i HANOI NATIONAL UNIVERSITY UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES POST GRADUATE DEPARTMENT ***** NGUYỄN THỊ HUYÊN NOMINALIZATION IN LEGAL DISCOURSE: A SYSTEMIC FUNCTIONAL ANALYSIS DANH HÓA TRONG VĂN BẢN LUẬT PHÁP: PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG M.A THESIS English Linguistics 60 22 15 HANOI – 2011 ii HANOI NATIONAL UNIVERSITY UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES POST GRADUATE DEPARTMENT ***** NGUYỄN THỊ HUYÊN NOMINALIZATION IN LEGAL DISCOURSE: A SYSTEMIC FUNCTIONAL ANALYSIS DANH HÓA TRONG VĂN BẢN LUẬT PHÁP: PHÂN TÍCH THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG M.A THESIS Major: English Linguistics Code: 60 22 15 Supervisor: Prof Dr HOÀNG VĂN VÂN HA NOI - 2011 iv TABLE OF CONTENTS DECLARATION i ACKNOWLEGMENT ii ABSTRACT iii TABLE OF CONTENTS iv LIST OF ABBREVIATIONS vii LIST OF FIGURES AND TABLES …viii PART A: INTRODUCTION 1 Rationale Significance of the study Aims of the study Scope of the study Method of study Design of the study PART B: DEVELOPMENT CHAPTER 1: THEORITICAL BACKGROUND 1.1 Introduction 1.2 An overview of grammatical metaphor theory 1.2.1 Definitions of grammatical metaphor 1.2.2 Classification of grammatical metaphor 1.2.2.1 Ideational metaphor 1.2.2.2 Interpersonal metaphor 1.2.2.2.1 Metaphors of modality 1.2.2.2.2 Metaphors of mood 1.3 Concluding remarks 10 CHAPTER 2: NOMINALIZATION 11 2.1 Introduction 11 2.2 What is nominalization? 11 2.3 Functions of nominalization 12 2.4 Categories of nominalization 14 v 2.4.1 Lexical nominalization 14 2.4.1.1 Derivational nominalization 14 2.4.1.1.1 Deverbal nominalization 14 2.4.1.1.2 Deadjectival nominalization 15 2.4.1.2 Zero derivational nominalization (conversion) 16 2.4.2 Clausal nominalization 16 2.4.2.1 That-clauses 17 2.4.2.2 Wh-clauses 19 2.4.2.3 To-clauses 20 2.4.2.4 Ing-clauses 23 2.5 Concluding remarks 24 CHAPTER 3: REALIZATION OF NOMINALIZATION IN ENGLISH legal discourse: “Convention On The Rights Of The Child” 25 3.1 Introduction 25 3.2 English Legal discourse 25 3.2.1 Classification of English legal discourse 25 3.2.2 Characteristics of English legal language 25 3.2.2.1 Lexical characteristics 26 3.2.2.2 Grammatical characteristics 27 3.2.2.3 Textual characteristics 29 3.3 Realization of nominalization in prescriptive legal text “Convention on the Rights of the Child” 30 3.3.1 Introduction 30 3.3.2 Frequency of nominalization 30 3.3.3 Typical types and characteristics of nominalization 31 3.3.3.1 Typical types of nominalization 31 3.3.3.2 Some typical characteristics of nominalization 34 3.3.4 Semantic role of nominalization realized in terms of ideational, interpersonal and textual metafunctions 35 3.3.4.1 In terms of ideational metafunction 35 3.3.4.2 In terms of interpersonal metafunction 38 vi 3.3.4.3 In terms of textual metafunction 38 3.4 Concluding remarks 41 PART C: CONCLUSION AND IMPLICATIONS 42 Recapitulation 42 Implications for teaching and translating English legal discourses 43 2.1 To teachers and students: 43 2.2 To translators 43 Limitation and suggestions for further studies 43 REFERENCES 45 APPENDIX A APPENDIX B vii LIST OF ABBREVIATIONS ESP: English for special purposes SFG: Systemic functional grammar T: Theme R: Rheme NP: Noun phrase CONV: Conversation FICT: Fiction ACAD: Academic DV: Deverbal nominalization DA: Deadjectival nominalization TH: That- clause TO: To- clause WH: Wh- clause ING: Ing- clause viii LIST OF FIGURES AND TABLES Figure 1a: Analysis of congruent form page Figure 1b: Analysis of metaphorical form page Table 1.1: Modality system page Table 2.1: Converted nouns page 16 Table 2.2: Types of to-clause complements across registers page 22 Table 3.1: Frequency of occurrence of nominalization page 30 Table 3.2: Type of nominalization page 31 Table 3.3: Ideational realization of nominalization page 36 Table 3.4: Interpersonal realization of nominalization page 38 Table 3.5: Textual realization of nominalization page page 39 PART A: INTRODUCTION Rationale Nominalization is one of the most prominent features of formal written discourses According to Fowler (1991:79), “English is a sort of nominalized language” so nominalization characterizes almost all English written texts and its frequency of occurrence varies in different functional varieties, especially those formal functional varieties As one type of very formal written discourse, English legal discourse is noted for its high frequency of nominalization Apart from the roles of nominalization in constructing the specific characteristics for this genre, nominalization is also one of the grammar structures causing a higher degree of ambiguity in legal discourses When nominalizing, semantic information is usually left out, which increases the degree of ambiguity and the difficulty in correctly decoding the sentence Therefore, understanding the nature and