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THE UNIVERSITY OF THE SOUTH PACIFICLIBRARY
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Vasemaca Ledua Alifereti
Vasemaca Ledua Alifereti
PhD
School of Foreign Languages and Literatures
Tsinghua University, Beijing, China
Analyzing Verticality in the University of the South Pacific Students'Argumentative Writing Texts : a Systemic Functional Perspective
December, 2013
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Vasemaca Ledua Alifereti
PhD
Foreign Languages and Literatures
Tsinghua University, Beijing, China
Analyzing Verticality in the University of the South Pacific Students'Argumentative Writing Texts: a Systemic Functional Perspective
December, 2013
Vasemaca Ledua Alifereti23 rd June, 2014
P.O. Box 10928, Laucala Beach, Nasinu
Fiji Islands
6 Kabi Place, Nasinu, Fiji Islands
( )
Analyzing Verticality in the University of the South Pacific (USP) students’
argumentative writing texts: a Systemic Functional perspective
Dissertation submitted to
Tsinghua University
in partial fulfillment of the requirement for the degree of
Doctor of Philosophy
In Foreign Languages and Literatures
By
Vasemaca Ledua Alifereti
Dissertation Supervisor : Professor Zhongshe Lu
December, 2013
1
2
3
I
Abstract
II
Abstract
Writing is a skill that is difficult to acquire, especially for NNE students studying
at tertiary institutions. This claim is supported by research findings on the status of
academic writing. Reports indicate most students fail to complete their studies in
Europe, USA and in Australia, as a result of poor academic writing skills (Bjork, Brauer,
Reinecker & Jorgensen, 2003). Similar problems are recorded to be experienced by
NNE students at USP. Among the various writing problems cited, the study chooses to
explore the ‘lack of abstract and metaphorical concepts’ (Khan & Mugler, 2001).
It is assumed that abstract and metaphorical concepts are manifested in the use of
nominalization and grammatical metaphor. This assumption is based on one of the
central arguments of the study that a Vertical knowledge structure is realized by the use
of nominalization and grammatical metaphor. Bernstein defines Verticality as
knowledge acquired in education contexts, compared to Horizontal that refers to
learning in our various homes (2000).The distinction between home and school learning
explored in Verticality is what relates it to the two concepts; nominalization and
grammatical metaphor. They are related to Verticality because they all represent
relocation in meaning making from homes, to the education contexts. This relocation in
meaning is the major motif of Halliday’s notion of grammatical metaphor, defined by
the shift to Thing. Based on this understanding, the two concepts are explored in this
study as realizations of Verticality.
A corpus-based analysis is conducted by using two independent sources of data.
The first is from NE student texts of Michigan University in the USA used as referenced
corpora (MICUSP, 2010). The second set, from NNE student texts includes second and
third year students of USP. From the Transitivity system, Relational processes are
selected to elicit data, based on Halliday’s (1985, 1994) claim that here circumstances
are mostly incongruently realized.
To determine Verticality in USP student texts, distribution of nominalization and
grammatical metaphor between the two groups are compared against the background of
the semogenetic timeframe within the congruent and metaphorical continuum. Although
distribution is manifested in texts of both cohorts, a detailed analysis reveals glaring
findings. At the lexical level, analysis of nominalization indicates semantic categories
Abstract
III
used in USP student texts are closer to the congruent pole rather than the metaphorical.
Distribution of grammatical metaphor at the clause level also indicates the nearness of
USP student texts to the congruent pole. A comparison on condensation of information
through rank downgrade illustrates it is common in NE but not USP student texts. This
is embodied through the relocation in circumstantial meaning of ‘cause’ normally
expressed through conjunctions in inter-clausal relations, to prepositions, processes or
participants in Relational clauses. An overall analysis to determine Verticality proves
that USP student texts are closer to the congruent as opposed to the metaphorical pole.
The use of authentic student texts as corpora is significant in relation to
pedagogical implications and language policy making. On the same token, adoption of
Halliday’s notion of grammatical metaphor and the system of Transitivity broadens
their scope of credibility. Most importantly, the study has identified a framework where
USP students can explore abstract and metaphorical concepts that are cited to be lacking
in their academic writing texts.
Key Words: Systemic Functional Grammar; Transitivity; Vertical and Horizontal
knowledge structures; grammatical metaphor; nominalization
TABLE OF CONTENTS
IV
TABLE OF CONTENTS
Chapter One Introduction .......................................................................................... 1
1.1 Background of the study .......................................................................................... 1
1.2 Purpose of the study ................................................................................................. 8
1.3 Significance of the study ........................................................................................ 12
1.4 Overall structure of the thesis ................................................................................ 12
Chapter Two Literature Review .............................................................................. 15
2.1 Conception of Verticality ....................................................................................... 15
2.1.1 Definition of Verticality .............................................................................. 16
2.1.2 Verticality and its relation to nominalization and grammatical metaphor .. 17
2.2 Studies on Verticality ............................................................................................. 20
2.3 Conceptual view of nominalization and grammatical metaphor ........................... 28
2.3.1 Prototype theory .......................................................................................... 31
2.3.2 Basic level categories .................................................................................. 32
2.3.3 Theory of iconicity ...................................................................................... 33
2.3.4 Figure and ground theory ............................................................................ 36
2.4 Functional view of nominalization and grammatical metaphor ............................. 37
2.4.1 Manifestation of nominalization at the lexical level ................................... 42
2.4.2 Manifestation of grammatical metaphor at the clause level ....................... 44
2.5 Summary ................................................................................................................ 48
Chapter Three Theoretical Framework .................................................................. 49
3.1 Transitivity System ................................................................................................ 49
3.1.1 Material clause: processes of doing and happening .................................... 53
3.1.2 Mental clause: processes of sensing ............................................................ 55
3.1.3 Relational clause: processes of being and having ....................................... 56
3.2 Circumstance in Relational clauses........................................................................ 62
3.3 Summary ................................................................................................................ 67
Chapter Four Research Methods ............................................................................ 68
4.1 Research Paradigms ............................................................................................... 68
4.1.1 Quantitative vs qualitative .......................................................................... 68
TABLE OF CONTENTS
V
4.1.2 Research design: Exploratory Interpretive .................................................. 69
4.2 Pilot study .............................................................................................................. 70
4.3 Main study.............................................................................................................. 70
4.3.1 Subjects of study ......................................................................................... 71
4.3.2 Text type chosen to be analyzed .................................................................. 72
4.4 Procedures followed in the selection of corpora .................................................... 73
4.5 Research ethics ....................................................................................................... 75
4.5.1 Willingness to participate in the research ................................................... 75
4.5.2 Protection of subject Rights ........................................................................ 75
4.6 Summary ................................................................................................................ 75
Chapter Five Data Analysis and Discussion .......................................................... 77
5.1 Results obtained from the pilot study. ................................................................... 77
5.2 The main study ....................................................................................................... 80
5.3 Distribution of nominalization in Relational clauses ............................................. 84
5.3.1 Semantic categories commonly employed .................................................. 84
5.3.2 Thing functioning as classifier .................................................................... 88
5.3.3 Element process functioning as qualifier for head Thing ........................... 91
5.3.4 Ambiguity created due to condensing of information ................................. 92
5.3.5 Elemental paradigmatic shift ...................................................................... 93
5.3.6 Syntagmatic metaphoric shift: figure to element ........................................ 94
5.4 Distribution of grammatical metaphor in Relational clauses ................................. 99
5.4.1 Syntagmatic metaphoric shift: sequence to figure ...................................... 99
5.4.2 Prototypical vs peripheral subject position ............................................... 102
5.4.3 Circumstance in Relational Attributive clauses ........................................ 105
5.4.4 Abstraction in Relational Identifying clauses ............................................ 107
5.4.5 Lexical density- a comparison ................................................................... 111
5.5 Conceptualization of nominalization and grammatical metaphor ....................... 115
5.5.1 Prototypicality and nominalization ............................................................ 116
5.5.2 Basic level categorization and nominalization........................................... 117
5.5.3 Theory of iconicity and grammatical metaphor ......................................... 118
5.5.4 Figure-ground theory and grammatical metaphor .................................... 120
5.6 How is Verticality manifested in USP student texts? .......................................... 121
5.6.1 Verticality and nominalization .................................................................. 121
TABLE OF CONTENTS
VI
5.6.2 Verticality and grammatical metaphor ...................................................... 123
5.7 Summary of Findings ............................................................................................ 125
Chapter Six Conclusion .......................................................................................... 128
6.1 Major findings ...................................................................................................... 128
6.2 Theoretical and practical implications ................................................................. 131
6.3 Suggestions to improve USP students’ academic writing texts ........................... 133
6.4 Limitations of the research study ......................................................................... 135
Bibliography ................................................................................................................ 136
Acknowledgement ....................................................................................................... 145
.......................................................................................................................... 146
Appendix A Data description of NE ....................................................................... 147
Appendix B Data of NE ............................................................................................ 148
Appendix C Data description of NNE ................................................................... 149
Appendix D Data of NNE ........................................................................................ 150
Appendix E Paired t-test ......................................................................................... 151
Appendix F Identifying semantic categories worksheet ...................................... 152
Appendix G Raw data NE Relational Attributive (Part I) ................................... 153
Appendix H Raw data NE Relational Identifying (Part II) ................................... 154
Appendix I Raw data NNE Relational Attributive (Part I) ................................. 155
Appendix J Raw data NNE Relational Identifying (Part II) ............................... 156
.................................................. 158
L IST OF ABBREVIATIONS
VII
LIST OF ABBREVIATIONS
CASRO Council of American Survey Research Organization
EAP English for Academic Purposes
EFL English as a Foreign Language
ESL English as a Second Language
HE Higher Education
L1 First Language or Mother Tongue
L2 Second Language
LAD Language Acquisition Device
MICUSP Michigan Corpus of Upper Level Student Papers
NE Native English speakers
NNE Non-Native English speakers
RA Relational Attributive
RI Relational Identifying
SF Systemic Functional
SFG Systemic Functional Grammar
SPSS Statistical Software Package for the Social Sciences
USP University of the South Pacific
Chapter One Introduction
1
Chapter One Introduction
This chapter introduces and presents background information on academic writing
problems that are found to be predominant with Non-Native English students studying
at tertiary institutions. Next, the research problem explored is identified followed by a
discussion on the purpose of the study with research questions posed. In addition, a
description is made on theoretical frameworks adopted, methods employed to elicit data,
major research findings and significance of the study. Lastly, organization of the thesis
is explained.
1.1 Background of the study
The importance of acquiring academic writing skills at tertiary institutions cannot
be emphasized enough. This is shown in the way English for Academic Purposes (EAP)
is made a compulsory course with almost all Non-Native English (NNE) students. In the
EAP course, students are taught the four macro language skills of listening, speaking,
reading and writing (Alexander, Argent & Spencer, 2008; Thaiss & Zawacki, 2006;
Jordan, 1997). Out of the four skills, the current study argues writing is the most
important. Skills and knowledge of academic writing taught in the EAP course are
associated with the elaborated or high register (Martin, 2007; Thaiss & Zawacki, 2006;
Swales 2004; Swales & Feak, 1994; Jordan, 1997). It is the type of writing that is
accepted in publications and within the hierarchies of academic discourse communities.
All students who aspire to pursue tertiary studies have to acquire and be familiar with
academic writing knowledge and skills, in order to communicate and be understood in
their various academic disciplines (Alexander et al., 2008; Thaiss & Zawacki, 2006;
Jordan, 1997). It is in the EAP course that undergraduates are introduced to knowledge
and skills of academic writing.
Defining academic writing is difficult when one takes into account the various
disciplines students who are enrolled in EAP come from (Hyland, 2009; Thaiss &
Zawacki, 2006; Murcia, 2001; Swales & Feak, 1994). Some of the disciplines include
Engineering, Architecture, Law, Sciences, Economics, Social Sciences, and the Arts to
cite a few. The various disciplines have their own standards and conventions of writing
and learning. Consequently, teachers’ expectations in regards to academic writing
Chapter One Introduction
2
produced by students will differ amongst the various disciplines. This may also relate to
factors such as differences in entry qualifications, age groups, ethnicity, cultural
backgrounds, work experience or those that are fresh from high school (Alexander et al.,
2008; Murcia, 2001). However, while taking into account all the differences, it is noted
that EAP as a course of study aims to initiate the novice tertiary student to knowledge
and skills in academic writing that are found to be common across the disciplines.
Theories that guide EAP are derived from the context-oriented approach, features
of which can be traced to a branch of linguistics called ‘Functionalism’ (Alexander et al.,
2008; Hu, 2007; Murcia, 2001). According to Hu, there are three schools perceived to
be pioneers in this field namely; Prague, Copenhagen and the London School. He adds
Mathesius of the Prague school for instance, argues that the combination of both
‘function and form’ is essential if language learning is to be enhanced. This means, in
language learning the student’s ability to produce and also to describe how texts
function in certain contexts are emphasized (Halliday & Mathiessen, 2014, 2004, 1999;
Halliday, 1994). Hjelmslev (1953: 37) of the Copenhagen school iterates that the sign
function creates ‘…a space for the interdependence between thought and language’. The
claim implies that the context-oriented approach considers and encapsulates both the
social and cognitive domains in language learning (Lier, 2004; Murcia, 2001; Wells,
1994; Flower & Hayes, 1981).
From the London school, two leading figures worth mentioning are Bronislaw
Malinowski and John Rupert Firth. Malinowski is remembered as the father of the
Functionalist School (Hu, 2007). Around the 1920s while doing field work in the
Trobiand Islands, he came to realize that language plays a very important role in
organizing social activities for these islanders. He found that language is not learned out
of imagination but of action. An understanding of the meaning of the tribal language is
dependent on the context in which it is used. From arguments put forth by the European
Functionalists, it is obvious that construction of meaning in context is emphasized. The
interactive role of the social context and thought processes by using language as the
most important mediating tool is recognized. Additionally, acquiring the skills not only
to produce but also to describe how language functions in text is highlighted to be
critical components in language learning.
Michael Alexander Kirkwood Halliday who got his inspiration from his teacher
and colleague John Rupert Firth, further expands on the influence of context in the
Chapter One Introduction
3
interdependence between thought and language in meaning making through his
Systemic Functional grammar (Halliday & Mathiessen, 2014, 2004, 1999; Halliday,
1994, 1985). He addresses the elements identified by the Functionalists in a
metalanguage he developed with three strands of meaning and three metafunctions. The
three metafunctions include textual, interpersonal and ideational as exemplified in
Figure 1.1. These three strands of meaning are conflated in the grammar of the clause
and can be teased out depending on the point of entry one chooses to analyze a text. In
the current study, the ideational metafunction which corresponds to the system of
Transitivity in its modeling of human experiences is explored. Results obtained from the
analysis should throw some light on how experiences embodied in language learning
contexts influence knowledge acquired (Halliday & Mathiessen, 2014, 2004, 1999).
Well, usually means mostly, doesn’t it Mary?
textual theme
rheme textual topical
interpersonal
mood residue mood tag vocative
subject finite predicator complement finite subje
ct
experiential token process value
syntagm: conjun. group
adv. group verbal group adv group verbal
group
nominal
group
nominal group
Figure 1.1 Three lines of meaning in the clause (Halliday & Mathiessen, 2014: 212 )
The ideational metafunction includes experiential and logical relations but this study
will mainly focus on the experiential metafunction in relation to how one’s experiences
are modeled in the grammar of the clause (Halliday & Mathiessen, 2014, 2004; 1999;
Thompson, 1996; Bloor & Bloor; 1995). In text analysis, Halliday’s notion of
grammatical metaphor is adopted to examine how experiences are modeled in text. This
is explored by making a comparison between the different contexts referring to either
the congruent or metaphorical mode. It is the assumption of this study that a good
quality academic writing text is one that sparingly incorporates metaphorical variants.
This presupposes the incorporation of nominalization and grammatical metaphor.
Chapter One Introduction
4
In relation to context, academic writing is found to be more skewed to the
metaphorical rather than the congruent mode of language that is commonly used in our
everyday communication (Halliday & Mathiessen, 2014; Martin, 2007; Thompson,
1996; Eggins, 1994). For instance from the two clauses given below, it is apparent that
example (1.1b) is more metaphorical thus is typical of academic writing when compared
to example (1.1a). Example (1.1b) is claimed to be compatible with academic writing
because features that associate the text to ‘here and now’ are filtered out like the process
‘failed’, is now realized as Thing ‘failure’. This metaphoric shift of the element process
to be realized as Thing is called nominalization. Another feature of academic writing
embodied in example (1.1b) is the concept of abstraction where an abstract concept
‘failure’ is realized as Thing.
(1.1a) when an engine failed…
(1.1b) in times of engine failure…
A characteristic of grammatical metaphor that is in harmony with academic
writing is the potential to condense information. This is shown in example (1.2b) a
nominal group derived from the figure in example (1.2a). The element process ‘act’ of
the figure is realized as Thing in the nominal group ‘our act’.
(1.2a) we act effectively
(1.2b) the effectiveness of our act
The relocation in mapping of meaning (semantics) to corresponding wording
(lexicogrammar) which is a typical feature of grammatical metaphor is aligned with
features of texts accepted in academic contexts.
In a nutshell, two concepts encompassed in a high quality academic writing text
that are found to be common across the disciplines include nominalization and
grammatical metaphor. This is illustrated among other things through elements
embodied in the two concepts such as condensing of information, abstraction and the
shift to Thing (Halliday & Mathiessen, 2014; Martin, 2007; Painter, 1999; Thompson,
1996; Eggins, 1994). This study suggests a quality academic writing text is defined by
its manipulation of nominalization and grammatical metaphor which retrospectively is a
realization of a Vertical knowledge structure. The next section discusses studies that
highlight problems in academic writing that are faced by Non-Native English (NNE)
students globally and likewise students at the University of the South Pacific (USP).
Chapter One Introduction
5
Various reports gathered on studies conducted to find out more on the status of
academic writing in European Higher Education (HE) reveal that one third of the
students fail to complete their dissertation due to lack of academic writing skills (Bjork,
Brauer, Reinecker, & Jorgensen, 2003). In USA, Boice (1993) explains that about fifty
percent of all students who qualify to write dissertations do not complete because they
are not able to express themselves using academic writing conventions. Likewise, in
Australia research findings by Jones (2005) highlight that standards of students’ generic
skills and attributes in academic writing are declining. Bjork (2003) says that decline in
the quality of academic writing cited by other colleagues is not uncommon. In a German
newspaper ‘Die Welt’, an article titled ‘The organization of thinking by writing’ reports
that half of the university dropout rate in Germany is due to poor academic writing
skills. Similar problems are faced by international students studying in Tokyo
University in Japan as presented by Buker (2003) and likewise by Chinese students
studying in Canada (Yang, 2006).
To put into perspective what particular language problems are predominant and
common in NNE speakers’ academic writing, a study undertaken by Tony Silva (1997)
is discussed. He collected 72 reports of empirical research that examine undergraduate
college NNE student texts against their NE counterparts. The participants are in their
late teens and early twenties. About 27 different L1s are represented with native
speakers of Arabic, Chinese, Japanese and Spanish as predominant. The subjects are
described by Silva as having a high level of English proficiency and they exhibit a wide
ranging level of writing ability. The writing tasks are mainly short expository or
argumentative essays timed for thirty or sixty minute sessions in class or during
examinations.
Findings show that texts written by NNE students are less effective compared to
their NE counterparts (Campbell, 1987). Out of the many other studies examined,
Campbell in particular identifies this to be true for his subjects who are mainly of
Chinese, Indonesian and of Korean backgrounds. Those that comment on comparison of
the length of writing show conflicting results. Some mention that NNE texts are shorter
in word count (Silva, 1990; Reid, 1989; Hirokawa, 1986) while other authors argue they
are longer (Hu, L. Brown, & D. Brown, 1982). The conflicting findings can be
attributed to cultural influence or maybe differences in the cognitive demand of the task.
Yet another study finds that there are more errors in NNE texts (Yang, 2006). Some
Chapter One Introduction
6
common errors identified are; morphosyntactic (Hu et al., 1982), lexicosemantic
(Dennett, 1985), spelling, punctuation (Hirokawa, 1986), errors in cohesive device use
(Scarcella, 1984; Mahmoud, 1983), and more verb, noun-pronoun, article, and
preposition errors (Silva, 1990).
In a study concerning how Arabic students present their arguments, Mahmoud
(1983) identifies a number of weaknesses. He finds that in most cases conditions are not
stated, key terms are not defined and there is less exemplifying but more warning and
emphatic communion. Moreover, students do not often state or support their positions.
In the case of text organization, paragraphing is sporadic and less utilized. There is less
rhetorical connectedness in writing, a looser segmental structure in regards to
introduction-discussion-conclusion. Other similar studies highlight NNE texts exhibit
more coordination and less subordination (Silva, 1990; Hu et al., 1982). Moreover, texts
reveal that students address audience less and overexploit emotive words. In a similar
study, Connor and Kramer (1995) report that NNE students do not adequately justify
their claims and do not link concluding inductive statements to the sub topics of the
problem of study. Texts are found to have fewer adjectives, possessives, verb forms
used as noun modifiers, fewer prepositions, prepositional phrases (Reid, 1989) and
fewer definite articles (Oi, 1984). Additionally, NNE texts are found to contain less
passive voice (Webb, 1988).
Researches done regarding the differences in the use of cohesive devices primarily
focus on two areas; the use of conjunctive and lexical ties. Findings show that NNE
texts use more conjunctive ties (Hu, Brown, & Brown, 1982; Oi, 1984; Scarcella, 1984)
and fewer lexical ties (Hu, Brown, & Brown, 1982). The lexical ties explored are
limited and often recycled. Moreover, NNE texts show shorter words (Reid, 1989) and
less of lexical variety and sophistication (Hu et al., 1982). Silva (1997) mentions that
although there is evidence in NNE text of metaphorical awareness, this knowledge is
not fully explored to fill in the gaps in the second language vocabulary.
The problem of academic writing for NNE students at USP has been an ongoing
concern since and even before the introduction of EAP in 1993 (Deverell, 1989).
Although no other study has been recorded in the last ten years or so on the status of
academic writing at USP, the few earlier ones conducted, all seem to have raised similar
findings (Deverell, 1989; Moag & Allen, 1978). A qualitative study administered in the
form of interviews, reports that students who are enrolled for undergraduate studies at
Chapter One Introduction
7
USP believe they have acquired adequate language skills to support them in tertiary
studies (Deverell, 1989). However, this finding is contradictory to what is reported by
Khan and Mugler (2001) in another study involving both students and their lecturers.
The study explores survey methods by using both interviews and questionnaires.
Academic writing problems mentioned by lecturers to be common in student texts are
not specified but cited as grammatical errors, unsatisfactory referencing, lack of
research, lack of cohesion, problems in structuring of text, vagueness in expression,
problem in constructing an argument, inability to use the appropriate style, inadequate
vocabulary and lack of abstract and metaphorical concepts. The academic writing
problems are similar to those encountered by NNE students in other parts of the world.
Most importantly, one that the current study chooses to explore is the lack of ‘abstract
and metaphorical concepts’ in USP student texts.
The researcher believes academic writing problems identified are the consequences
of language learning pedagogies adopted. This claim is based on her experiences both as
a student and teacher of English in Fiji schools. Additionally, information obtained
during informal conversations with teachers while collecting research data indicate that
the two earlier language learning traditions might still be widely adopted in Fiji schools.
The text-oriented approach which is informed by theories of behaviorism emerged
around the 1960s (Alexander et al., 2008; Christie & Macken-Horarick, 2007; Murcia,
2001). This approach emphasizes repetitive drills, learning of grammar rules and
language learning without consideration of its context (Hyland, 2009). Murcia adds a
drawback identified is that students are not able to speak the language and they continue
to reproduce texts they are taught to copy in language classes. In the 1970s, the writer-
oriented approach guided by cognitive theories was developed to address the criticisms
made towards the text-oriented approach’s oversight on the learner’s cognitive
development (Murcia, 2001; Raimes, 1983; Flower & Hayes, 1981; Emig, 1971). Since
learner autonomy is the focus of attention in this approach, students are left to pursue
their own learning according to their own interests and at their own pace (Murcia, 2001).
A weakness noted from this approach is in maintaining a standard format for evaluation
because of the diversity in students’ areas of interests (Alexander et al., 2008; Christie
& Macken-Horarick, 2007; Thaiss & Zawacki, 2006; Murcia, 2001). The rebirth of the
context-oriented approach in the 1980s was anticipated to address the pivotal and
mutually constitutive role played by both the internal and external environment of the
Chapter One Introduction
8
child in language learning. EAP is a course of study founded on theories that inform the
context-oriented approach.
1.2 Purpose of the study
In this study ‘argumentative writing’ is used interchangeably as ‘academic writing’.
This stance is based on Hyland’s (2009:1) definition by referring to academic discourse
‘as ways of using language in the education contexts in the form of essays, presentations,
dissertations, research articles’ and so on. Hence, argumentative writing is viewed as a
text type categorized under academic writing texts. The central purpose of this study is
to highlight that ‘argumentative writing’ or academic writing can be improved through
the incorporation of nominalization and grammatical metaphor. On the same token,
texts that employ the two concepts nominalization and grammatical metaphor are
claimed to be reflective of a Vertical knowledge structure. To prove these claims,
Halliday’s notion of grammatical metaphor and his Functional view of Transitivity are
explored (Halliday & Mathiessen, 2014, 2004, 1999; Halliday, 1994, 1985). The theory
argues grammatical metaphor involves the relocation in mapping between meanings to
corresponding lexicogrammar. This relocation in mapping implies it is an alternative to
the congruent mode of meaning making normally observed in our everyday
communication. It is the assumption of the study that this alternative mode maps on to
metaphorical modes of expressions embodied through the use of nominalization and
grammatical metaphor. Hence, by using the Transitivity system as a grammar that
models human experiences, it is anticipated that texts analyzed should be able to inform
us whether nominalization and grammatical metaphor are manifested in USP student
texts or otherwise. In order to attain the purpose of this study three research questions
are posed.
Research Question One: How are nominalization and grammatical metaphor
reflected and distributed in Relational clauses?
Research Question Two: What is concluded from the comparison of NE and NNE
texts in relation to the realization of Verticality in USP (NNE) student texts?
Research Question Three: What suggestions are put forth to improve the
realization of Verticality in USP student texts?
Chapter One Introduction
9
A corpus-based analysis involving two sets of corpora is conducted to make a
comparison on the distribution of nominalization and grammatical metaphor. The first
set comprising of NE speakers from Michigan University in Ann Arbor, USA is used as
referenced corpora (MICUSP, 2010). The second set is from tertiary students of the
University of the South Pacific. Thirty scripts comprising of argumentative writing texts
from the school of Humanities are selected from each cohort. The argumentative text
type is chosen to lessen variability. In addition, it is a text type that explores persuasive
rhetorical devices that trigger higher cognitive skills found to be in harmony with the
attainment of Verticality (Chandrasegaran, 2007; Hormazabal, 2007; Flowerdew, 2003).
At the outset, a pilot study is undertaken to verify Halliday’s (1994)
‘Circumstantial theory’ and to select corpora for the study. The ‘Circumstantial theory’
refers to the relocation in mapping of circumstantial meaning to corresponding
grammatical labels. It is argued that in Relational clauses circumstances are remapped
to process, preposition or participants (Halliday & Mathiessen, 2014). The configuration
of elements in Relational clauses emphasizes relations between the two inherent
participants where element process is non-salient. This relation realizes the primary
motif of grammatical metaphor in the shift to Thing. After the theory is verified
selection of corpora for the main study is then commenced.
Two software programs Excel and Software Package of the Social Sciences (SPSS)
are used to code, record, describe and statistically analyze the data. Selected corpora
identified as NE and NNE texts are then analyzed to determine how nominalization and
grammatical metaphor are reflected and distributed in student texts. In order to
determine Verticality, a comparison is made between USP student texts and NE texts
against the semogenetic timeframe (Chen & Foley, 2005; Halliday & Mathiessen, 1999).
Analysis is conducted at the lexical and clause levels. At the lexical level,
Halliday’s metaphor taxonomy is employed to compare prevalence and frequency in
usage of selected semantic categories between the two cohorts NE and USP student
texts. The most common semantic category employed then determines their location
within the congruent and metaphorical continuum. The potential of element participant
to adopt a secondary role such as qualifier, possessive or classifier is also examined.
Texts that fully employ this shift indicate they are able to condense information through
rank downgrade from figure to element. In addition, the metaphoric shift of element
process to function as qualifier and to be recognized as head Thing in a nominal group
Chapter One Introduction
10
is also investigated. The ability to utilize these metaphoric shifts should improve the
quality of students’ academic writing texts.
At the clause level, condensation of information is also examined on the
downgrade in shift from sequence to figure. A sentence that has a higher frequency of
nominalized groups illustrates a higher lexical density which means more abstract and
metaphorical concepts. Additionally, a comparison is made on the students’ ability to
violate the dominant subject position. Information gathered is then used to determine a
text’s positioning within the congruent and metaphorical continuum. Another analysis
compares relocation in circumstantial meaning that is normally expressed through
conjunctions in inter-clausal relations to process, preposition or participant in clause-
internal relations. The ability to incorporate this metaphoric shift is compatible with
academic writing texts because quantum of change is inertly brought about in such
clause relations. Furthermore, an important factor found to contribute to the creation of
a particular circumstantial semantic space is the choice of expansion type. It is
important to note that the meaning of expansion changes in Relational clauses as a
consequence of metafunctional manifestation (Halliday & Mathiessen, 2014: 674). This
implies the use of ‘cause’ typical of logico-semantic relations where conjunctions such
as ‘so’ and ‘because’ are changed to process, preposition or participant in clause-
internal relations. To add credibility to the research findings, the Functional view of
grammatical metaphor is further substantiated from the Conceptual view of grammatical
metaphor (Ungerer & Schmid, 1996; Lakoff, 1993; Givon, 1985; Lakoff & Johnson,
1980).
Major findings highlight that in relation to realization of Verticality, USP student
texts are far behind their NE counterparts. Although texts reveal incorporation of
nominalization and grammatical metaphor in USP student texts, a comparison against
the semogenetic timeframe portrays they are closer to the congruent instead of the
metaphorical pole. Significant findings on the analysis of nominalization show that the
semantic categories commonly employed in USP student texts such as, ‘quality thing’
and ‘process thing’ are closer to the congruent rather than the metaphorical. This is
because they appear earlier in language development. A comparison on the frequency
illustrates that USP student texts employ the semantic categories 50% less than NE texts
(see Figure 5.11). Findings also reveal the dire need to employ ‘process as qualifier’
(see Figure 5.15) and likewise ‘participant as classifier’ (Figure 5.14) in order to expand
Chapter One Introduction
11
nominal groups. Additionally, an examination of the metaphoric shift of element
process to become head Thing in a nominal group proves to be almost non-existent in
USP student texts.
Analyses of grammatical metaphor through downgrade in rank from sequence to
figure depict nominal groups that have been downgraded are semantically loaded and
more complex in NE texts rather than USP student texts. This claim is made while
comparing alternative congruent rewordings (see section 5.4.1). NE texts employ
clauses and clause complexes whereas USP student texts only include simple clauses
with simple lexical items. A comparison on the violation of the prototypical subject
position indicates it is scarcely exploited in USP student texts (see section 5.4.2). This
finding is a clear indication of USP students’ inability to utilize the systemic deviation
that is anticipated to trigger suspense to the unfolding of the ‘new’ information
(Halliday & Mathiessen, 2014; Martin, 2007). Another examination is conducted to
determine the circumstantial semantic space created as a consequence of expansion
types chosen to dispense meaning. It is noted that circumstance of ‘cause’ is quite
significant in NE texts as a consequence of the choice of enhancement expansion types.
In relation to texts from students of the University of the South Pacific (USP),
circumstance of manner is created as a result of mostly using elaboration. While making
a comparison between the two groups on the metaphoric expression of circumstance, it
is obvious that NE texts are located nearer the metaphorical pole compared to USP
student texts.
An overall evaluation on the distribution of nominalization and grammatical
metaphor indicates the two concepts are employed in USP student texts. However, in
terms of determining Verticality data show they are behind their NE counterparts. This
is because their placement is more skewed towards the congruent rather than the
metaphorical pole. Findings have justified the reliability of the theoretical frameworks
explored because they are able to identify academic writing problems cited to be lacking
in USP students’ academic writing texts. The study has also proven a major argument
proposed by the study that Verticality is realized through the use of nominalization and
grammatical metaphor. Additionally, clause-internal relations made that contribute to
the creation of grammatical metaphor have also justified the choice of Relational
clauses as an appropriate framework to elicit data for the study.
Chapter One Introduction
12
1.3 Significance of the study
Some innovative contributions of the study include the use of a corpus-based
analysis where Native English speakers’ texts are used as referenced corpora. The use of
authentic student texts has value and significance for USP students in regards to
pedagogical implications and policy formulation. The choice to analyze incongruent
circumstances in Relational clauses is innovative because it tests and validates
Halliday’s ‘Circumstantial theory’ (Halliday & Mathiessen, 2014, 1999). Subsequently,
adopting Halliday’s notion of grammatical metaphor broadens the scope of its
applicability. In the dialogue between Bernstein’s Sociological and the Functional
perspective in relation to building Verticality, literature shows few studies have been
conducted at primary schools, secondary and with preschool aged children but none has
been conducted at the tertiary level. Hence the current study’s analysis of student texts
at the tertiary level serves as an innovative contribution to this field of study.
1.4 Overall structure of the thesis
The research study comprises of six chapters. The ‘Chapter One’ is an introduction
to the whole thesis. It includes background study, purpose, research questions,
theoretical framework, methods employed to elicit data, followed by this section on
organization of the thesis.
Chapter Two explores the notion of Verticality on how it was conceived and
discusses how the features embodied in the two concepts nominalizations and
grammatical metaphors contribute to the realization of Verticality. Next some studies
that had explored and highlighted the importance of the two concepts in building
Verticality are presented. The Conceptualization of grammatical metaphor as an integral
component of human communication is discussed next. Following this is a presentation
of the various approaches chosen by this study to analyze texts from the Functional
view of grammatical metaphor.
