An attitudinal study of the novel “ the old man and the sea”by ernest hemingway

The study registered the occurrence of all types of Attitudinal values, namely Affect, Judgment, and Appreciation.. Applying Appraisal Theory developed by Martin and White 2005 to study

MINISTRY OF EDUCATION AND TRAINING

QUY NHON UNIVERSITY

TRẦN THỊ HỒNG THẮM

AN ATTITUDINAL STUDY OF THE

NOVEL “THE OLD MAN AND THE SEA” BY

ERNEST HEMINGWAY

FIELD: English Linguistics CODE : 8220201

Supervisor: VÕ DUY ĐỨC, Ph.D

BỘ GIÁO DỤC VÀ ĐÀO TẠO

TRƯỜNG ĐẠI HỌC QUY NHƠN

TRẦN THỊ HỒNG THẮM

NGHIÊN CỨU THÁI ĐỘ TRONG TIỂU THUYẾT

ÔNG GIÀ VÀ BIỂN CẢ CỦA NHÀ VĂN

STATEMENT OF AUTHORSHIP

I certify that the substance of this thesis has not already been submitted for any degree and is not currently being submitted for any other degree or award

I also declare that any help received in preparing this thesis, and all sources used, have been acknowledged in this thesis

Binh Dinh, 2020

Trần Thị Hồng Thắm

ACKNOWLEDGEMENTS

I am filled with deep gratitude and I aspire to acknowledge many individuals who have heartened me in various ways to arrive at this accomplishment today

My M.A journey could not have been initiated without considerable encouragement and invaluable support from my supervisor, Dr Vo Duy Duc And without his timely enlightenment, my academic pathway could have been unfortunately interrupted I genuinely appreciate and learn a great deal from his professionalism, dedication, intellectuality and loving personality

Besides, I would like to express my gratitude to all the lecturers of my master‟s course, who have enabled me to upgrade my skills and enrich my knowledge of linguistics for the past two years They all play a great part in nurturing my interest in linguistic research to further explore the allurement of both English language and my mother tongue, Vietnamese I am also indebted

to the authors and experts whose works have been cited in the Literature Review of my study

Last but absolutely not least, I need to extend thanks to my family, who have been my sources of motivation to conquer all the challenges and obstacles during the time of my study

is considered as a new approach to evaluating languages The study registered the occurrence of all types of Attitudinal values, namely Affect, Judgment, and Appreciation Specifically, Judgment occupied the largest proportion, the second highest was Appreciation and Affect was found to occur at the lowest rate Besides, Ernest Hemingway tends to employ more positive Attitudinal values to show determination and strong ambition of human beings about the future The explicit resources were also preferable than the implicit ones, featuring a detailed description of each of human characteristics, nature, and fishing so that it evokes profound meanings about the great dream of the working man From the results, it is hopeful that the study may make some contributions to linguistic theory and help English learners use Attitudinal resources effectively

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CHAPTER 1 INTRODUCTION

1.1 RATIONALE OF THE STUDY

Through time, literature has played a crucial part in human communication because people have used it to fulfill awareness, educational, and art functions and even exchange their viewpoints towards life American Literature has attracted worldwide attention because of its enormous influence Ernest Hemingway, whose works have attracted readers all over the world, is the most influential American writer in the 20th century His works have been translated into many languages and taught at schools The Nobel Laureate of

1954 in the field of Literature, Ernest Hemingway, has made significant contributions in the literary world through his diversified writings Among many great American writers, Hemingway is well-known for his objective and terse prose style Of all the novels Hemingway published in his life, The Old Man and the Sea, which is one of the best works of literature, typically reflects his unique writing style Mellouki and Berriha (2016) denote that the prominent feature in the work is the simplicity and naturalness of the words and expressions To make the writing more interesting, he used Iceberg Theory as a special style which is expressed more on the surface without revealing the theme, because the true meaning may not be obvious in the story Besides, numerous elements made The Old Man and the Sea a masterpiece and attracted the attention worldwide

Applying Appraisal Theory developed by Martin and White ( 2005) to study written language is very popular in the field of discourse analysis It has been used as a popular framework for investigating how language is used to evaluate emotions, judge human behaviors and appreciate things or phenomena

Attitude, along with Engagement and Graduation, forms the Appraisal

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System It plays an integral role in the expression of interpersonal meanings of the language Attitude consists of three sub- systems: Affect- expressions of feelings and emotions, Judgement- evaluations of human behaviours and Appreciation-evaluations of things and entities

The language employed by well- known writers can also be deemed valuable, authentic linguistic resources for language learners and researchers Researches relating to the linguistic resources in literary works have been carried out There have been lots of studies based on Appraisal Theory to investigate various features of discourses A significant number of studies on attitudinal resources have been conducted, with various types of discourse being investigated, ranging from American leaders‟ speeches ( Le Thi Van Tue, 2017),

Vo Thi Ngoc Hien (2014), travel advertisements (Nguyen Tiet Hanh, 2015), readers‟ opinions (Vo Thi Kim Thao, 2017), travellers‟ holiday reviews (Nguyen Thi Lien, 2017), letters of complaint (Le Thi Bao Chau, 2017), film reviews (Phan Thi Thanh Hoa, 2017), news about environment (Ngo Ai Quynh Nhu, 2017), advertising slogans (Nguyen Thi Minh Ngan, 2017), love song lyrics (Nguyen Thi Ngan, 2018), to Expressives by the Judges (Le Huu Loc, 2019)

The attitudinal resources of the language that Hemingway used in the story The Old Man and the Sea in terms of its interpersonal meaning may lead

us to uncover Hemingway‟s attitude towards life Although the novel which has been studied by many other researchers from different perspectives, the value of the work has been credited by various scholars, no research has been conducted

on that by applying Appraisal Theory From the above reasons, “An attitudinal analysis of the story The Old Man and the Sea by Ernest Hemingway” is the

focus of my study This research contributes to a specific investigation into the attitudinal resources in the story