characteristics as well as the roles of nominalization in English legal discourse will make great contribution to the perception of this discourse genre, which is very necessary in today‟s world when globalization and integration has become an inevitable trend Thus, it is of great necessity to conduct a study on the phenomenon of nominalization in legal discourses if we want to learn more about this important variety of English and benefit the reading and writing of English legal discourses as well as help translators much easier in translating Vietnamese legal discourses into English and vice versa Using the theory of systemic functional grammar which is considered a satisfactory explanation of the phenomenon of nominalization as developed by Halliday (1994) and some other systemic linguists, this thesis attempts to explore how nominalization is realized in English legal discourse with the hope that it will help readers to recognize the importance of nominalization for the comprehension and manipulation this specific genre Significance of the study The result of this study may help improve the ability of understanding English legal discourses and limit avoidable misunderstandings in interpreting legal discourses It also makes contribution to the teaching and learning of ESP for English teachers and students majoring in law Besides, this thesis hopes to assist the translation of Vietnamese legal discourses into English and vice versa Aims of the study The aim of the study is to make an inquiry into how nominalization is realized in English legal discourse To achieve this aim, the study will examine the nature of nominalization, its functions as well as its types Besides, the main characteristics of English legal discourse will be pointed out to set the base for finding out the typical realization of nominalization in this legal discourse Thus, to achieve the aim of the study, the main research question needs to be raised for exploration is: How is nominalization realized in English legal discourse? However, to find the answer for this main question, two following questions must be investigated first: What is nominalization? What are the main characteristics of English legal discourse? Scope of the study The scope of this study is just to investigate the typical realization of nominalization in English legal discourse Since this genre consists of various subtypes, within the limited space for a minor thesis, I only explore the use of nominalization in one of genre in English legal discourse - prescriptive legal text In this thesis, the legal text “Convention on the Rights of the Child” (1989) was chosen as data for my study Method of study This is a case study which sets its main objective of investigating how nominalization is realized in English legal discourse using systemic functional grammar as the theoretical framework To achieve the goal of the study, both quantitative and qualitative method will be employed These two methods are complimentary with the quantitative approach being used to collect and categorize data and the qualitative one to interpret the statistics taken from the data Design of the study The study consists of three chapters: Chapter provides the theoretical background of the study This chapter focuses on introducing important concepts in systemic – functional linguistics relevant to the topic of the thesis such as definitions of grammatical metaphor and its classifications Chapter investigates the general notion of nominalization in the light of the systemic functional theory and some other linguistic approaches In this chapter, nominalization‟s definitions, functions and classification will be presented Chapter provides the background knowledge of English legal discourse by giving its definition, classification and main characteristics Then, an attempt is made to find out how nominalization is realized in English legal discourse In this part, the frequency of occurrence of nominalization, its typical types, characteristics and semantic roles seen from ideational, interpersonal and textual metafunctions will be investigated XXXI 307 308 309 310 311 312 313 315 316 317 319 321 322 323 325 cooperation exchange information care treatment dissemination information rehabilitation education aim enabling to improve widen needs enjoyment treatment rehabilitation strive to ensure that no child is deprived of… implementation mortality provision assistance care emphasis development care care process process process process process process process process process process clause clause clause process process process process clause clause process quality process process process process process process process thing thing thing thing thing thing thing thing thing thing act act act thing thing thing thing act fact thing thing thing thing thing thing thing thing thing DV CO DV