Chapter Three discusses Halliday’s Functional perspective of Transitivity as the
theoretical framework of the study (Halliday & Mathiessen, 2014, 2004, 1999). It
explains that Transitivity is adopted because it has a grammar that models human
experiences. It is thus anticipated that experiences embodied in language learning
contexts can be examined as an object of study through the unfolding of meaning in
Chapter One Introduction
13
texts analyzed. Halliday identifies six process types but only the three major ones
namely; Material, Mental and Relational are discussed. Out of the other two clauses,
Relational is chosen to elicit data since human experience is modeled differently in this
clause type. The configuration of elements in a Relational clause emphasizes the
relation between two inherent participants where the role of the element process is not
given much weighting. Moreover, relations made in a Relational clause contribute to a
quantum of change that is inertly brought about. These characteristics are found to be in
harmony with the general motif of grammatical metaphor in the shift to Thing and thus
the realization of Verticality.
Chapter Four ‘Research Methods’ explains that the current study conducts a
corpus-based analysis on the distribution of nominalization and grammatical metaphor
in Relational clauses. It is a comparative analysis between Native English speakers and
Non-Native English speakers to determine manifestation of Verticality in USP (NNE)
student texts. A pilot study is conducted at the outset in order to ascertain validity and
reliability of data selected for the main study. Two sets of data are employed in the
main study, the referenced corpora is from Native English speakers who are tertiary
students of Michigan University in the USA. The second set is from students who are
Non-Native English speakers of the University of the South Pacific. Data are
statistically described and analyzed using two sets of software programs. In the course
of acquiring data research ethics are closely observed.
Chapter Five ‘Data Analysis and Discussion’ analyzes and presents results
obtained from the pilot and main study. Analysis is presented in two parts; firstly at the
lexical level on the distribution of nominalization, followed by the distribution of
grammatical metaphor at the clause level. Distribution illustrates that both
nominalization and grammatical metaphor are embodied in USP student texts. However,
in attempting to determine Verticality findings are compared against the semogenetic
time frame within the congruent and metaphorical continuum (Halliday & Mathiessen,
1999). To further substantiate credibility of findings, the Conceptual view of
grammatical metaphor is also explored. Results gathered from the comparison show that
USP students are behind their NE counterparts. Some recommendations to improve
Verticality in student texts are then put forth.
Chapter Six ‘Conclusion’ summarizes the major research findings and presents
some theoretical and practical implications of the study. Lastly, limitations faced by the
Chapter One Introduction
14
researcher are explained and some prospects for further research in the field are put
forth.
Chapter Two Literature Review
15
Chapter Two Literature Review
This chapter highlights the importance of Verticality and how it is realized through
the use of nominalization and grammatical metaphor. Firstly, the notion of Verticality
and how it was conceived is explained followed by a discussion on its relation to
nominalization and grammatical metaphor. Previous studies are presented to prove the
main argument of this research that nominalization and grammatical metaphor are
critical in building Verticality in students’ academic writing texts. Next, the
conceptualization of grammatical metaphor is explored followed by a presentation on
the Functional view observed in the analysis of student texts in this study.
2.1 Conception of Verticality
‘…if there is no grammatical metaphor there is no Verticality’ (Martin, 2007:54).
The process enabling the drift from spoken to written discourse is referred to by
Halliday among others as grammatical metaphor (Halliday & Mathiessen, 2014; Martin,
2007; Schleppegrell, 2005). The authors concur that grammatical metaphor is Halliday’s
most important concept because it names the process which engenders Vertical
discourse. Verticality is explored in this study as a type of knowledge structure
associated with Bernstein’s triangular metaphor to depict the hierarchical view in the
organization of knowledge (Maton & Muller, 2007; Christie, 2002; Hasan, 2001;
Bernstein, 2000, 1999). The notion of Verticality was first conceived and explored by
the British linguist and anthropologist Basil Bernstein (2000, 1999). His main intension
was to find solutions to the academic disparity prevalent in schools between the upper
middle class children and those from the lower socio-economic backgrounds. The
concept of Verticality had emerged as a result of his research findings in relation to the
pivotal role played by language in shaping the world views of a group of people
(Bernstein, 1996, 1977, 1971). He discovered that language codes such as the ‘restricted
code’ spoken by the lower social class and the ‘elaborated code’ spoken by the upper
middle class differentially organize their ways of thinking. What is perceived important
by the upper middle class may not be accorded significance by the lower social class.
This is supported by Hasan’s (1989) notion of ‘semantic variation’ to refer to
‘systematic variation in the meanings people select in similar contexts as a result of
Chapter Two Literature Review
16
social positioning’ (Williams, 2005:457). In this study, Hasan provides credible
evidence comparing natural conversations between mothers and their pre-school
children drawn from ‘high autonomy professionals’ (HAPs) and ‘low autonomy
professionals’ (LAPs). The study confirms Bernstein’s claim that the language code
spoken influences the way students perceive the world relative to what is valued in their
respective social groups.
Bernstein (1990, 1996) further adds the code functions as a regulative principle, it
is tacitly acquired, ‘… selects and integrates relevant meanings, forms of realizations
and evoking contexts’ (Christie, 2007: 6). The regulative principle of the language code
theory transpires into the pedagogic discourse of the school. This is an advantage to the
upper middle class children because their home language is recognized as the language
of instruction (Hasan, 2001; Bernstein, 2000). The pedagogic device is facilitative in the
creation of pedagogic discourse. It takes practices in identified sites and relocates or
recontextualizes these for purposes such as teaching in schools (Christie, 2004; Hasan,
2001; Bernstein, 2000, 1971). In this discussion on pedagogy, Bernstein realizes that
little has been done on the nature of knowledge communicated in pedagogic activities
(Bernstein, 2000). It was this concern that led him to the study on Vertical and
Horizontal knowledge structures.
2.1.1 Definition of Verticality
Bernstein (2000:157) distinguishes between Horizontal and Vertical discourses out
of which a theory of knowledge structure emerged. He defines Vertical as;
a discourse that takes the form of a coherent, explicit and systematically principled
structure, hierarchically organized as in the sciences or it takes the form of a series
of specialized languages with specialized modes of interrogation and specialized
criteria for the production and circulation of texts as in the social sciences and
humanities. Horizontal discourse entails a set of strategies which are local,
segmentally organized, context-specific and dependent, for maximizing encounters
with persons and habitats.
According to Muller (2007) Verticality is to do with how theory develops. In
hierarchical knowledge structure, knowledge develops through integration towards ever
more integrative or general propositions, the trajectory of development of which lends a
hierarchical knowledge structure. It develops through integration towards ever more
Chapter Two Literature Review
17
integrative or general propositions, the trajectory of development which lends
hierarchical knowledge structure a unitary convergent shape. Horizontal knowledge
structures on the other hand ‘are not unitary but plural, consisting of a series of parallel
incommensurable languages’ (Muller, 2007:70). On the other hand, Painter (2007, 1999)
defines Horizontal discourse as oral, local, context dependent and specific. It is
multilayered, contradictory across but not within contexts and most crucially,
segmentally organized. Painter agrees Horizontal discourse is called commonsense in
being accessible to all, in applying to all, and in arising out of common problems of
living and dying. This type of knowledge stands in contrast to specialized and
institutional forms of knowledge accessible only via specialist or Vertical forms of
discourse.
Painter further asserts that a Horizontal knowledge structure is acquired through the
use of language in our various homes while a Vertical knowledge structure is acquired
in the school or educational institution. Martin (2007: 54) elaborates on Bernstein’s
definition of Verticality by comparing Horizontal with commonsense and Verticality
with uncommonsense knowledge. He postulates that the Verticality of a discourse
depends on the uncommonsense organization of participants where verbs, adjectives
and conjunctions are not realized by their grammatical labels but are realized as nouns.
This metaphoric shift contributes to the creation of grammatical metaphor. On the other
hand, a discourse that lacks utilization of grammatical metaphor is said to be Horizontal.
This study agrees with the definitions given by the various authors which all highlight
that a Vertical knowledge structure is mostly acquired in the school context. It is
coherent, explicit, systematic and hierarchically structured. Martin among others refers
to Verticality as uncommonsense because it is not immediate but mediated through the
utilization of symbolic language (Muller, 2007; Schleppegrell, 2004; Bernstein, 2000,
1999; Painter, 1999; Hasan, 1989).
2.1.2 Verticality and its relation to nominalization and grammatical metaphor
The current study argues characteristics common to Verticality, nominalization and
grammatical metaphor are in harmony with features embodied in a high quality
academic writing text. Maton and Muller (2007: 29) concur a key advantage of
Bernstein’s Verticality is its capacity to render knowledge visible as an object of study.
Chapter Two Literature Review
18
The perception of ‘knowledge as an object of study’ allows it to be evaluated within a
continuum according to the two types of knowledge structures Horizontal and Vertical.
Figure 2.1Grammatical pairing or commonsense knowledge (Martin, 2007:52)
The two concepts nominalization and grammatical metaphor are both aspects of
the same general metaphorical strategy by which we expand our semantic resources for
construing experiences (Halliday & Matheissen, 2014; Martin, 2007; Painter, 1999).
Nominalization comes under the umbrella term grammatical metaphor because it occurs
at the lexical level as delicate elaborations of grammatical metaphor which manifests at
the clause level. This is because grammar and lexis form a continuum related by
delicacy (Halliday & Mathiessen, 2014, 2004,1999; Martin, 2007; Painter, 1999).
Nominalization is characterized by the drift to Thing where a lexical item such as a
‘verb’ shifts to be realized as a ‘noun’ in order to rid itself of features that relate it to
‘here and now’.
On one hand, Martin (2007) compares Horizontal with commonsense knowledge
and this is illustrated in Figure 2.1 as grammatical pairings. On the other hand, a
Vertical knowledge structure maps on to Figure 2.2 as ungrammatical or
uncommonsense knowledge. The shift to Thing is embodied in Halliday’s notion of
grammatical metaphor which involves the relocation in mapping between meaning and
Chapter Two Literature Review
19
lexicogrammar (see Figure 2.2). In order to express meaning suitable for an academic
context it is explored as an alternative to the congruent mode. This may manifest in a
verb which is from the closed class system. One example is illustrated by the
grammatical shift of the verb ‘laugh’ to the noun ‘laughter’ which gives the verb
‘laugh’ the potential to adopt two semantic categories ‘process thing’. This
characteristic of nominalization to move towards abstraction where ‘laughter’ is
recognized as a non-conscious Thing and likewise to expand meaning is in agreement
with Verticality (Halliday & Mathiessen, 2014, 2004, Christie, 2002; Painter, 1999).
Figure 2.2 Ungrammatical pairings or uncommonsense knowledge (Martin, 2007:53)
While nominalization involves reconstrual of meaning at the lexical level,
grammatical metaphor is manifested at the clause level (Halliday & Mathiessen, 2014;
Martin, 2007; Halliday, 1994). Halliday’s Functional notion of grammatical metaphor is
different from the traditional view because it explores variation in expression of a given
meaning. The variation in expression illuminates the distinction made in relation to the
context which refers to either congruent or metaphorical. Grammatical metaphor has the
potential to package quantum of information, for instance where a figure in the
congruent variant is condensed into a nominal group (Halliday & Mathiessen, 2014;
2004, 1999; Painter, 1999; Halliday, 1994). An example is illustrated in the figure,
Chapter Two Literature Review
20
‘Jane has a red car’ when condensed it becomes ‘Janes’ red car’ a nominal group. In
the metaphoric shift, the Subject from the congruent variant ‘Jane’ adopts a secondary
role as qualifier/possessive ‘Jane’s’ for head Thing. Grammatical metaphor is also
embraced in the clause by the metaphoric shift from concrete to abstract in the violation
of the dominant subject position where a noun is substituted by a process or other.
Instead of the conventionalized subject that is realized by a noun such as ‘Jack’ in the
figure ‘Jack swept the tomb’, it is replaced by ‘Jack’s sweeping of the tomb’ where the
verb ‘sweep’ is recognized as a non-conscious Thing. It is this potential of grammatical
metaphor to expand meaning by exploring the metaphorical variant that is found
agreeable with the realization of Verticality (Halliday & Mathiessen, 2014, 2004, 1999;
Bloor & Bloor, 1995; Eggins, 1994).
Functional linguists postulate that both concepts nominalization and grammatical
metaphor involve condensing of information. This means moving away from language
use that is context dependent, to one that is self-contextualized embodying abstract and
metaphorical concepts (Schleppegrell, 2004; SimonVandenbergen, Taverniers & Davies,
2003; Maton, 2000; Painter, 1999). The reliance of nominalization and grammatical
metaphor on the use of abstraction and metaphorical concepts categorize them with the
elaborated and high registers. From the definitions and explanations given, it can be
confidently asserted that Verticality is a conceptual construct realized through the
incorporation of nominalization and grammatical metaphor. Therefore, to determine
Verticality analysis of meaning unfolding in the form of text is viewed from the
semogenetic timeframe within the congruent and metaphorical continuum. The next
section reviews previous studies conducted on Verticality and illustrates how it is
realized through the utilization of nominalization and grammatical metaphor.
2.2 Studies on Verticality
The relevance of Basil Bernstein’s (2000, 1996, 1971) sociological perspective in
relation to Verticality and language learning cannot be denied and this is supported by
its on-going conversations with Functional linguistics (Halliday & Mathiessen, 2014;
Christie, 2007; Hasan, 2001). As a sociologist, Bernstein (1996, 1990, 1971) was
concerned with the way society is stratified in terms of socio-economic classes and the
effects on children’s academic achievement. He learned a reason the disadvantaged
group’s academic attainment was lower than children from the upper middle class was
Chapter Two Literature Review
21
because of the barrier between language spoken in the home and that used for
instruction in school. It is the home language of the upper middle class children that is
used as the language of instruction in the school context. Bernstein noted that
negotiating the gap between the home and school language was a stumbling block for
the disadvantaged group. In relation to the two knowledge structures, it presupposes the
need to move from Horizontal to a Vertical knowledge structure (Martin, 2007;
Schleppegrell, 2004; Painter, 1999). From the point of view of the western world, organization of knowledge in this
coherent, systematically principled and hierarchical way is the function of our various
educational institutions. In relation to Bernstein’s triangular metaphor, acquiring a
Vertical knowledge structure means developing an alternative mode of making meaning
from that explored in our everyday communication (O’ Halloran, 2007; Christie, 2004;
Maton, 2000; Painter, 1999; Bernstein, 1971). This means to shift from the base of the
triangle by distancing oneself from the concrete or congruent mode associated with
‘here and now’. Inspired by the findings of the ‘restricted and elaborated code theory’,
Bernstein (2000, 1999) furthered his study into the way knowledge is structured in
relation to what is taught. The theory of ‘classification and framing’ is focalized in
regards to what is chosen to be taught and how the content is legitimized through
evaluative means (Bernstein, 1971; Hasan, 2001; Christie, 2004; Christie & Martin,
2007).
Figure 2.3 Horizontal & Vertical knowledge structures (O’Halloran, 2007: 209)
The conclusion points to the fact that if the dominant group in society continues to
dictate what content to include and how it is to be taught, the disadvantaged group will
remain marginalized (Martin, 2007; Sadovnik, 1995; Martin & Veel, 1998). A
significant outcome of this research was the development of the two knowledge
Chapter Two Literature Review
22
structures Horizontal and Vertical (Martin, 2007; Bernstein, 2000, 1999; Painter, 1999).
It is further elaborated by O’ Halloran (2007) as illustrated in Figure 2.3. Bernstein
among others noted that students with Horizontal knowledge structures are those that
can only comprehend things that are immediate and concrete (Christie & Macken-
Horarick, 2007; Maton, 2000; Painter, 1999). When it comes to abstract, mediated and
metaphorical, they have not yet acquired the skills to accomplish such thinking
capabilities. This is how they are disqualified when competing with the advantaged
group. They fail not because they are mentally deficient but because they have yet to
reach the language development stage where they are able to explore skills in using
abstract and metaphorical concepts (Halliday & Mathiessen, 2014; Painter, 2005;
Halliday, 1994). The findings point to the crucial role played by language in
assimilation and internalization of one’s bodily experiences (Wells, 1994; Vygotsky,
1987) as this becomes manifest in meanings encoded as wordings and recoded as
expressions in the form of texts (Halliday & Mathiessen, 2014, 2004, 1999; Halliday,
1994).
From the perspective of the ‘socio cultural theory’, the disadvantaged group cannot
relate easily to language, infrastructure and learning resources in the classroom because
the environment they have been immersed in has organized their forms of thinking in a
unique way (Lantolf & Thorne, 2006; Lier, 2004; Wells, 1994; Vygotsky, 1987). As a
theory of mediated mental development, socio-cultural theory observes that cognitive
development is shaped by the culturally organized concepts appropriated through the
activity of living. This activity of living can be related to the school setting and how it
can be fully utilized in transforming one’s mental activity and abstract conceptual
knowledge. Learning a new language means ‘acquiring new conceptual knowledge and
modifying already existing knowledge as a way of remediating one’s interaction with
the world and one’s psychological functioning’ (Lantolf & Thorne, 2006:5). In terms of
academic writing when viewed from Halliday’s notion of grammatical metaphor, this
means developing an alternative mode of making meaning from one that relies on
context to one that is self-contextualized (Halliday & Mathiessen, 2014, 2004, 1999;
Martin, 2007; Painter, 2005, 1999; Halliday, 1994). It can be compared with the shift
from Horizontal to Vertical forms of discourse postulated in this study is realized
through manipulation of nominalization and grammatical metaphor. Some studies that
substantiate this claim are discussed next.
Chapter Two Literature Review
23
Literatures reviewed in relation to the study of Verticality from a Functional
perspective show that not many studies have been conducted in this field. However,
those recorded mainly involve primary, secondary and pre-school children. In a research
on Cultural Studies carried out by Christie and Macken-Horarik (2007:171) some of the
lexicogrammatical resources identified to contribute to Verticality include lexically
dense nominal groups, and the use of rankshifted clauses. These are shown in the
examples given below where the nominal groups are underlined, head nouns are in bold
and rankshifted clauses are in brackets.
(2.1a)…as she eased past the leafy tendrils of the branches [[that beckoned her.]]
(2.1b)…accentuated by the tingling drops of rain [[that fell on her head.]]
(2.1c)…and there, beside the pool, was the rock [[her mother had always sat on.]]
To prove the argument of the study that Verticality is realized through the incorporation
of nominalization and grammatical metaphor, a more detailed analysis is explored to
identify how the two concepts are embodied in the examples given. It is apparent that
the nominal group in example (2.1a) ‘leafy tendrils of the branches’ is semantically
loaded. The noun ‘tendrils’ realized as Thing is prequalified by another noun that is
functioning as qualifier ‘leafy’ in the nominal group. The metaphoric shift of the noun
‘leaf’ to function as qualifier ‘leafy’ involves the lexical domain. This potential of the
noun ‘leaf’ to take on other functions in the need to expand meaning realizes the
secondary motif of grammatical metaphor in the shift to qualifying or classifying
( Halliday & Mathiessen, 2014; Martin, 2007; Chen & Foley, 2005; Painter, 1999). The
nominal group ‘the leafy tendrils’ is semantically loaded and can be unpacked into a
figure as ‘Tendrils are full of leaves’.
In terms of grammatical metaphor, the nominal group ‘the leafy tendrils’ is
metaphorical. This is illustrated in the downgrade in rank from figure to element
depicted in the alternative congruent rewording ‘Tendrils are full of leaves’. Similarly,
in example (2.1b) the nominal group ‘the tingling drops of rain’ is metaphorical with
the shift from figure to element as depicted in the rewording ‘Rain drops tingled’. The
element process ‘tingled’ of the figure is realized as qualifier ‘tingling’ in the nominal
group. The utilization of the specific deictic ‘the’ in the examples indicates that the
nominal groups have already been mentioned. The two variants exemplify the different
contexts of use where the metaphorical is typical of a written text and the congruent of a
spoken text (Halliday & Mathiessen, 2014, 2004, 1999). The illustrations are in line
Chapter Two Literature Review
24
with the central argument of the study that Verticality is realized through the use of
nominalization and grammatical metaphor.
Martin (2007) concurs with Halliday and Mathiessen (2014, 2004, 1999) that the
most important resource for developing Verticality is grammatical metaphor. In his
Science and Geography exemplars a major theme highlighted by Martin that contributes
to building Verticality is the students’ potential to condense information in order to
create technical terms to facilitate classifications (Martin, 2007:40). Some examples are
given below.
(2.2a) Monostremes are egg-laying animals.
(2.2b) Marsupials are pouched mammals.
(2.2c) …heat accumulates to a certain extent that it does cause local melting of rocks to
form a molten mass called magma.
The examples cited are Relational Identifying clauses where the two parts of the clause
are equal. They are related by a token-value relation (Halliday & Mathiessen, 2014,
2004, 1999; Thompson, 1996; Bloor & Bloor, 1995). This means, the two parts refer to
the same thing but it is not a tautology. The difference is related to form and function in
terms of their generalized labels ‘token’ and ‘value’ where one can identify the other
(Halliday, 1994: 124). In example (2.2a) the element participant of the figure
‘monostremes’ is the token defined by a nominal group ‘egg-laying animals’ which is
the value. This clause is reversible and can be rephrased as ‘Egg-laying animals are
monostremes’. Likewise in example (2.2b) the element participant of the figure and the
token is ‘marsupials’ defined by a nominal group ‘pouched mammals’ that is the value.
If the clause is reversed it derives the figure ‘Pouched animals are marsupials’. On the
same note, example (2.2c) is from Physical Geography, a technical term ‘magma’ which
is the token is defined by a figure that is the value ‘heat accumulates to a certain extent
that it does cause local melting of rocks to form a molten mass’. Regarding Verticality,
the students’ ability to dispense meaning depicts their potential to make use of the
internal semantic system without referring to context or other observable entities.
Another feature typical of Verticality employed is the creation and utilization of
technical terms such as ‘monostremes, marsupials and magma’ to condense information.
Martin (2007) further explores how grammatical metaphor is incorporated in text
by looking at clause-internal relations and the circumstantial semantic space created as a
consequence. He explains clause-internal is different from inter-clausal relations typical
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of Horizontal discourse that involves one thing leading to another via conjunctions such
as; so, because, therefore and so on. To elucidate the use of semantic resources he
identifies some clause-internal resources where circumstance of ‘cause’ is presented
through prepositional phrases. The first clause beginning with ‘In another part of
Australia’ in example (2.3) employs the prepositional phrase ‘to assert their rights’ to
explain why the Aboriginal people were acting. Likewise, the second clause beginning
with ‘On the 23rd of August’ the prepositional phrase ‘in protest against their wages and
conditions’ is encompassed to reflect what led people off the cattle station. The same
applies to clauses where prepositional phrases are expressing other circumstantial
information to relate one part of the clause to the other without reference to context or
direct experience (Halliday & Mathiessen, 2014; Martin, 2007, Painter, 1999; Halliday,
1994). In other words, the change construed or the circumstantial semantic space
created in a Relational clause is brought about without any input of energy unlike in
Material clauses. This metaphoric expression of circumstance is related to one of the
major arguments of the study. It argues clause-internal relations made in Relational
clauses contribute to the creation of grammatical metaphor and the realization of
Verticality.
(2.3) In another part of Australia, Aboriginal people were themselves acting to assert their
rights. On 23rd August 1966 Vincent Lingiari, a Gurindji elder, led his people off the cattle
station operated by the giant Vesteys pastoral organization in protest against their wages
and conditions. Their calls for Commonwealth involvement also strongly argued the case
for land to establish their own cattle station. They subsequently sent a petition to the
Governor General, with no immediate result. Their stand against injustice, however
attracted national publicity for Aboriginal land rights grievances. The strike developed into
a seven-year campaign by the Gurindji for the return of their traditional lands and became
a ‘cause celebre’ across Australia (Martin, 2007:45).
In extract (2.3) there is only one explicit temporal relation realized through the
conjunction ‘subsequently’ while the rest involves abstract relations. It is apparent from
the clause-internal relations created that abstraction is embodied through lexical items
such as ‘their rights, the case, a petition, the protest and injustice’. The students’ ability
to make clause internal relations is in harmony with Verticality since it involves among
other things relations between abstract and metaphorical concepts.
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At the clause level, (refer to example 2.3) grammatical metaphor is noted in the
perturbation of the dominant subject position where the head Thing in the nominal
group ‘Their stand against justice’ is not realized by a noun but is derived from a
process ‘stand’ (Halliday & Mathiessen, 1999: 233). A similar example is illustrated by
the nominal group ‘Their calls for Commonwealth involvement’ in the metaphoric shift
of the element process ‘call’ to be realized as a pseudo Thing ‘their calls’. From the
Functional perspective in relation to grammatical metaphor, violation of the subject
position in this way is facilitated as a means of foregrounding (Halliday & Mathiessen,
2014; Martin, 2007; Painter, 1999). It sets the stage for the unfolding of the new
information in the next part of the clause. A clearer understanding of this concept of
foregrounding can be viewed from the textual metafunction in terms of the ‘theme-
rheme’ relation and ‘given-new’. Another case of nominalization that involves
condensation of information in the rank downgrade from figure to element is manifested
in the nominal group ‘Their call for Commonwealth involvement’ which can be
reworded to a congruent variant as ‘They called the Commonwealth to be involved.’ The
examples analyzed have proven the argument proposed by the study that Verticality is
realized through the utilization of nominalization and grammatical metaphor.
Painter (2007, 1999) also recognizes the importance of nominalization and
grammatical metaphor in building Verticality in language by analyzing naturally
occurring conversations with her preschool aged son Stephen. She agrees that
Horizontal discourse is context-bound and concrete whereby categories are learned
through contextually-supported language and not by processing definitions. An example
is shown in (2.4a) where reference is made to observable reality manifested in the
demonstrative ‘that’. However, a greater reliance is put on textual rather than tangible
experiential reality when Stephen progresses in his use of language as expressed in
example (2.4b). This stage in language development explores Stephen’s ability to build
taxonomic relations. He construes categories linguistically and then refers to those
categories rather than to material reality. In example (2.4b) a single class of thing ‘a pet’
is defined in terms of another thing ‘an animal’.
(2.4a)That is a pet
(2.4b) A pet is an animal.
Another example highlighted by Painter to illustrate the pivotal role played by the
two concepts nominalization and grammatical metaphor in building Verticality is
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related to the difficulty Stephen encountered in understanding nominalized entities. For
instance, when the meaning congruently expressed by the verb ‘laugh’ is instead
expressed by the noun ‘laughter’. The same problem applies to his comprehension of
the nominal group ‘traffic jam’ portrayed in the two expressions given in examples
(2.5a) and (2.5b) below. The metaphoric variant in example (2.5b) shows element
participant and element process of the figure are combined into a nominal group ‘a
traffic jam’. It is obvious that the difficulties Stephen faced are related to his negotiation
of the shift from Horizontal to Vertical where he is required to make abstract relations
as in example (2.5b). Additionally, making meaning through definitions exerts pressure
on his mental capacity since he is just beginning to make use of semantic resources
without reliance on context. The interpretation of the expression ‘traffic jam’ by
reference to the perceptual context is challenging as it requires the skill to employ
‘abstraction’ a feature typical of a Vertical knowledge structure. Example (2.6)
illustrates the incorporation of grammatical metaphor where a non-conscious Thing
‘traffic jam’ is defined by another nominal group ‘when you can’t go even when the
light is green’ that is realized by processes (Painter, 2007:147).
(2.5a)This traffic is jamming up close together. (2.5b) This is a traffic jam
(2.6) A traffic jam is when you can’t go even when the light is green.
Understanding of abstraction, nominalization and grammatical metaphor is
problematic for Stephen because linguistic features realizing these concepts are not
associated with Horizontal but that of a Vertical knowledge structure (Painter, 2007). It
is critical to acquire skills in employing these concepts in order to realize Verticality in
academic writing texts. Painter among others adds it is a necessary development for the
achievement of literacy and other knowledge acquired in the educational context
(Schleppegrell, 2004; Simon-Vandenbergen et al., 2003).
A similar study illustrating the importance of nominalization and grammatical
metaphor in students’ academic writing texts is reported by Chen Youping and Joseph
Foley (2005). In their analysis of EFL Chinese students’ expository essays,
inappropriate deployment of lexicogrammatical resources was cited to be one of the
major problems.
(2.7a) Girls means to save money.
(2.7b) Having girls means the saving of a lot of money.
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Two examples identified in their study which are relevant in this discussion include the
construal of meaning as conscious Things instead of macro Things. The examples in
(2.7) suggest students are not able to violate or substitute the prototypical position of the
‘noun’ by other entities such as ‘having girls’ a macro Thing. Another weakness shown
in example (2.8a) is the students’ inability to condense information through rank
downgrade. An alternative rewording is supplied in example (2.8b).
(2.8a) ‘Now the world is full of serious problems such as environment polluted’.
(2.8b) ‘Now the world is full of serious problems such as the pollution of the
environment’ (Cheng & Foley, 2005:200).
Literatures reviewed all support the central argument of the study on the pivotal role
played by nominalization and grammatical metaphor in improving students’ academic
writing texts. The next section explains conceptualization of grammatical metaphor by
tracing its genesis to the traditional view of metaphor.
2.3 Conceptual view of nominalization and grammatical metaphor
An understanding of nominalization and grammatical metaphor can be traced to
the traditional view of metaphor. Metaphor is not uncommon in our various language
communities and for the western culture its usage dates back to as early as Aristotle and
Plato. In traditional rhetoric, metaphor is understood as a figure of speech (Lakoff,
1994). To Aristotle and his followers, metaphor is an adornment to language but to
Plato and his associates it embodies the nature of language (Liu, 2008; Ungerer &
Schmid, 1996; Lakoff & Johnson, 1980). It is used for something resembling that which
it usually refers to. This is done to suggest a similarity as expressed in this example
‘drowning with money’. The verb ‘drown’ literally means to ‘suffocate by being
submerged in water’. However, it is used metaphorically in this particular example to
mean ‘possessing plenty of money’ (Liu, 2008:13). Metaphors are considered important
in human communication because they are explored to assist us in making sense of
unfamiliar or abstract concepts.
A breakthrough in the use and understanding of metaphor was brought about by
cognitive linguists around the 1970s and 1980s. The remarkable contribution was made
by Lakoff and Johnson (1980) in their seminal book ‘Metaphors We Live By’. This
publication raises awareness on the importance of metaphor as a powerful cognitive tool
to conceptualize and symbolize concepts that are abstract. The conceptual metaphor
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theorists claim that metaphors have been an integral component of everyday human
communication (Ungerer & Schmid, 1996; Lakoff, 1994; Lakoff & Johnson, 1980). It is
different from the literal-figurative notion of traditional metaphor in the sense that ‘it is
a cross-domain mapping in the conceptual system’ (Lakoff, 1994: 43). Hence, its
identification as a cognitive process in the conceptual system makes it not only a way of
expression but also a way of conceptualization. This means that metaphor is conceptual
rather than merely linguistic in nature.
Philosophical groundings that inform conceptual metaphor are drawn from
experientialism (Ungerer & Schmid, 1996; Lakoff & Turner, 1989; Lakoff & Johnson,
1980). In relation to ‘conceptual metaphor theory’, this involves everything that makes
up actual or potential experiences as human beings interact with their environment. In
Johnson’s words; ‘we are what we are at this instant, and our world is what it is at this
instant only because of our embodied interaction’ (1991: 8). It is within this background
that the ‘conceptual metaphor theory’ maintains that metaphorical mappings are not
arbitrary but are constrained by our embodied nature. This means the mappings of
inference patterns from more concrete domains to more abstract domains are motivated
by and grounded on our bodily experiences (Lakoff, 1994; Johnson, 1993; Lakoff &
Johnson, 1980).
Some studies that have testified to the conceptual nature and pervasive use of
metaphor in human communication are explored. An example discussed by Lakoff
(1994) and Johnson (1993) is on the Journey metaphor such as ‘Love is a Journey’. The
domain ‘Love’ is understood in relation to the domain ‘Journey’. The learner’s
understanding of the source domain ‘Journey’ is explored to assist him or her
understand the target domain which is ‘Love’. The followings are some commonly used
examples associated with the metaphor ‘Love is a Journey’: (a) We’ve come a long way.
(b) It’s been a long, bumpy road. (c) There is no turning back now.
In the ‘Life as a Journey’ metaphor, the human life cycle is conventionally
conceptualized in terms of three journeys (Liu, 2008; Boyd, 1993). The first journey is
marked when one is born, the second refers to the journey through one’s whole life and
the third is when one departs at the time of death. The three journeys are often reflected
in the following metaphorical expressions; (a) The baby is on the way. (b) The baby has
arrived. (c) He is still with us. (d) They brought him back (Ungerer & Schmid, 1996:
120).
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Another example on the pivotal role played by metaphors in understanding abstract
concepts is discussed by Ungerer & Schmid (1996) in relation to making user-friendly
metaphorical computer icons. On the screen there are ‘windows’ one can ‘open and
close’, or when the computer ‘malfunctions’ it is referred to as having a ‘virus’. The
user-friendly icons exploit the familiar to assist users make the connection to the
unfamiliar so as to understand what the target domain represents. The recognition of
metaphor as conceptual asserts its importance as a powerful cognitive tool especially in
understanding abstract and metaphorical concepts.
In the field of linguistics, two well-known metaphors are the ‘Building Block’ and
‘Conduit Metaphor’ (Reddy, 1993; Langacker, 1987). The Building Block metaphor is
explored to illustrate how words and sentences are formed. In the case of compound
words such as, apple-juice and wheelchair, these words are constructed in the same way
a building is constructed by the use of bricks, woods, concrete, reeds and so on. As in
the ‘Conduit Metaphor’, (Reddy, 1993) linguistic communication is conceptualized in
terms of sending and receiving of parcels where ideas are being compared to objects.
They are put into containers in the form of words and are sent to a receiver by a sender.
The receiver then takes the object out of its container which refers to ideas (Reddy,
1993).
Although cognitive linguists have made notable developments in the study of
metaphor, there are controversies that do exist. One of which is between constructivists
and non-constructivists (Liu, 2008; Ungerer & Schmid, 1996). The proponents of
constructivism agree on the usefulness of metaphor in human communication and
cognition. On the other hand, the non-constructivists prefer to distinguish between the
literal and figurative meaning. Lack of empirical data in relation to the study of
metaphor has been cited as a drawback in this area of research (Liu, 2008; Cienki, 2005).