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1.2 AIM AND OBJECTIVES

1.2.1 Aim of the study

This research aims at studying the attitudinal values in the story The Old Man and the Sea in the light of Appraisal theory, thereby interpreting the evaluations of the writer toward the plot of the story

1.2.2 Objectives

To achieve the aims, these following objectives are focused on:

- To investigate the sub-types of attitudinal resources in the novel including Affect, Judgement and Appreciation;

- To find out the frequency of occurrence of these values and determine which of them are widely used in the story

1.4 SCOPE OF THE STUDY

Attitude, along with Engagement and Graduation builds up a complete evaluation of language in any discourse Attitude involves three semantic regions relating to emotions, ethics and aesthetics It plays an important role in expressing author‟s viewpoints through plots, contents and characters of the novel In this study, I would like to investigate the Attitudinal resources in the

story The Old Man and the Sea by Ernest Hemingway Emotional, ethical and

aesthical aspects are investigated to find out how the author expresses his style

in writing and understand more about the unique features of the novel

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1.5 SIGNIFICANCE OF THE STUDY

This study focuses on analyzing Attitude, which is concerned with feelings, including emotional reactions, judgments of behavior and evaluation of things, and its effectiveness in the story

The study emphasizes the importance of Appraisal Theory as a framework The learners of English can know how to use attitudinal resources effectively and naturally in communication

1.6 STRUCTURE OF THE THESIS

The thesis consists of five chapters

Chapter 1, “Introduction” presents the rationale, aims, and objectives,

research questions, the scope of the study, the significance of the study, and the organization of the study

Chapter 2, “Literature Review”, briefly reviews the literature of previous

studies relating to this study This chapter also provides the theoretical background of the study

Chapter 3, “Methodology”, deals with the research methods, the

description of the data, data analysis, and research procedures

Chapter 4, “Findings and Discussions”, presents the results of the data

analysis, discusses Attitudinal resources employed in the novel The Old Man and the Sea

Chapter 5, “Conclusion and Implications” summarizes the results of the

study It also offers implications for writing and mentions the limitations of the study and the suggestions for further research

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CHAPTER 2 LITERATURE REVIEW

This chapter presents the theoretical framework the study is based on and the previous studies relating to the topic It consists of three parts The first part

is about the theoretical background of the study The second part deals with Ernest Hemingway, the content of The Old Man and the Sea and the description

of the previous studies

2.1 APPRAISAL THEORY

Appraisal has emerged for over three decades as a framework for investigating how language is used to evaluate, to adopt stances, to construct textual personas, and to manage interpersonal positioning and relationships It is

an extension of the interpersonal function of language described in Systemic Functional Linguistics by a notable linguist, M.A.K Halliday, and is developed

by a group of linguists led by James Martin As Martin and White (2005: 34-35) state, Appraisal “is one of three major discourse semantic resources construing interpersonal meaning” accompanied by involvement and negotiation Appraisal

is concerned with evaluation- the kinds of attitudes that are negotiated in a text, the strength of the feelings involved, and how values are sourced and readers aligned (Martin & Rose, 2007)

According to Butt, et al (2012), the Appraisal system is used to highlight the ways speakers or writers position their audience by expressing their emotions (Affect), their judgments of people‟s behavior and their appreciation

of phenomena in the world through the choice of phonological and grammatical patterns of evaluative language

lexico-As White (2015) mentioned, Appraisal Theory (AT) is an effective framework for analyzing attitudes expressed and interpersonal meanings in

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various literary works, news, legal, scientific and academic discourse It is a particular approach to describing and explaining the way language is used to

evaluate, to reveal the speaker‟s attitudes and positionings This framework is

used to analyze the language of evaluation and investigate how the writers or speakers express their attitudes and establish a certain authorial identity Vo Duy Duc (2017) defines „Appraisal‟ as an umbrella term used to refer to the semantic resources including words, phrases, and structures that speakers or writers employ to negotiate emotions, judgments, and valuations From the perspective

of semantics, AT can be regionalized as three interacting domains – „Attitude‟,

„Engagement‟ and „Graduation‟ Among these domains, Attitude takes a central position It is concerned with our feelings, including emotional reactions, judgments of behavior, and evaluation of things; Engagement deals with sourcing attitudes and the play of voices around opinions in discourse; Graduation attends to grading phenomena whereby feelings and categories blurred (Martin & White, 2005) The three systems can be further subdivided Attitude can be separated by three types of feelings depending on the nature of the appraised, namely Affect, Judgement and Appreciation; while Engagement has two subsystems: Monoglossia, and Heteglossia; and Graduation also consists of two ranges: Force and Focus

2.1.1 Engagement

According to Martin and White (2005), Engagement is the resource of intersubjective stance and dialogistic positioning It allocates rising attitudes and the scope of expressions around opinions in discourse The classification of meanings is aimed at identifying the particular dialogistic positionings associated with given meanings and towards describing what meaning is necessary to employ Engagement involves resources for positioning the speaker's/author's voice with respect to the various propositions and proposals

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conveyed by a text Engagement is subdivided into two kinds: Monoglossic and Heteroglossic The distinction is based on the status of the “bare” or categorical assertion with the resources of dialogistic positioning Monoglossic makes no reference to other voices and viewpoints, which is the factuality, makes no recognition of dialogistic alternatives while Heteroglossic allows for recognition

of dialogistic alternatives The overview of Appraisal Theory is presented in Figure 1

Figure 2.1 Appraisal System

(Martin & White, 2005)