CO DV DV DV DV DV CO ING TO TO CO DV DV DV TO TH DV DA DV DV CO DV DV CO CO circumstance goal qualifier qualifier qualifier possessed qualifier qualifier qualifier circumstance circumstance goal goal phenomenon qualifier circumstance circumstance goal goal goal goal goal qualifier qualifier circumstance qualifier qualifier qualifier adjunct complement rheme rheme adjunct adjunct complement rheme rheme rheme adjunct adjunct complement complement complement rheme rheme rheme rheme rheme adjunct adjunct complement complement complement complement complement rheme rheme rheme rheme rheme rheme rheme adjunct adjunct rheme rheme XXXII 326 327 329 330 331 332 333 334 335 336 337 338 339 343 344 345 347 application provision risks pollution that all segment…are informed… education use knowledge breastfeeding prevention care guidance education view practices to promote cooperation view achieving realization needs care protection treatment review treatment placement right to benefit process process process process clause process process process process process process process process process process clause process process clause process process process process process process process process clause thing thing thing thing fact thing thing thing thing thing thing thing thing thing thing act thing thing act thing thing thing thing thing thing thing thing act DV DV CO DV TH DV CO DV DV DV CO DV DV CO CO TO CO CO ING DV CO CO DV DV CO DV DV TO circumstance circumstance phenomenon qualifier goal qualifier circumstance qualifier qualifier qualifier goal goal circumstance circumstance circumstance goal goal circumstance circumstance goal goal circumstance circumstance circumstance circumstance qualifier qualifier N.complement adjunct adjunct complement rheme rheme rheme complement rheme adjunct rheme complement complement adjunct adjunct adjunct complement complement adjunct adjunct complement complement adjunct adjunct adjunct adjunct rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme XXXIII 348 349 350 351 352 353 356 357 358 359 362 364 365 366 367 369 370 372 security insurance realization benefits responsibility maintenance consideration application benefits development responsibility abilities the conditions of living development to implement need assistance recovery maintenance responsibility responsibility agreements conclusion agreements making arrangements education view quality process process process attribute process process process process process attribute quality process process clause process process process process attribute attribute process process process process process process process thing thing thing thing thing thing thing thing thing thing thing thing thing thing act thing thing thing thing thing thing thing thing thing thing thing thing thing DA DV DV CO DA DV DV DV CO DV DA DA DV DV TO CO DV DV DV DA DA DV DV DV DV DV DV CO circumstance actor goal goal possessed circumstance circumstance qualifier qualifier qualifier possessed circumstance qualifier circumstance attribute circumstance goal goal qualifier possessed possessed qualifier qualifier qualifier qualifier qualifier qualifier circumstance adjunct complement complement subject complement adjunct adjunct rheme rheme rheme theme rheme rheme rheme complement adjunct rheme rheme adjunct complement adjunct complement complement rheme rheme rheme rheme rheme complement complement rheme rheme adjunct rheme XXXIV 373 375 376 377 378 379 380 382 384 386 388 389 390 391 392 achieving this right… basis education development education education introduction education offering assistance need education basis information guidance attendance reduction that school discipline is administered… conformity cooperation education view contributing elimination ignorance illiteracy facilitating knowledge clause process process process process process process process process process process process process process process process process clause process process process process clause process process process clause process act thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing fact thing thing thing thing act thing thing thing act thing ING DV DV DV DV DV DV DV DV DV CO DV DV DV DV DV DV TH DV DV DV CO ING DV DV DV ING DV circumstance circumstance goal circumstance qualifier qualifier qualifier qualifier qualifier goal goal goal circumstance goal goal goal goal goal circumstance goal circumstance circumstance circumstance goal qualifier qualifier circumstance qualifier adjunct adjunct complement adjunct rheme rheme rheme rheme complement complement complement adjunct complement complement complement complement complement adjunct complement adjunct adjunct adjunct complement rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme adjunct rheme XXXV 393 395 396 397 398 400 401 404 405 407 410 411 417 418 420 teaching needs