The current study agrees with the constructivists that metaphor is similar to
grammatical metaphor in the sense that they are not merely forms of expressions but are
means of conceptualization (Lakoff & Johnson, 1999; Ungerer & Schmid, 1996; Lakoff,
1994). However, for grammatical metaphor instead of variation in meaning of a given
expression as in the traditional view, it is the variation in the expression of a given
meaning. In the next section, theories associated with the philosophical groundings of
‘experientialism’ that have extensively influenced the conceptualization of grammatical
metaphor are discussed.
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2.3.1 Prototype theory
Prototype theory is based on the notion of gestalt in the categorization of objects in
relation to proximity, closure and continuation (Ungerer & Schmid, 1996; Brown, 1990;
Rosch, 1975, 1973). This presupposes that an object or organism is included into a
category according to how similar it is to what is accepted as goodness of example. The
ability to decide what particular organism to include in a category involves mental
processing. This will be affected not only by the attributes, family resemblances and
gestalt but also by its experiential or subjective associations to the person (Ungerer &
Schmid, 1996; Taylor, 1995; Barsalou, 1987; Coleman & Kay, 1981). This insight
shows the influence of the socio-cultural context on cognitive categorization and this
can be compared to the effect of language learning in the educational context.
In the various researches conducted in relation to prototypes, it is noted that people
associate goodness of examples to objects they are familiar with and have value and
significance in their language and culture. Objects and organisms that do not have
functional or cultural significances are sidelined as marginal or peripheral. For example,
in Rosch’s (1978) experiment on categorization of fruits, almost everyone gives apple
or orange as their first choice for central good examples, then lemon, bananas and
strawberries as secondary good examples and then tomatoes, cucumbers and avocadoes
as debatable examples. The conclusion obtained from the experiment reflects the
prototype effects. That is to say, information in human cognition is arranged in a radial
structure of network with central good examples, secondary poorer examples, and
peripheral examples (Ungerer & Schmid, 1996; Wierzbicka, 1990; Rosch, 1975). In the context of this study, if the prototype theory is seen against the semogenetic
timeframe within the congruent and metaphorical continuum, it is located closer to the
congruent pole. Therefore, in order for Verticality to be realized in writing texts, it
requires a shift in choices of lexicogrammatical resources from central good examples
to those that are more peripheral. This suggests, choosing more metaphorical variants
instead of the commonly employed congruent prototypes. In terms of nominalization,
this means the verb ‘laugh’ is realized as a noun ‘laughter’, or a noun ‘industry’ is
realized as qualifier for the nominal group ‘ industrial campaign’. Likewise in regards
to grammatical metaphor, a figure as shown in example (2.9b) is reduced to a nominal
group ‘a seven-year campaign’ illustrated in example (2.9a).
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(2.9a) The strike developed into a seven-year campaign by the Gurindji for the return
of their traditional lands and became a ‘cause celebre’ across Australia.
(2.9b) The campaign lasted for seven years.
These examples show that a text needs to shift away from the prototype in order to be
identified as Vertical and this means manipulation of nominalization and grammatical
metaphor.
2.3.2 Basic level categories
The notion of class inclusion underlies the principle that informs the hierarchical
structure of basic level categorization (Ungerer & Schmid, 1996; Cruse, 1977; Brown,
1965). This implies the superordinate class includes all items at the subordinate level.
For instance, the class ‘animal’ includes birds and reptiles and on the next level the class
‘mammal’ comprises dogs, cats, cows and others of the same class. Still further down
the hierarchy the class ‘dog’ comprises of terriers, bulldogs, poodles and so on (Ungerer
& Schmid ,1999; Rosch, Caroline, Wayne, David & Penny,1976). Such classification
highlights that concrete entities in the world can be hierarchically ordered according to
class inclusion. It is from the notion of hierarchy that classification or taxonomies are
developed and this can be related to relations made in Relational clauses.
A research finding that substantiates the claim on the importance of basic level
categorization refers to plant classification of the Tzeltal community (Berlin et al.,
1974). Although their classification is not as complex as those of the western countries,
a significant observation is the emphasis put on the generic or basic level categorization.
Adherence to basic level categorization of the Tzeltal people reflects simple mindedness
which is the equivalence of a Horizontal knowledge structure. Basic level is accorded
primacy and centrality because it is the level where the most obvious differences can be
seen (Brown, 1990). For instance, in the classification of animals one can see category
items resembling either the superordinate or subordinate at the basic level categories. It
is argued that the basic level provides the largest amount of relevant information that
can easily be understood about the object and organisms of the world. Additionally, the
basic level offers the largest bundles of correlated attributes where the overlap is so
great that it facilitates reliable gestalt perception (Berlin et al., 1974). Basic level
categorization and the prototype theory have a symbiotic relation as they are both
guided by the principle of gestalt (Ungerer & Schmid, 1996; Lakoff & Johnson, 1980;
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Rosch, 1977). Hence, for a text to realize Verticality this means choice of lexical items
shifts from basic to more peripheral levels which entails the use of nominalization. This
presupposes the principle elements of the clause such as element process, logical
relations and qualities are not realized by their respective grammatical labels but are
realized as Thing. Additionally, choice of lexical items is complemented by
superordinate and/or subordinate categories. In the case of grammatical metaphor,
abstract relations are explored through clause-internal relations as discussed in Section
2.2 examples (2.2c) and (2.3).
Another example of nominalization is where a figure such as ‘this is a traffic jam’
is realized as a noun ‘the traffic jam’ in the metaphorical variant as illustrated in Section
2.2 example (2.5a and 2.5b). Similarly, at the clause level a distancing from the basic
level means violation of the conventional sequencing of elements. This is discussed in
Section 2.2 example (2.3) where the dominant subject position realized by a noun is
substituted by some other element. In this example it is a non-conscious thing ‘stand
against justice’ introduced by a possessive deictic pronoun ‘their’. On the same token,
the concept of abstraction is also manifested in the process ‘stand’ in its paradigmatic
shift from process to be recognized as a Thing. From the point of view of Halliday’s
notion of grammatical metaphor, like the prototype theory, basic level categorization is
closer to the congruent pole rather than the metaphorical pole.
2.3.3 Theory of iconicity
The perception of ‘iconicity’ is based on the conceptualization patterns of human
cognition. The renowned American semiotician Pierce developed this ‘triadic sign
theory’ based on the relationship of three variables: representamen, interpretant and
object (Lier, 2004: 64). He argues it contrasts with the Saussurean binary definition of
signs the ‘signified’ and ‘signifier’. The signifier which refers to the formal sign is the
equivalent of ‘representamen’ in Piercean’s theory, and ‘signified’ maps on to ‘object’.
Pierce had incorporated an extra variable the ‘interpretant’ as a meditational device
which functions as translator. In terms of human communication, the interpretant acting
as the translator needs to identify and connect to the formally identified ‘representamen’
which in turn should produce a mental effect the ‘object’. The relationship is
diagrammed in Figure 2.4. While comparing the two interpretations, it can be concluded
that the Piercean triadic sign theory has improved on the Sausurrean binary signs. He
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has taken into consideration the complementary contributions of both the socio-cultural
context and the cognitive processes especially in the role played by the interpretant to
make meaningful connections between the signs.
Interpretant
Representamen Object
Figure 2.4 Piercean triadic sign theory (Liu, 2008:79)
This approach in making meaning runs parallel to the theoretical premise on which
Systemic Functional perspective is grounded on the interactive role of language and
thought. In classroom learning and in particular writing for NNE speakers, the
interpretant’s role in making connections from representamen to derived object will be
enhanced or inhibited depending on associated cognitive models stored in their
background knowledge (Semino & Culper, 2002).
Pierce further developed a semiotic classification system to characterize the nature
of the triadic signs as shown in Figure 2.5 (Lier, 2004). The classification shows that in
human communication we connect to signs around us at three different levels. For
example, the sign representamen at the first level of understanding is referred to as
qualisign in its association with quality. This means, the interpretant’s attraction is just
surface level whereby one is connected to the representamen due to its overall appeal
and image. At the second level of understanding, the representamen is defined as
sinsign and this is when it is viewed not only as an image but as a concrete individual or
object. The third level of understanding is referred to as legisign and this is when the
representamen is apprehended as a conventionalized concrete realization. According to
Lier (2004:70), understanding at this level involves and embraces metaphorical variants.
The second classification in terms of nature refers to object and it falls into three
categories; icon, index and symbol. When object is referred to as quality, it is
understood by the interpretant as an icon. It is the surface level often superficial
qualities associated with the object that draws people to it. Pierce adds that the value of
an icon is purely imaginary. A sign becomes an index when it orients people mentally
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towards it due to its existence, for instance smoke coming out of a chimney. Finally, a
sign is a symbol when it is of the third order.
Figure 2.5 Piercean’s taxonomy of signs
This means, the interpretant treats the object not as just existing but as an idea.
Adopting the theory of iconicity assists teachers to identify from texts analyzed at what
stage students are connecting with the signs. Making connections at the symbolic level
means, they are incorporating nominalization and grammatical metaphor. On the
contrary, if nominalization and grammatical metaphor are not sparingly employed, it
indicates students have yet to reach the symbolic stage.
Linguists have explored the concept of iconicity by contextualizing human
communication in cognition. A remarkable contribution on iconicity in relation to
language learning is made by Givon (1985:189) on the notion of ‘isomorphisim’. In his
‘isomorphically constructed code theory’, he suggests it is easier to store, retrieve and
communicate a coded experience if the code is maximally isomorphic to the experience.
In this regard, he proposes three types of morphosyntactic iconicity; iconic quantity,
iconic proximity and iconic sequencing. In ‘iconic quantity’, Givon explains that the
complexity of the morphosyntactic structure is relative to the complexity of the encoded
concept. An example is shown to illustrate this concept.
Thrid order: legisign
Second order: indexical -sinsign
First order: iconic qualisign
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(2.10a) In bridging river valleys, the early engineers built many notable masonry
viaducts of numerous arches.
(2.10b) Many stone viaducts were built over river valleys (Liu, 2008: 82).
The two sentences represent the same event but it is apparent that sentence (2.10a)
encodes more details when compared to sentence (2.10b). The comparison shows
example (2.10a) employs more morphosyntactic resources which is reflective of
Givon’s theory of ‘iconic quantity’. In relation to the theory of ‘iconic proximity’, it is
likely that semantically related concepts are placed close to each other as highlighted in
the examples below.
(2.11a) They found him beneath the overturned car with a broken left leg.
(2.11b) They found him with a broken left leg beneath an overturned car.
Regarding the iconic proximity principle, example (2.11b) is acceptable because
the prepositional phrase ‘with a broken leg’ is semantically related to the pronoun ‘him’.
The third code ‘iconic sequencing’ implies, the sequential order of the morphosyntactic
structure corresponds to that of the encoded concept as reflected in the following
example; ‘I came, I saw, I conquered.’ In the analysis and examination of
nominalization and grammatical metaphor, Givon’s (1985) theory of isomorphism can
be exploited to evaluate how students are able to disturb the conventional arrangement
of elements in the clause. Texts that violate the theory of isomorphism suggest they are
able to shift from the congruent to the peripheral pole. On the other hand, texts that
observe the norm in the adherence to the theory of iconicity and isomorphism will show
deviance in the embodiment of nominalization and grammatical metaphor.
2.3.4 Figure and ground theory
The figure and ground theory was first introduced by the Danish psychologist
Rubin almost a century ago and has since been integrated into perceptual organization
by gestalt psychologists (Talmy, 2000; Ungerer & Schmid, 1996; Lakoff, 1987).
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Figure 2.6 Figure and ground theory
There are two possibilities of perceiving the picture in Figure 2.6 however, only one can
be seen at a time depending on the phenomenon referred to as ‘figure-ground
segregation’. Ungerer and Schmid (1996:157) explain that the ‘figure-ground
segregation on the one hand confirms perceptual prominence of the picture’. The figure
is perceived as having a form and shape whereas the ground is shapeless and
unstructured. One’s choice to see one of the forms as ‘the figure’ proves its prominence
compared to the ground. This theory is relevant in analyzing student texts by comparing
figure to grammatical metaphor and how it is utilized in writing as a form of
foregrounding. The adoption of the conceptual view of grammatical metaphor to
substantiate interpretations from the Functional perspective adds credibility to research
findings. It also recognizes the contextualization of human communication in the
iconicity inherent between language and thought. The next section discusses the
Functional view of grammatical metaphor and illustrates how texts will be analyzed in
this study.
2.4 Functional view of nominalization and grammatical metaphor
Systemic Functional grammar comprises of Systemic grammar and Functional
grammar (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996; Bloor & Bloor,
1995). Systemic grammar concentrates on the internal relationship of language where
language is represented as comprising of three primary levels; substance, form and
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situation. Substance includes the raw material of language such as, phonic and graphic.
Form on the other hand, refers to the arrangement of the substance into recognizable
and meaningful patterns, including lexis and grammar. Situation is the context in which
language is used. These primary levels of language are connected by two inter-levels; (a)
context that links form and situation, (b) phonology and graphology, linking form with
phonic substance and graphic substance illustrated in Table 2.1.
Table 2.1 Levels of language (Liu, 2008:69)
Substance Form Situation
Phonic substance Phonology Grammar Thesis
Graphic substance Graphology Lexis Context Immediate situation
Wider situation
Functional grammar examines the process and result of the linguistic choice in the
way language functions in the discourse. It is then viewed as a system comprising of
meaning potentials one can choose from to serve their purpose. Halliday & Mathiessen
(2014, 2004, 1999) identify three language metafunctions with three strands of meaning.
It is against this backdrop that one chooses the meaning to suit a particular situation.
This view of looking at language is not one-sided where there is no distinction made
amongst the many ways in which language functions. Systemic Functional theory
attempts to portray the various ways language functions in real life usage and how these
various functions are structured to produce the intended meaning.
From the Transitivity system, an alternative to the congruent mode of expressing
meaning is proposed by Halliday through his Functional notion of grammatical
metaphor (1985). The term ‘nominalization’ which is a kind of metaphor manifested at
the lexical level comes under the umbrella term grammatical metaphor. An
understanding of grammatical metaphor can be traced back to the traditionally
recognized types of ‘rhetorical transference’ or figures of speech: metaphor, metonymy
and synecdoche (Halliday, 1985). Focusing on metaphor, Halliday notes the traditional
notion which he labels as the view from ‘below’ only realizes metaphor as lexical. It
looks at the variation in the use of words; or the use of a word with a transferred
meaning. In Figure 2.7 for example the clause; ‘a flood of protests poured in’
(1985:319), the word ‘flood’ usually associated with rivers is transferred to refer to
‘protests’. Halliday argues the view of metaphor from ‘below’ as lexical can be
complemented by a view from ‘above’ (see Figure 2.7). This view from above is what
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he called ‘grammatical metaphor’. The starting point here is a given meaning with the
corresponding alternative or various ways the particular meaning can be expressed. In
general, it is quite difficult to find alternative expressions of a given meaning that differ
from each other in one word. Some expressions supplied by Halliday for ‘protests
flooded in’ include; (a) ‘protests came in large quantities’, (b) protests were received in
large quantities’ or (c) ‘very many people protested’. The distinction between the view
from below where the focus is on a ‘word’ and that from above is related to variation in
meaning verses variation in expression of a given meaning. In the example (a) a
prepositional phrase is added whereas, in example (c) there is a grammatical shift from
‘noun to verb’ where the noun ‘protest’ now functions as a process. This argument on
the various ways a particular meaning can be expressed basically led to the enrichment
of metaphor that is, not only as ‘lexical’ but lexicogrammatical. It has since been
recognized and established that…
There is a strong grammatical element in rhetorical transference; and once we have
recognized this we find that there is also such a thing as grammatical metaphor, where the
variation is essentially in the grammatical forms although often entailing some lexical
variation as well (Halliday, 1994: 342).
Hence in discussing grammatical metaphor ‘literal’ is no longer appropriate (Halliday,
1994). The differences in the expressions of the same meaning are defined in terms of
‘markedness’; where those forms that conform to the typical ways are recognized as
‘unmarked’ thus are non-metaphorical variants also labeled ‘congruent’ realizations.
The term congruent refers to the natural mapping of semantics to lexicogrammar which
according to language semohistory is learnt first by children at an early stage. On the
other hand, metaphorical variants or the ‘marked’ forms are those that deviate from the
norm. These forms are learnt later by children and mostly learned in educational
contexts (Halliday & Mathiessen 2014; Chen & Foley, 2005). Thus, in the case of
grammatical metaphor, the grammatical configurations are compared, whereas in the
traditional perspective the focus is on the meaning of a single word. While in the
traditional view of metaphor, the opposition between literal and figurative is often clear-
cut, there is now a scale of congruency in grammatical metaphor. The two perspectives
are shown in Figure 2.7. Both Mathiessen and Halliday (1999: 233) agree that lexical
and grammatical metaphors should be viewed as ‘both aspects of the same general
Chapter Two Literature Review
40
metaphorical strategy by which we expand our semantic resources for construing
experience’.
Figure 2.7 Two perspectives on metaphorical meaning (Halliday, 1994: 342)
It is apparent from the discussions undertaken that the notion of nominalization and
grammatical metaphor in Functional grammar is derived from the traditional view of
metaphor. In traditional rhetoric (see section 2.3) an understanding of ‘abstract and
metaphorical’ concepts typically involves a cross-domain mapping in the conceptual
system (Lakoff, 1994) where a concrete entity or something familiar is used to
understand the unknown or unfamiliar. Normally, there are two levels of meaning given;
the literal and metaphorical. The same concept applies in the case of nominalization
and grammatical metaphor in Functional grammar. However, instead of two different
meanings there are two or more expressions of a given meaning.
An illustration of how abstraction is explored in this study is the grammatical shift of
the verb ‘laugh’ to the noun’ laughter’ whereby it is recognized as a non-conscious
pseudo Thing. This grammatical shift from ‘verb to noun’ of the word ‘laugh’ is also
an example of nominalization where the word ‘laugh’ now adopts two semantic
categories ‘process thing’. The illustration proves that abstraction is also a feature
typical of nominalization. Instead of two different meanings as in traditional rhetoric we
now have two different expressions of the same meaning.
In regards to ‘metaphorical concept’, this study identifies it with the incorporation of
grammatical metaphor. This is shown in the following examples where a particular
meaning can be expressed in two different ways; firstly in (a) as a figure and in (b) as a
seen from below
seen from above
literal metaphorical many people protested
a moving mass
a moving mass of
of water feeling or rhetoric
a large number a flood of of protests protests
flood congruent metaphorical
Chapter Two Literature Review
41
nominal group; (a) ‘Jane has a red car’ and (b) ‘Jane’s red car’. Again this example
confirms that metaphorical concepts are embodied through the use of grammatical
metaphor.
In the current study, text analysis closely observes Halliday’s metaphor taxonomy.
The taxonomy can be understood from the three time frames of semogenesis that
includes phylogenesis, ontogenesis and logogenesis. Semogenesis is the process in
which meaning and particular meanings are created (Halliday & Mathiessen, 2014,
2004, 1999 Halliday, 1994). The process takes place through time and in order to make
sense of the literal and metaphorical dichotomy, it has to be viewed against its
semogenetic history. A continuum whose poles are ‘least metaphorical’ and ‘most
metaphorical’ has been developed based on historical evidence in reference to the three
axes of semohistory. Phylogenetic is defined according to how language has evolved
from the early years to the present time. Ontogenetic time frame is associated with the
language developmental process of an individual speaker. It is one of growth according
to the human natural life cycle from childhood, middle age and to old age. Logogenetic
concerns the act of meaning as it unfolds where potential of creating meaning is
continually modified in the light of what has gone before. An example is given to
illustrate the distinction between the least metaphorical labeled ‘congruent’ and the
most ‘metaphorical’. To locate the given pair in relation to the continuum, it is apparent
that the expression ‘engine failure’ evolved after ‘the engine failed’. This argument is
made on the rewording of the nominal group ‘engine failure’ as ‘an engine failed’ to
show that it has undergone a downgrade in shift from figure to element. The element
participant of the figure ‘an engine’ is realized as Thing and ‘failed’ is realized as
process. However, in the metaphoric shift the element participant ‘an engine’ in the
congruent form is now functioning as qualifier for head Thing.
Engines of the 36 class only appeared on this train…
Congruent Metaphorical
when the load was in times of reduced reduced ,or an engine failed loading, or engine
failure Figure 2.8 Literal & metaphorical continuum (Halliday & Mathiessen, 1999: 237)
Chapter Two Literature Review
42
The element process ‘failed’ in the congruent form functions as head Thing ‘failure’ in
the metaphorical form. This metaphoric shift where the element process ‘fail’ becomes
a Thing ‘failure’ reflects developments in language use in relation to the three time
frames. The same applies to the noun ‘engine’ in its metaphoric shift to be realized as
qualifier for the nominal group ‘engine failure’.
2.4.1 Manifestation of nominalization at the lexical level
Analysis at the lexical level focuses on three semantic categories that are found to
be commonly employed in USP student texts such as; (i) ‘quality thing’ (ii) ‘process
thing’ and (iii) ‘process quality’ (see Table 2. 2). The secondary motif of grammatical
metaphor where element participant functions as qualifier, possessive or classifier is
also explored. In addition, the metaphoric shift of element process to expand meaning
as qualifier and also as a head Thing in a nominal group is examined.
Nominalization is manifested at the lexical level through junctional elemental
metaphors where two semantic categories are created as a result of a metaphoric shift.
This is illustrated in Table 2. 2 for example in the grammatical shift of the adjective
‘stable’, to the derived noun ‘stability’. The shift allows the lexical item ‘stable’ to
adopt two semantic categories ‘quality thing’. This is shown in another example in the
grammatical shift of the verb ‘transform’, to the noun ‘transformation’. The metaphoric
shift expands the potential of the verb ‘transform’ to make meaning thus acquiring the
semantic categories ‘process thing’. Similarly, in Type 5 metaphor the semantic
categories ‘process quality’ are created as a result of the metaphoric shift of the verb
‘imagine’ to the adjective ‘imaginative’.
Table 2.2 Halliday’s Metaphor taxonomy (Chen & Foley, 2005:196)
Metaphor Congruent Metaphorical Grammatical shift Semantic shift
Type1 stable stability adjective to noun quality thing
Type 2 transform transformation verb to noun process thing
Type 5 imagine imaginative verb to adjective process quality
Secondary motif
Type 13 government decided
government’s decision noun to adjective thing quality
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43
Type13 metaphor is defined by Halliday as realizing the secondary motif of
grammatical metaphor which involves a shift in the opposite direction (Halliday &
Mathiessen, 1999). This is where the element participant adopts a secondary role as
qualifier, possessive or classifier. In Table 2.2, this is illustrated in the metaphoric shift
of the noun ‘government’ to be realized as qualifier/possessive in the nominal group
‘government’s decision’. Type13 Metaphor is also analyzed at the lexical level to
illustrate condensation of information in the rank downgrade from figure to element.
Example (2.12b) shows it has been downgraded from the figure ‘the group decided
yesterday’ (2.12a). In the rank downgrade the verb ‘decided’ shifts to become the head
Thing ‘decision’. The element participant ‘the group’ of the figure expands the head
Thing in the metaphorical variant. Element circumstance ‘yesterday’ is
possessive/qualifier for the head Thing.
(2.12a) Congruent: The group decided yesterday;
(2.12b) Metaphorical: yesterday’s decision by the group.
In another example the nominal group in (2.13b) is downgraded from figure to
element as shown in the rewording in (2.13a). It is apparent that in the metaphoric shift
the adjective ‘stable’ of the figure adopts an alternative function as head Thing in the
metaphorical variant. The participant of the figure now functions as qualifier presented
in a prepositional phrase ‘of the society’ in the metaphorical variant.
(2.13a) Congruent: The society is stable
(2.13b) Metaphorical: the stability of the society
The function of element process as qualifier is also analyzed. It is evident that the
‘verb’ normally does not have the potential to expand because it is from a closed class
system. However, metaphoric shifts through the process of nominalization allow the
verb to adopt other roles such as qualifiers for head Thing as depicted in the examples
presented below.
(2.14a) a clearly demarcated line
(2.14b) a well justified argument
The potential of element process to adopt other functions is also illustrated in
examples (2.15). The slot that is normally observed for a noun is taken up by element
process. For instance, the nominal group ‘exponential increase’ illustrates how the
element process ‘increase’ is realized as head Thing. Similarly the nominal group
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44
‘political intervention’ illustrates the metaphoric shift of element process ‘intervene’ to
be realized as head Thing ‘intervention’.
(2.15a) exponential increase
(2.15b) political intervention
Syntactic establishment is considered important in discussing manifestation of
nominalization at the lexical level to highlight how metaphorical variants evolve into
becoming demetaphoricalized. The concept is referred to as ‘transcategorization’ where
the syntactic status of the derived nominal group is well established that it allows for co-
occurrence with a plural inflectional morpheme ‘(e)s’ and/or the indefinite article
‘a(n)’(Halliday & Mathiessen, 1999; Liu, 2008). However, it must be noted that the line
between metaphorical and transcategorized forms are not always clear-cut. Some
examples that are claimed to be syntactically established are given in (2.16). A
discussion on transcategorization is important in order to determine creativity in
language use by comparing frequency of transcategorized and metaphorical variants
employed in student texts.
(2.16a) development (s) (2.16b) imitations (s) (2.16c) observation(s)
2.4.2 Manifestation of grammatical metaphor at the clause level
Analysis of grammatical metaphor focuses on the following metaphoric shifts; rank
downgrade from sequence to figure, violation of the prototypical subject position,
metaphoric expression of circumstance, manifestation of abstraction in text and lexical
density.
At the clause level, downgrade in shift from sequence to figure is analyzed to
examine how grammatical metaphor is incorporated through condensing of information.
Analysis specifically focuses on semantically loaded nominal groups employed in the
clause.
(2.17) Without funding for the education and sustainable community development
programs that the Universal Access Plan call for, financial support for HIV/AIDS
becomes a life-line to struggling communities.
(2.17a) Funding is provided to educate the people and to sustain programs that are
developed for the communities.
(2.17b)Support is provided in the form of finance
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45
(2.17c)Financial support is viewed as a line that provides support for the communities
that are struggling.
The clause in example (2.17) comprises of three semantically loaded nominal groups
that have undergone a downgrade in shift from figure or some alternative rewordings
may even yield sequences. The alternative rewordings prove that grammatical metaphor
is embodied in text to condense information.
Manifestation of grammatical metaphor at the clause level also examines the
violation of the prototypical subject position. The analysis particularly examines the
shift of the element process and other abstract entities to be realized as Thing. The
metaphoric shift involves a move towards the concrete in the direction of ‘objectifying’
which means making like an object (Halliday and Mathiessen, 2014, 2004, 1999;
Painter, 2007, 1999).
(2.18) Balance (Identified/token) means (process) you hold it on your fingers and it doesn’t
go (Identifier/value.
In example (2.18) the abstract participant ‘balance’ in the subject slot is not prototypical
but peripheral. It is a verb that has undergone a metaphoric shift to be realized as a non-
conscious pseudo Thing. It is said to be peripheral because it is occupying the slot that
is conventionally observed for a noun. The violation of the prototypical subject position
in this way contributes to the creation of grammatical metaphor. Similarly, in the
examples given below it can be argued that the prototypical subject position is violated
in example (2.19b) because a verb ‘impact’ is occupying the slot that is normally
reserved for a noun. The metaphoric shift sees the process ‘impact’ objectified to be
recognized as a non-conscious pseudo Thing ‘The impact’. The recognition of ‘impact’
as a concrete entity is further supported by its potential to co-occur with a plural
inflectional morpheme such as ‘impacts (s)’. This metaphoric shift is further illustrated
in the alternative congruent variant in example (2.19a) where the prototypical subject is
a noun ‘children’, the verb is realized by a process ‘are impacted’ while the
prepositional phrase ‘by the internet and technology today’ is circumstance.
(2.19a) Children are impacted by the internet and technology today (NE1).
(2.19b) The impact/ of the Internet and technology on children today (NE1).
Additionally, to identify how grammatical metaphor is incorporated at the clause
level, the metaphoric expression of circumstance is examined. Clause- internal relations
explored in Relational clauses contribute to the relocation in circumstantial meaning
Chapter Two Literature Review
46
that is normally expressed by conjunctions in inter-clausal relations to process,
preposition or participant. This is illustrated in the examples given below where the
conjunction ‘because’ in the congruent variant is remapped to participant, process or
preposition in the metaphorical mode. In example (2.20b) the circumstantial information
is expressed by the two participants ‘the cause of her death’ and ‘her ignorance of the
rules. In example (2.20c) circumstantial information is relocated to the process ‘caused’
and it is remapped to a preposition ‘through’ in example (2.20d).
(2.20a) She died because she was not familiar with the rules.
(2.20b)The cause of her death was her ignorance of the rules
(2.20c) Her ignorance of the rules caused her death.
(2.20d)Through ignorance of the rules she died (Halliday & Mathiessen, 2014: 673).
The current study also explores how grammatical metaphor is manifested in
Relational Identifying clauses by analyzing the incorporation of abstract participants in
the clause. For instance in example (2.20b) the two abstract participants refer to ‘the
cause of her death’ and ‘her ignorance’. Such clause-internal relations involving
abstract participants where quantum of change is inertly brought about contribute to the
creation of grammatical metaphor and the realization of Verticality.
Moreover, an important feature analyzed found to contribute to the creation of
grammatical metaphor is the choice of expansion types. Elaboration is explored in
writing texts for exposition, exemplification and/or clarification. Extension is used for
addition, an alternative or replacement. Enhancement is argued by Halliday and
Mathiessen (2014) to be commonly employed in academic writing texts to provide
circumstantial information mainly of cause. However, in Relational clauses the meaning
of expansion changes due to the relocation in mapping of circumstance of ‘cause’ that is
normally expressed through conjunctions in inter-clausal relations to process,
preposition or participant in clause-internal relations (Halliday & Mathiessen, 2014:
673-674). Some examples are discussed to illustrate the metaphoric expression of
circumstance through expansion.
(2.21a) The reality simply is that humanitarian organizations do not have the might to
create comprehensive far-reaching sustainability programs.
(2.21b) Humanitarian organizations cannot sustain the programs because they do not have
the might.
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The rewording in (2.21b) shows the relocation in mapping of circumstantial meaning
expressed by the conjunction ‘because’ to the prepositional phrase ‘to create
comprehensive far-reaching sustainability programs’. Expansion type explored is of
enhancement and this is depicted by the circumstance of ‘cause’ created in the distilling
of meaning through the semantically loaded prepositional phrase. The use of Relational
clauses is a convenient way of introducing and making students become aware of how
abstract concepts are objectified and incorporated in writing texts as shown in the
examples. Furthermore, the creation of a circumstantial semantic space through clause-
internal relations contributes to the realization of Verticality. This type of construction
is recommended in academic writing because it incorporates abstract and metaphorical
concepts (Halliday & Mathiessen, 2014, 2004, 1999; Painter, 1999; Bloor & Bloor,
1995).
One way to determine Verticality in a text is by comparing lexical density between
texts. Density of a text is determined by the frequency of nominalized entities in a
sentence. In written texts, words are condensed so that unnecessary information are
filtered out and on the same token to create a distancing effect from ‘here and now’
(Halliday & Mathiessen, 2014; Martin, 2007; Eggins, 1994). Halliday & Mathiessen
among others postulate while written texts are lexically dense, the spoken version is
complex in terms of grammatical intricacy. In order to exemplify this claim, a
comparison is made between a written and its spoken variant. To measure lexical
density the number of lexical items is divided by the number of clauses in a sentence.
One example is illustrated below.
(2.22a) In bridging river valleys, the early engineers built many notable masonry viaducts
of numerous arches.
(2.22b) In the early days when engineers had to make bridges across a valley and had a
river flowing through it, they often built viaducts, which were constructed of masonry and
had numerous arches in them; and many of these viaducts became notable (Halliday,1994:
351).
It is obvious that example (2.22a) is from a written text with eleven lexical items and
two clauses which means a lexical density of around six. However, example (2.22b)
which is grammatically intricate is naturally of the spoken form. There are six
grammatically related clauses and seventeen lexical items, with a lexical density of
around three. Lexical density is high in written texts when compared to spoken texts as
Chapter Two Literature Review
48
a result of the packaging of quantum of information through the process of
nominalization (Halliday & Mathiessen, 2014, 2004, 1999; Halliday, 1994). This is
employed in academic writing as an economical strategy to pack as much information
as required into a group, phrase or sentence. Additionally, it is embraced to eliminate
contextual and unnecessary features thus making the text conform to features promoted
in academic discourse. A lexically dense text exemplifies a high frequency of
nominalization which is reflective of a Vertical knowledge structure.
2.5 Summary
This chapter argues that a Vertical knowledge structure is attained through the
incorporation of nominalization and grammatical metaphor. This claim is supported by
various studies that had explored the pivotal role played by nominalization and
grammatical metaphor in building Verticality in academic writing texts. Features that
define the three concepts are found to be compatible with those accepted in the
elaborated register and academic discourse. Illustrations and discussions have justified
the claim that grammatical metaphor involves the relocation in mapping of meaning to
lexicogrammar. This is manifested at the lexical level in the use of nominalization and
at the clause level in the use of grammatical metaphor. They are said to be
representative of Verticality in their potential to condense information by filtering out
linguistic features that relate the text to ‘here and now’. Additionally, the potential to
package quantum of information facilitates creation of technical terms and relations
made in the clause between parts and kinds.
While tracing the genesis of grammatical metaphor, it is found to be related to
traditional metaphor connecting their philosophical groundings to the theory of
‘experientialism’. The theory of experientialism is aligned to the Functional perspective
of Transitivity and likewise Halliday’s notion of grammatical metaphor. They all
recognize meaning as the embodiment of one’s interaction with their environment.
What unfolds as text is extensively influenced by the interactive role of the social
context and thought processes with language as the critical mediating device. The next
chapter presents the Transitivity system and discusses why it is explored to elicit data
for the current study.