The following examples illustrate the two types of the domain Engagement

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Table 2.1 The Monoglossic and the Heteroglossic

(Martin & White, 2005:100)

In my view the banks have been greedy

Callers to talkback radio see the banks have been greedy

The chairman of the consumer‟s association has stated that the banks have been greedy

There can be no denying the banks have been greedy

Everyone knows the banks have been greedy The banks haven‟t been greedy

As can be seen from Table 2.1, the example in Monoglossic type which is presented as taken-for-granted does not refer to other voices or recognize alternative positions, whereas the ones in Heteroglossic present the writer‟s

views or arguments on the issue such as in my view , there is the argument

though that , callers to talkback radio see, everyone knows, there can be no denying…The use of these expressions denote the background of previous

utterances, alternative viewpoints, and predicted responses

In terms of Heteroglossic, it is classified into two distinctive categories, namely dialogic contraction and dialogic expansion The former relates to closing down the dialogically alternative value positions and textual voices It involves two subcategories: Disclaim which refers to refusals and concessions

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and Proclaim which represents the proposition as highly reasonable The latter is composed of those expressions which expand the scope for dialogic alternatives This sub-type includes Entertain and Attribute Concerning Entertain, it refers to individual subjectivity, the authorial voice In terms of Attribute, it presents propositions in the subjectivity of an external voice

2.1.2 Graduation

The second system is Graduation, which is regarded as “grading phenomena whereby feelings are amplified and categories blurred” (Martin & White, 2005:35) This means it operates across two peaks of scalability from grading basing on intensity or amount to prototypicality and the preciseness It is also a general property of values of Affect, Judgment, and Appreciation that they interpret a wide extent of positivity or negativity From this gradability, Graduation can be categorized into two main forms: Force (the strengthening or weakening) and Focus (the sharpening or softening)

Force deals with gradable assessments as to the degree of intensity and as

to amount It is divided into two subtypes: Intensification and Quantification The first type contains the assessments of the degree of intensity which can operate over qualities (quantification) (e.g slightly hot, extremely hot; he drives very quickly), over processes (This slightly affected us, this greatly affected us),

or over the verbal modalities of likelihood, usuality, inclination, and obligation (e.g it‟s just possible that) Besides, Quantification is the assessments applying

to measuring the presence or mass of entities according to such features as their size, weight, distribution, proximity (e.g small school, large amount, a nearby village) or number (e.g a few days, many years)

In terms of Focus, when considered from an experiential perspective, Graduation is non-gradable resources Focus consists of the value of sharpening

and softening As for Sharpening, it is possible to up-scale the indicated

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prototypicality, which strongly signifies a positive attitudinal assessment (a real

mother, a true friendship); while Softening is used to down-scale the instance

having one marginal membership with a negative assessment (e.g they sort of play jazz, they are kind of jealous, it was an excuse of sorts) Softening values, which can be recognized under headings as „hedges‟ and „vague language‟, while the sharpening of values can be expressed by the heading of intensifiers, boosters, and amplifiers

2.1.3 Attitude

Attitude is the major subsystem in Appraisal framework and one of three major discourse semantic resources forming interpersonal meaning This system is concerned with our feelings, including emotional reactions, judgements of behaviour, and evaluation of things Martin and White (2005) also divided Attitude into three sections of feelings: Affect, Judgment and Appreciation Affect deals with resources of construing emotional reactions; Judgment assesses behavior according to normative principles and Appreciation reveals the value of things including natural phenomena and semiosis

According to Thompson & Hunston (2000), in the general sense, Affect, Judgement, and Appreciation all encode feelings They constitute an interconnected and interactive system of evaluation They are all motivated by affectual response with judgment institutionalizing affectual positioning with respect to human behaviour and appreciation institutionalizing affectual positioning with respect to product and process The affect is the center of institutionalized feelings This interaction among the three attitudinal categories

is illustrated as Figure 3

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Figure 2.2 Judgement and appreciation as institutionalised affect

(Martin & White, 2005: 45)

Attitude, one of the three sub-systems of Appraisal framework, has drawn

more attention for researchers than two other ones The following figure shows

the sub-systems of Attitude

Figure 2.3 Typology of Attitude subsystems (Liu & Thompson, 2009)

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2.1.3 1 Affect

Affect is concerned with semantic resources for interpreting emotional reactions, and registering positive and negative feelings, such as: happiness, sadness, confidence, anxiety, boredom or interest… Affect is also the emotional response to the person, thing, happening or state of affairs and is indicated through various lexical items as verbs of emotion, adverbs and adjectives of emotion, and nominalization It can be positive or negative; explicit or invoked; authorial or non- authorial (observed.)

Attitude was developed by Martin and White as a discourse semantic system, so the general realisations of the grammar and semantics of affect are well understood Affect is concerned with emotional response and disposition and is typically realised through mental processes of reaction and through attributive relational states (e.g I‟m sad; I‟m happy; She‟s proud of her achievements; He‟s frightened of spiders, ect), through norminalisations of qualities and processes (e.g His anger made everyone tired) Appraisal values in general and Affectual positioning in particular may be indicated by:

(1) verbs of emotion (behavioural, mental or relational process)

eg She smiled at him/ She liked him/ She felt happy with him

(2) adverbs (typically Circumstances of Manner) such as happily/ sadly

For example: The captain left sadly

(3) adjectives of emotion: happy/ sad; worried/ confident, angry/ pleased, keen/ uninterested, scared

For example: I‟m happy she‟s joining the group

(4) nominalization (the turning of verbs and adjectives into nouns): joy/ despair, confidence/insecurity, happiness, …

For example: His fear was obvious to all

(5) A phrase: When he got the news, he jumped up and down like a

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young child welcoming his mom back home from the market