developing countries that the education …shall be… education development abilities development respect freedoms development respect values values preparation understanding tolerance equality development respect observance requirements education the right… to enjoy to profess (to) practice to use the right to rest process process process clause process process quality process process quality process process process process process process quality quality process process process process process clause clause clause clause clause classifier thing classifier fact thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing act act act act act DV CO DV TH DV DV DA DV CO DA DV CO CO CO DV DV DA DA DV CO DV DV DV TO TO TO TO TO modifier goal modifier goal goal circumstance qualifier circumstance qualifier qualifier circumstance qualifier circumstance circumstance circumstance circumstance circumstance circumstance circumstance qualifier circumstance circumstance goal N.complement N.complement N.complement N.complement N.complement complement rheme complement subject adjunct rheme theme rheme adjunct rheme adjunct rheme adjunct adjunct adjunct adjunct adjunct adjunct adjunct rheme rheme rheme rheme rheme rheme rheme adjunct adjunct subject rheme rheme theme XXXVI 421 423 424 428 429 430 432 435 436 438 442 443 444 446 447 450 452 453 454 to engage to participate the right to participate provision exploitation performing work education development implementation end admission employment regulation employment enforcement use production trafficking to protect exploitation abuse inducement coercion use prostitution practice use clause clause clause process process clause process process process process process process process process process process process process process clause process process process process process process process process act act act thing thing act thing thing thing thing thing thing thing thing thing thing thing thing thing act thing thing thing thing thing thing thing thing TO TO TO DV DV ING CO DV DV DV CO DV DV DV DV DV CO DV DV TO DV CO DV DV CO DV CO CO N.complement N.complement N.complement goal circumstance circumstance goal goal circumstance goal circumstance qualifier qualifier circumstance qualifier goal goal circumstance circumstance goal qualifier qualifier goal goal goal circumstance circumstance goal complement adjunct adjunct complement complement adjunct complement adjunct rheme rheme rheme rheme rheme rheme rheme rheme adjunct rheme complement complement adjunct adjunct complement rheme rheme rheme rheme rheme complement complement complement adjunct adjunct complement rheme rheme rheme rheme rheme rheme XXXVII 457 460 463 464 465 466 469 472 474 476 477 479 480 481 482 performances abduction traffic exploitation that no child shall be… torture treatment punishment punishment imprisonment possibility release offences arrest imprisonment conformity humanity respect needs interest right to maintain visits rights to prompt assistance the right to challenge legality deprivation decision process process process process clause process process process process process attribute process process process process process quality process process process clause process clause process clause quality process process thing thing thing thing fact thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing act thing act thing act thing thing thing DV DV CO DV TH CO DV DV DV DV DA CO DV CO DV DV DA CO CO CO TO CO TO DV TO DA DV DV circumstance goal goal qualifier goal circumstance circumstance circumstance goal goal qualifier qualifier circumstance identified identified circumstance circumstance circumstance goal circumstance N.complement circumstance N.complement qualifier N.complement goal qualifier goal adjunct complement complement rheme rheme rheme complement adjunct adjunct adjunct subject subject rheme rheme rheme rheme theme theme adjunct subject subject adjunct adjunct adjunct subject adjunct rheme theme theme rheme rheme rheme theme rheme adjunct rheme subject theme complement rheme XXXVIII 484 485 487 488 489 492 493 494 495 496 499 500 501 502 503 action to respect to ensure respect rules conflicts that persons…do not take… hostilities recruiting endeavour to give obligations conflicts protection care conflict recovery reintergration neglect exploitation abuse torture degrading treatment punishment conflicts recovery reintegration self-respect process clause clause process process process clause quality clause clause process process process process process process process process process process process process process process process process process process thing act act thing thing thing fact thing act act thing thing thing thing thing thing thing thing thing thing thing epithet thing thing thing thing thing thing DV TO TO CO CO CO TH DA ING TO DV CO DV CO CO DV DV CO