Chapter Three Theoretical Framework
49
Chapter Three Theoretical Framework
The Transitivity system which is included in the three lines of meaning proposed in
Halliday’s Systemic Functional grammar is explored as theoretical framework of the
study (Halliday & Mathessen, 2014; 1999). Firstly, an explanation is made on
Transitivity followed by the three major processes; Material, Mental and Relational. A
more detailed discussion is then undertaken to justify the choice of Relational as the
clause type to analyze nominalization and grammatical metaphor.
3.1 Transitivity System
In traditional grammar Transitivity mainly involves the verb (Halliday, 1994). If
the action induced by the verb extends to another participant, the verb is said to be
transitive, if it does not then the verb becomes intransitive. However, from the
perspective of Halliday’s Systemic Functional theory, Transitivity is different because it
involves all the principle elements in the clause (Halliday & Mathiessen, 2014, 2004,
1999). The choice of verb or process is not independent as it influences the functions of
the other two elements; the participant and circumstance.
Transitivity provides a grammar where human experiences are modeled (Halliday
& Mathiessen, 2014, 2004, 1999; Thompson, 1996; Eggins, 1994). This potential of the
Transitivity system to model human experiences makes it an appropriate theoretical
framework. It provides an environment where embodied human experiences unfolding
in the form of texts can be analyzed as an object of study. Subsequently, its
incorporation with Halliday’s notion of grammatical metaphor should be able to identify
USP students’ academic writing problems related to ‘abstract and metaphorical concepts’
the study intends to identify.
The Transitivity system construes human experience into meaning categories
comprising of clause complex, clause and group which stand in a natural relationship
with those of meaning in the form of sequence, figure and element (Halliday &
Mathiessen, 2014, 2004, 1999). The clause plays a pivotal role in the construal of
experience since it embodies a general principle for modeling experience that consists
of a flow of events or ‘going-ons’ (Halliday & Mathiessen, 2014; Thompson, 1996;
Bloor & Bloor, 1995). The flow of events is embodied into a quantum of change
Chapter Three Theoretical Framework
50
modeled as ‘figure’ with the principle elements; process, participant and circumstance.
The configuration of process and participant constitutes the ‘experiential center’ of the
clause and circumstantial elements augment this center either temporally, spatially,
causally and so on (Halliday & Mathiessen, 2014: 221).
Figure 3.1 The grammar of experience: process types in English (Halliday &
Mathiessen, 2014: 216)
The world of experience is construed in the Transitivity system into a manageable
set of process types of which Systemic Functional grammar identifies six as shown in
Figure 3.1. It is further illustrated as a system of network in Figure 3.2. One of the
process types, Material maps on to experiences that go on in the external world around
us. The prototypical form of the outer experience is that of actions and events (Halliday
& Mathiessen, 2014, 2004, 1999; Thompson, 1996; Bloor & Bloor, 1995). Things
happen and people or others do things or make things happen. Mental, the other process
type corresponds to inner experience that is hard to sort out but it is partly a kind of
replay of the outer by recording it, reacting to it and reflecting on it. The grammar
clearly distinguishes between outer experiences, with processes of the external world on
one hand, and inner experiences with processes of consciousness on the other (Halliday
& Mathiessen, 2014, 2004, 1999; Thompson, 1996). To become a coherent theory of
experience, a third component is supplied where one can generalize and to relate one
fragment of experience to another such as, this is the same as that or this is a kind of the
Chapter Three Theoretical Framework
51
other (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996; Bloor & Bloor,
1995). Here, the grammar recognizes the process of classifying and identifying in
Relational clauses.
Figure 3.2 Transitivity- a system of network (Halliday & Mathiessen, 2014: 219)
There are three other minor processes on the borderline of Material and Mental are
Behavioural processes (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996).
These process types represent outer manifestations of inner workings, the acting out of
processes of consciousness and physiological states as illustrated in the following
examples.
(3.1a) She’s laughing. (3.1b) She’s happy.
On the borderline of Mental and Relational is the category of Verbal processes whereby
human consciousness is enacted in the form of language as shown below.
(3.2a) John told us he was hungry. (3.2b) John said ‘I’m hungry.’
In between Relational and Material are the processes concerned with existence called
Existential by which phenomenon of all kinds are simply recognized to ‘be’ to exist or
to happen as depicted in the given examples.
(3.3a) There was an old person of Dover. (3.3b) There’s a fine collection of Celtic crosses
(Halliday & Mathiessen, 2004: 251-257).
Chapter Three Theoretical Framework
52
The tripartite interpretation of elements (i) process unfolding through time, (ii)
participants involved in the process and (iii) circumstance attendant on the process is
what lies behind the grammatical distinction of word classes into verbs, nouns and other
elements, a pattern that is somewhat universal among human languages as illustrated in
Table 3.1(Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996).
Table 3.1 Typical experiential functions of group and phrase classes
Type of element Typically realized by
(i) process verbal group
(ii) participant nominal group
(iii) circumstance adverbial group or prepositional phrase
The three elements of the ‘figure’ make distinct contributions to the modeling of a
quantum of change (Halliday & Mathiessen (2014, 2004, 1999). The two elements
process and participant make up the center of the clause by construing complementary
facets of change. One of the facets, ‘transience’ is the experience of unfolding through
time and it is construed by the verbal group serving as process. The other facet,
‘permanence’ is the experience of lasting through time and being located in concrete or
abstract space which is construed by nominal groups serving as participants.
Table 3.2 Deictic systems of verbal group and nominal group
Type of element Location in System Terms
process verbal group referential time Tense
past (did do) present (does do) future (will do)
participant nominal group referential space Determination
Specific: (the/this/that thing; it)
Non-specific: (a/some/any/everything)
The contrast between the participant’s permanence and the process’s transience is
further reflected in the organization of nominal groups and verbal groups in two ways as
depicted in Table 3.2. The nominal groups have evolved the system of ‘Determination’
for locating reference in a referential space while the verbal groups have evolved the
system of ‘Tense’ for locating a unique occurrence of process in time (Halliday &
Mathiessen, 2014, 2004, 1999; Thompson, 1996; Halliday, 1994).
Chapter Three Theoretical Framework
53
The three major processes; Material, Mental and Relational are further discussed to
compare how the processes differentially contribute to the modeling of human
experience. Relational clause is then explored in more detail to justify the current
study’s choice of its adoption as the framework to analyze nominalization and
grammatical metaphor.
3.1.1 Material clause: processes of doing and happening
Material processes are those that involve the outer experiences of actions and
events (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996; Eggins, 1994).
Things happen and people or other actors do things or make things happen. This implies,
a Material clause construes a quantum of change in the flow of events as taking place
through some input of energy and this is shown in the example given below (Halliday &
Mathiessen (2004:179).
(3.4) Each year, replace the fruiting rod by tying down a lateral in its place. Either tie
down 1 shoot and cut it off where it meets the next vine, or tie down 2, one each way, and
cut them where they meet the neighbouring lateral. This is called the Double Guyot.
In terms of a Material clause construing a sequence of concrete changes, it is apparent
that the source of energy bringing about the change in example (3.4) is typically a
participant labeled the Actor. The Actor is the one doing the deed or bringing about the
change such as ‘replace the fruiting rod…tying down…tie down 1…cut off…tie down
2…’. The Actor is also the Subject, the element held modally responsible for the
proposal or proposition as in ‘replace the fruiting rod, won’t you?’
Table 3.3 Happening - intransitive material clause
The lion Sprang
Actor Process
Nominal group Verbal group
Table 3.4 Doing - transitive material clause
The lion caught the tourist
Actor Process Goal
Nominal group Verbal group Nominal group
In a Material clause, there is always one participant which is the Actor bringing about
change through the unfolding of process through time (Halliday & Mathiessen, 2014,
Chapter Three Theoretical Framework
54
2004, 1999; Halliday, 1994). Since there is only one participant ‘the Actor’, the clause
is said to be ‘intransitive’ because the outcome is not extended (see Table 3.3).
Alternatively, the unfolding of process may extend to another participant the ‘goal’
where the outcome is first registered with the ‘goal’ rather than the Actor. This type of
Material clause which represents a ‘doing’ is ‘transitive’ (see Table 3.4). From the
notion of Material clause as construing figures of ‘doing and happening’, we may probe
the clauses as ‘What did the lion do? What did the lion do to the tourist?
Table 3.5 Type of doing: Creative & Transformative (Halliday & Mathiessen, 2014: 230)
Creative Transformative
intransitive transitive intransitive Transitive
What happened?
What happened?
Rocks formed
What happened? The pressure formed rocks
What happened? The rocks broke
(into pieces).
What happened? The pressure broke
the rocks (into small pieces).
What happened? He ran (away).
What happened? She chased him
(away).
What happened to
X?
What happened to
rocks? They formed.
What happened to rocks? The
pressure formed them
What happened to rocks? They broke (into small pieces).
What happened to rocks? The pressure
broke them (into small pieces).
What did X do?
What did the pressure do? It formed rocks.
What did the pressure do? It broke
the rocks (into pieces).
What did he do? He ran (away).
What did she do? She chased him
(away).
What did X do to Y?
What did the pressure do to
rocks? It formed them.
What did the pressure do to rocks? It broke them (into
pieces).
What did she do to
him? She chased him (away).
On the other hand, if perceived from the point of view of the tourist, the action is not of
doing but one of happening, so the probe can be ‘What happened to the tourist?
(Halliday & Mathiessen, 2014: 227). Subsequently, this means if there is an Actor as
well as a ‘goal’ in a Material clause, the representation may come in either of the two
Chapter Three Theoretical Framework
55
forms. This refers to either operative (active) ‘The lion caught the tourist’ or receptive
(passive) ‘The tourist was caught by the lion’ (Halliday & Mathiessen, 2004: 180).
The quantum of change represented by a Material clause is construed as unfolding
through distinct phases, with at least an initial phase of unfolding and a separate final
phase as illustrated in example (3.4) ‘tying down, replacing, cutting off and cutting’
(Halliday & Mathiessen, 2014: 228). The final phase depicts the outcome of the process
which is anticipated to be reflected in a change in feature of either the Actor or goal.
The nature of change observed with the Actor or goal turns out to be a general criterion
for recognizing more delicate subtypes of Material clauses illustrated in Table 3.5
(Halliday & Mathiessen, 2014: 230). The subtypes refer to ‘creative’ and
‘transformative’. In creative clauses, the Actor or goal is construed as being brought
into existence as the process unfolds. On the other hand, a clause is identified as
transformative when a pre-existing Actor or goal is construed as being transformed.
From the discussion, it is apparent that modeling of human experience in a Material
clause is not aligned to the general features observed in the realization of Verticality.
This is specifically related to the quantum of change that is dynamic when compared to
the static change typical of academic register. Additionally, in a Material clause there is
always one participant, the Actor unless the process is extended to another the ‘goal’.
This is not agreeable with the shift to Thing observed in this study where relations
between participants are emphasized and the function of element process is of less
salience.
3.1.2 Mental clause: processes of sensing
While Material clauses mainly involve what goes on in the external world, Mental
clauses are concerned with the inner world (Halliday & Mathiessen, 2014, 2004, 1999;
Thompson, 1996).
Table 3.6 Verbs ‘like & please’ as Mental clauses
Mary liked the gift The gift pleased Mary Senser Process Phenomenon Phenomenon Process Senser Nominal group Verbal
group Nominal group
Nominal group
Process Nominal group
Chapter Three Theoretical Framework
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Table 3.7 Verbs ‘like & please’ as operative/receptive pair
Halliday maintains a Mental clause construes a quantum of change in the flow of events
taking place in our consciousness. The process of sensing may be construed either as
flowing from or impinging on a person’s consciousness (Halliday & Mathiessen, 2014,
2004, 1999; Thompson; 1996). Halliday argues a Mental process is distinct from
Material in a number of significant ways. It involves only one human participant, the
one that senses. The Senser is human-like by being endowed with consciousness.
Moreover, the phenomenon being sensed cannot do anything or have anything be done
to it. This is because it is perceived as ‘fact’. The ‘tense’ associated with Mental
processes is either present participial as ‘he saw the dredger heading for the cruiser’ or
an infinitival one without the infinitive marker ‘he saw the sand dredger head for the
cruiser’ (Halliday & Mathiessen, 2004:204). The difference between them is temporal
where the participial clause represents the process as unbounded in time while the
infinitival one is bounded in time. Also, a feature typical of Mental process is its bi-
directionality. This is where either the ‘Senser or phenomenon’ can be placed in the
subject slot as illustrated in Table 3.6. Although a Mental clause appears to be similar to
Relational in the static quantum of change brought about in the unfolding of process,
there are major differences which are discussed next.
3.1.3 Relational clause: processes of being and having
A Relational clause is different from a Material clause in the way a process unfolds.
While unfolding of process is dynamic in a Material clause, it is static in Relational
similar to Mental clauses (Halliday & Mathiessen, 2014, 2004, 1999; Martin, 2007;
Painter, 1999). Relational and Mental clauses are alike since both construe change as
unfolding inertly without any input of energy. The following examples compare the
differences inherent between a Material and Relational clause. A static location in space
that is construed relationally ‘she’s in the dining room’ and dynamic motion in space
that is construed materially ‘she’s walking into the dining room.’ In terms of static
possession ‘she has a mahogany dining table’ is construed relationally but a dynamic
transfer of possession ‘she’s being given a mahogany dining table’ is construed
Mary liked the gift The gift pleased Mary Goal Process Actor Actor Process Goal
Chapter Three Theoretical Framework
57
materially. Likewise, static quality is construed relationally ‘the bottle’s empty’ but
dynamic change in quality is construed materially ‘she’s emptying the bottle’ (Halliday
& Mathiessen, 2014: 260).
Functionalists agree the two verbs that occur frequently in Relational clauses ‘be’
and ‘have’ are both unaccented and phonologically reduced (Halliday & Mathiessen,
2014, 2004, 1999; Thompson, 1996). This view is different from both Material and
Mental where the verbs are salient with accented syllable. This weak phonological
presence of the process represents its highly generalized grammatical nature. The
limiting case of weak presence is absence. This relates to clauses where the process is in
fact structurally absent, for instance in the case of a non-finite Relational clause
(Halliday & Mathiessen, 2014, 2004, 1999). An example is in clauses introduced by
prepositions such as; ‘the animals might have moved about in family groups, with the
younger ones in the middle for protection’ where the preposition ‘with’ means ‘being in
the middle’. The lack of emphasis put on element process in Relational clause when
compared to its dynamism and fluidity in a Material clause, makes Relational a more
relevant choice to analyze nominalization and grammatical metaphor. The quantum of
change brought about without any input of energy is typical of a Relational clause. This
characteristic is agreeable with the move to Thing where elements are rendered as if
they are held at a standstill so that they can be measured and classed into taxonomies
(Halliday & Mathiessen, 2014, 2004; Martin, 2007; Christie, 2002; Painter, 1999).
Although Relational and Mental clauses are similar in their unfolding without input
of energy, participants involved differ in many ways. In Mental clauses, the Senser must
be endowed with consciousness but in Relational clauses not only Things, but also acts
and facts can be construed as participants (Halliday & Mathiessen, 2014, 2004, 1999;
Eggins, 1994; Halliday, 1994). Furthermore, essential elements of a Relational clause
involve the nature of a configuration where there are two parts to the ‘being’. This
implies there are always two participants in a Relational clause and this contrasts with
the general class of Material and Mental with one inherent participant the Actor and
Senser respectively (Halliday & Mathiessen, 2014, 2004, 1999; Eggins, 1994; Halliday,
1994). The difference highlighted in the prototypical configuration of ‘being’ is
suggestive in relation to the ‘experiential weight construed by the participants’
(Halliday & Mathiessen, 2004: 213-214). Again, this preference put on ‘participants’ in
comparison to the lack of emphasis put on element process supports the stance of the
Chapter Three Theoretical Framework
58
current study to choose Relational clause out of the other two major clauses, Material
and Mental to analyze nominalization and grammatical metaphor. As can be recalled, a
major motif of grammatical metaphor and likewise a feature of Verticality is the shift to
Thing.
In a Relational clause, class membership is construed by Attributive clauses and
identity by Identifying ones. These two clauses can operate and further bring out three
other semantic relations: (a) intensive - ‘x’ is ‘a’ (b) possessive - ‘x has a’ (c)
circumstantial - ‘x’ is at ‘a’ where ‘is at’ stands for ‘is at, in, on, for, with, about, along
and so on (see Table 3.8).
Table 3.8 Principle categories of Relational clauses (Halliday & Mathiessen, 2014: 265)
Attributive - ‘a is an attribute of x’
Identifying – ‘a is the identity of x’
Intensive ‘x is a’ Sarah is wise Sarah is the leader; the leader is Sarah
Possessive ‘ x has a’ Peter has a piano The piano is Peter’s; Peter’s is the piano
Circumstantial ‘x is at a’ The fair is on Tuesday Tomorrow is the tenth; the tenth is tomorrow.
In the Attributive mode an entity has some quality ascribed to it. Structurally this
quality is labeled Attribute and the entity to which it is ascribed is called the Carrier
(Thompson, 1996; Eggins, 1994; Halliday, 1994). There are four characteristics of
Attributive clauses which distinguish them from Identifying ones. The nominal group
functioning as Attribute construes a class of things. It is indefinite and can be an
adjective or a common noun as ‘head’. It cannot be a proper noun or a pronoun since
they do not construe classes. The lexical verb realizing the process is one of the
ascriptive classes (see Table 3.9). If the Attribute is realized by a nominal group with a
common noun as ‘head’ without a premodifying adjective, it is usually expressed as if it
was a circumstance. Some interrogative probes for such clauses include; what? how?
What is Paula like? Attributive clauses are not reversible.
Features are further exemplified in the clause of intensive attribution where the
Attribute can be defined according to three different contrasts (Halliday & Mathiessen,
2014, 2004, 1999). Firstly, in ‘membership specification’ the class denoted by Attribute
can be defined by reference to an entity or quality.
Chapter Three Theoretical Framework
59
Table 3.9 Verbs serving as Process in Relational clauses (Halliday & Mathiessen, 2014:269)
Attributive Identifying
neutral be, feel Be
Phase time
inceptive
become, turn (into), grow (into) become, turn into, grow into
get, go, fall, run
durative remain, stay (as), keep remain, stay as
phase: reality
apparent seem, appear, qualify as seem (+ superlative)
perceptive look, sound, smell, feel, taste (like)
realized prove, turn out, end up (as) Prove
measure weigh, cost, measure
quality [Process/Attribute:] seem, appear [be apparent]; matter, count [be
important], apply [be relevant], figure [be sensible], suffice [be enough],
abound [be plentiful], differ, vary [be different], dominate [be dominant], do [be acceptable, enough]; hurt, ache [be painful]; stink, smell [be smelly]; reek, drip, ooze [be over-
full]; suck, stink [be awful]
role play, act as, function as, serve as
sign mean, indicate, suggest, imply, show, betoken, mark,
reflect
equation equal, add up to, make
kind/part comprise, feature, include
significance represent, constitute, form
example exemplify, illustrate,
symbol express, signify, realize, spell, stand for, mean
When the attribute is an entity as ‘an architect’ that constitutes a class as in ‘He was an
architect’, the entity is realized by a nominal group. In the case of quality ‘is very
generous’ from the clause ‘The New Yorker is very generous’, the quality is realized by
a nominal group with epithet as ‘head. In this example although the Thing is left
implicit in the general sense it refers to ‘one’.
Secondly, the ‘phase of attribution’ can be neutral or phased. Like all other
processes, the processes of attribution unfold through time. In the unmarked case, the
Chapter Three Theoretical Framework
60
phase of unfolding is left unspecified (neutral); alternatively the phase is marked as
either (i) time phase – inceptive (e.g. become, go, grow, turn), or durative (e.g. keep,
remain) or (ii) reality phase – apparent (e.g. seem, appear), perceptive (e.g. look, sound,
taste) or realized (e.g. prove, turn out). Some examples borrowed from Halliday &
Mathiessen (2014: 272) are given below.
3.5 time phase
(3.5a) When a child loves you for a long time, you become real. Generally, by the time
you are real, most of your hair has been loved off, and you get very shabby.
(3.5b) This remains national policy all over the world.
(3.6) reality phase
(3.6a) At least we remember them as young before they decayed and grew old.
(3.6b) She said ‘well that seems pretty expensive but if they’re alright I don’t mind’.
(3.6c) You don’t look bad yourself either, Betty.
(3.6d) He doesn’t know he looks very funny, does he?
(3.6e) that you might have proved too strong and independently minded a figure to be in
exactly that role.
Thirdly, the ‘domain of attribution’ may be either material or semiotic because
Relational clauses may construe either external or internal experiences. In this case
attribution is generalized to include not only subjective sensations but also attributes
such as that denoted by the adjective ‘true’ as in the clause ‘it’s true food down there is
really fresh’. However, the general contrast in the domains of attribution is not that of
‘material verses mental’ but of ‘material verses semiotic’. This entails attributes
assigned to the Carrier are either material ones or semiotic ones (see Table 3. 10).
Table 3.10 Attributes within the semiotic domain
type Attribute
emotion/attitude sad, tragic/a tragedy; delightful/a delight, a joy, a relief, extraordinary good/a good thing, bad/a bad thing;
cognition/probability doubtful, certain, likely, unlikely, probable, possible, a question
desideration/obligation desirable, acceptable, appropriate, important, justified
In the Identifying mode, something has an identity assigned to it. This means that
one entity is being used to identify another (Halliday & Mathiessen, 2014, 2004, 1999;
Thompson, 1996). For example; ‘x’ is identified by ‘a’ or ‘a’ serves to define the
Chapter Three Theoretical Framework
61
identity of ‘x’. Structurally, we label the ‘x’ element to be identified as the Identified
and the ‘a’ element, which serves as the identity as the Identifier. The nominal group
realizing the function of Identifier is typically definite. It has a common noun as ‘head’,
with ‘the’ or other specific determiner or else a proper noun or pronoun. The only form
with adjective as ‘head’ is the superlative as shown in this example ‘the chicken skin
was definitely the best’ (Halliday & Mathiessen, 2004: 228). The lexical verb of the
verbal group realizing the process is from the ‘equative’ classes (see Table 3.9). The
probe for such clauses is ‘which? who? which/who…as? or what? For example; who is
the one in the back row? which are the deadliest spiders? who/what did Mr. Garrick
play? These clauses are reversible. All verbs except the neutral ‘be’ and the phased
‘become, remain (and those with the following prepositions like; ‘as’ in ‘act as’) have
passive forms for example; Hamlet was played by Mr. Garrick, cat is spelled c-a-t.
Clauses with ‘be’ reverse without change in the form of the verb and without ‘by’
marking the non-Subject participant for example; the deadliest spiders in Australia are
funnelwebs: funnelwebs are the deadliest spiders in Australia. In an Identifying clause,
the two halves refer to the same thing but it is not a tautology because the difference is
related to expression and content or in terms of their generalized labels in grammar of
‘token and value’ (Halliday & Mathiessen, 2014, 2004, 1999; Halliday, 1994). For
example, in the clause ‘Tom is the treasurer’ Tom is identified by being assigned to a
‘value’.
Table 3.11 Operative and receptive in Identifying clauses
Henry is the villain
The villain is Henry
Token/Subject Process Value/Complement Value/Subjec
t Process Token/Complement
Henry plays
[active] the villain The villain
is played [passive]
by Henry
On the other hand, if we say ‘Tom is the tall one’ we are identifying Tom by assigning
him a ‘token’. Every Identifying clause faces either way and it is this directionality that
determines the ‘voice’, whether operative or receptive. The operative voice is the one in
which the Subject is also ‘token’. This is further illustrated in Table 3.11 (Halliday &
Mathiessen, 2014: 281).
The second type of ‘being’ refers to possessive clauses and these also come in the
two modes Attributive and Identifying. In the ‘possessive’ type, the relation is one of
Chapter Three Theoretical Framework
62
ownership for example; ‘The piano is Peter’s’. If the relationship is construed as the
Attribute the thing possessed is the Carrier and in this clause it refers to ‘The piano’ and
the possessor is the attribute ‘Peter’s’. The piano is a member of the class of Peter’s
possessions. If the relationship of possession is construed as a process ‘Peter has a
piano’ the Carrier is ‘Peter’ and ‘piano-ownership’ is the attribute. In the Identifying
mode, again the relation takes two forms; possession as participant and possession as
process. When participants embody the notion of possession as in this example ‘Peter’s
is the piano’, one signifying property of the possessor is ‘Peter’s’, the other signifying
the thing possessed ‘the piano’. Both ‘the piano’ and ‘Peter’s’ express that which Peter
possesses. The relationship is one of identity. On the other hand when possession is
encoded as process such as ‘Peter owns a piano’, the possessor is Peter and the
possessed is the piano.
3.2 Circumstance in Relational clauses
The third type of ‘being’ is circumstance. Out of the three sub-types of Relational
clauses, intensive, possessive and circumstantial, it is claimed that circumstantial is the
most commonly explored in academic writing texts (Halliday & Mathiessen, 2014;
Martin, 2007; Painter, 1999; Halliday, 1994). In the Attributive mode the circumstantial
element is an attribute that is being ascribed to some entity as illustrated in the clause
‘My story is about a poor shepherd boy’ where circumstance is construed as an attribute
‘about a poor shepherd boy’ that is realized by a prepositional phrase. When
circumstance is process as in ‘My story concerns a poor shepherd boy’ the attribute is
realized by a nominal group ‘ a poor shepherd boy’ and the circumstantial relation is
expressed by a lexical verb ‘concerns’ (see Table 3.12).
Table 3.12 Circumstantial attributive clauses (Halliday & Mathiessen, 2014:291)
My story is about a poor shepherd boy
Carrier Process: intensive Attribute: circumstantial
Nominal group Verbal group Prepositional phrase
My story concerns a poor shepherd boy
Carrier Process: circumstantial Attribute
Nominal group Verbal group Nominal group
Chapter Three Theoretical Framework
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In the Identifying mode circumstance takes the form of a relationship between two
entities, the entity is being related to another by a feature of time , place, manner, cause,
condition and so on (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996). Like
circumstantial relations, in the Attributive mode the relation can be expressed in two
ways (see Table 3.13). The first is as a feature of participants where the Identified and
Identifier are circumstantial elements of time, place, manner, cause, condition and so on.
In the example ‘tomorrow is the tenth’, both ‘tomorrow’ and ‘the tenth’ are time
elements. The realization of circumstance as process, prepositional phrases and
participants in Relational clauses means that they are metaphorical thus are forms of
grammatical metaphor (Halliday & Mathiessen, 2014:332). This claim further justifies
the choice of Relational clause as an appropriate clause type to elicit data for the current
study.
Table 3.13 Circumstantial Identifying clauses
(a) Operative Receptive
Tomorrow is the tenth. The tenth is tomorrow.
Identified/ Token
Process intensive
Identifier/Value Identified/ Value
Process: intensive
Identifier/ Token
Subject Finite Complement Subject Finite Complement
Mood Residue Mood Residue
(b) Operative Receptive
The fair occupies the whole day
The whole day
is occupied by the fair
Identified/ Token
Process: circum Identifier/ Value
Identified/ Value
Process: circum Identifier/ Token
Subject Finite Pred. Complement Subject Finite Pred. Adjunct
Mood Residue Mood Residue
In Systemic Functional grammar, circumstance is normally perceived from three
different perspectives (Halliday & Mathiessen, 2014:311). The first is where it is
attendant or associated with the process expressing circumstantial information related to
‘where, when, how or why’ things happen. This view links circumstances to the four
WH-forms that were adverbs rather than nouns. In the Mood grammar, circumstances
map onto adjuncts where participants function as either Subject or Complement. The
third view explored in this study is where circumstances are expressed either as
Chapter Three Theoretical Framework
64
adverbial groups or prepositional phrases. The latter is the most commonly accepted
view because adverbials are largely confined to circumstance of ‘manner’.
A prepositional phrase has a nominal group as a constituent hence it looks bigger
than a group but it is still not quite a clause. This nominal group inside a prepositional
phrase is no different from a nominal group that is functioning as a direct participant in
a clause. In principle, every nominal group can occur in either context. For example, in
the clause, ‘Little drops of water make the mighty ocean’, the nominal group ‘the
mighty ocean’ functions as a participant. In another example; ‘I’ll sail across the mighty
ocean’, the nominal group ‘the mighty ocean’ preceded by the preposition ‘across’
functions as circumstance. Halliday (1994) argues in a prepositional phrase, the relation
between a preposition and a nominal group is similar to that of a subject and predicator
in a clause. From this point of departure, the ‘circumstantial element’ is itself a process
that is parasitic on another process. Listed below are some circumstantial elements
normally expressed by prepositional phrases.
Relational: circumstantial Jack was building a house…
(1) When? (it was during) throughout the year. Extent: duration
(2) Where (it was at) near the river Location: place
(3) How? (it was by) out of brick Manner: means
(4) Why? (it was for) for his retirement Cause: purpose
(5) Under what conditions? despite his illness Contingency: concession
(Halliday & Mathiessen, 2014:312).
To further explore how circumstance is metaphorically expressed in Relational
clauses the semantic domain of expansion comprising of three sub-types; elaboration,
extension and enhancement is revisited (see section 2.4.2). In elaboration, one clause
further elaborates on another by specifying or describing it. The secondary clause does
not introduce any new element. There are three subcategories of elaboration namely;
exposition, exemplification and clarification. Extension on the other hand involves the
addition of something new, an alternative or a replacement. Enhancement, the third
expansion type is argued to be the most popular in academic writing. With the three
sub-types of expansion; ‘intensive’ clauses embody elaboration, ‘possessive’ clauses
extension and ‘circumstantial’ clauses enhancement (Halliday & Mathiessen, 2014:
667). Some different environments where enhancement is expressing circumstance of
Chapter Three Theoretical Framework
65
‘cause’ in terms of metafunctions are illustrated in Table 3.14 extracted from Halliday
& Mathiessen (2014: 673).
Table 3.14 Manifestations of the enhancing relationship of ‘cause’
Domain System Metafunction Example Cohesive
sequence: Conjunction Textual She did not
know the rules. Consequently, she died.
Clause, complex:
Parataxis Logical She did not know the rules, so she died.
Hypotaxis Because she did not know the rules, she died.
Clause, simplex: Causation Logical + experiential
Her ignorance of the rules caused her to die.
circumstantiation Experiential Through ignorance of the rules, she died.
Relational process
Her death was due to her ignorance of the rules.
Her ignorance of the rules caused her death.
The cause of her death was her ignorance of the rules.
Nominal group Qualification Her death through ignorance of the rules.
A major argument of the current study is that in Relational clauses, the relocation
in mapping of circumstantial meaning to corresponding grammatical labels is a
consequence of clause-internal relations made here. This implies circumstantial
information that is normally expressed by conjunctions through inter-clausal relations is
remapped to process, preposition or participant in Relational clauses, for instance in the
examples given below.
(3.7a) metaphoric: their departure was the cause of his resignation.
(3.7b) congruent: they departed because he resigned.
Example (3.7a) illustrates clause-internal relations explored in a Relational clause
where circumstance of ‘cause’ is expressed by the two participants ‘their departure’
and ‘the cause of his resignation’. The quantum of change is inertly brought about
Chapter Three Theoretical Framework
66
without any input of energy. The functions of the two participants are emphasized and
the role of element process is not given much emphasis. The configuration of clause
elements in this way which is typical of Relational clauses supports the general motif
of grammatical metaphor in the shift to Thing. On the other hand, example (3.7b)
exemplifies inter-clausal relations where circumstance of cause is expressed by a
conjunction ‘because’. The quantum of change is dynamic brought about by the
unfolding of processes where one event leads to the other. The fluidity in the flow of
events observed in inter-clausal relations is not agreeable with the primary motif of
grammatical metaphor in the shift to Thing. Other examples are given to exemplify the
relocation in mapping of circumstance to corresponding grammatical labels. In example
(3.8b) it is evident that the conjunction ‘because’ employed in the congruent variant
(3.8a) is relocated to a nominal group ‘the cause’. Example (3.8c) indicates that the
conjunction ‘because’ is remapped to a preposition ‘through’.
(3.8a) Congruent: She died because she did not know the rules.
(3.8b) Metaphorical: The cause of her death was her ignorance of the rules.
(3.8c) Metaphorical: Through ignorance of the rules, she died (Halliday &
Mathiessen, 2014: 673).
Importantly, the semantic motif of expansion is critical in the metaphoric
expression of circumstance (Halliday & Mathiessen, 2014; Martin, 2007). In Relational
Attributive clauses, ascribing of attributes to associated Carrier involves distilling of
meaning through expansions (see section 2.4.2). Out of the three subtypes of expansions
such as; elaboration, extension and enhancement, the latter is commonly exploited in
academic writing where circumstantial information of cause is encompassed (Halliday
& Mathiessen, 2014; Martin, 2007). It is worthy to note that in clause-internal relations
where quantum of change is inertly brought about, the meaning of expansion changes as
a consequence of metafunctional manifestation (Halliday & Mathiessen, 2014: 674).
This means the use of ‘cause’ typical of logico-semantic relations where conjunctions
such as ‘so’ and ‘because’ are used is changed to ‘process, preposition or participant’
common to clause-internal relations. In Relational clauses, expansion types chosen
influence the circumstantial semantic space created such as ‘manner’ or ‘cause’. This is
significant especially in an argumentative text type where persuasion is imperative.
This section highlights metaphoric expressions of circumstance in Relational
clauses is greatly influenced by the choice of expansion types. Hence, by choosing
Chapter Three Theoretical Framework
67
Relational clauses to analyze nominalization and grammatical metaphor, the study
should be able to identify USP students’ academic writing problems related to abstract
and metaphorical concepts. The current study is guided by three major arguments listed
below.
(I) Verticality is realized through the use of nominalization and grammatical
metaphor.
(II) Distilling of meaning through expansions in clause-internal relations
contributes to the creation of grammatical metaphor and the realization of Verticality. (III) The use of Halliday’s notion of grammatical metaphor and his Functional
view of Transitivity should be able to identify writing problems related to ‘abstract and
metaphorical’ concepts mentioned by previous studies to be predominant in USP
student texts.