As reviewed by Martin and White (2005), Affect can be realized by quality, mental, and behavioral processes, modal adjuncts, and nominalizations These realizations are illustrated in Table 2.2

Table 2.2 Grammatical realizations of Affect

(Martin & White, 2005: 46)

- manner of processes Circumstance the captain left sadly

affect as „process‟

- affective mental

Process

his departure upset him

affect as „comment‟

- desiderative Modal Adjunct sadly, he had to go

According to Martin & White (2005), Affect is classified into four types: Dis/ inclination, Un/ happiness, In/ security and Dis/satisfaction

sub-Dis/ inclination deals with irrealis affect, which describes fear and desire

The common words through which Dis/inclination are indicated are words of

behavior like tremble, shudder, suggest, demand… and words of disposition, for example, wary, keen, miss…

Un/happiness covers speaker‟s emotions concerned with „affairs of the

heart‟ such as sadness, hate, happiness and love; it deals with the moods of feeling

happy or sad and can be expressed through words as cry, laugh, hug, embrace,

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hate, sad, cheerful, love, be fond of…

In/security refers to the speaker‟s emotions concerned with ecosocial

well-being such as anxiety, fear, confidence and trust; it also mentions the mood of feeling peaceful and anxious in relation to the surroundings This sub-type can be

typically presented through words like restless, cry out, shaking, anxious,

confident, comfortable…

Dis/satisfaction stresses the speaker‟s feeling of achievement and

frustration; and mentions emotions concerned with the pursuit of goals – ennui,

displeasure, curiosity, respect Some words such as yawn, fed up with, angry, busy,

attentive, compliment… are used to clarify Dis/satisfaction

Martin and Rose (2007) demonstated how people expressed their feelings in discourse, finding that they varied in two general ways Firstly, there are good feelings or bad feelings, so all four sub-types of Affect can be classified as either positive (good vibes that are enjoyable to experience) or negative emotional dispositions (bad vibes that are better avoided) Secondly, people‟s feelings can be expressed directly, or inferred from the way people are feeling indirectly from their behavior, so affect can be expressed directly or implied

The table below summarizes all four sub-types of Affectual values

Table 2.3 The system of Affect

(Ngo & Unsworth, 2015:4)

DIES/INCLINA

TION

- desire: suggest, request,

demand, miss, long for, yearn for,…

- misery: cry, sad, cry,

whimper, miserable, down, depressed,

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sorrowful, joyless, tearful,

in tears, dejected,…

- affection: hug, love,

like, adore, shake hands, embrace, be fond of, …

- antipathy: abuse, hate,

rubbish, abuse, dislike, abhor,

IN/SECURITY

- confidence: together,

no pressure, confident, …

- disquiet and fear:

stressed, nervous, uneasy, anxious,

- trust: comfortable, optimistic, trusted…

- distrust: never trust,

reluctant, reserve, suspicion, doubt, doubtful,

hesitate…

DIS/SATISFAC

TION

- interest: busy, attentive, involved, …

- pleasure: compliment,

reward, satisfied, impressed, pleased, charmed, thrilled,…

- ennui: yawn, turn out,

jaded, flat, cry, …

author‟s own emotions; through Authorial Affect, “the speaker/writer strongly foregrounds his/her subjective presence in the communicative process” (White,

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2015b) In the case of the Non-Authorial Affect, the speakers or writers express feelings of the other individuals Those are the instances “where it is not the author‟s emotions which are described but those of other human individuals or groups” (White, 2015b) As a result, he/she makes use of the second and third person to offer evaluations on others‟ emotions For example: when a speaker says: “I am interested in reading novels.”, he/ she expresses his/ her interest while the second and third person‟s emotion is called Non-Authorial Affect which the first person merely expresses affect from the second or third person

In other words, the first person is not emotionally involved, and concerned with emotions of other human individuals or groups For instance, when a speaker says: “Many students are worried about their coming exams”, he/ she does not show his/ her feelings toward the matter (Ananda et al., 2018) The expression

of Affect can be also codified through a grammatical metaphor (Halliday and Matthiessen, 2014), which includes nominalized realizations of qualities (joy, sadness, sorrow) and processes (grief, sobs)

The systems of Affect, Judgement and Appreciation not only follow the distinction between positive and negative polarity but also can be classified as direct or implied appraisals This latter distinction is treated in the Appraisal model as an inscribed and evoked Appraisal (tokens) An inscribed Appraisal is explicitly expressed in the text and is associated with specific lexical items and their graduation, whereas an evoked Appraisal is manifested in an implicit manner by reference, for example, to a metaphorical language that can provoke

a particular meaning Martin (2000:155) explains:

[As] far as reading affect is concerned, inscribed affect is more prescriptive about the reading position naturalized – it is harder to resist or ignore; evoked affect on the other hand is more open – accommodating a wider range of reading positions, including readings that may work against the

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response otherwise naturalized by the text

In short, Affect can be indicated not only by the lexico-grammatical

realizations such as types of words or word classes, phrases and

clauses or sentences but also by semantics of four sub-types : Dis/ inclination, Un/ happiness, In/ security and Dis/satisfaction Another sub-type of Attitude is Judgment, which is applied to evaluate people‟s behavior, is demonstrated in the

following section

2.1.3 2 Judgment

The semantic domain of Judgement, as already mentioned, can be seen as the feelings in terms of proposals or norms about how people should and should not behave This subsystem also has a positive and negative dimension, and can

be inscribed or evoked in the discourse Martin and White (2005) propose a subdivision of Judgement into two major groups: Social Esteem (values of Normality, Capacity and Tenacity) and Social Sanction (values of Veracity and Propriety) Judgement of Social Esteem can be classified into three sub-types:

„Normality‟ which expresses how unusual or special someone is, „Capacity‟ which shows how capable they are and „Tenacity‟ which indicates how resolute they are Ngo and Unsworth (2015) suggest the range of realisations categorisation of Normality is very diverse in meaning, it can be divided into three subcategories dealing with the meanings of Fortune, Reputation, and Behaviour Realisations of Capacity can be categorised into three groups: Mental Capacity, Material Capacity and Social Capacity Mental Capacity refers

to mental or cognitive performances and academic or professional skills Material Capacity has to do with physical performance, physical and technical skills Social Capacity refers to personal and interpersonal performances As for Judgement of Sanction, there are two terms „Veracity‟ with the meaning of how truthful someone is and „Propriety‟ modifying how ethical someone is The

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following examples further explain the distinction of sub-types of Judgment

Normality : He is fashionable/he is dated

Capacity : She is an expert/she is inexpert

Tenacity : He is tireless/he is weak

Veracity: He is honest/he is dishonest

Propriety: She is humble/she is arrogant

(Oteiza, 2017) The full system of Judgment set out below in Table 2.4 illustrates the Judgment domain in detail

Table 2.4 The full system of JUDGMENT ( Martin & White, 2005: 53)

Social Esteem positive [admire] negative [criticise]

cool, stable, predictable

…; in, fashionable, avant garde …;

celebrated, unsung …

unlucky, hapless, star- crossed…; eccentric, odd, peculiar, erratic, unpredictable …, dated, daggy, retrograde, obscure, unfortunate ; unfashionable, also-ran…

witty, humorous, droll

…; insightful, clever, gifted …; balanced, together, sane …;

mild, weak, whimpy …; unsound, sick, crippled

…; immature, childish, helpless …;

dull, dreary, grave …;

slow, stupid, thick …;

flaky, neurotic, insane

…; naive, inexpert,

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sensible, expert, shrewd

…; literate, educated, learned …; competent, accomplished …;

successful, productive …

foolish …; illiterate, uneducated, ignorant …; incompetent;

unaccomplished …; unsuccessful, unproductive …

plucky, brave, heroic ;

cautious, wary, patient, careful, thorough, meticulous, reliable, dependable ; faithful, loyal, constant, flexible, adaptable,

accommodating, indefatigable, determined, resolute, persevering, …

timid, cowardly, gutless

…; rash, impatient, impetuous …;

Social Sanction positive [praise] negative [condemn]

veracity [truth]

„how honest?‟

„is the person honest?'

truthful, honest, credible

…; frank, candid, direct

…; discrete, tactful …

dishonest, deceitful, lying …; deceptive, manipulative, devious

`is the person ethical,

good, moral, ethical …;

law abiding, fair, just …;

sensitive, kind, caring

…; unassuming, modest,

bad, immoral, evil …; corrupt, unfair, unjust

…; insensitive, mean, cruel …; vain, snobby,

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beyond reproach?' humble …;

polite, respectful, reverent …; altruistic, generous, charitable …

arrogant …; rude, discourteous, irreverent

…; selfish, greedy, avaricious …

According to White (2015b), under Judgment, we may assess behaviour

as moral or immoral, as legal or illegal, as socially acceptable or unacceptable,

as laudable or deplorable, as normal or abnormal and so on

As White (2015) suggests that, Judgment resources can be realized as

follows:

+ Adverbials: justly, fairly, virtuously, honestly, pluckily, indefatigably,

cleverly, stupidly, eccentrically

+ Attributes and epithets: a corrupt politician, that was dishonest, don‟t

be cruel, she‟s very brave, he‟s indefatigable, a skillful performer, truly eccentric behavior

+ Nominals: a brutal tyrant, a cheat and a liar, a hero, a genius, a

opposites:

virtuous versus immoral, honest versus deceitful, brave versus cowardly, smart vers

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us stupid, normal versus weird

Moreover, Judgement as an attitudinal Appraisal, construes interpersonal meanings Interpersonal function is one of the three social functions performed

by each clause and text (Halliday and Matthiessen , 2014) and deals primarily with the relationship between the participants, i.e., their roles, and the patterns of Appraisal they follow (Butt et al., 2012) The parameters for organizing

Judgment reflect grammatical distinctions in the system of modalisation

(Halliday, 1994), in the following proportions – normality is to usuality, as capacity is to ability, as tenacity is to inclination, as veracity is to probability,

as propriety is to obligation

In the following examples (taken from Martin & White, 2005: 54–55), Judgment values are underlined:

[1] It‟s true he‟s naughty (Judgement of Veracity)

[2] It‟s normal for him to be naughty (Judgement of Normality)

[3] He can go (Judgement of Capacity)

[4] I‟m determined to go (Judgement of Tenacity)

[5] You should go (Judgement of Propriety)

In addition, Judgment resources can be realized either explicitly or implicitly (White, 2015) Therefore, they can be classified into explicit

(inscribed) Judgment, and implicit (token) Judgment As regards explicit Judgment, the assessment is carried out overtly through the use of lexical items

carrying Judgment values such as skilfully, corruptly, lazily, ect In terms of

implicit Judgment, they are realized in a sentence or a whole text It is possible, however, for Judgment values to be evoked rather than inscribed by what the authors label „tokens‟ of Judgment Under implicit one, “Judgment values are triggered by superficially neutral, ideational meanings, lexical metaphors which nevertheless have the capacity in the culture to evoke judgemental responses”

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(White, 2015: 4) The two following examples will illustrate what has been discussed above:

(a) His language skills [Explicit Judgment] have mushroomed, and the

nursery‟s structured approach to phonics is providing him with a solid base that

he can [Explicit Judgment] build on in reception…

(Vo Duy Duc, 2017: 59)