DV CO CO DV DV DV CO DV DV DV circumstance goal goal goal qualifier circumstance goal goal goal goal circumstance circumstance goal goal circumstance goal goal qualifier qualifier qualifier qualifier modifier qualifier qualifier qualifier existent existent goal adjunct complement complement complement rheme rheme rheme rheme adjunct complement complement complement complement adjunct adjunct complement complement adjunct complement complement rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme subject subject complement theme theme rheme XXXIX 505 507 508 509 510 512 513 514 516 517 519 520 521 522 523 524 525 526 527 accused of having promotion worth respect freedoms desirability promoting reintegration child‟s assuming that no child shall … accused of having acts omissions accused of having guarantees charges guardians assistance preparation presentation defence delay hearing presence assistance interest guardians to give clause process process process quality quality clause process process clause clause process process clause process process process process process process process process process quality process process process clause act thing thing thing thing thing act thing thing fact act thing thing act thing thing entity thing thing thing thing thing thing thing thing thing entity act ING DV CO CO DA DA ING DV DV TH ING CO DV ING CO CO DV DV DV DV CO CO DV DA DV CO DV TO goal circumstance qualifier goal goal goal qualifier goal goal goal goal circumstance circumstance goal possessed goal circumstance possessed circumstance circumstance qualifier circumstance circumstance circumstance qualifier attribute goal goal complement adjunct rheme rheme complement complement complement rheme rheme rheme complement complement complement complement adjunct adjunct complement complement complement adjunct complement adjunct adjunct rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme rheme adjunct adjunct adjunct rheme rheme rheme complement complement complement rheme rheme rheme XL 528 529 530 531 533 534 536 538 539 540 543 544 545 546 to confess to examine witnesses to obtain participation examination witnesses equality decision consequence assistance privacy to promote establishment accused of having establishment to have the capacity to infringe safeguards care guidance orders counseling care education vocational training program care to ensure clause clause process clause process process process quality process quality process quality clause process clause process clause clause process process process process process process process process process clause act act thing act thing thing thing thing thing thing thing thing act thing act thing act act thing thing thing thing thing thing thing classifier thing act TO TO CO TO DV DV CO DA DV DA DV DA TO DV ING DV TO TO CO CO DV CO DV CO DV DV CO TO goal goal goal goal possessed possessed qualifier circumstance possessed circumstance possessed possessed goal goal goal goal phenomenon N.complement phenomenon qualifier qualifier qualifier qualifier qualifier qualifier modifier qualifier attribute complement complement complement complement complement complement rheme rheme rheme rheme rheme rheme adjunct complement adjunct complement complement complement complement complement subject complement rheme rheme rheme rheme rheme rheme rheme rheme theme rheme complement rheme complement rheme XLI 548 551 557 560 561 564 565 567 568 572 574 575 576 580 581 583 584 586 587 588 589 590 593 that children are dealt… offence realization to make progress in achieving the realization of… realization obligations high moral standing competence consideration distribution election election to submit nomination elections meetings meetings votes votes re-election election election meeting that …he or she can… cause remainder clause process process clause process clause process process process process process process process process clause process process process process process process process process process process clause process process fact thing thing act thing act thing thing thing thing thing thing thing thing act thing thing thing thing thing thing thing thing thing thing locution thing thing TH DV DV TO CO ING DV DV DV DV DV DV DV DV TO DV DV DV DV CO CO DV DV DV DV TH CO DV goal circumstance circumstance goal goal circumstance goal qualifier qualifier phenomenon goal recipient goal qualifier goal goal goal circumstance circumstance possessed possessed circumstance circumstance circumstance qualifier verbiage circumstance circumstance complement adjunct adjunct complement complement adjunct complement rheme rheme rheme rheme rheme rheme rheme complement complement complement subject rheme rheme rheme theme complement complement subject adjunct adjunct complement complement adjunct adjunct adjunct rheme rheme theme rheme theme rheme rheme