3.3 Summary
Relational clause is chosen over Material and Mental processes because human
experiences are represented abstractly and metaphorically in Relational clauses. This is
exemplified in Relational Attributives and Relational Identifying clauses where
relations are set up between the two participants ‘Carrier + Attribute’ and ‘Identified
and Identifier’. The lack of salience put on element process recognizes the shift to Thing
where the dynamism often brought about by processes is filtered out. Moreover, clause-
internal relations typical of Relational clauses where circumstantial information is
incongruently realized are found to be in agreement with the shift to Thing and the
realization of Verticality. The researcher believes that exploring Relational clauses
should be the most convenient and reliable framework to analyze the manifestation of
abstract and metaphorical concepts in USP students’ academic writing texts.
Chapter Four Research Methods
68
Chapter Four Research Methods
This chapter gives a brief overview of the two research paradigms that have
extensively influenced research methods namely; quantitative and qualitative. Dornyei
(2007) argues that recently with experience and advances into research, it has been
highlighted that both camps overlap at times during the research process. The two
paradigms therefore should be seen as complementary, one enhancing the other. It is
recommended not to look at differences but to utilize how the attributes of the two
research traditions complement each other (Bogdan & Biklen, 1992). Next, the
Exploratory Interpretive research method adopted as research design is explained.
Although it is more skewed towards the qualitative paradigm, it has also utilized
elements from the quantitative research tradition. Following this is a discussion of the
pilot and the main study with a description of subjects and text type chosen to be
analyzed. Lastly, procedures observed during selection of corpora with important
research ethics are presented.
4.1 Research Paradigms
Generally research is demarcated between the quantitative and qualitative research
traditions. Some significant distinctions noted between the two paradigms are explained.
4.1.1 Quantitative vs qualitative
On one hand, the traditional scientific approach also known as Positivism has been
the conventional approach used in many areas of investigation (Borg & Gall, 1989).
This model is guided by the belief in its ‘…objectivity, reliability, generalizability and
that truth tends to be fixed and singular which is reflective of a factual and causal view
of reality’ (Burns, 1997: 3). Bogdan & Biklen (1992) assert that quantitative research is
more controlled, objective, generalizable, outcome oriented and assumes the existence
of facts which are somehow external to the researcher. The definitions given by the
various authors all seem to agree that quantitative research is controlled, objective,
factual, outcome-oriented, reliable and generalizable.
On the other hand, qualitative approach recognizes the importance of the
‘…subjective, experiential life-world of human beings where a given setting is seen not
Chapter Four Research Methods
69
as a fixed and stable entity but a kind of variable that is made meaningful through
various forms of understanding’ (Burns, 1994: 12). Other writers like Verma and
Mallick (1999) share similar views that qualitative research is concerned with the social
processes and involves gathering of evidence that reflects experiences, feelings or
judgments. Researchers in this tradition use descriptive, exploratory and interpretive
approach to find out how participants make sense of their experiences (Burns, 1997).
Additionally, it is argued that there can be little meaning, impact or quality in activities
and practices if isolated from the context in which it is found (Eisner, 1979). In giving a
comparison between the two paradigms, Malhotra (1993: 159) posits that quantitative
and qualitative researches are different because they ask different questions. For
quantitative, its goal is to examine variables that have already been established in the
literature and to see to what extent hypothesis regarding these variables can be
confirmed or refuted. As for qualitative, the aim is to identify variables for further
research and to formulate hypothesis for testing in the future.
4.1.2 Research design: Exploratory Interpretive
After considering the two different definitions, the researcher asserts that the
current study is more skewed towards the qualitative tradition. It therefore adopts an
Exploratory Interpretive research design. However, this is not to say that it did not
incorporate some features of the quantitative research approach. Below some reasons
are discussed to support the standpoint undertaken.
Exploratory Interpretive refers to research that utilizes non-experimental methods
hence yield qualitative and provides an interpretive analysis of data (Malhotra, 1993:
159). This research is exploratory because research hypotheses are formulated based on
previous research findings, in particular that Verticality is realized through the use of
nominalization and grammatical metaphor. Another feature that is exploratory is the
belief that knowledge is relative thus there is a subjective twist to all knowledge. This
argument is made while taking into consideration a number of factors. One is the
influence of the English language curriculum students may have been exposed to from
primary, secondary and tertiary institutions. Yet another is that, participants are of the
same cultural group therefore their world views basically will be somewhat similar.
Although the approach is more subjective, the researcher claims it can be generalized to
other Non-Native English speakers in similar socio-cultural contexts.
Chapter Four Research Methods
70
To support credibility for this research design, Dornyei’s (2007) insight is cited
where he explains that one disputes the existence of ‘objective reality’ that is
independent of the subjective view of the researcher. It is believed that any research
involving the human element cannot avoid but to embrace subjective points of views.
Hence, it is anticipated that within this context research findings will be influenced by
socio-cultural meanings. The choice of Exploratory Interpretive approach as a research
design will be able to identify strengths and weaknesses which are common to this
particular cultural group. Therefore instructions formulated to address identified
strengths and weaknesses will be more relevant and culture-inclusive.
4.2 Pilot study
In the early stages of the research process, a pilot study is administered to select
corpora used for text analysis. In order to select the required data Halliday’s
‘Circumstantial theory’ is firstly tested. The theory argues that circumstances are mostly
incongruently realized in Relational clauses (Halliday & Mathiessen, 2014, 2004, 1999;
Halliday, 1994). The assumption is that if the theory is verified it should provide a
convenient framework to identify and develop abstract and metaphorical concepts. After
the hypothesis was verified selection of corpora employed for text analysis was then
conducted. In his ‘Circumstantial theory’ Halliday (1994) claims that between the two
modes Relational Attributive (RA) and Relational Identifying (RI) circumstances are
realized as (i) preposition in RA: My story is about a poor shepherd boy. (ii) process in
RA: My story concerns a poor shepherd boy. (iii) process in RI: The whole day is
occupied by the fair. (iv) participant in RI: Tomorrow is the tenth.
Data used include fifteen scripts each from NE and NNE of the main research data.
Particular texts analyzed are those coded NE1-NE15 and NNE 1-NNE15 (see Appendix
I for NE data and Appendix III for NNE). A detailed description of the respective
cohorts is undertaken in the main study because texts used in the pilot study are part of
those used in the main study.
4.3 Main study
In the main study a number of significant changes are carried out as a result of the
findings obtained from the pilot and these are discussed next. Initially, the number of
Chapter Four Research Methods
71
scripts acquired for both cohorts is fifteen but in the main study this is increased to
thirty (30) to meet statistical requirement (Wen, 2001; Miles & Huberman, 1994). As in
the pilot, subjects chosen for the NNE category are from both second and third year
students because it was difficult to collect third year scripts. In the pilot study after
Relational clauses are isolated, the Excel software is then employed to code, record,
analyze and illustrate data. However for the main study this is improved whereby
samples of text selected from each cohort to be used as corpora are statistically
described and analyzed using the Statistical Software Package for the Social Sciences
(SPSS).
4.3.1 Subjects of study
Subjects chosen for the study comprise of two cohorts NE and NNE. Native
English (NE) speakers are final year tertiary students from the University of Michigan,
Ann Arbor in the United States of America. In acquiring NE data, the current study
adopts ‘convenience sampling technique’ in data selection (Hesse-Biber & Leavy, 2004;
Wen, 2001). This suggests the researcher uses data that are readily available. For this
particular group, referenced corpora are extracted from the Michigan University
Elicorpora website (MICUSP, 2010). NE student texts identified are those from the
School of Humanities and whose texts are graded as either ‘A’ or ‘A+’. Additionally,
scripts selected are from students within the age range of 20-22 years. Altogether 30
scripts are selected and this is based on the ideal number of subjects according to
statistical requirement (Wen, 2001; Miles & Huberman, 1994).
Non-Native English [NNE] speakers are tertiary students in their second and final
year (3rd) at the University of the South Pacific (USP) in Fiji. Data selected for NNE
texts are also collected in the form of ‘convenience sampling’. At USP, the duration for
one student to complete all the required courses for a Bachelor Degree in the School of
Humanities is approximately three years. The cohort of 30 used in this study includes
students from Fiji with ages ranging from 20-22 years. Texts selected are from both
second and third year students due to difficulties encountered in acquiring final year
student texts. Scripts obtained are those in the ‘A and B’ grades as it was not easy to
find ‘A’ grade papers. It is important to note that although these students are commonly
labeled English as Second Language Speakers (ESL), they may not use English as a
second but a third or fourth language depending on which island of the Fiji group they
Chapter Four Research Methods
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come from. For instance in the case of ‘i taukei’ or indigenous Fijian students, most
come to school with the knowledge of their Mother Tongue (L1) or dialects and this
varies for the fifteen (15) provinces that make up the population of the Fiji islands. In
school, students are required to use a different vernacular the ‘Baun’ language which is
recognized by the government as the standard Fijian. This is the language used in
schools, government, and in media and for publications. This scenario puts into
perspective the difficulties Fiji students face in reorganizing their existing language
backgrounds in order to cope with language demands in the educational context.
4.3.2 Text type chosen to be analyzed
Argumentative writing text is chosen to be analyzed for both cohorts to lessen
variability and thus contribute to credibility in the findings. Argumentation as a text
type has essential components to be included. Hormazabal (2007) discusses six
elements presented in Toulmin’s argumentation model, three of which are essential
comprising of claim, data and warrant.
Figure 4.1 Toulmin’s argumentation model
A ‘claim’ made needs to be supported with credible ‘data’ or evidence so that
readers may be convinced of the argument put forth. Equally important is a ‘warrant’, it
illustrates the anticipated outcomes should one agree with the stance proposed.
Hormazabal (2007) iterates in order for the writer to attain the purpose of this text type,
it is critical to acquire the relevant skills. Such skills include problem solving that is
aligned to the cognitive and social complementary views of writing (Alexander et al.,
2008; Flower & Hayes, 1981). This is shaped by the way the writer interprets and seeks
to address the rhetorical problem, and to be able to influence the analytical reader. As a
social and goal-oriented process, the writer not only considers the subject matter but the
Qualifier Data/Ground Claim
Rebuttals Warrant
Backing
Chapter Four Research Methods
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target audience, the context and the conventions and practices of the particular discourse
community (Alexander et al., 2008; Chandrasageran, 2007; Thaiss & Zawacki, 2006).
Grounded within these perspectives argumentative writing is chosen as an appropriate
text type to analyze features of Verticality. In order to fulfill the requirements of
argumentation, students are expected to exploit rhetorical features and devices that
trigger the higher thinking skills. These skills involve incorporation of abstract and
metaphorical concepts.
4.4 Procedures followed in the selection of corpora
Data collection made at the early stages of the research was executed in the form of
a pilot in order to select corpora used for analysis in the main study. Corpus is defined
as a large body of text which has been collected according to defined principles which
can be examined to assist the researcher in testing hypothesis about the language (Neale,
2006). In Systemic Functional theory, real language is always recommended in the hope
that the study of instances of language used in the text should assist the researcher
understand what the language users know (Halliday & Mathiessen, 1999). Based on the
theory that we are the embodiment of experiences from our environment (Lakoff, 1994;
Lakoff & Johnson, 1980), Transitivity is chosen since it has a grammar that models
human experiences. While considering the three major processes encompassed in the
Transitivity system, Relational is found to be the most appropriate choice to test the
research hypotheses. The grammar of the clause is compatible with the realization of
Verticality such as, clause-internal relations made and the emphasis put on the
participants. Additionally, the processes of ‘being and having’ commonly employed are
unaccented and of less salience. Most importantly in the unfolding of process the
quantum of change is inertly brought about.
After Halliday’s (1994) ‘Circumstantial theory’ was verified, data collection for
the main study was then undertaken. Procedures observed to select corpora for both the
pilot and the main studies were similar. The difference however was in relation to the
number of scripts analyzed. While the pilot used fifteen scripts from the main research
data it was increased to thirty in the main study.
The following procedures were closely observed in the collection of research data.
Step.1 NE and NNE data were downloaded and saved into a Word document
file coded NE and NNE raw data respectively. To code data the open coding system was
Chapter Four Research Methods
74
used. This suggests that data are raw and have not been classified into different
categories (Wen, 2001; Verma & Mallick, 1999).
Step.2 The thirty (30) scripts were each coded NE1, NE2, NE3 up to NE30 for
Native English speakers and similarly for USP students as NNE1, NNE2, NNE3 up to
NNE30.
Step.3 Analysis started with NE1 but first sentences were counted and numbered
from #1, #2, #3…and some up to #130 and over depending on the word length of each
essay. This was done for all the scripts NE1-NE30 and likewise NNE1-NNE30.
Step.4 The first round of selective coding was administered to narrow the focus
to the core category (Burns, 1997). This was done by analyzing each sentence according
to process type; Material, Mental, Relational, Verbal, Behavioral or Existential in order
to isolate the focus to Relational clauses. The percentage of Relational clauses explored
in a text was also recorded. This procedure was observed for both sets of data, NE and
NNE.
Step.5 After Relational clauses were isolated they were then saved into separate
files; coded NE Relational and NNE Relational clauses. At this stage the category was
further narrowed down where Relational clauses were again counted and numbered
from #1, #2, #3, #4 and so on; and analyzed to distinguish the two modes of Relational
clauses comprising of Relational Attributive (RA) and Relational Identifying (RI).
Step.6 Sentences were categorized into Attributive and Identifying then saved
separately for each NE and NNE coded Relational Identifying and Relational
Attributive.
Step.7 Sentences for both Attributive and the Identifying modes were again
analyzed to determine frequency of circumstantial types explored. This is administered
for both cohorts NE and NNE and firstly in the mode RA followed by RI for example if;
circumstance is preposition in RA, or process in RA. Similarly, this was undertaken
with Relational Identifying clauses for both sets of data to see if circumstance is process
in RI, or participant in RI.
To record data two software programs were used the Excel in the pilot and SPSS in
the main study whereby frequency of each circumstance was recorded and the mean
calculated. This procedure is observed for both sets of data.
Chapter Four Research Methods
75
Step 8
Corpora comprising of two sets NE and NNE were then used for analysis in the
main study.
4.5 Research ethics
Ethical issues have recently become a concern for educational research worldwide.
A high sensitivity to the rights of individuals has triggered the move towards
formulation of research ethics and the need to conform to the established norms (Drew
& Heritage, 1992). Some ethical principles that researchers may consider are those
promoted by the Council of American Survey Research Organization (CASRO, 2011).
These ethical principles were closely observed where it was found to be relevant.
4.5.1 Willingness to participate in the research
In the course of research at USP, the researcher sought approval to collect data
from the Postgraduate Research Affairs of the Faculty of Languages Arts and Media.
This process involves filling of certain forms which has to be approved first by the
school before acquiring of data commenced. The students that participated were made
aware of the aims and objectives of the research study. It was explained that data would
be used solely for research purposes and not in any way be abused.
4.5.2 Protection of subject Rights
Similarly, subjects were assured their rights, identity and anonymity would not in
any way be violated. In the case of the referenced corpora (NE data) permission was
granted on the understanding that data would be used primarily for educational purposes
and not for any financial gains.
4.6 Summary
This chapter discusses two significant research traditions, the qualitative and
quantitative including features that distinguish one from the other. While quantitative is
known for its objectivity, reliability and generalizability, qualitative is said to be
subjective and ungeneralizable. The study argues that the qualitative approach is more
realistic and relevant since it relies on authentic data. Thus findings generated are
Chapter Four Research Methods
76
anticipated to reflect the cultural group and how they attach meaning. Although the
study adopts an Exploratory Interpretive research method which is skewed towards the
qualitative tradition elements of the quantitative are also employed. The study maintains
that the two research paradigms are complementary and should be used to enrich each
other. Two sets of corpora are acquired from two independent sources. The first set
includes Non-Native English student texts from the University of the South Pacific. The
second set is from Native English speakers who are students of Michigan University,
Ann Arbor in the USA used as referenced corpora. Selection of the main study data
commenced after verification of Halliday’s (1994) ‘Circumstantial theory’. Two
software packages were used to code, record and statistically describe and analyze data.
In the course of doing research internationally recognized ethical issues were closely
observed.
Chapter Five Data Analysis and Discussion
77
Chapter Five Data Analysis and Discussion
Data analysis and discussion of the findings are carried out in two parts. In the first
part, results from the pilot study on the reliability of corpora selected are presented.
Secondly, the main study data which are again verified against the background of
Halliday’s ‘Circumstantial theory’ are discussed. Corpora identified as NE and NNE are
analyzed guided by Halliday’s notion of grammatical metaphor that involves the
relocation in mapping between meanings to corresponding lexicogrammar. The
consideration of the conceptualization of human communication in the iconicity
inherent between language and thought is also taken into account.
5.1 Results obtained from the pilot study.
Data used for the pilot study as previously introduced in section 4.2 were randomly
selected from the two cohorts NE and NNE. Analysis shows that Relational process
types account 38% for NE texts and 34% for NNE and these results are illustrated in
Figure 5.1 and Figure 5. 2.
Figure 5.1 Frequency of Relational clauses in NE data
Relational processes, 38%
other process types, 62%
Chapter Five Data Analysis and Discussion
78
Figure 5.2 Frequency of Relational clauses in NNE data
Figure 5.3 Distribution of circumstance in NE data
This result can be compared to a recent research finding reported by Halliday &
Mathiessen (2014: 215) that claims Relational is second to Material in the most
commonly used clause type in student writing texts. In the current study, particular
scripts analyzed are those coded NE1- NE15 and NNE1- NNE15 from both cohorts.
Verification of the theory proves that in Relational clauses circumstances are realized as
preposition in Relational Attributives (RA), process in RA, process in Relational
3%
28%
5% 2%
0%
5%
10%
15%
20%
25%
30%
Circum.Preposition
in RA
Circum.Process in
RA
Circum.Process in RI
Circum.Participant
in RI
Chapter Five Data Analysis and Discussion
79
Identifying (RI) and participant in RI. Frequency distributions of circumstantial
realizations are reflected in Figure 5.3 for NE data and Figure 5.4 for NNE data.
Figure 5.4 Distribution of circumstance in NNE data
A finding worth noting refers to the low frequency in the use of Relational Identifying
clauses when compared to Relational Attributive clauses by both cohorts as illustrated
in Figure 5.5 and Figure 5.6. According to Halliday (1994), the use of Relational
Identifying clauses is not easy even for some mature writers. This claim can be
attributed to the fact that relations made in Relational Identifying clauses emphasize
clause-internal relations between abstract entities that involve the use of symbolic
language (Halliday & Mathiessen, 2014, Martin, 2007; Painter, 1999). The function of
the element participants are emphasized while the element process is not given much
weighting. If perceived against the semogenetic timeframe they are quite detached from
the congruent pole. These features typical of Relational Identifying clauses are similar
to those accepted in the elaborated register which this study asserts are realizations of
Verticality.
Overall analysis of results from the pilot study proves Halliday’s theory that
circumstances are mostly incongruently realized in Relational clauses. This claim is
supported by the various comparisons illustrated in relation to the distributions of the
circumstantial realizations. After the verification of Halliday’s ‘Circumstantial theory’
the collection of the main study data is then conducted.
5%
25%
3% 1%
0%
5%
10%
15%
20%
25%
30%
Circum.Preposition
in RA
Circum.Process in
RA
Circum.Process in RI
Circum.Participant
in RI
Chapter Five Data Analysis and Discussion
80
Figure 5.5 A comparison - RA vs RI in NE data
Figure 5.6 A comparison - RA vs RI in NNE data
5.2 The main study
Data collection for the main study closely followed procedures administered in the
pilot. To compile two sets of corpora, circumstantial elements in Relational clauses are
again verified if they are incongruently realized. As in the pilot, the belief is that
incongruent circumstantial realizations are metaphorical therefore they should provide a
convenient framework in the identification of abstract and metaphorical concepts. After
verification of the hypothesis, selection of corpora for both independent variables NE
and NNE was then carried out. The software program SPSS was used to statistically
describe and analyze the data. Statistical analysis showed the number of ‘observations,
31%
7%
0%
5%
10%
15%
20%
25%
30%
35%
Relational Attributives Relational Identifying
30%
4%
0%
5%
10%
15%
20%
25%
30%
35%
Relational Attributives Relational Identifying
Chapter Five Data Analysis and Discussion
81
mean, standard deviations, minimum and maximum’ of variables for the respective
cohorts.
Table 5.1 Statistical description of NE data
Table 5.2 Statistical description of NNE data
Figure 5.7 Circumstance as preposition in NE data
While ‘mean’ is a kind of average level, ‘standard deviation’ is a kind of measure that
highlights variety of data. Description adopted for both data NE and NNE can be found
in the Appendix section (I – Data description of NE, II – Data of NE, III- Data
NNEfre_procRI 30 .0447551 .0418998 0 .1530612 NEprocRI 30 3.533333 4.15836 0 16NEfre_partRI 30 .0151882 .0217066 0 .0909091 NEpartRI 30 1.2 1.540264 0 5 NEfre_procRA 30 .2247636 .0899121 .0142857 .35 NEprocRA 30 16.36667 9.155678 1 36NEfre_attrRA 30 .0358027 .0291165 0 .0909091 NEattrRA 30 2.566667 2.112089 0 7 NEobs 30 72.9 30.07387 30 137 Variable Obs Mean Std. Dev. Min Max
NNNEfre_pro~I 30 .0453726 .0379674 0 .1162791 NNEprocRI 30 2.3 1.896458 0 6NNEfre_par~I 30 .0185266 .0259103 0 .0769231 NNEpartRI 30 .9666667 1.401559 0 5 NNEfre_pro~A 30 .22825 .0805428 .0714286 .3636364 NNEprocRA 30 11.76667 4.568885 3 24NNEfre_att~A 30 .0287663 .0342033 0 .1176471 NNEattrRA 30 1.7 2.215152 0 8 NNEobs 30 53.4 16.81666 23 105 Variable Obs Mean Std. Dev. Min Max
Chapter Five Data Analysis and Discussion
82
description of NNE, IV- Data of NNE). However, statistical description of each cohort
is illustrated in Table 5.1 for NE data and Table 5.2 for NNE. Figures gathered are in
tandem with results obtained in the pilot study.
Distribution of circumstances in Relational Attributive clauses indicates that
circumstance realized as preposition is not commonly explored by both cohorts as
illustrated in Figure 5.7 for NE data and Figure 5.8 for NNE. Nevertheless,
circumstance realized as process is found to be a popular choice for both cohorts.
Likewise in Relational Identifying clauses, choice of process as circumstance is more
frequent than participant for both groups NE and NNE.
Figure 5.8 Circumstance as preposition in NNE data
Figure 5.9 Circumstance as process in NE data
Chapter Five Data Analysis and Discussion
83
Another analysis seeks to determine what incongruent circumstantial realization is
commonly explored in student texts. The purpose is to determine in relation to the
semogenetic timeframe where students are located between the congruent and
metaphorical continuum. It is identified that out of the circumstances identified the most
frequently employed incongruent realization for both modes – RA and RI and for both
sets of data is ‘circumstance as process’ (see Figure 5.9 and Figure 5.10).
Figure 5.10 Circumstance as process in NNE data
A comparison on the choice between the two modes Relational Attributives and
Relational Identifying indicates that students in both cohorts explore more RA when
compared to RI. A closer look at Table 5.1 and Table 5.2 for both cohorts NE and NNE
portrays that students are familiar and thus fully exploring the use of Relational
Attributive clauses. However, on the other hand there is much to be desired in the
manipulation of Relational Identifying clauses. Results collected signify that the
exploration of the Relational Identifying clause type is still at a very low level.
Although the figures show that usage in NE text is higher when compared to NNE, there
is still room for both cohorts to further develop the skill in using Relational Identifying
clauses. Halliday (1994) reiterates that given the importance of acquiring the skill to
construct Relational Identifying clauses, even most mature writers still struggle to
incorporate them in their writing texts.
Results obtained from the main study are similar to those presented in the pilot.
They both authenticate Halliday’s ‘Circumstantial theory’ that circumstances are mostly
Chapter Five Data Analysis and Discussion
84
incongruently realized in Relational clauses (Halliday & Mathiessen, 2014, 2004, 1999).
This revelation is enriching most importantly because prevalence of incongruent
circumstances means texts selected as corpora embody abstract and metaphorical
concepts. For the current study this implies, the use of Relational clauses to elicit data is
reliable as it will be able to identify what has been cited to be lacking in USP student
texts which is the ‘lack of abstract and metaphorical concepts’.
5.3 Distribution of nominalization in Relational clauses
Using the selected corpora from both cohorts NE and NNE, this section seeks to
find answers to the study’s ‘Research Question 1’ in particular on how nominalization is
reflected and distributed in student texts analyzed. Most importantly, it seeks to prove
the major arguments of the study that by employing Halliday’s Functional notion of
grammatical metaphor and the system of Transitivity, the study should be able to
identify academic writing problems predominant in USP student texts. Text analysis
explores Halliday’s notion of grammatical metaphor which refers to relocation in
mapping of semantics to corresponding wording (Halliday & Mathiessen, 2014, 2004,
1999; Thompson, 1996; Halliday, 1994). From the perspective of Transitivity as a
grammar that models human experiences, it is assumed that in the analysis of
nominalization, a text should be able to reveal whether it is a realization of Verticality
or otherwise . This will be determined by comparing texts of both cohorts on the choice
of nominalized entities against Halliday’s metaphor taxonomy (Halliday & Mathiessen,
1999). Some instances whereby nominalizations are created and manifested in student
texts are discussed next.
5.3.1 Semantic categories commonly employed
The purpose of this analysis is to illustrate that a good quality writing text employs
a high frequency of nominalized lexical items. Nominalization as discussed in section
(2.4.1) evolved from junctional metaphor where a word adopts two semantic categories;
the congruent referred to as ‘ordinary’ and derived which is the ‘metaphorical’ variant.
Out of the thirteen types of metaphors identified in Halliday’s metaphor taxonomy (see
Table 5.5) three nominalizing metaphors commonly employed in USP student texts are
selected to be compared at the lexical level. Type1 metaphor involves the grammatical
shift from adjective to noun where the derived pseudo Thing is recognized with the
Chapter Five Data Analysis and Discussion
85
semantic categories ‘quality thing’. This is shown in example NE15 (5.1) the non-
conscious pseudo Thing ‘perfection’ derived from the adjective ‘perfect’. Similarly, in
example NNE25 (5.2) from USP student text the non-conscious pseudo Thing ‘wisdom’
is derived from the adjective ‘wise’. This metaphoric shift that allows the ‘ordinary’ or
congruent variant to adopt two semantic categories ‘quality thing’ is an example of
nominalization suggested in this study contributes to the realization of Verticality in
student texts.
Example (NE15): Adam's idea of perfection (Identified) resembles (process) the Platonic
creation story of humans who were perfect in their cylindrical merged state (Identifier).
(5.1) perfection
Grammatical shift: adjective to noun
Semantic shift: quality to thing
Example (NNE25): In the last lines of the poem the old man represents the voice of
wisdom in a traditional….
(5.2) wisdom
Grammatical shift: adjective to noun
Semantic shift: quality to thing
Another example involves the grammatical shift from verb to noun thus
manifesting the semantic categories ‘process thing’. This is identified as Type 2
metaphor in Halliday’s taxonomy. Some instances where the categories are embodied in
student texts are illustrated. In its grammatical shift from verb to noun the non-
conscious pseudo Thing ‘infection’ in example NE25 (5.3) adopts the junction in
meaning between the two semantic categories ‘process thing’. Likewise, example (5.4)
extracted from USP student texts the non-conscious Thing ‘intervention’ maintains the
semantic categories ‘process thing’ as a consequence of the grammatical shift from verb
to noun.
Example (NE25): The underlying theory of the plan is that if the appropriate amount of
financial support is received, HIV/AIDS could be so effectively subdued that infection
rates would stabilize and begin to taper, eventually even diminishing.
(5.3) infection
Grammatical shift: verb to noun
Semantic shift: process to thing
Chapter Five Data Analysis and Discussion
86
Example (NNE4): The question the Dube points out is the climax of the scene because it is
the point in time that will create a particular space for political intervention.
(5.4) intervention
Grammatical shift: verb to noun
Semantic shift: process to thing
On the other hand, the Type5 metaphor with semantic categories ‘process quality’
involves a grammatical shift from verb to adjective. In example NE1(5.5) the lexical
item ‘unavoidable’ maintains the semantic categories ‘process quality’ in its
grammatical shift from the verb ‘avoid’. Example (5.6) from USP student text illustrates
the adjective ‘descriptive’ in its grammatical shift from the verb ‘describe’ hence
deriving the semantic categories ‘process quality’.
Example (NE1): The impact of the internet and technology on children today is
unavoidable: children are increasingly immersed in the digital world through a variety of
media.
(5.5) unavoidable
Grammatical shift: verb to adjective
Semantic shift: process to quality
Example (NNE20): Dissanayake’s review of Darius’s article highlights descriptive
discrepancies in Chess Players.
(5.6) descriptive
Grammatical shift: verb to adjective
Semantic shift: process to quality
A comparison between the two cohorts in regards to the frequency of nominalized
entities explored in the clause illustrates that USP students employ nominalization fifty
percent (50%) less than their NE counterparts and this is depicted in Figure 5. 11. This
finding is important because it specifies areas in the use of nominalization that USP
students need to further develop to improve the quality of their academic writing texts.
Additionally, the higher frequency noted in NE texts compared to USP student texts in
the manipulation of nominalized entities proves another argument of the study that
nominalization contributes to the quality of a writing text and likewise the realization of
Verticality.
Chapter Five Data Analysis and Discussion
87
Figure 5.11 Frequency of nominalization – a comparison
Figure 5.12 Semantic categories in NE texts
The most commonly employed semantic categories between the two groups are
also compared. Results are shown in Figure 5.12 for NE data and Figure 5.13 for
NNE/USP student data. While examining the findings against Halliday’s metaphor
taxonomy, it is observed that the most frequently explored semantic categories in USP
student texts are ‘quality thing’ and ‘process thing’. According to the taxonomy, the two
semantic categories are from Type 1 and Type 2 which locate them closer to the
congruent as opposed to the metaphorical continuum (Chen & Foley, 2005; Halliday &
Mathiessen, 1999). The minimal use of nominalizing metaphors in USP student texts
and their proximity to the congruent pole is suggestive. This is in relation to one of the
NE texts, 85%
NNE texts, 40%
quality thing, 15%
process thing, 30%
process quality, 35%
Chapter Five Data Analysis and Discussion
88
central arguments of the study that nominalization contributes to the creation of
Verticality in text. Additionally, it throws light on the credibility and reliability of the
theoretical framework explored in its potential to identify specific writing problems
related to ‘abstract and metaphorical’ concepts that are prevalent in USP student texts.
Figure 5.13 Semantic categories in NNE texts
5.3.2 Thing functioning as classifier
Although manifestation of Type13 metaphor is glaringly lacking in USP student
texts, an attempt is made to examine how it is incorporated. This stance is taken to
illuminate a major feature of nominalization which is condensing of information.
Type13 metaphor involves the shift of element participant to qualifying, possessive or
classifying which manifests the secondary motif of grammatical metaphor. Some
examples extracted from student texts are examined.
Example (NE8): Undoubtedly, the world is becoming more inter-connected with the
evolution of the internet and an exponential increase in communication.
(5.7) exponential increase
Example NE8 (5.7) depicts the metaphoric shift of element participant ‘exponent’ to the
derived ‘exponential’ realized as qualifier/classifier in the nominal group ‘exponential
increase. This potential of element participant to adopt various roles in order to expand
meaning demonstrates the secondary motif of grammatical metaphor in the shift to
qualifying, classifying or possessive. In this shift, it is adopting the function of
classifying, a type or class of ‘increase’ labeled as exponential. Similarly, in example
quality thing, 20%
process thing, 15%
process quality, 5%
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NE12 (5.8) the shift is from the noun ‘finance’ to ‘financial’ an adjective. In this
metaphoric shift, the element participant ‘finance’ now functions as classifier. It is
signifying a type of classification on the various kinds of support such as, health support,
educational support or financial support.
Example (NE12): Without funding for education and sustainable community development
programs that the Universal Access Plan calls for, financial support for HIV/AIDS
becomes a life-line to struggling communities.
(5.8) financial support
Example (NE9): while evidence is not necessarily conclusive of either freshwater or
marine origins, recent evidence seems to indicate that tetrapods likely arose in marginal
marines and possibly lowland freshwater environments and it is possible that they could
have been tolerant of both marine and freshwater conditions, as are many vertebrate types.
(5.9) lowland freshwater environments
On the other hand, the nominal group (5.9) in example NE9 shows a more complex
combination where two nouns are expanding the head Thing ‘environment’. The
combination of nouns to expand the nominal group and in particular the choice of
compound words such as ‘lowland ‘ and ‘freshwater’ portrays the students’ ability to
move beyond basic level to subordinate level categories. The two nominal groups
‘lowland and freshwater’ are classifying the types or classes of environments. It is
apparent that the two nominal groups are already metaphorical. For instance, ‘lowland’
can be unpacked and reworded as ‘a class of lands defined or classed as low.’ A
rewording of ‘freshwater’ may yield a figure as ‘a class or type of water that is fresh’.
Example (NE11) The reality simply is that humanitarian organizations do not have the
might to create comprehensive, far-reaching sustainability programs.
(5.10) humanitarian organizations
Another example illustrated in NE11 (5.10) is the noun ‘human’ functioning as
qualifier/classifier in the nominal group ‘humanitarian organizations’. The grammatical
shift of the lexical item ‘human’ from noun to adjective gives it the secondary role to
make classifications. There are types and kinds of organizations such as religious
organizations, cultural organizations and so forth but our example refers to the type
‘humanitarian organizations’.
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Figure 5.14 Thing – as qualifier/classifier
Example (NNE4): The question the Dube points out is the climax of the scene because it is
the point in time that will create a particular space for political intervention.
(5.11) political intervention
Likewise, in the nominal group (5.11) in example NNE4, the grammatical shift is from
the noun ‘politics’ to adjective ‘political’. The metaphoric shift illustrates the potential
of the element participant ‘politics’ to adopt an alternative role as classifier for a non-
conscious pseudo Thing ‘intervention’. There are types and kinds of ‘interventions’ for
instance health intervention, education intervention, cultural intervention, political
intervention and so on. This metaphoric shift of element participant to function as
qualifier or classifier embodies the secondary motif of grammatical metaphor which is
the shift in the opposite direction (Halliday & Mathiessen, 1999: 264).