(b) Now, America‟s new partnership with Vietnam is rooted in some

basic truths Vietnam is an independent, sovereign nation and no other nation can impose its will on you or decide your destiny [Implicit Judgment]

(Le Thi Van Tue, 2017: 45)

It is clear that in (a), with the use of words such as skills, can the writer

explicitly expresses the judgments of the capacity of the young learners In

contrast, Example (b) with the clause “no other nation can impose its will on

you or decide your destiny” implies that Vietnam has own authority and

independence

Judgment encompasses meanings which serve to evaluate human behaviour positively and negatively by reference to a set of institutionalised norms The two broad categories of Social Sanction and Social Esteem are distinguished to give an assertion that some set of rules or regulations are more

or less explicitly codified by the culture Those rules may be legal or moral and hence Judgments of social sanction turn on questions of legality and morality

The next section revolves around presenting the last sub-type of Attitude – Appreciation, which is the value used to provide evaluations on products and processes

2.1.3 3 Appreciation

As Martin and White (2005: 36) states, “Appreciation looks at resources for construing the value of things, including natural phenomena and

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semiosis.” Appreciation is considered the “assessment of artifacts, entities, happenings, and states of affairs by reference to aesthetics and other systems

of social valuation”(White, 2015a: 2) Appreciation values are also employed

to give assessments on people, in terms of aesthetics Appreciation deals with the psychological responses to beauty and artistic experiences, the evaluations

of symbolic figures and normal incidents As Vo Duy Duc (2011:31) affirms,

“Appreciation is not always concerned with the evaluation of things, but in many instances, it deals with the aesthetic evaluation of humans.”

Martin and White (2005:56) propose three subcategories in which

Appreciation is grouped: Reaction, Composition, and Valuation Reaction deals

with questions: do they catch our attention; do the please us? Composition is about balance „did it hang together?‟ and complexity „was it hard to follow?‟ and Valuation discusses the question „was it worthwhile/ important?‟

Table 2.5 gives an insight into the sub-types of Appreciation, with examples accompanied

Table 2.5 Types of Appreciation

(Martin & White, 2005: 56) and (Ngo & Unsworth, 2015)

REACTION

IMPACT „did it grab me?

interesting, arresting, captivating, engaging, wonderful, fascinating, moving, remarkable, notable, … lively, intense, impressive, …

stressful, mentally

wearing, boring, tedious, dry, uninviting, … monotonous, …

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QUALITY

“did I like it?‟

Aesthetics Appropriateness

Effectiveness Convenience

Manageability

tidy, quite, lovely, beautiful, splendid, good, clean, …;

suitable, proper, appropriate…;

clever, effectiveness, … convenient, … manageable, accomplished, achievable, reliazable…

bad, plain, ugly, off-putting, poor, …;

unsuitable, … ineffective, …

inconvenient, … indocile,

uncontrollable, unruly,

consistent, considered, logical

…;

shapely, curvaceous, willowly …

unbalanced, discordant, irregular, uneven, flawed

…;

incomplete, shapeless, amorphous, distorted … contradictory, disorganised …;

COMPLEXITY

„was it hard to follow?‟

simple, pure, elegant …;

intricate, rich, detailed, precise … lucid, clear, precise

…;

plain, monolithic, simplistic, unclear, complicated, challenging, extravagant, puzzling …

experimental, innovative, original, unique, enduring, lasting…

not necessary, shallow,

insignificant, unsatisfying ; conservative, fake, bogus,

unmemorable, forgettable,…

BENEFIT/

HARM

„Did it enhance or destroy?‟

beneficial, useful, helpful,

valuable,…

worthless, useless, ineffective, write-off,…

Firstly, regarding Reaction, it describes the emotional impact of the

work on the readers/ listeners It is further divided into two

sub-categories: Impact and Quality While Impact focuses on the evaluated entity that is whether the object grabs our attention, Quality pays attention to the

evaluator‟s response - whether we like the phenomenon In Ngo and Unsworth (2015), Appreciation was extended to include more delicate sub-sets of Quality with Aesthetics, Appropriateness, Effectiveness, Convenience and Manageability

Secondly, in Composition, it is applied to evaluate a product or process

about its configuration, whether it is following various conventions of structural

organization Martin and White (2005) categorize resources of Composition

into Balance- whether the phenomena is orderly, has a sense of balance and connectedness in it and Complexity- whether the events are easy or difficult to

comprehend Finally, under the sub-type Valuation, it refers to assessments that

are used by the speakers to evaluate the social significance of entities, processes, or phenomena according to various social conventions

Like Affect and Judgment, Appreciation has positive and negative

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dimensions - harmonious versus discordant, beautiful versus ugly etc They also

can be located on the cline of low to high force/intensity:

eg pretty, beautiful, exquisite

Besides, it‟s crucial to figure out the grammatical frames for distinguishing kinds of Attitude Affect and Judgment can be realized through a

relational attributive process with the verb feel and an attitude to some person‟s

behavior, and for Appreciation, a mental process assigning an attitude to a thing can be used Below is a summary of these distinguishing patterns suggested by Martin and White (2005)

Table 2.5 Patterns of Attitude (Martin & White, 2005: 58-59)

Affect {Person feels affect

about something}

It makes person feel

affect that [proposition]

I feel happy about

{(for person) to do that

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In summary, Appraisal is one of the three major principal semantic resources interpreting the interpersonal meaning with two other systems- negotiation and involvement Appraisal system includes three interacting domains: Attitude, Engagement and Graduation Engagement deals with the resources of dialogistic positioning of prior utterances, alternative viewpoints, and predicted responses, and Graduation relates to softness or hardness of words used in the evaluation Attitude relates to feelings, including emotional reaction upon a person or an event, judgments of behaviors, and evaluation of an object This study revolves around the inspection of the Attitude domain, which involves feelings, embracing emotional reactions with the targets of conscious participants including persons, human collective and institution, judgments of behaviors and appreciation of concrete or abstract, material, or semiotic things