rheme rheme rheme complement adjunct adjunct rheme rheme rheme XLII 594 596 598 599 600 603 605 609 610 611 612 616 617 618 619 621 622 623 624 625 627 628 approval rules meetings meetings meeting approval performance with the approval of… to submit reports effects progress enjoyment reports difficulties fulfillment obligations reports information understanding implementation reports reports information information implementation reports reports process process process process process process process process clause process process process process process quality process process process process process process process process process process process process process thing thing thing thing thing thing thing thing act thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing DV CO DV DV DV DV DV DV TO CO CO CO DV CO DA DV DV CO DV DV DV CO CO DV DV DV CO CO circumstance goal goal goal circumstance circumstance circumstance circumstance goal goal goal circumstance circumstance actor goal qualifier qualifier possessor possessed circumstance qualifier goal circumstance goal goal qualifier goal goal adjunct complement subject subject adjunct adjunct adjunct adjunct complement subject complememt adjunct adjunct subject complement rheme rheme theme theme rheme rheme rheme theme rheme theme rheme rheme rheme theme rheme subject complement adjunct theme rheme rheme complement adjunct complement complement rheme rheme rheme rheme complement complement rheme rheme XLIII 631 632 634 635 638 641 645 646 647 648 649 671 672 673 674 678 implementation cooperation consideration implementation to provide advice implementation to submit reports implementation reports request a need advice assistance observations suggestions indications requests recommend… to request studies suggestions recommendations information suggestions recommendations comments signature process process process process clause process process clause process process process process process process process process process process process clause process process process process process process process process thing thing thing thing act thing thing act thing thing thing thing thing thing thing thing thing thing thing act thing thing thing thing thing thing thing thing DV DV DV DV TO DV DV TO CO DV CO CO CO DV DV DV DV DV CO TO CO DV DV DV DV DV CO DV goal goal circumstance qualifier attribute goal circumstance goal goal circumstance goal possessed goal qualifier qualifier qualifier qualifier qualifier qualifier goal circumstance goal goal qualifier goal goal circumstance circumstance complement complement adjunct theme theme rheme complement complement adjunct complement complement adjunct complement complement complement rheme rheme rheme rheme rheme rheme rheme rheme rheme complement adjunct complement complement rheme rheme rheme rheme subject subject adjunct adjunct theme theme rheme rheme XLIV 680 689 691 693 695 697 698 699 700 702 704 705 708 710 713 715 717 719 722 723 724 ratification ratification ratification ratification ratification amendment amendment request purpose of considering voting proposals communication amendment approval amendment amendment amendments reservations ratification reservation reservation notification notification effect notification denunciation receipt notification process process process process process process process process clause clause process clause process process process process process process process process process process process process process process process process thing thing thing thing thing thing thing thing act act thing act thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing thing DV DV DV DV DV DV CO CO ING ING DV ING DV DV DV DV DV DV DV DV DV DV DV DV DV DV DV DV qualifier qualifier qualifier qualifier qualifier goal goal circumstance qualifier qualifier circumstance qualifier actor circumstance actor actor actor qualifier circumstance goal carrier circumstance actor goal circumstance carrier qualifier qualifier complement complement adjunct rheme rheme rheme adjunct rheme subject adjunct subject subject complement theme rheme theme theme rheme adjunct subject subject adjunct subject complement adjunct subject rheme theme theme rheme theme rheme rheme theme XLV ... nominalization page 31 Table 3.3: Ideational realization of nominalization page 36 Table 3.4: Interpersonal realization of nominalization page 38 Table 3.5: Textual realization of nominalization page page... of nominalization is the category of deverbal nominalization As a large amount of nominalization realized as goal, complement and rheme in terms of ideational, interpersonal and textual metafunctions,... formal with a touch of ambiguity 14 2.4 Classification of nominalization in English Basing on the systemic functional approach, we can divide nominalization into two main types: lexical nominalization