While comparing the use of element participant as qualifier/classifier for head
Thing as shown in Figure 5.14, data indicate USP students have yet to master the skill
to employ the metaphoric shift. This deviance is striking while analyzing texts. It
vividly indicates USP students’ choices of nominal groups are mostly of ‘one word’
when compared to the ‘expanded nominal groups’ typical of NE texts. Writing
problems that are emerging in the analysis of USP student texts prove the reliability of
Halliday’s notion of grammatical metaphor and the Transitivity system. In addition, it
NE texts, 40%
NNE texts, 10%
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justifies one of the major arguments of the study that nominalization contributes to the
realization of Verticality.
5.3.3 Element process functioning as qualifier for head Thing
Moreover, a discussion is also explored on the function of element process as
classifier/qualifier for Thing. The intention is to highlight how the element process
broadens its function to make meaning. The examples given in Table 5.3 embody a
major theme in Halliday’s notion of grammatical metaphor in the reconstrual of
meaning. It indicates the metaphoric shift of element process from construing human
experience as going on to relations made between types and kinds typical of Relational
clauses.
Table 5.3 Process as qualifier for head Thing
Texts Congruent: process Metaphorical: quality
NE4 demarcate a clearly demarcated line
NE15 create platonic creation story
NE11 reach out, sustain comprehensive far-reaching sustainability programs
NNE20 describe Descriptive
For instance, the nominal group ‘a clearly demarcated line’ in example NE4 illustrates
how the element process ‘demarcate’ expands its functions as qualifier/classifier in the
nominal group. The verb ‘demarcate’ is used in this example to specify the type or class
of lines. Another illustration in example NE15 is the nominal group ‘a platonic creation
story’ where the element process ‘create’ is functioning as qualifier/classifier ‘creation’.
Example NE11 identifies two verbs ‘reach out’ and ‘sustain’ functioning as qualifiers in
the nominal group ‘comprehensive far-reaching sustainability programs’. The
processes specify the class or type of program that reaches out to as many people as it
possibly can and one that can be sustained.
An awareness of the alternative role of element process to function as
qualifier/classifier for head Thing is important. This is because the verb normally does
not have the potential to expand in its congruent form since elements that comprise its
experiential structure are from a closed class system (Halliday & Mathiessen, 2014;
Martin, 2007). A comparison between the two cohorts in the use of the element process
as qualifier in Figure 5.15 depicts it is not fully exploited in USP student texts. The
finding further proves the main argument of the study that academic writing problems
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of USP students can be identified by exploring Halliday’s notion of grammatical
metaphor and the Functional view of Transitivity (Halliday & Mathiessen, 2014, 2004,
1999).
Figure 5.15 Process functioning as qualifier for Thing
5.3.4 Ambiguity created due to condensing of information
Given the potential of element Thing to expand, it has also led to the creation of
ambiguous word clusters. In regards to academic writing or the elaborated register, such
an effect illustrates that the more abstract and metaphoric language becomes the more it
restricts its readership to only those of the same academic discourse community
(Halliday & Mathiessen, 2014; Martin, 2007; Painter, 1999). Examples previously
explored are further employed to illustrate ambiguity created as a result of condensation
of information. In the case of the nominal group ‘exponential increase’, one cannot
clearly make out the relation between the two lexical items; ‘exponential’ and ‘increase’.
Such pairs become ambiguous as a result of the filtering out of unnecessary elements in
the clause in order to condense information. Hence, a rewording to a congruent variant
might be agnated to ‘the increase has been exponential’, or ‘the increase is exponential’
or there can be other alternative variants. In the case of the nominal group ‘financial
support’, it might be agnated to ‘support is given in the form of finance’ or ‘finance had
been given for support’. The examples given indicate that ambiguity is expected in
academic writing texts as a consequence of condensation of information. Martin (2007)
among others argues this is a typical feature of the elaborated register where
25%
15%
0%
5%
10%
15%
20%
25%
30%
processfunctioning as
qualifier-NE texts
processfunctioning as
qualifier-NNE texts
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comprehension or understanding becomes restricted to only those who belong to the
same academic discourse community.
5.3.5 Elemental paradigmatic shift
Another analysis focuses on the metaphoric shift that involves the objectification
of the element process in its potential to be recognized as head Thing in a nominal
group. Some nominal groups are discussed to compare how this metaphoric shift is
exploited between the two cohorts NE and USP student texts.
Table 5.4 Elemental paradigmatic shift
NE texts NNE texts
exponential increase lifestyle choice
financial support political intervention
scrutinizing challenges culturally inclusive learning
the restriction of access
In the nominal group ‘exponential increase’, the metaphoric shift is noted in the element
process ‘increase’ which is objectified as a non-conscious Thing. The metaphoric shift
has boosted the capacity of the element process ‘increase’ to expand meaning.
Moreover, it is quite obvious that the conventional sequencing of elements is violated.
The element process is occupying the slot that normally belongs to the noun while the
element participant ‘exponent’ adopts a secondary role as qualifier/classifier. Similarly,
in the nominal group ‘financial support’, the pseudo Thing ‘support’ is derived from a
process and it is recognized as a non-conscious Thing in the nominal group. The shift
from process to Thing boosts the potential of the process ‘support’ to make meaning by
taking on the function of head Thing in the nominal group.
Another illustration where a process is objectified to become like a concrete entity
is in the nominal group ‘scrutinizing challenges.’ The head Thing ‘challenges’ is
derived from a process. It is also worthy to note that in this metaphoric shift the element
process is enabled to be classified into types and kinds. This is a good example of one of
the central arguments of the study in the relocation in mapping of meaning to
corresponding lexicogrammar whereby the derived nominal group ‘scrutinizing
challenges’ can be traced to the two processes ‘scrutinize and challenge’. A process is
realized as head Thing ‘challenge’ and another process is functioning as qualifier
‘scrutinizing’. Likewise, in the nominal group ‘the restriction of access’, the head Thing
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‘restriction’ is derived from a process ‘restrict’. The metaphoric shift enables the
process to be realized as an entity. Its capacity however, to co-occur with a plural
inflectional morpheme as in this example ‘restriction(s)’ indicates it is a
transcategorized variant. Furthermore, the non-conscious pseudo Thing ‘restrict’ is
being expanded by another process ‘access’ presented in a prepositional phrase.
Examples extracted from NNE texts show the nominal group ‘lifestyle choice’
where the head Thing ‘choice’ is derived from a verb ‘choose’ in its congruent form. In
the nominal group ‘political intervention’, the head Thing ‘intervention’ is derived from
a verb ‘intervene’. Similarly, the derived non-conscious Thing ‘learning’ in the nominal
group ‘culturally inclusive learning’ can be traced to the verb ‘learn’.
Comparisons conducted between the two cohorts in the metaphoric shift of element
process to be realized as head Thing highlight its near absence in USP student texts.
Again, findings emerging from the distribution and manifestation of nominalization in
the clause prove the reliability of the theoretical frameworks employed. Specific
problems related to abstract and metaphorical concepts are being identified and
described in relation to their functions and contributions to the effectiveness and quality
of a text. At the same time, it illustrates that incorporation of the metaphorical variants
contributes to the realization of a Vertical knowledge structure.
5.3.6 Syntagmatic metaphoric shift: figure to element
Analysis of this metaphoric shift is important to illustrate that condensing of
information is a feature typical of a high quality text realized through nominalization. A
rank downgrade is noted during the process of nominalization and in academic writing
this is undertaken as an economical strategy to pack in as much information into a
word/group and to remove features that are unnecessary. Some examples extracted from
student texts are reworded to illuminate the rank downgrade. In example (NE1),
analysis reveals that the nominal group ‘the digital world’ has undergone a downgrade
in shift from figure to element and this is illustrated in the alternative rewording (see
5.12b).
Example (NE1): The impact of the Internet and technology on children today is
unavoidable: children are increasingly immersed in the digital world through a variety of
media.
(5.12a) Group (metaphorical): the digital world
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(5.12b) Figure (congruent): Internet and technology are dominating the world.
In the rank downgrade the nouns ‘internet and technology’ of the figure are condensed
to a technical term ‘the digital’ and it is functioning as classifier for head Thing. The
indirect participant of the figure ‘the world’ (goal) is realized as head Thing in the
metaphorical variant. It is apparent that the verbal group ‘are dominating’ has been
filtered out as unnecessary.
Example (NE7): The stinky Cheese Man is a collection of scrutinizing challenges to
classic fairy tales that requires the reader have an understanding of the original tales, of
story structure, and of comedy.
(5.13a) Group (metaphorical): scrutinizing challenges
(5.13b) Figure (congruent): Challenges are scrutinized.
In example (NE7) three nominal groups are identified to have undergone a rank
downgrade from figure to element. For instance, in the nominal group ‘scrutinizing
challenges’, the congruent rewording shows that the element participant of the figure
‘challenges’ shifts to become head Thing in the metaphorical variant. The element
process ‘are scrutinized’ functions as qualifier for head Thing in the metaphorical
variant. In adopting this role, the process rids itself of its fluidity and thus is rendered
the potential to expand.
(5.14a) Group (metaphorical): classic fairy tales
(5.14b) Figure (congruent): Fairy tales are classic.
In relation to the nominal group ‘classic fairy tales’, condensation of information has
seen to the elimination of the verb ‘are’ and reduced the figure into one nominal group.
The element participant of the figure ‘fairy tales’ is functioning as head Thing in the
metaphorical variant while the adjective ‘classic’ is realized as qualifier in the
metaphorical variant.
(5.15c) Group (metaphorical): original tales
(5.15 d) Figure (congruent): The tales are original.
A rewording of the nominal group in the above example derives a figure comprising of
element participant ‘the tales’ realized as Thing ‘are’ is process and ‘original’ as
circumstance. In condensing information the verb ‘are’ is being removed. The element
participant ‘tales’ is head Thing and the adjective ‘original’ is classifier for head Thing.
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Example (NE12): Without funding for the education and sustainable community
development programs that the Universal Access Plan calls for, financial support for HIV-
AIDS becomes a life-line to struggling communities.
(5.16a) Group (metaphorical): sustainable community development programs
(5.16b) Figure (congruent): The community develops programs that can be sustained.
Nominal groups that have undergone the metaphoric shift from figure to element in
example (NE12) are illustrated. In the nominal group ‘sustainable community
development programs’, a congruent variant to highlight the downgrade in rank from
figure to element is suggested; ‘The community develops programs that can be
sustained.’ The figure is of a hypotactic clause relation and this is illustrated by the
rankshifted clause ‘that can be sustained’. The element process is realized by ‘develops’
while the clause ‘that can be sustained’ functions as qualifier. In condensing
information the indirect participant ‘programs’ of the figure now functions as head
Thing in the metaphorical variant. The element participant ‘the community’ realized as
Actor in the congruent variant becomes a qualifier in the metaphorical variant. The roles
of element process ‘develops’ and process ‘can be sustained’ of the figure are expanded
to be realized as qualifiers for head Thing in the metaphorical variant.
(5.16c) Group (metaphoric): financial support
(5.16d) Figure (congruent): Finance is given to support the community.
Similar cases of metaphoric shifts are manifested in the following nominal groups with
corresponding congruent variants. In example (5.16d), the figure comprises of element
participant ‘finance’, element process ‘is given’ and the prepositional phrase ‘to support
the community’ is circumstance. In condensing information the minor process ‘support’
presented in the prepositional phrase shifts to be realized as head Thing ‘support’ in the
metaphorical variant. The element participant ‘finance’ in the congruent variant now
functions as classifier/qualifier for the head Thing in the metaphorical variant. Other
elements associated with ‘here and now’ deemed unnecessary are being filtered out.
(5.16e)Group (metaphoric): struggling communities
(5.16f) Figure (congruent): ‘Communities are struggling.’
Likewise, for the nominal group ‘struggling communities’ in example (5.16e), it is
realized by a figure comprising of element participant ‘communities’ and element
process ‘are struggling.’ In the rank downgrade, the participant ‘communities’ of the
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figure is realized as head Thing in the metaphorical variant and the element process
‘struggling’ now functions as qualifier in its metaphorical form.
The following section examines how the downgrade in shift from figure to
element is employed in NNE student texts.
Example (NNE6): That, she is a spendthrift is obvious immediately in her over-generous
tipping of the porter in the first scene.
(5.17a) Group (metaphorical): her over-generous tipping
(5.17b) Figure (congruent): She generously tipped the porter.
The nominal group with the possessive deictic ‘her over-generous tipping’ can be
reworded to an alternative congruent variant such as ‘She generously tipped the porter’.
In the rank downgrade, the element participant is indexed to the personal pronoun ‘she’
of the figure and it maps on to the possessive deictic ‘her’ in the metaphorical variant.
The element process ‘tipped’ of the figure is realized as a non-conscious Thing ‘tipping’
(possessed) and prequalified by element circumstance ‘generous’ .
Example (NNE3): Thus a core characteristic of colonialism in practice is through the
different views of the colonizer and the colonized idea on the meaning of and constructions
of masculinity, femininity and sexuality.
(5.18a) Group (metaphoric): the different views
(5.18b) Figure (congruent): Their views are different.
In example (NNE3) the nominal group ‘the different views’ manifests a downgrade in
rank from figure to element. An alternative congruent variant can be traced to the figure
‘Their views are different’. It is evident that in the metaphoric shift to condense
information, the element process ‘are’ is filtered out. The element participant ‘views’
(possessed) of the figure is realized as head Thing in the metaphorical variant and
prequalified by the adjective ‘different’. The introduction of the nominal group with the
specific deictic ‘the’ can be related to the ‘textual metafunction’ in the sense that it is to
be taken for granted that the information has been previously mentioned.
Example (NNE20): Dissanayake’s review of Darius’s article highlights descriptive
discrepancies [in Chess Players].
(5.19a) Group (metaphoric): Dissanayake’s review
(5.19b) Figure (congruent): The article reviewed by Dissanayake.
In (NNE20) the rewording of example (5.19a) is made up of a figure comprising of
element participant ‘the article’, process ‘reviewed’ and the prepositional phrase ‘by
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Dissanayake’ is circumstance. In condensing information, the figure is reduced to a
nominal group ‘Dissanayake’s review’. The indirect participant ‘Dissanayake’ of the
figure shifts to be realized as qualifier/possessive while the element process of the
figure now functions as head Thing (possessed) ‘review’.
(5.19c) Group (metaphorical): Darius’s article
(5.19d) Figure (congruent): Darius wrote the article.
The rewording of example (5.19c) yields a figure with element participant ‘Darius’
realized as Actor, the indirect participant ‘article’ is goal, and element process ‘wrote’.
The downgrade in rank derives a nominal group ‘Darius’s article’ where the element
participant functioning as Actor in the figure becomes qualifier/possessive and the
indirect participant ‘article’ of the figure is head Thing. Element process ‘wrote’ and
other unnecessary items are filtered out.
(5.19e) Group (metaphorical): descriptive discrepancies
(5.19f) Figure (congruent): Discrepancies are described.
A congruent variant highlights example (5.19f) as a figure with element participant
‘Discrepancies’ realized as Thing, and the element process ‘are described’. Condensing
of information derives a nominal group in which the element process of the figure is
realized as qualifier ‘descriptive’ for the head Thing ‘discrepancies’.
Analysis on rank downgrade from figure to element illustrates condensation as a
significant feature typical of Verticality. An attempt to compare frequency of
nominalized entities within a sentence proves that it is higher in NE rather than
NNE/USP student texts. This claim is further substantiated in the discussion on lexical
density (see section 5.4.5). Rewording of nominal groups indicates the packaging of
quantum of information is more complex and sophisticated in NE texts rather than NNE.
This is proven in the use of clause simplexes and clause complexes derived from
congruent alternative rewordings (see NE12/5:13b). Results gathered on the exploration
of rank downgrade to condense information are important in relation to identifying
solutions to the lack of ‘abstract and metaphorical concepts’ mentioned to be glaring in
USP student texts.
An overall comparison on the distribution of nominalization in Relational clauses
illustrates that USP students are far behind their NE counterparts. This is depicted in the
semantic categories they commonly employ such as ‘quality thing’ and ‘process thing’
which are closer to the congruent pole. The near absence of Thing as qualifier, classifier
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or possessive in their texts again confirms USP students’ nearness to the congruent pole.
An analysis of element process functioning as qualifier for head Thing indicates that it
is hardly explored in USP student texts. The shift of element process to be realized as
head Thing is not sparingly employed in USP student texts. In addition, analysis of
downgrade in rank from figure to element is interesting especially when comparing
alternative rewordings. While rewordings for NE texts comprise clause simplexes and
clause complexes, USP student texts only include simple clauses and simple lexical
items. Important results emerging from the distribution and analyses of nominalization
in Relational clauses prove that nominalization contributes to the realization of
Verticality. Similarly the reliability of the theoretical framework employed is justified
because writing problems related to abstract and metaphorical concepts inherent in USP
student texts are being identified.
5.4 Distribution of grammatical metaphor in Relational clauses
The previous section looked at the distribution of nominalization at the lexical
level and this section will examine the distribution of grammatical metaphor at the
clause level. Again as in section 5.3 the analysis is guided by Halliday’s notion of
grammatical metaphor that involves the relocation in mapping of meanings to
corresponding grammatical labels (Halliday & Mathiessen, 2014, 1999). The Functional
view of Transitivity is also explored as it provides a grammar that models human
experiences manifested in texts analyzed (Halliday & Mathiessen, 2014, 1999). It is
anticipated, analysis of grammatical metaphor should be able to reveal writing problems
associated with abstract and metaphorical concepts that are cited to be lacking in USP
student texts (Khan & Mugler, 2001).
5.4.1 Syntagmatic metaphoric shift: sequence to figure
A feature common to both nominalization and grammatical metaphor typical of a
high quality text is that of condensation of information (Martin, 2007; Painter, 1999).
Hence, this section illustrates and compares how condensation of information is
encompassed at the clause level between the two cohorts. Focus is particularly on
nominal groups and figures included in the clause that have been downgraded.
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Example (NE7): The stinky Cheese Man (Carrier) is (process) /a collection of scrutinizing
challenges to classic fairy tales /that requires the reader have an understanding of the
original tales, of story structure, and of comedy (Attribute).
(5.20) Rewording: The stinky Cheese Man comprises of fairy tales that are classic/while
collecting the fairy tales they are well scrutinized; additionally the fairy tales are
challenging because readers have to read and understand the original tales, the structure of
the story, and of comedy.
A rewording of example (NE7) highlights the various levels of metaphoric shifts
employed in order to condense information. For instance, at the group level the nominal
group ‘a collection of scrutinizing challenges to classic fairy tales’ illustrates that it has
been downgraded from figure to element as observed in the rewording ‘while collecting
fairy tales they are well scrutinized’. Another example of rank downgrade is embraced
in the clause ‘that requires the reader have an understanding of the original tales, of
story structure, and of comedy’. The clause has been downgraded from a sequence and
this is obvious in its congruent rewording ‘additionally they are challenging because
readers have to read and understand the original tales, the structure of the story and of
comedy’. In this rank downgrade circumstantial information normally expressed by the
conjunction ‘because’ is remapped to a non-finite clause where a process ‘requires’
expresses circumstantial information of ‘cause’.
Example (NE8): Undoubtedly, [the world] (Carrier) is becoming (process) more inter-
connected with the evolution of the Internet and an exponential increase in communication
(Attribute).
(5.21) Rewording: One cannot doubt that the world is becoming more inter-connected/this
is shown in the way internet has evolved/ because of the increase in modes of
communication.
The downgrade in rank emerges while unpacking nominal groups included in example
(NE8). In the nominal group ‘the evolution of the internet’ the shift is from the figure
‘The internet has evolved’. A similar example is depicted in the nominal group ‘an
exponential increase in communication’ in its shift from the figure ‘Modes of
communication have significantly increased’.
Example (NE12): Without funding for the education and sustainable community
development programs that the Universal Access Plan calls for, financial support for HIV-
AIDS (Carrier) becomes (process) a life-line to struggling communities (Attribute).
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(5.22a) Rewording: If funding that the Universal Access Plan calls for is not provided,
(5.22b) it will be difficult to educate the people and to sustain programs that are developed
for the communities/ that are struggling, since most of them rely on these funds for their
everyday living;
(5.22c) Financial support is like a line that provides life to these communities.
An alternative rewording of example (NE12) highlights condensation of information as
portrayed in the congruent variants. This is embodied at the lexical level in the nominal
group ‘the education and sustainable community development programs’. A rewording
to an alternative congruent variant may yield a clause or clause complex as in (5.22b).
In the lexical metaphor ‘a life-line’, an alternative rewording derives a figure shown in
(5.22c). The use of lexical metaphor is appealing, as it further illuminates the conceptual
nature of grammatical metaphor by exploring the concrete domains to understand more
abstract domains. At the same time, it adds complexity and sophistication to the text.
The next section analyzes instances of syntagmatic shift from sequence to figure
identified in NNE texts.
Example (NNE3): Thus a core characteristic of colonialism in practice (Carrier) is
(process) through the different views of the colonizer and the colonized idea on the
meaning of and constructions of masculinity, femininity and sexuality (Attribute).
(5.23a) Rewording: when colonialism is practiced;
(5.23b) the views are different;
(5.23c) the meanings that are constructed;
The downgrade in rank in example (NNE3) is manifested in the congruent variants of
the semantically loaded nominal groups employed. For instance, a rewording of the
nominal group ‘colonialism in practice’ derives a figure ‘when colonialism is practised’.
The unpacking of the nominal group ‘the different views’ also derives a figure ‘the
views are different’. Another example is in the nominal group ‘the meanings of and
constructions of’ which may be reworded as ‘the meanings that are constructed’.
A summary of findings in terms of the downgrade in rank from sequence to figure
proves that grammatical metaphor is created through the contribution of metaphorical
variants at the various levels such as; word, group/phrase and at the clause level.
Illustrations and rewordings of metaphorical variants prove that grammatical metaphor
is employed to condense information and to facilitate the shift from the fluidity and
dynamism typical of the element process, to the permanence representative of the
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element Thing (Halliday & Mathiessen, 2014). This is a feature embraced and
recognized in the elaborated register and academic discourse.
A comparison in the downgrade in rank from sequence to figure between the two
cohorts examines alternative rewordings. Findings indicate that expansion of nominal
groups is definitely lacking in USP student texts. Another very important finding noted
in NE texts but not USP student texts during rank downgrade from sequence to figure is
the remapping of conjunctions to process, preposition or participant. This finding points
to the pivotal role played by grammatical metaphor not only in improving academic
writing texts but most importantly in the realization of Verticality. Analysis shows
utilization of rank downgrade to condense information is not fully explored in USP
student texts. In contrast, NE texts are found to fully employ rank downgrade as a
means of packing quantum of information into nominal groups and figures. This makes
their text of a better quality compared to USP student texts.
5.4.2 Prototypical vs peripheral subject position
To identify how grammatical metaphor is embodied in the clause, analysis focuses
on the choice of subject. From the perspective of traditional grammar, the subject is
prototypical if it is realized by a noun but when this choice is violated, it is said to be
peripheral. To examine how this is manifested in text, a comparison is made against the
prototypical subject position of the English clause where it is realized by a noun.
Example (NE1): The impact/ of the internet and technology on children today (Carrier) is
(process) unavoidable: children are increasingly immersed in the digital world through a
variety of media (Attribute).
(5.24) Congruent rewording: Children are impacted by internet and technology.
In example (NE1), an analysis of the subject slot shows that the head Thing ‘the impact’
is peripheral. Its root can be traced to the verb ‘impact’ as illustrated in the congruent
variant in example (5.24). A comparison against the congruent rewording portrays that
the participants of the figure ‘children, internet and technology’ are not adopting their
conventionally recognized obligatory role as Subjects. They are functioning as
qualifiers thus manifesting the secondary motif of grammatical metaphor. The violation
of the dominant pattern according to Halliday’s notion of grammatical metaphor is
strategically employed as a means of foregrounding (Halliday & Mathiessen, 2014,
1999). The question one may raise is what is being foregrounded in example (NE1). If
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this clause is to be examined from the ‘textual perspective’ in relation to the ‘theme and
rheme’ relation it is the ‘new’ information that is foregrounded.
Example (NE12): Without funding for the education and sustainable community
development programs that the Universal Access Plan calls for, financial support for HIV-
AIDS (Carrier) becomes (process) a life-line to struggling communities (Attribute).
(5.25) Congruent rewording: Finance is provided to support the community.
In example (NE12), the nominal group ‘financial support’ is peripheral thus is explored
as a form of foregrounding. The non-conscious pseudo Thing ‘support’, is derived from
a verb as shown in the congruent rewording (5.25). Additionally, the noun ‘finance’ is
adopting a secondary role functioning as classifier for head Thing. From Halliday’s
notion of grammatical metaphor, this systemic deviation manifests the shift from
congruent modes of communication to more metaphorical in order to arouse attention to
the unfolding of the new information (Halliday & Mathiessen, 2014, 1999). Presentation
of the ‘new’ information as a lexical metaphor further adds complexity and
sophistication to the text. Moreover, placement in the initial position of a non-finite
clause ‘Without funding’ adds tension to the anticipation for the new information.
Martin (2007) observes if viewed from the textual perspective, non-finite clauses
foreground the particulars of psychological and sensory experience, framing and
deferring the message encoded. This type of construction is a powerful device for
reasoning and argumentation (Halliday and Mathiessen, 2014; Christie & Macken-
Horarick, 2007; Martin, 1992).
Example 4 (NE13): ‘… the restriction/of access to contraceptives (Identified) is (process)
the demographic that is generally believed to utilize them, in particular, teenagers and
unmarried women.
(5.26) Congruent rewording: Contraceptives are restricted and cannot be accessed.
The pseudo Thing ‘the restriction’ in this nominal group ‘the restriction/of access to
contraceptives’ is peripheral, since it is derived from a verb ‘restrict’. The element
participant ‘contraceptives’ which is head Thing in the congruent mode, now takes on a
secondary role functioning as qualifier for another participant. Likewise, the element
process ‘cannot be accessed’ is functioning as qualifier for the head Thing. The
violation of the conventional sequencing of the principle elements in the clause is found
to be sparingly employed in NE texts.
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The next section examines violation of the dominant subject position in NNE/USP
student texts in relation to the metaphoric shift of the element process to be realized as
head Thing. There is only one example identified from NNE texts in this category.
Example (NNE20): Dissanayake’s review/ of Darius’s article (Identified) highlights
(process) descriptive discrepancies in Chess Players (Identifier)
(5.27) Congruent variant: Darius wrote an article which was reviewed by Dissanayake.
The subject in example (NNE20) is peripheral because a process ‘review’ is occupying
the slot that is normally observed for a noun. Its shift from element process to be
realized as head Thing is metaphoric. Additionally, the element participant
‘Dissanayake’ is adopting a secondary function as qualifier/possessive for the head
Thing. The violation of the conventional sequencing of elements contributes to the
creation of grammatical metaphor.
In the analysis of the violation of the subject position, it is obvious that the two
variants the congruent and metaphorical differ in textual meaning. At the first
occurrence it is presented as ‘new’ information and in the second it is to be taken for
granted and used as a point of departure for a further item or information. The
grammatical resource explored to elucidate how and why the two variants differ in
meaning is from the textual system of ‘theme’ and ‘information’ that organizes
discourse in terms of ‘theme-rheme’ and ‘given-new’ (Halliday & Mathiessen, 2014,
2004, 1999; Thompson, 1996; Eggins, 1994). The location of the theme as ‘given’ has a
very powerful backgrounding effect in the sense that it reminds readers of what they
already know and gearing them up to the ‘new’ information that is to follow. On the
same token, the remainder of the clause or part of it is strongly foregrounded because
the total construction is obviously a powerful device for reasoning and argumentation.
Moreover, the two variants congruent and metaphorical are not free variants as they are
context dependent. This shows the metaphorical variant is most likely to be associated
with the written mode whereas the congruent is typical of the spoken mode.
An overall evaluation of the violation of the prototypical subject position,
illustrates it is fully employed in NE texts but not noticed in USP student texts. This
finding further proves the proximity of USP student texts to the congruent pole because
they are not able to violate the conventional sequencing of the elements in the clause.
The ability to violate the dominant subject position is important because it contributes to
Chapter Five Data Analysis and Discussion
105
the creation of grammatical metaphor and the realization of Verticality (Halliday &
Mathiessen, 2014, Martin, 2007; Schleppegrell, 2005; Christie, 2002).
5.4.3 Circumstance in Relational Attributive clauses
The purpose of this analysis is to highlight how grammatical metaphor is
incorporated in text through relocation in mapping of circumstantial meaning to
corresponding grammatical labels. In a Relational clause, circumstance of ‘cause’ that
normally maps to a conjunction in inter-clausal relations is relocated to either ‘process,
preposition or participant in clause-internal relations. This claim is explored in the
following examples.
Example (NE7): The stinky Cheese Man (Carrier) is (process) a collection of scrutinizing
challenges to classic fairy tales that requires the reader have an understanding of the
original tales, of story structure, and of comedy (Attribute).
Example (NE7) is a Relational clause where the Carrier is a nominal group ‘The stinky
Cheese Man’, the process refers to the verb ‘is’ and the Attribute is the nominal group
‘a collection of scrutinizing challenges to classic fairy tales’. The Attribute is ascribed
to the Carrier which means ‘The stinky Cheese Man’ is construed as a member of the
class ‘of scrutinizing challenges to classic fairy tales. ‘The stinky Cheese Man’ is related
to its attributes by a nominal group ‘a collection of scrutinizing challenges to classic
fairy tales, that requires the reader have an understanding of the original tales, of story
structure, and of comedy’. In terms of dispensing circumstantial information,
elaboration is employed. This is depicted in the use of a non-finite rankshifted clause
‘that requires the reader have an understanding of the original tales, of story structure,
and of comedy’. It is used as a descriptive gloss of the semiotic domain of attribution
and at the same time expressing circumstantial information of manner. This can be
further proved by an alternative congruent rewording using inter-clausal relations such
as; ‘The reader needs to have a good understanding of the story structure because the
book is very challenging’. In this example, the circumstance of ‘cause’ expressed by the
conjunction ‘because’ in the congruent rewording, is remapped to a process ‘requires’
presented in a rankshifted clause. This finding proves that clause-internal relations
observed in Relational clauses contribute to the creation of grammatical metaphor.
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Example (NE12): Without funding for the education and sustainable community
development programs that the Universal Access Plan calls for, financial support for HIV-
AIDS (Carrier) becomes (process) a life-line to struggling communities (Attribute).
In example (NE12) the Carrier is the nominal group ‘financial support’ and the process
‘becomes’ is of ‘phase time’ (see Table 3.9). The Attribute refers to the nominal group
‘a life-line to struggling communities’. The Attribute is ascribed to the Carrier ‘financial
support’. The Carrier ‘financial support’ is construed as a member of the class of ‘life-
lines to struggling communities’. In terms of attribution, it is from the semiotic domain
and the circumstantial semantic space created is of ‘cause and concession’ conveyed by
the prepositional phrase ‘to struggling communities’. This circumstantial information is
an expansion of the lexical metaphor ‘a life-line’ which is made clearer with the
following alternative rewording; ‘if the line referring to financial supply is disconnected,
it can be a matter of life and death to the communities that are struggling’.
Metaphorical expression of circumstance through the relocation in mapping between
meanings to corresponding grammatical labels is a distinct feature of Relational clauses.
This makes Relational clauses reliable as the framework to analyze nominalization and
grammatical metaphor. Additionally, in terms of the second major argument of the
study, it is proven that clause-internal relations made in Relational clauses contribute to
the realization of Verticality.
Example (NNE5): The aims and objectives of the organization (Carrier) seem to be
(process) functional (Attribute).
The Carrier in example (NNE5) is the nominal group ‘The aims and objectives of the
organization’, the process ‘seem’ is of the ‘phase reality’ (see Table 3.9) and the
Attribute is an adjective ‘functional’ or ‘the functional one’. The Attribute ‘functional’
is ascribed to the Carrier. The Carrier ‘aims and objectives of the organization’ is
construed as a member of the class that is functional. While the phase of attribution is
semiotic, the circumstantial semantic space created is of manner depicted in the
adjective ‘functional’.
A comparison in the choice of expansion types to express circumstantial
information reveals that USP student texts mostly employ elaboration which results in
the creation of the circumstance of manner. On the other hand, findings indicate NE
texts explore both elaboration and enhancement to express circumstantial information.
The choice contributes to the creation of a more elaborate circumstantial semantic space.
Chapter Five Data Analysis and Discussion
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The finding is revealing in relation to ‘argumentation’ the text type chosen to be
analyzed where the use of circumstance of ‘cause and concession’ is critical in attaining
the purpose of this text type. The limitation of USP students’ choices on elaboration
indicates lexicogrammatical resources employed are mostly for descriptive purposes.
The metaphoric expression of circumstance emphasizes and proves the importance of
Relational clauses in building Verticality. It also justifies the second argument proposed
by the study that clause-internal relations made in Relational clauses contribute to the
realization of Verticality. Similarly, problems identified in USP student texts such as,
the limitation on elaboration to distil meaning in clause-internal relations confirm the
reliability of the theoretical frameworks adopted in this study.
5.4.4 Abstraction in Relational Identifying clauses
Relations made in Relational Identifying clauses are found to be more complex
compared to Relational Attributives. An observation noted is in the exploitation of
abstraction. This section examines how abstraction is incorporated in student texts
particularly focusing on the ‘lexicalized token’. According to Painter (1999), the use of
lexicalized tokens is common in Relational clauses of the Identifying mode where
definitions involve a token-value relation. The relation is between a fairly delicate type
that is lexicalized in the lexicogrammar and its restatement by means of other resources
in the ideation base ( Halliday & Mathiessen,1999:76). Abstraction involves a shift
towards the concrete, a move in the direction of ‘objectifying’ which means making like
an object. Similarly, as in section (5.4.3) in the case of extending and reconstrual of
meaning, expansion types explored to further define and clarify abstract categories are
also examined. The intention is to highlight, in addition to an awareness of abstraction,
to also elucidate students’ ability to describe, explain, argue or negotiate in order to add
value to their classifications and taxonomies.
In Relational Identifying clauses meaning is related by definitions and this is
illustrated next.
Example (NE4): On the surface the grey zone (Identified/token) demonstrates (process) the
absence of a clearly demarcated line between good and evil (Identifier/value).