In this study Attitude is employed as the framework to analyze the semantic features The next section will present the previous studies on Appraisal Theory

2.2 PREVIOUS STUDIES ON APPRAISAL THEORY AND THE OLD MAN AND THE SEA

In recent years, there have been several studies on discourse analysis with the employment of Appraisal Theory as a theoretical framework Some of them are Li, (2016), Netty et al., (2019) and Tran Van Phuoc (2019) As for the novel The Old Man and the Sea, there have been many approaches to study this well-known novel due to the enormous influence of the theme and content of the work

Li (2016) used Appraisal devices to identify Attitude resources in the English song discourse The study showed that the use of Affect and Appreciation is an essential constituent in English song discourse because this reflects the Western humanistic thought English culture is more focused on personality, so the thought and emotion of human basis is deep-rooted in

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English culture Under the influence of English culture, Attitude resource for Affect and Appreciation are mostly used in English song discourse to emphasize not only the author‟s intense emotion but also the author‟s role as a behavior subject

Netty et al., (2019) found out three attitudinal aspects, namely Affect, Judgment, and Appreciation from written works made by Indonesian Migrants

in Hong Kong The research showed that the negative attitudinal lexis outnumbered the positive attitudinal one, and the number of Affect is higher than that of Judgment and Appreciation in evaluating the language used by Indonesian migrants to their mothers The presence of the higher negative data demonstrated that there were problems faced by the writers and their parents and indicated that there are different viewpoints between the writers and their parents regarding objects, attitudes, behavior, or happening phenomena

Tran Van Phuoc (2019) applied the Theory of Language of Evaluation by Martin & White (2005) to collect and describe five Vietnamese writers‟ choices

of Affectual Values to evaluate five main characters‟ feelings and emotions in five Vietnamese short stories The study aimed at identifying lexical-grammatical realizing four domains (1) Happiness, (2) Satisfaction, (3) Security, and (4) Desire in positive and negative, explicit and implicit orientations of affect from characters in short stories Besides, the article‟s writer raised some recommendations to students or future writers in expressing their positioning

In addition, there have been so far some master theses in English concerning Appraisal Theory carried out by many researchers in terms of attitudinal resources, with various types of discourse being investigated, ranging from American leaders‟ speeches (Tran Thi Thuy Tien, 2017; Le Thi Van Tue,

2017, Vo Thi Ngoc Hien, 2014), travel advertisements (Nguyen Tiet Hanh, 2015), readers‟ opinions (Vo Thi Kim Thao, 2017), travellers‟ holiday reviews

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(Nguyen Thi Lien, 2017), letters of complaint (Le Thi Bao Chau, 2017), film reviews (Phan Thi Thanh Hoa, 2017), news about environment (Ngo Ai Quynh Nhu, 2017), advertising slogans (Nguyen Thi Minh Ngan, 2017), love song lyrics (Nguyen Thi Ngan, 2018) Also, Vo Thuy Trieu (2019) has a study on An Analysis of Language of Evaluation in the Film "Gone with the Wind" from the Perspective of Appraisal Besides, there are some comparative studies such as

An Attitudinal Study of English and Laotian Love Story by Phitsakhone Tansavath (2019) and an Attitudinal Analysis of Expressives by the Judges in

The Voice UK versus The Voice Vietnam by Le Huu Loc (2019)

Ernest Miller Hemingway (1899-1960) was an American novelist, journalist and short-story writer His major work was produced in the mid-1920s He won The Nobel Prize in literature in 1954 He was famous for novels like “The Sun also Rises”, “A Farwell to Arms”, “For whom the Bell Tolls” and

“The Old Man and the Sea” The studies of Hemingway‟s literary works, like that of other areas of discourse analysis, cover a broad range of subject matter and draws on a wide range of critical and analytic methods The Old Man and The Sea is well known in the world of literature Many researches have been done to the novel due to the following reasons Firstly, the novel received Nobel prize; secondly, the novel is written in a unique style, and thirdly, the novel is thick in pages (Suyitno, 2006) Moreover, the reputation of Hemingway‟s writing style and his masterpiece was investigated by many critics and

researchers in terms of style and technique like Meyers (2005), Bloom (2008),

Ali, and Qadir (2009), Triphathi (2016), Mellouki & Berriha (2016), Torres (2019) and Schatz (2019)

Meyers ( 2005) depicts that the technique and style of Hemingway‟s books had a profound effect on modern European writers He offered a way of seeing and recording experience which matched his contemporaries‟ belief that

a single character is exploited to the best advantage in Hemingway‟s novel The

Old Man and the Sea Besides, the story is completely dramatized Hemingway

presents the old man, the boy, and the sea at the beginning of the novel and allows the story to unfold itself Besides, ALi and Qadir (2009) carried out a study of the heroic actions of the Old Man and an end to which he is destined

―Free Will and Fate in The Old Man and The Sea The given title is an attempt

to evaluate the main viewpoints of the text This is an elaborate study toward a better understanding of the modern fictional novella The study also investigates two main interrelated themes throughout The Old Man and the Sea They are Free Will as an instinctive feature and the redetermined Fate of an individual

Triphathi (2016) explores the theme of the human relationship with reference to Santiago and Manolin and their interdependence on each other The study focuses on how they both share a bonding that keeps them struggle better

in life The representation of a distinct relationship Santiago and Manolin share has been most appropriately explicated by the author Mellouki and Berriha (2016) shared similar viewpoints and further explained by analyzing four main characters with their relationships in the novels, and the figures of used in a various works of Ernest Hemingway In this study the researcher used qualitative approach and used Formalism criticism to analyze the figures of speech used

