentences For example,

States Parties shall take all appropriate measures to promote physical and psychological

recovery and social reintegration of a child victim of: any form of neglect, exploitation, or