Example (NE4) is a Relational Identifying clause that sets up a relation between token
and value. The element participant ‘the grey zone’ which is the token is a non-conscious
pseudo Thing related to its value by the element process ‘demonstrates’ which is an
Chapter Five Data Analysis and Discussion
108
equative verb. The token ‘the grey zone’ is defined in terms of a semantically loaded
nominal group ‘the absence of a clearly demarcated line between good and evil.’ It is
obvious that dispensing of meaning is through elaboration. This is expressed in the
prepositional phrase ‘between good and evil’. Abstraction is said to be embodied in this
clause because the two entities identifying each other ‘the grey zone’ and its definition
‘the absence of a clearly demarcated line’ are both abstract. In Relational Identifying
clauses, the two participants such as ‘the grey zone’ and ‘the absence of a clearly
demarcated line’ are circumstantial elements in disguise, one identifying the other
(Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996; Eggins, 1994).
Example (NE13): A major factor in the restriction of access to contraceptives
(Identified/value) is (process) the demographic that is generally believed to utilize them, in
particular, teenagers and unmarried women (Identifier/token).
Abstraction is manifested in example (NE13) in the relation set up between the two
abstract entities ‘ a major factor in the restriction of access to contraceptives’ and ‘the
demographic that is generally believed to utilize them, in particular, teenagers and
unmarried women’. It can be claimed that ‘demographic’ is the lexicalized token. It is
expanded through elaboration by a rankshifted clause in the form of exemplification
‘that is generally believed to utilize them, in particular, teenagers and unmarried
women’. The value ‘a major factor in the restriction of access to contraceptives’ is a
semantically loaded nominal group conveying circumstantial information of ‘cause’.
This is proven in the congruent variant where circumstantial information is expressed
through inter-clausal relations such as ‘these citizens are restricted from accessing
contraceptive mainly because they are teenagers and unmarried women’. The
incorporation of both circumstantial information of cause and manner is found to be a
feature typical of NE texts that makes their text more complex and sophisticated when
compared to USP student texts.
It is worthwhile to also highlight that relocation in mapping of circumstantial
meaning to corresponding grammatical labels is facilitated through rank downgrade as
illustrated in the rewordings. Compacting of information in this manner through clause-
internal relations made in Relational clauses contributes to the realization of Verticality.
This finding supports the major argument of the study on the reliability of choosing
Relational clauses from the system of Transitivity and Halliday’s notion of grammatical
metaphor to analyze texts.
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Example (NE11): The reality (Identified/token) simply is (process) that humanitarian
organizations do not have the might to create comprehensive, far-reaching sustainability
programs (Identifier/token).
Example (NE11) is a Relational Identifying clause that realizes the figure of ‘being and
having’. The two parts of the clause are equative pairs that construe a token-value
relation. The element participant ‘the reality’ is the token realized as a non-conscious
Thing. It is defined by its value a semantically loaded nominal group ‘that humanitarian organizations do not have the might to create comprehensive, far-reaching
sustainability programs.’ To distil meaning, enhancement is employed providing
circumstantial information of ‘cause’ as reflected in the alternative rewording
‘comprehensive far-reaching sustainability programs cannot be sustained because humanitarian organizations do not have the might’. In the metaphoric shift to eliminate
continuity typical of inter-clausal relations the conjunction ‘because’ is remapped to a
prepositional phrase ‘to create comprehensive far-reaching sustainability programs’
that is expressing circumstantial information of ‘cause’.
Abstraction is depicted in example (NE10) by the nominal group ‘the sum’ which
is realized as a non-conscious Thing. It is expanded by a nominal group ‘these
modifications’, the root of which can be traced to the verb ‘modify’. However, it has
undergone the process of syntactic establishment as illustrated in its potential to co-
occur with a plural inflectional morpheme ‘s’. The Thing is further expanded by a non-
finite clause ‘occurring during the Devonian Carboniferous periods’. In the case of the
lexicalized token ‘the sum’ it is defined by a nominal group that is enhancing by giving
information of manner and cause. The two parts of the clause are circumstantial
elements, one identifying the other where circumstantial information of ‘cause’ is
expressed by the process ‘led’. This claim is clarified in the rewording ‘The eventual
filling of the terrestrial realm was caused by these modifications’. Analysis indicates
that relations made between abstract entities without input of energy contribute to the
creation of an abstract circumstantial semantic space.
Example (NE10): The sum/ of these modifications/ occurring during the Devonian and
Carboniferous periods (Identified/token) led to (process) the eventual filling of the
terrestrial realm with vertebrate life, forever altering the structure and ecology of terrestrial
communities (Identifier/value).
The next section looks at how abstraction is employed in USP student texts.
Chapter Five Data Analysis and Discussion
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Example (NNE17): The main idea portrayed in the Kakala metaphor by Konai
(Identified/token) is (process) culturally inclusive learning, learning in specific cultural
context (Identifier/value).
Example (NNE17) is a Relational Identifying clause that is realized in the figure of
‘being and having’. The two parts of the clause are equal, one identifying the other and
related by a token-value relation. Abstraction is embodied in the nominal group ‘the
main idea’ which is realized as a non-conscious pseudo Thing. The lexicalized token is
defined by a nominal group that elaborates by restatement ‘culturally inclusive learning,
learning in specific cultural context, a feature similar to apposition in traditional
grammar.
In the analysis it is evident that USP students’ choices of non-conscious lexicalized
tokens are limited. Expansion types manipulated to define tokens are mainly for
elaboration in the form of restatement and exemplification as illustrated in Figure 5.16.
However, in the case of NE texts the choices of lexicalized tokens are various. In
addition, the circumstantial semantic space created is not only of ‘manner’ but sparingly
embodies both ‘cause and concession’ a consequence of the expansion types explored
which are found to be predominantly on enhancement (see Figure 5.17). This
observation is significant in regards to attaining the purpose of an ‘argumentative text
type’ where persuasion is critical.
Figure 5.16 Distribution of expansion types in NNE data
0
1
2
3
4
5
6
7
no expansion1
elaboration1
extension2
enhancement3
Chapter Five Data Analysis and Discussion
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Figure 5.17 Distribution of expansion types in NE data
An overall analysis reveals clause of the Identifying type is rarely used in USP
student texts. This lack suggests USP students have yet to acquire the skill to make
clause-internal relations between the two entities ‘Be-er1’ + ‘Be er2’ where element
process is non-salient. Relation made in this clause type is important in order to
incorporate abstract and metaphorical concepts. Data collected have proven and
justified the choice of Relational clause as a framework to analyze abstract and
metaphorical concepts. Findings have also identified writing problems found in USP
student texts related to abstract and metaphorical concepts.
5.4.5 Lexical density- a comparison
At the clause level lexical density is analyzed to determine frequency of
nominalized entities in a sentence. Lexical density of a text is a consequence of
nominalization whereby information is condensed into word(s)/groups. Its significance
in the development of nominalization and grammatical metaphor in student texts is also
sought. It is claimed that while written texts are lexically dense spoken texts are
grammatically intricate (Halliday & Mathiessen, 2014, 2004, 1999; Thompson, 1996;
Eggins, 1994). Lexical density is measured by dividing the number of lexical items with
the number of clauses in a sentence. A comparison in lexical density is important in
order to determine Verticality by locating a text within the congruent and metaphorical
continuum. Comparisons between the written and their spoken variants are made to
0
2
4
6
8
10
12
no expansion1
elaboration2
extension3
enhancement4
Chapter Five Data Analysis and Discussion
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illustrate the differences in lexical density between the two cohorts NE and USP student
texts.
Example (NE8): Undoubtedly, the world (Carrier) is becoming (process) more inter-
connected with the evolution of the internet and an exponential increase in communication
(Attribute).
Spoken variant: We do not doubt that the world is becoming more inter-connected mainly
because our means of communication is greatly increased especially for the way internet
has evolved.
In example (NE8) there are ten lexical items and only one clause, the lexical density is
ten. In contrast, to illuminate the difference between lexical density and grammatical
intricacy, the spoken variant is also analyzed with sixteen lexical items and four clauses
with a lexical density of four.
Example (NE13): A major factor in the restriction of access to contraceptives (Identified)
is (process) the demographic that is generally believed to utilize them, in particular,
teenagers and unmarried women (Identifier).
Spoken variant: Contraceptives are restricted and they cannot be accessed easily mainly
because those who utilize them are generally believed to be teenagers and unmarried
women.
There are fourteen lexical items and two clauses in example (NE13) which means a
lexical density of seven. In the spoken version there are fourteen lexical items and four
clauses with a lexical density of around four.
Example (NE7): The stinky Cheese man (Carrier) is (process) a collection of scrutinizing
challenges to classic fairy tales that requires the reader have an understanding of the
original tales, of story structure, and of comedy (Attribute).
Spoken variant: The stinky Cheese man comprises of fairy tales that are classic and have
been well scrutinized and are challenging; the readers are required to have an
understanding of the original tales, of story structure, and of comedy.
Example (NE7) has sixteen lexical items and three clauses. The lexical density is around
six. On the other hand, the spoken version has seventeen lexical items and five clauses
arriving at a lexical density of three.
The next discussion looks at lexical density in NNE student texts.
Example (NNE17): The main idea portrayed in the Kakala metaphor by Konai (Identified)
is (process) culturally inclusive learning, learning in specific cultural context (Identifier).
Chapter Five Data Analysis and Discussion
113
Spoken variant: Konai Helu Thaman says that the main idea in the Kakala metaphor is
learning that takes place in specific contexts; this includes values from our culture and also
considers our ways of thinking.
In example (NNE17), there are ten lexical items and two clauses. The lexical density is
approximately five. There is not much difference noted in the lexical density of the
spoken version comprising of sixteen lexical items and five clauses with a lexical
density of three. This finding reveals the distance between the congruent and
metaphorical is minimal which means nearness to the congruent rather than the
metaphorical pole.
Example (NNE10): The term for education (Identified) is (process) Pardhana Likhana
which means reading and writing in the western notion of schooling that /has been widely
practiced since Indenture system (Identifier) (NNE10).
Spoken variant: Pardhana Likhana is the term that refers to education in the Indian
community; it means reading and writing in the western way of schooling that has been
widely practiced since the Indenture system was introduced.
Figure 5.18 Mean lexical density in the written texts
The lexical density in example (NNE10) is around five which is the quotient of fourteen
lexical items and three clauses. The spoken version comprises of seventeen lexical items
and five clauses arriving at a lexical density of around three. Again, it is quite obvious
that the difference is marginal.
7
4
0
1
2
3
4
5
6
7
8
NE texts NNE texts
Chapter Five Data Analysis and Discussion
114
Example (NNE28): One of Dewey’s theories regarded to be very important to the home
cultures of learners in my country (Identified) is (process) the theory of progressivism
(Identifier).
Spoken variant: Progressivism which is one of Dewey’s theories is regarded to be very
important to the learning of home cultures of those who are learning.
In example (NNE28) there are eleven lexical items and two clauses. The lexical density
is around six. However, in its spoken variant ten lexical items are noted with three
clauses thus arriving at a lexical density of three.
Figure 5.19 NE texts – lexical density in the written and spoken variants
Figure 5.20 USP student texts – lexical density in the written and spoken variants
3.285
7
0
1
2
3
4
5
6
7
8
NE texts -spoken variant NE texts - written
3
4
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
USP texts -spoken variant USP texts - written
Chapter Five Data Analysis and Discussion
115
From the comparisons, differences in the choice of lexical items are revealed when
analyzing lexical density in a sentence. Results obtained on the average lexical density
in written texts between the two cohorts show it is around seven (7) for NE texts and the
average is four (4) for USP student texts (see Figure 5.18). High frequency of lexical
density noted in NE texts indicates they are sparingly employing nominalization which
is the most important tool in realizing grammatical metaphor. In contrast, for USP
student texts, lower lexical density implies they are not fully utilizing nominalization in
their writing texts. Results point to the dire need to employ lexically dense items, a
feature that contributes to the creation of grammatical metaphor and the realization of
Verticality in academic writing texts.
An overall evaluation on the distribution of grammatical metaphor in Relational
clauses between the two groups produced interesting findings. In the syntagmatic shift
from figure to element, the comparison illustrates nominal groups that have been
downgraded are more semantically loaded in NE texts rather than USP student texts.
Analysis in the violation of the dominant subject position shows, it is rarely employed
in USP student texts when compared to NE. An investigation of the circumstantial
semantic space shows, circumstance of manner is common in USP student texts as a
consequence of the choice of elaboration to distil meaning. In contrast, circumstance of
cause and concession are predominant in NE texts due to their choice of both
elaboration and enhancement to dispense meaning. Additionally, results obtained from
the comparison on lexical density reveal USP student texts are behind their NE
counterparts (see Figure 5.18).
5.5 Conceptualization of nominalization and grammatical metaphor
This section substantiates the Functional interpretation of student texts from the
conceptual view of grammatical metaphor. Interpretation is guided by the
contextualization of human communication in the iconicity inherent between language
and thought (Lakoff, 1994; Lakoff & Johnson, 1980). This view is similar to the
Functional perspective that recognizes the interactive and participatory role of language
and thought and what unfolds as text is a reflection of embodied language learning
experiences (Halliday & Mathiessen, 2014; Christie & Macken-Horarick, 2007; Painter,
1999). It is thus anticipated that interpretations will support credibility of the Functional
perspective.
Chapter Five Data Analysis and Discussion
116
5.5.1 Prototypicality and nominalization
In relation to the use of language in academic writing, the concept of
prototypicality suggests that students are more comfortable at this stage (Ungerer &
Schmid, 1996; Lakoff & Johnson, 1980; Rosch, 1978). The reason being that, it is at
this stage that comprehension is made easier because lexical items or other elements
employed are from what students are familiar with. A comparison with the Functional
perspective shows that prototypicality is similar to the congruent mode. The similarity is
proven in the current study’s findings at the lexical level in the choice of semantic
categories. Results reveal categories that share semantic junction commonly employed
in USP student texts are closer to the prototype whereas choices made in NE texts are
more peripheral (see Figure 5.12 & 5.13). This argument is made when evaluating the
prevalence of both the primary and secondary motif of grammatical metaphor. While
both metaphoric shifts are quite predominant in NE texts they are not noticeable in USP
student texts. USP student texts commonly employ the semantic categories ‘quality
thing’ and ‘process thing’ which are Type1 and Type2 in Halliday’s metaphor
taxonomy (see Table 2.9). Manipulation of Thing as classifier, possessive or qualifier
for head Thing which is Type 13 (see Table 2.2) metaphor is lacking in USP student
texts. Furthermore, the near absence of the metaphoric shift of element process to
function as qualifier for Thing in USP student texts illustrates their nearness to the
prototype which is the equivalent of the congruent pole (see Figure 5.15). This lack
suggests USP students cannot violate the conventions of the congruent prototype which
definitely influences the quality of texts produced. As a result they are placed closer to
the prototype than the peripheral pole. Similarly, the metaphoric shift of element
process to function as head Thing in the nominal group is not fully explored in USP
student texts.
In the metaphoric shift from figure to element, a comparison against the prototype
theory depicts USP student texts employ lexical items from the prototype rather than
peripheral level. The interpretation is reached while viewing the nominal groups within
the congruent and metaphorical continuum. Alternative rewordings of nominal groups
in NE texts are complex and this is indicated through clauses and clause complexes
employed (see section 5.3.6). In contrast, rewordings of nominal groups from USP
student texts mainly include simple clauses with simple lexical items.
Chapter Five Data Analysis and Discussion
117
5.5.2 Basic level categorization and nominalization
To substantiate credibility of research findings, it is also explored from the
perspective of basic level categorization. In the context of human communication basic
level categorization is understood in terms of class inclusion as viewed within a
hierarchy (Ungerer & Schmid, 1996; Lakoff & Johnson, 1980). This means, in
categorization basic level is located between the superordinate and subordinate where
attributes and resemblances amongst the family or class members are said to be most
common. As a result students relate better to basic level rather than the other two
categories superordinate and/or subordinate. This suggests the concept of basic level
categorization is aligned to that of the congruent mode. Some examples are discussed
to prove the similarities between the congruent and basic level categorization. In regards
to research findings obtained at the lexical level, it is apparent that USP students’
choices are all within basic level categorization. This is also supported in the discussion
on the prototype theory. For instance, in the analysis of semantic categories, lexical
items explored in USP student texts indicate that they are mostly one word
reproductions and those that occur earlier in one’s language development. Moreover, it
can be argued that most of them are syntactically established as observed in examples
where they are able to co-occur with plural inflectional morphemes such as imitation(s),
and observation(s). This argument indicates that USP students are closer to basic level
and the congruent pole. Conversely for NE texts, the choice of semantic categories and
lexical items shows a variety including both transcategorized and metaphorical variants.
In another example, inability of USP students to fully employ the metaphoric
shift of element process as qualifier for Thing also means they are placed closer to the
focal point of basic level categorization. This is the equivalent of the congruent pole.
They have not acquired the skill to relocate meaning to corresponding grammatical
labels as in this shift where element process functions as qualifier for Thing. Another
significant finding which positions USP students closer to basic level and the congruent
pole is the choice of nominal groups employed. Results gathered on the downgrade in
rank from figure to element indicate, the derived nominal groups of NE texts are more
complex than USP student texts (see section 5.3.6). This is shown in the alternative
rewordings produced. This lack shown in the manipulation of nominal groups in USP
student texts demonstrates they are mostly reproducing lexical items they have
embodied from their previous language learning contexts. Although there are a few
Chapter Five Data Analysis and Discussion
118
examples cited in USP student texts, they are not as glaring as in the case of NE student
texts. In terms of placement within the focal point of basic level categorization, they are
closer to the center compared to NE students’ positioning towards the periphery. From
the perspective of experientialism on the iconicity inherent between language and
thought, interpretation of findings on the minimal use of nominalization in USP student
texts is suggestive. What unfolds in the form of text reflects students’ embodied
language learning experiences. The similarity of interpretation between the conceptual
and Functional view of grammatical metaphor substantiates and adds credibility to the
research findings.
5.5.3 Theory of iconicity and grammatical metaphor
The theory of signs or iconicity is relevant when considering the interactive role of
the social domains and thought processes with language as the most important
mediating device (Lakoff & Johnson, 1999; Lakoff, 1994). The concept of sign is
improved by Piercean in his triadic sign theory where it is maintained that the relation
between signs is not arbitrary as argued by Saussurean linguists but the relation is one
of naturalness (Halliday & Mathiessen, 2014; van Lier, 2004; Ungerer & Schmid, 1996).
The naturalness is evident in language use where it is a natural mapping from meaning
(semantics) to corresponding wording (lexicogrammar). The use of grammatical
metaphor however arouses and triggers attention because it chooses to shift away from
the congruent prototype towards the peripheral level.
While analyzing the downgrade in shift from sequence to figure, it can be claimed
that according to Piercean’s triadic sign theory, NE texts but not USP student texts are
able to use language at the symbolic level. This is reflected in the embodiment of
grammatical metaphor in their texts. For instance, in the analysis of rank downgrade
from sequence to figure, it is evident that semantically loaded nominal groups have been
downgraded from figures (see section 5.4.1). It is symbolic thus a manifestation of
grammatical metaphor because condensation of information through rank downgrade
allows information that is normally presented in a figure to be compacted into a nominal
group.
Another example to draw a similarity between the theory of iconicity and
Halliday’s notion of grammatical metaphor is in the violation of the dominant subject
position (see section 5.4.2). Results indicate that NE texts but not USP student texts
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violate the dominant subject position. This means, in terms of Piercean’s triadic sign
theory, NE students are able to use language symbolically which implies the use of
grammatical metaphor.
Still on the violation of the conventionalized subject position, it is important to also
interpret the metaphoric shift of element process to become like a concrete entity from
another perspective (Halliday & Mathiessen, 2014; Martin, 2007, 1992). Givon’s (1985)
theories of ‘iconic sequencing’ and ‘iconic proximity’ show that students are familiar
with the sequences or the way elements in a clause are arranged from the point of view
of the congruent prototype. In order to incorporate grammatical metaphor in their
writing texts, it requires rearrangement or relocation in mappings between meanings to
respective lexicogrammatical realizations. For example, in this research study it
involves placing a process instead of a participant in the subject slot or maybe an
abstract entity or other. Results gathered from analysis of USP student texts portray that
they are not yet able to violate the ‘iconic sequencing’ and likewise ‘iconic proximity’
in order to incorporate grammatical metaphor in their writing texts.
Also relevant to this discussion is Givon’s (1985) theory of ‘iconic quantity’ in
which he argues that the complexity of the morphosyntactic structure is relative to the
complexity of the encoded concept. In the comparison between NE and USP student
texts, the concept of ‘quantity’ can be related to the density of the lexical items
employed. Findings highlight that NE texts use more lexically dense items when
compared to USP student texts. In addition, the complexity and sophistication of the
semantically loaded nominal groups employed by both cohorts can also be examined in
the light of the theory of ‘iconic quantity’. The rewordings of nominal groups in NE
texts yield clauses and clause complexes while for USP student texts they are mostly
simple clauses. Similarly, in another example manifestation of grammatical metaphor
through relocation in mapping between circumstantial information and corresponding
lexicogrammar is symbolic (see sections 5.4.3 & 5.4.4). However, while NE texts
sparingly employ this deviation, it is not quite noticeable in USP student texts.
Interpretations explored from the perspective of the theory of iconicity illustrate that
USP students have yet to make meaningful connections at the symbolic level in order to
encompass grammatical metaphor in their writing texts. Unless and until students are
able to make meaningful connections at the symbolic stage, their texts will continue to
lack abstract and metaphorical concepts.
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5.5.4 Figure-ground theory and grammatical metaphor
The figure and ground theory is employed to examine grammatical metaphor and
its effect on the quality of a written text. As has been highlighted in the literature
review (see section 2.3.4) the figure ground theory is based on the principle of gestalt
pragnaz. The figure is perceived as the important element that has form and structure
compared to the ground with no form or structure (Ungerer & Schmid, 1996; Lakoff,
1994; Lakoff & Johnson, 1980). In the context of the current study, figure refers to
grammatical metaphor in the sense that it is employed to highlight or elucidate some
important concepts or points the writer wishes to present or argue. This implies if there
is no figure or no grammatical metaphor, it will be just ground the equivalent of the
congruent prototype. In this respect, from the backdrop of figure-ground theory there is
nothing standing out of the familiar or ordinary to catch one’s attention.
A comparison shows that grammatical metaphor is fully embraced in NE texts but
not in USP student texts. An example of ‘figure’ is the violation of the dominant subject
position. It is strategically employed as a means of foregrounding to trigger the readers’
attention and anticipation to the unfolding of the ‘new’ information. In contrast, without
grammatical metaphor employed as in USP student texts, there is no figure hence
everything is just ground. The comparison depicts the pivotal role played by
grammatical metaphor not only in creating suspense and excitement but in contributing
to the quality and Verticality of a text.
Moreover, the metaphorical and congruent variants can also be examined in the
light of the figure-ground reversion (Talmy, 2000; Ungerer & Schmid, 1996). It is
apparent that the metaphorical form tends to be found more in written texts whereas the
congruent form appears mostly in spoken texts. The two different expressions of the
same meaning can be viewed in the light of the figure-ground reversion theory where
the variant chosen to be highlighted is definitely determined by the context of use. From
the background of the Functional notion of grammatical metaphor, the two agnate forms
‘congruent and metaphorical’ are not and never have been free variants. They have
always been to some extent context-specific. Discussion explored on the figure-ground
theory throws more light on the significance and contribution of grammatical metaphor
in the creation and realization of Verticality in academic writing texts. It is obvious the
conceptual view of grammatical metaphor substantiates and authenticates interpretations
from the Functional perspective. Additionally, it is proven that a high quality text is a
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consequence of the incorporation of nominalization and grammatical metaphor. Most
importantly, Halliday’s notion of grammatical metaphor and his system of Transitivity
have enabled human experiences unfolding in the form of a written text to be examined
as an object of study. The next section seeks to answer how Verticality is realized in
USP student texts.
5.6 How is Verticality manifested in USP student texts?
To determine Verticality significant findings are compared between the two
cohorts on the manifestation of nominalization and grammatical metaphor against the
backdrop of the semogenetic timeframe and Halliday’s metaphor taxonomy.
5.6.1 Verticality and nominalization
Analysis of nominalization to determine Verticality shows USP students are far
behind their NE counterparts. This argument is made while analyzing a number of
features where nominalization is manifested at the lexical level. Semantic categories
embodied in USP student texts when viewed against the semogenetic timeframe are
closer to the congruent instead of the metaphorical continuum (see Figure 5.13). This is
further clarified and supported from Halliday’s metaphor taxonomy in Table 2.2 (Chen
& Foley, 2005). The semantic categories mostly explored in USP student texts ‘quality
thing’ and ‘process thing’ are those that are acquired first in relation to one’s history of
language development. This finding is supported from the prototype theory and basic
level categorization. It highlights that USP students only employ what they are familiar
with and those that do not challenge their intellectual capacity. Data also show that
while NE texts add sophistication to their choice of words with the use both
transcategorized and metaphorical variants, USP student texts mainly employ
transcategorized variants. This demonstrates the lack of innovation and creativity in
language use and also portrays USP students’ placement closer to the congruent rather
than the metaphorical pole.
Another comparison examines the rank downgrade from figure to element in order
to find the complexity of the condensed information. Analysis reveals that nominalized
items are more compact and semantically loaded in NE texts compared to NNE. The
congruent variants in NE texts show a cause and effect relation created in the clause.
For example in (NE12), the rewording of the nominal group ‘sustainable community
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development programs’, yields ‘Programs are developed so that they may sustain the
community.’ Likewise, in the nominal group ‘financial support’ the rewording
highlights the cause and effect relation and that is ‘Finance is provided in order to
support the community.’ The lexical metaphor ‘life-line’ is an excellent example where
the congruent rewording manifests both cause and condition circumstantial information.
The differences noted between NE and USP student texts are glaring in the rewordings
as shown in the comparisons of the examples. USP students’ congruent variants depict
their surface level and simplicity. This locates them closer to the congruent prototype
and basic level categorization. It is apparent that options available to choose from in
their meaning potential are limited. What unfolds as text is what they have embodied
and internalized which may have been influenced by various contributing factors such
as, language learning pedagogies and other socio-cultural factors.
In relation to theories of experientialism, what is emerging from the data gathered
is indicative of claims made on some drawbacks of the text-oriented approach. That is,
students are not able to think for themselves and as a result they reproduce what they
learn and memorize in the classrooms (Christie & Macken-Horarick, 2007; Thaiss &
Zawacki, 2006 Murcia, 2001). This finding also reechoes Halliday’s (1971) discussion
of the Neanderthalians which may be compared to language learning contexts in Fiji. It
suggests the limitation of USP students’ choice of words at basic level is probably the
result of the language learning experiences they have embodied from previous language
learning contexts.
This argument can also be compared to Bernstein’s claim (1999, 2000) and
Hasan’s (1989) research findings on the variation in meanings produced as a result of
the differences in one’s social positioning. Basic level is emphasized relative to their
linguistic and cultural significance and such a perspective may also explain the
limitation of USP students’ choice of lexical items at the basic level. Ungerer and
Schmid (1996:68) elaborate on the basic level of understanding by referring to the
notion of ‘cognitive economy’ arguing that most students remain at this level because
the largest amount of information can be obtained with the least cognitive effort. In
determining Verticality, information gathered from the comparison in the use of
nominalization illustrates there is a lot that has to be done by USP students to improve
their writing texts.
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123
Overall, a comparison made in the manipulation of nominalization by USP
students against their NE counterparts indicates the big gap that exists between the two
cohorts. NE texts fully employ nominalization and their texts are claimed to be
realizations of Verticality but the same cannot be claimed for USP student texts. This
assertion is well substantiated in the texts analyzed and especially in the comparisons of
the utilization of nominalization at the lexical level. Findings have proven the important
contribution of nominalization to the realization of Verticality. Likewise, the reliability
and credibility of Halliday’s notion of grammatical metaphor and his Transitivity
system are justified through the identification of USP students’ academic writing
problems related to abstract and metaphorical concepts.
5.6.2 Verticality and grammatical metaphor
A comparison on the manifestation of grammatical metaphor to determine
Verticality in USP student texts again shows that they are behind their NE counterparts.
Results obtained from the analysis are discussed to justify this claim. To prove
embodiment of grammatical metaphor in text, the shift from sequence to figure is
compared. The shift examines the effect of condensation of information during rank
downgrade. Results illustrate condensing of information is encompassed in texts of both
cohorts but nominal groups are semantically loaded in NE rather than USP student texts.
This is portrayed through lexically dense nominal groups that are elaborately expanded
shown in the texts analyzed (see section 5.4.1). These nominal groups are claimed to
contribute to the creation of grammatical metaphor because they have been downgraded
from sequence to figure as reflected in the alternative rewordings (see section 5.4.1).
Not being able to qualify nominal groups is definitely an area that USP students are
lacking in. Reid (1989) in one of his studies had cited similar findings arguing NNE
student texts do not have enough adjectives, possessives, verb forms or prepositional
phrases to qualify nouns. Results obtained in the analysis of the downgrade in shift from
figure to element illustrate that condensing of information is a typical feature of
grammatical metaphor. However, while condensing of information through rank
downgrade is fully explored in NE texts, it is not noticeable in USP student texts. This
finding proves that in determining Verticality, USP students are behind their NE
counterparts.
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Furthermore, in the analysis of the prototypical subject position (see section 5.4.2)
results prove that grammatical metaphor is encompassed in student texts through its
violation. This is exemplified in the placement of element process in the subject slot
which is normally observed for nouns. A comparison between the two cohorts indicates
violation of the prototypical subject position is common in NE rather than USP student
texts. Some examples are given to further illustrate this claim.
Example (NE1): ‘The impact of the internet and technology on children today …’
Example (NE10): ‘The sum of these modifications occurring during the Devonian and
Carboniferous periods…’
For instance, in example (NE1) the non-conscious Thing ‘the impact’ is peripheral
because it is a ‘verb’ that has undergone a metaphoric shift to be realized as pseudo
Thing. In this way, it is contributing to the creation of grammatical metaphor. Similarly,
the nouns ‘internet and technology’ are contributing to the creation of grammatical
metaphor by adopting secondary roles functioning as qualifiers for the head Thing. In
example (NE10), ‘the sum’ a non-conscious Thing is taking over the position
conventionally intended for a noun thus, it is contributing to the creation of grammatical
metaphor. Moreover, it is expanded by a prepositional phrase ‘of these modifications’
and a non-finite clause ‘occurring during the Devonian Carboniferous periods’. The
elaborate expansions of nominal groups in NE texts are worth highlighting because in
USP student texts expansions of Thing are mostly through the use of prepositional
phrases. They have not quite reached the stage as in NE texts where non-finite clauses
are alternatively employed with prepositional phrases to expand the head Thing. Results
gathered on the violation of the dominant subject position demonstrate it is not fully
employed in USP student texts. This deviance can be attributed to their lack of
understanding on how the metaphoric shift is incorporated and its effect on the
realization of Verticality in a text. Results emerging from the comparison prove that
violation of the dominant subject position contributes to the creation of grammatical
metaphor and the realization of Verticality. Nevertheless, while it is fully explored in
NE texts, the same cannot be claimed for USP student texts which means in terms of
Verticality they are behind their NE counterparts.
Another analysis to illustrate embodiment of grammatical metaphor in the clause
involves the relocation in mapping between circumstantial meanings to corresponding
grammatical labels. This is related to circumstantial meaning that is normally expressed
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through conjunctions such as ‘because’ in inter-clausal relations, to process, preposition
or participant in clause-internal relations. This metaphoric shift is obvious in NE texts
but not fully explored in USP student texts. This finding can be related to research
findings presented by Silva (1997) stating that there are more conjunctive ties than
lexical ties in NNE student texts.
Also most worthy to highlight that in the relocation in mapping of circumstantial
meaning to process, preposition or participant, expansion is explored to dispense
circumstantial information. Findings indicate the creation of a particular circumstantial
semantic space is influenced by the choice of expansion type. A comparison on
circumstantial semantic space created maps USP student texts to circumstance of
manner which is a consequence of choosing elaboration. On the other hand,
circumstances of cause and concession are mapped to NE texts as a result of the choice
of both elaboration and enhancement. Analysis shows, while NE texts are found to fully
embody abstract and metaphoric expression of circumstance, its near absence in USP
student texts is definitely notable.
5.7 Summary of Findings
An overall evaluation on the distribution of nominalization and grammatical
metaphor in USP student texts produced interesting findings. At the lexical level,
analysis on the manifestation of nominalization indicates that semantic categories
commonly employed in USP student texts ‘quality thing’ and ‘process thing’ are closer
to the congruent pole rather than the metaphorical (see Figure 5.13). A comparison on
the frequency of semantic categories show USP student texts employ them 50% less
than NE texts (see Figure 5.11). Type13 metaphor which represents the metaphoric shift
of Thing to qualifier, possessive or classifier is hardly noticed in USP student texts
when compared to NE (see Figure 5.14). Similarly, analysis of element process in its
function as qualifier illustrates that USP students use them less than NE texts (see
Figure 5.15). The metaphoric shift of element process to be realized as head Thing in a
nominal group is not at all noticed in USP student texts. Moreover, an examination on
the downgrade in rank from figure to element indicates semantically loaded nominal
groups in NE texts but not USP student texts. This is expressed in the comparisons
made between the two cohorts in the alternative rewordings of nominal groups explored.
Chapter Five Data Analysis and Discussion
126
While rewordings in NE texts produce clause simplexes and clause complexes,
rewordings of USP student texts only yield simple clauses.
The following results emerged from the distribution of grammatical metaphor in
Relational clauses. Comparisons made in the syntagmatic shift from sequence to figure,
illustrate that the frequency of nominal groups that have been downgraded is higher in
NE texts compared to USP student texts. In addition, nominal groups employed are
more semantically loaded in NE rather than USP student texts. Results gathered on the
violation of the dominant subject position show that it is rarely employed in USP
student texts when compared to NE. Investigation of the circumstantial semantic space
demonstrates circumstance of manner is common in USP student texts as a consequence
of the choice of elaboration to distil meaning. In contrast, circumstances of cause and
concession are predominant in NE texts due to the choice of both elaboration and
enhancement to dispense meaning. A comparison in lexical density between the two
cohorts reveals a higher density in NE compared to USP student texts (see Figure 5.18).