Writing style of Hemingway was a topic studied by Torres ( 2019) From

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his study, Ernest Hemingway is known to use his experience as a reporter for a newspaper to develop the use of many conjunctions to achieve an overwhelming effect in a sentence; he also uses a simple and natural language with the richness

of adjectives to attract readers to the text under study and to give an accurate description of the Old Man (Santiago) The style that Hemingway adopted in most of his novels is the simplicity in constructing the sentences It also includes the use of short, choppy sentences that are descriptive and have underlying meanings that are integral to the work Besides, Hemingway is famous for his writing technique, the iceberg, which is used to portray meaning and depth to a character without directly stating what the reader should be thinking The Iceberg Theory is also used as a style to focus more on the surface without discussing what is under the theme because the true meaning for Hemingway should not be obvious in the story In this study, the Appraisal Theory is used to evaluate and reveal the writer‟s attitudes and positionings of the writer, especially Attitudinal framework is applied to analyze Affect, Judgment and Appreciation of the main characters, the Old Man, the boy, the sea, the marlin and the plot of the novel and investigate how Ernest Hemingway express his attitudes and establish a certain authorial identity

The above-mentioned information reveals that there are many studies

carried out from the perspective of Appraisal Theory by Martin and White (2005)

However, up to now, there has been no study on an Attitudinal analysis of the novel “The Old Man and the Sea” - A novel by Ernest Hemingway Therefore, this study could offer a contribution to the sources of studies in the light of Appraisal Theory The Attitudinal resources are investigated carefully to find out how Affect, Judgement and Appreciation values, the typology, the polarity and strategies are used in the novel From the findings, there will be possible

discussions about the writing style of the writer

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To sum up, Chapter 2 presents an overview of the Appraisal system as the guiding theoretical framework for the study As the thesis addresses itself to Attitude resources, a detailed description of the three types of Attitude is provided Additionally, the chapter is also concerned with Hemingway‟s literary works M oreover, a brief review of the previous studies, revolving around the domain of Attitude in AT, is also presented to point out the gap for research

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CHAPTER 3 RESEARCH METHODOLOGY

This chapter aims at describing the research methods and procedures employed in the study In detail, it is dedicated to clarifying the research methods, the description of data, and the data analysis procedure Besides, the validity and reliability of the research are also discussed in this chapter

3.1 RESEARCH METHODS

Various approaches involving qualitative, quantitative, analytic, synthetic, descriptive, and inductive techniques of data interpretation are applied during the study process

The qualitative approach was employed to analyze and describe the attitudinal resources from the text of the story Then, the quantitative approach assisted in finding out the frequency of occurrence of Affect, Judgment, Appreciation, and their sub-classes The quantitative analysis was applied to figure out the function of the Attitudinal resources employed in the data

Besides, the analytic and synthetic techniques were put to use harmoniously for the scrutinization process The analytic practice was to pinpoint and separate certain aspects to focus For example, the Attitudinal resources were investigated in

terms of typology – Affect, Judgment or Appreciation, polarity – positive or negative, strategy – inscribed/explicit or invoked/implicit The synthetic practice

was exploited to consider the interdependence of these elemental parts, i.e., how they work together as a whole

The study finds a use for the descriptive and inductive techniques In particular, descriptive method served to provide a detailed description of the data regarding Affect, Judgment, and Appreciation The inductive technique proved helpful in synthesizing the findings and proposed the explanation and

of writing English The main data taken is in the form of dialogues, events, and narrative expression in the novel

The novel is about Santiago, who is the protagonist of the novella; Manolin, a Cuban teenager; the marlin; and the sea as a central character in the novella The majority of the story happens on the sea, and Santiago is constantly identified with it and its creatures In light of his experiences in Cuba, Hemingway made the character of an old fisherman alone in a boat, the old man gets an extraordinary marlin, just to have it annihilated by sharks The old man, who had been a champion arm-wrestler and an effective fisherman, was similar

to Hemingway, striving for a comeback Alone, he sailed in his skiff toward an epic three-day epic battle with an elusive marlin When he succeeded in harpooning the big fish it struggled and thrashed and tows him further out to sea,

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farther than Santiago had ever been Finally, he managed to drag it alongside the skiff It was a huge fish and would bring a lot of money in the market But, on the return trip back to the harbor, sharp-toothed sharks ripped his prize to bloody pieces so that all that was left is a worthless skeleton In the end, Santiago had nothing to show for this struggle but fish bones In battling the sharks, the old man displayed boldness and grace under pressure, trusting “A man can be destroyed, but not defeated” In this study, the Atttitudinal aspect of the main characters including Affect, Judgment and Appreciation is explored

3.3 DATA ANALYSIS

The system of Attitude in AT was used as the theoretical framework for the data analysis With the corpora, the Attitudinal resources in the novel were positioned, sorted out regarding typology (Affect, Judgment, Appreciation, and their sub-categories), polarity (positive or negative), and strategy (inscribed/explicit or invoked/implicit) Every value will be analyzed line by line from the data They were underlined, bold and labelled as the proper types

of each Attitudinal values The author used the Navigation functions to find the frequency of the same words in the novel After using the searching results and reading the texts carefully with some words bearing two values, the researcher employed the counting functions of Word to find out the frequency The data were imported to the computer with the software Microsoft Office Word and Excel The statistics were shown in tables and figures With the assistance of this tool, the frequency, as well as the proportion of each class, would be precisely calculated The data exported from the computer were summarized, presented in tables, and described using descriptive techniques

The analysis of sample data is demonstrated in the following extracts

“-” is the abbreviation of negative ;

“+” is the abbreviation of positive