VIETNAM NATIONAL UNIVERSITY, HANOI UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES NGUYỄN THỊ MINH TÂM LOGICO-SEMANTIC RELATIONSHIP IN ENGLISH AND VIETNAMESE CLAUSE COMPLEXES (SO SÁNH MỐI QUAN HỆ LOGIC-NGỮ NGHĨA TRONG TỔ HỢP CÚ TIẾNG ANH VÀ TIẾNG VIỆT) Major: English Linguistics Code: 62 22 15 01 DOCTORAL DISSERTATION OF ENGLISH SUPERVISOR: PROF DR HOÀNG VĂN VÂN HANOI -2013 TABLE OF CONTENTS INTRODUCTION Rationale Aims of the study Significant of the study Scope of the study The research question The research design, methodology, and data The organization of the study 3 4 CHAPTER 1: SYSTEMIC FUNCTIONAL LINGUISTICS AND THE THEORETICAL FRAMEWORK OF LOGICO-SEMANTIC RELATIONSHIP IN CLAUSE COMPLEXES 1.1 Systemic functional theory 1.1.1 Historical context of the emergence of systemic functional theory: a brief overview 1.1.2 Functional approach – a general description 1.1.3 Systemic functional linguistics 1.1.3.1 Text and context in the view of SFL 1.1.3.2 How ―systemic‖? 1.1.3.3 How ―functional‖? 1.1.4 Review of related studies 1.1.4.1 An overview of studies in Vietnamese grammar 1.1.4.2 SFL studies in other languages 1.1.5 Summary 1.2 The theoretical framework of logico-semantic relationship in clause complexes 1.2.1 The notion of clause complex in the light of SFL 1.2.1.1 Concepts revisited 1.2.1.2 What is a clause complex? 1.2.1.3 Where is the clause complex located in the overall linguistic system? 1.2.1.4 How is the clause complex organized? 1.2.2 Analytical frameworks of logico-semantic relations in clause complexes 1.2.2.1 Projection in clause complexes 1.2.2.2 Expansion in clause complexes iv 6 11 12 13 15 20 20 22 22 23 23 23 29 36 38 41 41 50 CHAPTER 2: METHODOLOGY, DATA, AND GENERALFINDINGS 2.1 Research question restated 2.2 Research design 2.3 The methodology 2.4 Methods of the study 2.5 Data collecting procedure 2.5.1 Corpus compilation 2.5.2 Corpus annotation and data processing 2.5.2.1 The computational tool 2.5.2.2 The process of annotating and processing the data 2.6 Data analysis 2.6.1 Describing the data 2.6.2 Comparing the two groups of data 2.7.General findings 59 59 59 61 62 62 62 64 64 67 71 71 72 73 CHAPTER 3: FINDINGS AND DISCUSSION: PROJECTION IN ENGLISH AND VIETNAMESE CLAUSE COMPLEXES 75 3.1 Projection in English Clause Complexes 3.1.1 How is projection realized in English Clause Complexes 3.1.1.1 Projecting clauses 3.1.1.2 Projected clauses 3.1.1.3 Projecting and projected clauses paratactically related 3.1.1.4 Projecting and projected clauses hypotactically related 3.1.2 How does Projection work in English clause complexes 3.1.2.1 How does quoting work in English clause complexes 3.1.2.2 How does hypotactic reporting work in English clause complexes 3.1.2.3 How does paratactic reporting work in English clause complexes 3.1.2.4 How does projection facilitate other linguistic phenomena in English clause complexes 3.1.3 Summary 3.2 Projection in Vietnamese clause complexes 3.2.1 How is projection realized in Vietnamese Clause Complexes 3.2.1.1 Projecting clauses 3.2.1.2 Projected clauses 3.2.1.3 Projecting and projected clauses paratactically related 3.2.1.4 Projecting and projected clauses hypotactically related 3.2.2 How does projection work in Vietnamese clause complexes 3.2.2.1 How does quoting work in Vietnamese clause complexes v 75 75 75 85 87 88 90 90 91 94 96 100 104 104 104 113 115 117 118 118 3.2.2.2 How does hypotactic reporting work in English clause complexes 3.2.2.3 How does paratactic reporting work in English clause complexes 3.2.2.4 How does projection facilitate other linguistic phenomena in English clause complexes 3.2.3 Summary 3.3 Comparing logico-semantic relation of projection in English and Vietnamese clause complexes 3.3.1 Realization of projection in English and Vietnamese clause complexes 3.3.1.1 Projecting clauses 3.3.1.2 Projected clauses 3.3.1.3 Projecting and projected clauses paratactically related 3.3.1.4 Projecting