From the data gathered, it is noted that the use of nominalization and grammatical
metaphor in USP student texts when compared to NE texts positions them closer to the
congruent rather than the metaphorical pole. This may mean, although texts show
manifestations of abstract and metaphorical concepts, students are not familiar with
them and neither do they understand their effects on the text as a whole. This argument
is supported by Silva (1997) saying that while there is evidence of metaphorical
awareness in NNE student texts this knowledge is not fully utilized to fill the gap in the
English language vocabulary. It can be argued that instances of nominalizations and
grammatical metaphors encompassed in texts are reproductions from their embodied
classroom experiences. An understanding at the symbolic level from the perspective of
Piercean’s (Lier, 2004) triadic sign theory is anticipated to manifest new constructions
and not mainly reproductions. This argument brings to bear the importance of Systemic
Functional grammar. The metalanguage helps students not only to produce texts but
also to be able to describe how clause elements function in texts. Not being able to fully
incorporate nominalization and grammatical metaphor in texts, may be attributed to the
way English language is taught in Fiji schools. It is unbalanced in the sense that it only
focuses on the productive aspect while the descriptive is overlooked. The root of this
problem can be examined from the perspective of language learning pedagogies with
their theoretical underpinnings. Results presented on the distribution of nominalization
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and grammatical metaphor illustrate that the incorporation of the two concepts in USP
student texts are definitely lacking. The next section summarizes major research
findings and proposes some measures that can be explored on how Verticality can be
developed in USP student texts.
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Chapter Six Conclusion
This chapter summarizes major research findings. Firstly, a discussion is conducted
on the distribution of nominalization and grammatical metaphor in Relational clauses.
Additionally, results obtained from the comparative analysis between the two cohorts in
relation to how Verticality is realized in USP student texts are presented. Following, an
explanation is given on the significance of the study, some suggestions to develop
abstract and metaphorical concepts, limitations encountered, and some prospects put
forth for future research.
6.1 Major findings
Major findings are presented according to research questions posed. Using
Halliday’s notion of grammatical metaphor and his system of Transitivity the study is
able to identify USP students’ academic writing problems related to abstract and
metaphorical concepts. Analysis on the distribution indicates that nominalization and
grammatical metaphor are embodied in texts of both cohorts. However, a more detailed
analysis produced interesting findings.
At the lexical level, one way nominalization is manifested in student texts is
through semantic categories that form a junction in meaning. This means, a lexical item
called the ‘ordinary’ share a junction in meaning with its ‘metaphorical’ variant, for
instance, the verb ‘laugh’ and noun ‘laughter’ with the semantic categories ‘process
thing’. Analysis of semantic categories reveals USP student texts use the semantic
categories 50% less than their NE counterparts (see Figure 5.11). Out of the three
semantic categories selected to be analyzed, two are commonly employed ‘quality thing’
and process thing’ (see Figure 5.13). In Halliday’s metaphor taxonomy, they are Type1
and Type2 metaphor (Table 2. 9). This suggests, they appear earlier in language
development thus are closer to the congruent pole rather than the metaphorical pole
(Halliday & Mathiessen, 1999).
Another important finding noted is the inability of USP students to use Thing as
qualifier, possessive or classifier. According to Halliday’s taxonomy, this is Type13
metaphor representing the secondary motif of grammatical metaphor. From the
comparison, data show that USP student texts use Thing as qualifier 30% less than NE
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students (see Figure 5.14). This finding vividly illustrates USP students’ nearness to the
congruent rather than the metaphorical pole.
Additionally, a comparison between the two groups on the use of process as
qualifier for Thing again shows USP students explore this metaphoric shift less than NE
students (Figure 5.15). Analysis of the paradigmatic shift of element process is found to
be sparingly employed in NE texts while it is almost non- existent in USP student texts.
A further analysis related to downgrade in rank from figure to element produced notable
findings, especially when comparing alternative rewordings. While rewordings for NE
texts comprise clauses and clause nexus, USP student texts only include simple clauses
(see section 5.3.6). Results on the distribution of nominalization in USP student texts
are not very encouraging and a comparison with NE texts shows their positioning closer
to the congruent rather than the metaphorical continuum. By using Halliday’s notion of
grammatical metaphor and the Transitivity system, the study is able to identify writing
problems related to abstract and metaphorical concepts. Moreover, results collected
have also proven one of the major arguments of the study that nominalization
contributes to the realization of Verticality.
At the clause level distribution of grammatical metaphor also highlights
suggestive results. The comparison of the syntagmatic shift from sequence to figure
shows frequency and complexity of nominal groups that have been downgraded from
figure are higher in NE rather than USP student texts (see section 5.4.1). The
incorporation of more compact and semantically loaded nominal groups makes NE texts
of a better quality compared to USP student texts. In the violation of the dominant
subject position, analysis shows that it is rarely employed in USP student texts when
compared to NE (see section 5.4.2). The ability to violate the dominant subject position
is a strategy employed in writing as a means of arousing anticipation and suspense for
the unfolding of the ‘new’ information. Its near absence in USP student texts influences
the quality of texts produced.
Another investigation is also undertaken to compare metaphoric expressions of
circumstance between the two groups NE and USP student texts. This refers to the
relocation in mapping of circumstance of ‘cause’ that is normally expressed by
‘conjunctions’ in inter-clausal relations to ‘process, preposition or participant’ in clause-
internal relations (Halliday & Mathiessen, 2014). Findings reveal circumstance of
manner is common in USP student texts as a consequence of the choice of elaboration
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to distil meaning (see section 5.4.3). In contrast, circumstance of cause is predominant
in NE texts due to their choice of both elaboration and enhancement expansion types.
Results illuminate the important contribution expansion types play in the creation of a
particular circumstantial semantic space. A comparison in lexical density between the
two cohorts shows a higher density in NE texts compared to USP student texts (see
Figure 5.18). Findings collected on the distribution of grammatical metaphor raises the
need for USP students to incorporate grammatical metaphor in order to improve quality
of academic writing texts.
Analysis on the distribution of nominalization and grammatical metaphor in
Relational clauses has produced some very important findings pertaining to USP
students’ academic writing problems. Moreover, the identification of problems related
to ‘abstract and metaphorical concepts’ has proven the reliability of Halliday’s notion of
grammatical metaphor and the Transitivity system. Results have shown that the
incorporation of both nominalization and grammatical metaphor contributes to the high
quality of a writing text
To determine Verticality, findings are viewed against the semogenetic timeframe
by employing Halliday’s metaphor taxonomy. Comparisons reveal USP student texts
are closer to the congruent pole while NE texts are nearer the metaphorical pole. This
claim is substantiated from results obtained in the distribution of nominalization at the
lexical level. In the analysis of semantic categories, the commonly chosen are ‘quality
thing’ and ‘process thing’ which places USP student texts closer to the congruent rather
than the metaphorical pole. In terms of determining Verticality when viewed against the
congruent and metaphorical continuum, they are behind NE student texts. Similarly,
with the other features examined, USP student texts are behind NE students. For
instance, in the use of Thing as qualifier a comparison with NE texts against the
continuum places USP student texts closer to the congruent rather than the metaphorical
pole. A comparison of process as qualifier also positions USP student texts nearer the
congruent pole. The shift of element process to be realized as a concrete entity again
shows that in determining Verticality USP students are behind their NE counterparts.
At the clause level findings gathered are similar to those obtained in the
distribution of nominalization. In terms of determining Verticality, USP student texts
are behind NE texts. For example, a comparison between the two groups on the
syntagmatic shift from sequence to figure illustrates nominal groups that have been
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131
downgraded are more frequent and semantically loaded in NE texts rather than USP
student texts. This finding positions USP student texts behind NE texts when viewed
against the semogenetic timeframe. In the violation of the dominant subject position, a
comparison also places USP student texts behind NE. An examination on the
metaphoric expression of circumstance shows circumstances of ‘cause and concession’
to be common in NE texts compared to ‘manner’ in USP student texts. The
circumstantial semantic space created when viewed against the semogenetic timeframe
places USP student texts behind NE. Likewise, findings obtained from the comparison
in lexical density between the two cohorts indicate a higher density in NE texts
compared to USP student texts. This finding again locates USP student texts behind NE
texts.
A comparison between the two cohorts to determine Verticality has shown that
USP student texts are behind their NE counterparts. The adoption of Halliday’s notion
of grammatical metaphor and his system of Transitivity has proven to be very reliable.
The reason being that contributions of both theoretical frameworks have assisted in the
identification of writing problems related to abstract and metaphorical concepts cited in
previous studies to be lacking in USP student texts (Khan & Mugler, 2001). The
credibility of findings obtained from the Functional perspective is further substantiated
from the conceptual view of grammatical metaphor. The study has proven that
Verticality is realized through the use of nominalization and grammatical metaphor.
Additionally, it has justified the choice of Relational clauses and proven that clause-
internal relations made in Relational clauses contribute to the creation of grammatical
metaphor and the realization of Verticality. From the research findings presented, it can
be claimed that the study has realized its intention in the investigation of Verticality in
USP student texts.
6.2 Theoretical and practical implications
The study has theoretical implications as it broadens the scope of Halliday’s notion
of grammatical metaphor through its adoption (Halliday, 1994; Halliday & Mathiessen,
1999, 2004; Thompson, 1996; Eggins, 1994, 2004). It indicates that Halliday’s notion of
grammatical metaphor is an appropriate framework where students can develop and
incorporate abstract and metaphorical concepts in their academic writing texts.
Additionally, its recognition on the constitutive role of the social context and thought
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processes in the creation of text is realistic and reflects how language is naturally used.
On the same token, one’s ability to distinguish between the congruent from the
metaphorical mode and their relation to the realization of either Horizontal or Vertical
knowledge structure is expected to assist in language learning. Furthermore, the on-
going dialogue between Bernstein’s Sociological perspective and Halliday’s Functional
perspective is expanded in this study. This is illustrated through the claim that
Verticality is realized through the use of nominalization and grammatical metaphor.
The Systemic Functional notion of grammatical metaphor is further proven to have
theoretical implications in its view that language learning is a naturally occurring
phenomenon where meaning is not fixed but is constructed in its context of use. This is
supported in the analysis of grammatical metaphor where its salience and relevance to
the realization of Verticality is prompted through the relocation in mapping between
semantics and its corresponding wordings. The recognition of this deviation as a natural
phenomenon illuminates the various levels and contexts at which humans communicate.
Subsequently, the deviance illustrates the shift from the congruent mode representative
of everyday communication to the metaphorical mode typical of academic writing texts.
The researcher’s choice to adopt the Transitivity system as theoretical framework
is significant because no such study is recorded to have been previously undertaken at
the University of the South Pacific. The use of Relational clauses in particular is
commendable to address the research gap identified. This is because the focus is
narrowed to this particular clause type where majority of the relations made involve
abstract and metaphorical concepts. The recognition of the interactive and participatory
role of the social context and thought processes in language learning embraced in the
Systemic Functional perspective and Halliday’s notion of grammatical metaphor is
promising. It is anticipated to assist Fiji students and teachers address language learning
problems that are mentioned to be brought about as a result of the imbalance evident in
the text and writer-oriented approaches (see section 1.1).
In regards to practical implications, adopting a corpus-based analysis by using
Native English speakers’ texts as referenced corpora is promising. On the other hand,
using authentic student texts is valuable especially in identifying writing problems that
are common to this specific cultural group. The study is worthwhile as it identifies the
distance that exists between the two cohorts and at the same time employing NE texts as
a benchmark that USP students may strive to reach. A corpus-based analysis involving
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133
authentic texts is realistic in terms of pedagogical implications, culture inclusivity and
in language policy making. Subsequently, solutions identified to address academic
writing problems are relevant and within their academic level.
Most importantly, this study has attained its initial intension by identifying how
abstract and metaphorical concepts are manifested in student texts both at the lexical
and clause levels.
6.3 Suggestions to improve USP students’ academic writing texts
Some suggestions related to research findings gathered are proposed to improve
undergraduate students’ academic writing texts. An awareness of how abstract and
metaphorical concepts are embodied through the incorporation of nominalization and
grammatical metaphor in texts will assist students understand the two concepts. The
current study has identified and presented some very interesting findings both at the
lexical and clause level that teachers and students can further explore to improve the
realization of Verticality in text. Additionally, the use of Halliday’s metaphor taxonomy
presented here in Table 6.1 is suggested as a guide to check and monitor semantic
categories employed.
Given the importance of the interactive and participatory role played by both the
social context and thought processes in learning, Systemic Functional grammar is
chosen to be a holistic language learning approach (Halliday & Mathiessen, 2014;
Martin, 2007; Christie & Painter, 1999; Thompson, 1996). It respects the naturalness of
language learning and prioritizes meaning as the first and foremost function of language.
Adherents of the Systemic Functional approach agree that although form is important, it
is viewed as a bi-product of the function (Halliday & Mathiessen, 2014). Just the notion
of meaning before grammar is uplifting in the sense that the mention of grammar shuts
off many Non Native English students. The metalanguage developed in Systemic
Functional grammar assists teachers and students not only to produce but also to be able
to describe how language functions in various contexts. The ability to describe how the
clause elements function in texts gives students the confidence to take ownership of
their language learning. Moreover, the three strands of meaning and three metafunctions
distinguish the various functions and corresponding contexts in which language is
normally used. The system of Transitivity as a grammar that models human experiences
is recommended due to the fact that it provides an environment where knowledge is
Chapter Six Conclusion
134
rendered visible as an object of study. Consequently, analysis of student texts against
the background of Halliday’s metaphor taxonomy should be instrumental in monitoring
the shift from the congruent towards the metaphorical pole.
Table 6.1 Halliday’s Metaphor Taxonomy (Chen & Foley, 2005:196)
Metaphor Congruent Metaphorical Grammatical
shift
Semantic shift
Type1 stable stability adjective to
noun
quality thing
Type 2 transform transformation verb to noun process thing
Type 3 very fast the speed adv/prep to
noun
circumstance
thing
Type 4 .. so the brake
failed
the result
of … .
conjunction to
noun
relator thing
Type 5 Imagine imaginative verb to
adjective
process quality
Type 6 The driver
drove the bus
down the hill.
The downhill
driving of the
bus.
adv/prep to
adjective
circumstance
quality
Type 7 so resultant conjunction to
adjective
relator quality
Type 8 instead of replace adv/prep to
verb
circumstance
process
Type 9 so cause conjunction to
verb
relator process
Type 10 so as a result of conjunction to
prep/phrase
relator
circumstance
Type 13 government
decided
government’s
decision
noun to
adjective
thing quality
This study is claimed to have theoretical and practical implications since it has
presented a framework to explore abstract and metaphorical concepts mentioned to be
lacking in USP student texts. It has identified academic writing problems that students
Chapter Six Conclusion
135
and teachers can directly address and also has put forth suggestions that can be
employed. An awareness of nominalization and grammatical metaphor as realization of
Verticality is anticipated to assist students develop abstract and metaphorical concepts
in order to improve academic writing texts.
6.4 Limitations of the research study
A limitation encountered is the time consumed due to the difficulty faced in the
collection of ‘A’ grade papers from final year Arts students at the University of the
South Pacific that will be compatible with NE data. As a result scripts that make up
USP student data include both A and B grades from second and third year students.
Another limitation faced by the researcher was not being able to experiment
research findings gathered with tertiary students at USP due to time constraints.
However, the researcher intends to test the findings once she is given the opportunity in
the very near future. Although it can be argued that NE and NNE texts are not
comparable, the main purpose however of the analysis was to use NE texts as
referenced corpora.
Language barrier is another major hindrance for the researcher while studying in
China. It is quite challenging for one not being able to speak nor read Chinese
characters to access the library catalogue, withdraw books, fill in forms and just to live
up to the expectations and academic demands of a PhD candidate. It will therefore be
accommodating to prepare a prospective student guidebook written in the English
language where one can easily access all information required.
Research in this area can be improved by using a widespread selection of corpora
from authentic student texts instead of limiting it to thirty participants. Also to yield
promising results, variables should be minimized to ascertain validity and reliability of
data. Instead of selecting only Relational clauses, choice can be expanded to include
other processes.
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Acknowledgement
First, and foremost I thank the almighty God for empowering me with His strength
and wisdom for without Him I wouldn’t have been able to accomplish this task.
Secondly, I extend my heartfelt thanks to the Director of International Students’
Affairs Professor Yuxin Wu for accepting my application and offered me a place to
study here at Tsinghua University. Most importantly, I also acknowledge with
appreciation the Chinese Government’s contribution through their Scholarship Council
that funded my four years of study here at Tsinghua University…xiexie nin.
To my supervising professor Professor Zhongshe Lu, there are no words that can
aptly express my most humble gratitude for all that you have contributed to get me
where I am today. Thank you very much madam. The panel of examiners that had
mentored and given me professional advice; the renowned Professor Hu Zhuanglin,
Professor Fan Wenfang, Professor Zhang Wenxia, Professor Cui Gang, Professor Liu
Shisheng, Professor He Honghua, Professor Chen and those I have not mentioned. I do
sincerely acknowledge the informative and constructive contributions. I must admit that
I hear your voices and see your faces in parts of my dissertation. To the anonymous
evaluators, thank you for your constructive criticisms. My academic sisters who
assisted me in so many ways, I’ll always be indebted to you all.
To Dr. Rajni Chand at USP who acted as my external advisor, your assistance in
the collection of my field data and time given for professional guidance is greatly
appreciated. Thank you so much madam for your kindness especially in giving some of
your time to help me despite your busy schedule. My acknowledgement is also extended
to the Ambassador Mr Esala Teleni and the staff of the Fiji Embassy in Beijing and their
respective families for their support. Most importantly, to our Women’s prayer group in
the capable hands of Mrs Teleni, sa vakamalua na yaloqu ena i vakarau ni veiciqomi kei
na veitokoni. Finally, to my good family and especially to my dear husband Filipe
Alifereti and children Vanessa, Tai, Samu and Lita, I thank you all for your support. To
Lote, Lola, Bond and your respective families, vinaka sara vakalevu na veivuke kei na
veinanumi ena masu. Me vakacerecerei ga ko Jiova na noda Kalou ni sa vakavuna na ka
kecega, ka na sauma vei keda me vaka na noda dui valavala (Jeremaia 32:19).
146
Appendix A Data description of NE
147
Appendix A Data description of NE
NNEfre_procRI float %9.0g frequency of process in RI NENEprocRI byte %8.0g number of process in RI NENEfre_partRI float %8.0g frequency of participant in RI NENEpartRI byte %8.0g number of participant in RI NENEfre_procRA float %9.0g frequency of process in RA NENEprocRA byte %8.0g number of process in RA NENEfre_attrRA float %9.0g frequency of attributive in RA NENEattrRA byte %8.0g number of attributive in RA NENEobs int %8.0g number of sentence NE variable name type format label variable label
Appendix B Data of NE
148
Appendix B Data of NE
30. 30 0 0 8 .2666667 0 0 1 .0333333 29. 52 2 .0384615 15 .2884615 0 0 2 .0384615 28. 65 3 .0461538 19 .2923077 1 .015385 2 .0307692 27. 39 0 0 5 .1282051 0 0 1 .025641 26. 38 0 0 11 .2894737 0 0 4 .1052632 25. 36 2 .0555556 12 .3333333 0 0 0 0 24. 98 1 .0102041 29 .2959184 1 .010204 2 .0204082 23. 80 7 .0875 28 .35 1 .0125 3 .0375 22. 84 3 .0357143 29 .3452381 0 0 7 .0833333 21. 39 0 0 12 .3076923 0 0 0 0 20. 72 2 .0277778 17 .2361111 0 0 0 0 19. 62 5 .0806452 20 .3225806 0 0 0 0 18. 58 0 0 5 .0862069 0 0 1 .0172414 17. 137 2 .0145985 36 .2627737 2 .014599 2 .0145985 16. 70 1 .0142857 20 .2857143 0 0 0 0 15. 69 2 .0289855 13 .1884058 0 0 1 .0144928 14. 57 5 .0877193 6 .1052632 0 0 5 .0877193 13. 44 4 .0909091 7 .1590909 2 .045455 1 .0227273 12. 88 4 .0454545 19 .2159091 4 .045455 10 .1136364 11. 120 1 .0083333 26 .2166667 4 .033333 2 .0166667 10. 112 7 .0625 18 .1607143 1 .008929 2 .0178571 9. 122 5 .0409836 27 .2213115 2 .016393 9 .0737705 8. 98 0 0 32 .3265306 2 .020408 15 .1530612 7. 57 4 .0701754 18 .3157895 0 0 5 .0877193 6. 81 1 .0123457 13 .1604938 0 0 6 .0740741 5. 98 6 .0612245 16 .1632653 5 .05102 2 .0204082 4. 70 2 .0285714 1 .0142857 3 .042857 4 .0571429 3. 44 2 .0454545 4 .0909091 4 .090909 2 .0454545 2. 126 4 .031746 18 .1428571 3 .02381 16 .1269841 1. 41 2 .0487805 7 .1707317 1 .02439 1 .0243902 NEobs NEattrRA NEfr~rRA NEprocRA NEfr~cRA NEpartRI NEfr~tRI NEprocRI NEfr~cRI
Appendix C Data description of NNE
149
Appendix C Data description of NNE
NNNEfre_procRI float %9.0g frequency of process in RI NNENNEprocRI byte %8.0g number of process in RI NNENNEfre_partRI float %9.0g frequency of participant in RI NNENNEpartRI byte %8.0g number of participant in RI NNENNEfre_procRA float %9.0g freqency of process in RA NNENNEprocRA byte %8.0g unmber of process in RA NNENNEfre_attrRA float %9.0g frequency of attributive in RA NNENNEattrRA byte %8.0g number of attributive in RA NNENNEobs int %8.0g number of sentence NNE variable name type format label variable label storage display value
Appendix D Data of NNE
150
Appendix D Data of NNE
30. 52 0 0 16 .3076923 0 0 1 .0192308 29. 23 1 .0434783 6 .2608696 0 0 2 .0869565 28. 51 1 .0196078 15 .2941177 0 0 0 0 27. 42 0 0 5 .1190476 0 0 1 .0238095 26. 51 4 .0784314 9 .1764706 3 .0588235 3 .0588235 25. 61 0 0 19 .3114754 4 .0655738 6 .0983607 24. 43 1 .0232558 10 .2325581 2 .0465116 5 .1162791 23. 46 3 .0652174 10 .2173913 3 .0652174 0 0 22. 44 3 .0681818 8 .1818182 3 .0681818 1 .0227273 21. 65 0 0 10 .1538462 5 .0769231 4 .0615385 20. 39 0 0 12 .3076923 1 .025641 4 .1025641 19. 80 0 0 15 .1875 0 0 6 .075 18. 68 8 .1176471 14 .2058824 1 .0147059 1 .0147059 17. 72 4 .0555556 12 .1666667 0 0 0 0 16. 39 0 0 12 .3076923 1 .025641 4 .1025641 15. 33 0 0 12 .3636364 0 0 0 0 14. 65 2 .0307692 7 .1076923 0 0 2 .0307692 13. 33 0 0 12 .3636364 0 0 0 0 12. 60 5 .0833333 16 .2666667 0 0 2 .0333333 11. 39 0 0 12 .3076923 1 .025641 4 .1025641 10. 105 5 .047619 24 .2285714 1 .0095238 4 .0380952 9. 41 2 .0487805 13 .3170732 0 0 1 .0243902 8. 42 0 0 3 .0714286 0 0 3 .0714286 7. 44 1 .0227273 9 .2045455 0 0 1 .0227273 6. 63 1 .015873 15 .2380952 2 .031746 3 .047619 5. 72 4 .0555556 12 .1666667 0 0 0 0 4. 60 0 0 20 .3333333 0 0 4 .0666667 3. 52 0 0 10 .1923077 0 0 3 .0576923 2. 69 6 .0869565 9 .1304348 0 0 0 0 1. 48 0 0 6 .125 2 .0416667 4 .0833333 NNEobs NNEatt~A NNEf~rRA NNEpro~A NNEf~cRA NNEpar~I NNEf~tRI NNEpro~I NNEf~cRI
Appendix E Paired t-test
151
Appendix E Paired t-test
Pr(T < t) = 0.0000 Pr(|T| > |t|) = 0.0000 Pr(T > t) = 1.0000 Ha: mean(diff) < 0 Ha: mean(diff) != 0 Ha: mean(diff) > 0
Ho: mean(diff) = 0 degrees of freedom = 29 mean(diff) = mean(NEfre_attrRA - NEfre_procRA) t = -10.9338 diff 30 -.1889609 .0172822 .0946587 -.2243071 -.1536148 NEfr~cRA 30 .2247636 .0164156 .0899121 .1911899 .2583373NEfr~rRA 30 .0358027 .0053159 .0291165 .0249304 .0466749 Variable Obs Mean Std. Err. Std. Dev. [95% Conf. Interval] Paired t test
Appendix F Identifying semantic categories worksheet
152
Appendix F Identifying semantic categories worksheet
School is one of the places where assimilation into the American melting-pot is
supposed to happen. Language policy and education clearly shows that for now, this so-
called melting-pot society is actually a coercive assimilation, where established
Americans insist on newcomers shedding whatever makes them different, in order to
blend in with existing ideas and practices. At the same time, each new group has hung
onto its identity, including its language, as long as possible, until shamed and
intimidated into shedding all or most evidence of its 'non-Americanness' (Dicker 52).
One of the ways that immigrant children become assimilated into American society is
through the acquisition of the English language. Various forms of language instruction
programs have been designed for language minority students, including bilingual
education programs, ESL, English-immersion, and dual-immersion programs. The
education of immigrant children is an important issue because first- and second-
generation immigrant children are the most rapidly growing segment of the U.S. child
population (Landale and Oropresa 1995, 1). The country's public school system has not
ever adequately served minority and poor children, and it is even less prepared to serve
immigrant, linguistic minority children. The increasing cultural and linguistic diversity
and needs of these immigrant children are a unique challenge that more and more public
school districts are facing. The language education of immigrants is an issue that is
closely linked with attitudes and policies on immigration. It is also closely linked with
public opinion on ongoing school reform legislation for the past few decades, including
No Child Left Behind.
Identifying semantic categories
derived ordinary junctional semantic categories
i assimilation assimilate ‘process thing’
ii diversity
iii acquisition
iv generation
iv immersion
v instruction
vi minority
Appendix G Raw data NE Relational Attributive (Part I)
153
Appendix G Raw data NE Relational Attributive (Part I)
St.no no.sent cir.atr atr% cir.proc proc% atr.tot atr% NE.1 41 2 4% 7 17% 9 21% NE.2 126 4 3% 18 14% 22 17% NE3 44 2 4% 4 9% 6 13% NE4 70 2 2% 1 2% 3 4% NE5 98 6 6% 16 16% 22 22% NE6 81 1 1% 13 16% 14 17% NE7 57 4 7% 18 31% 22 38% NE8 98 0 0% 32 32% 32 32% NE9 122 5 4% 27 22% 32 26% NE10 112 7 6% 18 16% 25 22% NE11 120 1 1% 26 21% 27 22% NE12 11% 4 5% 19 21% 23 26% NE13 44 4 9% 7 15% 11 24% NE14 57 5 9% 6 10% 11 19% NE15 69 2 3% 13 18% 15 21% NE16 70 1 1% 20 28% 21 29% NE17 137 2 2% 36 26% 38 28% NE18 58 0 0% 5 8% 5 8% NE19 62 5 8% 20 32% 25 40% NE20 72 2 3% 17 23% 19 26% NE21 39 0 0% 12 30% 12 30% NE22 84 3 4% 29 34% 32 38% NE23 80 7 9% 28 35% 35 44% NE24 98 1 1% 29 29% 30 30% NE25 36 2 5% 12 33% 14 38% NE26 38 0 0% 11 28% 11 28% NE27 39 0 0% 5 13% 5 13% NE28 65 3 4% 19 29% 22 33% NE29 52 2 4% 15 28% 17 32% NE30 30 0 0% 8 26% 8 26%
Appendix H Raw data NE Relational Identifying (Part II)
154
Appendix H Raw data NE Relational Identifying (Part II)
circ.part part% cir.proc proc% Iden.tot Ident% Rel. tot Rel.% word count
1 2% 1 3% 2 5% 11 26% 1235 3 3% 16 12% 19 15% 41 32% 3212 4 9% 2 4% 6 13% 12 26% 1401 3 4% 4 6% 7 10% 10 14% 2108 5 5% 2 25% 7 7% 29 29% 3034 0 0% 6 7% 6 7% 20 24% 2575 0 0% 5 8% 5 8% 27 46% 1892 2 3% 15 15% 17 18% 49 50% 3176 2 2% 9 7% 11 9% 43 35% 3212 1 1% 2 1% 3 2% 28 24% 2760 4 3% 2 2% 6 5% 33 27% 3871 4 4% 10 11% 14 15% 37 41% 2387 2 4% 1 2% 3 6% 14 30% 851 0 0% 5 8% 5 8% 16 27% 1767 0 0% 1 2% 1 2% 16 23% 2068 0 0% 0 0% 0 0 21 29% 2031 2 1% 2 2% 4 3% 42 31% 4796 0 0% 1 2% 1 2% 6 10% 1990 0 0% 0 0% 0 0 25 40% 1816 0 0% 0 0% 0 0 19 26% 2286 0 0% 0 0% 0 0 12 30% 1405 0 0% 7 8% 7 8% 39 46% 1804 1 1% 3 4% 4 5% 39 49% 1992 1 1% 2 2% 3 3% 33 33% 3239 0 0% 0 0% 0 0 14 38% 940 0 0% 4 11% 4 11% 15 39% 1063 0 0% 1 2% 1 2% 6 15% 933 1 1% 2 4% 3 5% 25 38% 1603 0 0% 2 4% 2 4% 19 36% 1444 0 0% 1 3% 1 3% 9 29% 897
63788
Appendix I Raw data NNE Relational Attributive (Part I)
155
Appendix I Raw data NNE Relational Attributive (Part I)
St.no no.sent cir.attr attr. % cir.proc proc.% Attr.Tot. Atr.% NNE.1 48 0 0% 6 12.50% 6 12.5% NNE.2 69 6 8% 9 13% 15 21% NNE.3 52 0 0% 10 19% 10 19% NNE.4 60 0 0% 20 33% 20 33% NNE.5 72 4 6% 12 16% 16 22% NNE.6 63 1 2% 15 23% 16 25% NNE.7 44 1 2% 9 20% 10 22% NNE.8 42 0 0% 3 7% 3 7% NNE.9 41 2 6% 13 31% 15 37% NNE.10 105 5 5% 24 22% 29 27% NNE.11 39 0 0 12 30% 12 30% NNE.12 60 5 9% 16 26% 21 35% NNE.13 33 0 0 12 36% 12 36% NNE14 65 2 3% 7 10% 9 13% NNE15 33 0 0 12 36% 12 36% NNE16 39 0 0 12 30% 12 30% NNE17 72 4 6% 12 16% 16 22% NNE18 68 8 12% 14 20% 22 32% NNE19 80 0 0 15 19% 15 19% NNE20 39 0 0 12 30% 12 30% NNE21 65 0 0 10 15% 10 15% NNE22 44 3 7% 8 18% 11 25% NNE23 46 3 6% 10 22% 13 28% NNE24 43 1 2% 10 23% 11 25% NNE25 61 0 0 19 31% 19 31% NNE26 51 4 8% 9 17% 13 25% NNE27 42 0 0% 5 11% 5 11% NNE28 51 1 2% 15 29% 16 31% NNE29 23 1 4% 6 26% 7 30% NNE30 52 0 0 16 30% 16 30%
Appendix J Raw data NNE Relational Identifying (Part II)
156
Appendix J Raw data NNE Relational Identifying (Part II)
cir.par par.% cir.proc proc% id.tot id.% rel.tot rel.% word count
2 4% 4 8% 6 12.5% 12 25% 1593 0 0 0 0 0 0 15 21% 1738 0 0 3 6% 3 6% 13 25% 1985 0 0 4 7% 4 7% 24 40% 1833 0 0 0 0% 0 0 16 22% 1550 2 3% 3 5% 5 8% 21 33% 1882 0 0 1 3% 1 3% 11 25% 1485 0 0 3 3% 3 7% 6 14% 645 0 0 1 2% 1 2% 16 39% 850 1 1% 4 4% 5 5% 34 32% 1881 1 3% 4 10% 5 13% 17 43% 1549 0 0 2 3% 2 3% 23 38% 1153 0 0 0 0 0 0 12 36% 736 0 0 2 0 2 4% 11 17% 1532 0 0 0 0 0 0 12 36% 736 1 4% 4 10% 5 14% 17 44% 1519 0 0 0 0 0 0 16 22% 1550 1 1.5% 1 1.5% 2 3% 24 35% 1543 0 7% 6 7% 6 7% 21 26% 1799 1 3% 4 10% 5 13% 17 43% 1549 5 2% 4 7% 9 13% 19 28% 1861 3 7% 1 2% 4 9% 15 34% 1010 3 6% 0 0 3 6.00% 16 34% 1119 2 8% 5 11% 7 19% 18 44% 829 4 7% 6 9% 10 16% 29 47% 1136 3 6% 3 6% 6 12% 19 37% 1094 0 0 1 3% 1 14% 6 14% 992 0 0 0 0 0 0% 16 31% 971 0 0 2 9% 2 9% 9 39% 849
Appendix J Raw data NNE Relational Identifying (Part II)
157
0 0 1 2% 1 2% 17 32% 1894
40863
158
1956 10 26
1994 1996
2006 2007
2009 9
Publication Records
[1] Alifereti, V. (2010). Fijian Language and Learning: The status of Fijian language
as a subject in schools. VDM Verlag Dr. Muller.
[2] Ledua,V. (2011). Academic Writing in an ESL classroom: a socio-cultural perspective. In L. Zhongshe; Z. Weimin, & C. Aaron, Issues in English Language Teaching and Learning at Tertiary Level (65-70). The Hong Kong Polytechnic University, Hung Hom, Kowloon.
[3] Ledua, V. (2013). An investigation of Verticality in tertiary students’ academic writing texts: a Systemic Functional perspective. International Journal of Applied Linguistics and English Literature. Australian International Academic Centre, 2(3) 163-175.
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