and projected clauses hypotactically related 3.3.2 Operation of projection in English and Vietnamese clause complexes 3.3.2.1 Operation of quoting in English and Vietnamese clause complexes 3.3.2.2 Operation of hypotactic reporting in English and Vietnamese clause complexes 3.3.2.3 Operation of paratactic reporting in English and Vietnamese clause complexes 3.3.2.4 Projection in relation with other linguistic phenomena in English and Vietnamese clause complexes 3.4 Summary CHAPTER 4: FINDINGS AND DISCUSSION: EXPANSION IN ENGLISH AND VIETNAMESE CLAUSE COMPLEXES 4.1 Expansion in English clause complexes 4.1.1 How is expansion realized in English clause complexes 4.1.1.1 Expanding clauses 4.1.1.2 Expanded clauses 4.1.1.3 Conjunctions in English clause complexes of expansion 4.1.1.4 Expanding clause and expanded clause paratactically related 4.1.1.5 Expanding clause and expanded clause hypotactically related 4.1.2 How does expansion work in English clause complexes 4.1.2.1 How does elaboration work in English clause complexes 4.1.2.2 How does extension work in English clause complexes 4.1.2.3 How does enhancement work in English clause complexes 4.1.2.4 How does expansion facilitate ellipsis in the clause complex 4.1.3 Summary 4.2 Expansion in Vietnamese clause complexes 4.2.1 How is expansion realized in Vietnamese clause complexes vi 119 122 124 127 130 130 130 132 132 133 133 133 133 134 134 135 136 136 136 136 139 141 143 145 147 147 150 152 155 156 160 160 4.2.1.1 Expanding clauses 4.2.1.2 Expanded clauses 4.2.1.3 Conjunctions in Vietnamese clause complexes of expansion 4.2.1.4 Expanding clause and expanded clause paratactically related 4.2.1.5 Expanding clause and expanded clause hypotactically related 4.2.2 How does expansion work in English clause complexes 5.1.2.1 How does elaboration work in English clause complexes 5.1.2.2 How does extension work in English clause complexes 5.1.2.3 How does enhancement work in English clause complexes 5.1.2.4 How does expansion facilitate ellipsis in the clause complex 4.2.3 Summary 4.3.Comparing the logico-semantic relation of expansion in English and Vietnamese clause complexes 4.3.1 Comparing the realization of expansion in English and Vietnamese clause complexes 4.3.1.1 Expanding clauses 4.3.1.2 Expanded clauses 4.3.1.3 Conjunctions 4.3.1.4 Expanding clause and expanded clause paratactically related 4.3.1.5 Expanding clause and expanded clause hypotactically related 4.3.2 Comparing the operation of expansion in English and Vietnamese clause complexes 4.3.2.1 Elaboration in English and Vietnamese clause complexes 4.3.2.2 Extension in English and Vietnamese clause complexes 4.3.2.3 Enhancement in English and Vietnamese clause complexes 4.3.2.4 Expansion and ellipsis in English and Vietnamese clause complexes CONCLUSION THESIS-RELATED PUBLICATION BIBLIOGRAPHY SOURCES OF DATA 160 162 164 168 170 172 172 175 178 180 181 186 186 186 186 187 188 189 189 189 190 190 191 192 202 203 210 vii LIST OF FIGURES Fig.1: ―Systemic‖ means making choice in a network 14 Fig 2: The Stratification 15 Fig 3: The View of the Grammar so far, Relative to Expansion by Metafunction and 16 Rank Fig 4: Metafunctions as manifested in the system network of the clause 19 Fig 5: Rank-based Constituency (Matthiessen & Halliday 24 Fig 6: The Rank scale 25 Fig.7 Delicacy in relation to the metafunctions of language and rank 26 Fig.8 Univariate and Multivariate Structure 27 Fig 9: Three lines of meanings in a clause – 29 Fig 10: Three lines of meanings in a clause – 30 Fig 11: Combining clauses into clause complex 31 Fig 12: The rank of the clause complex 33 Fig 13: The Location of Clause Complex in the Overall Linguistic System 38 Fig 14: Clauses in paratactic and hypotactic clause complexes 39 Fig 15: The Logico-semantic Relations 40 Fig.16: Positions of Projecting Clauses 42 Fig.17: Speech Functions of Projected Clauses 43 Fig 18: Clause Moods of Projected Clauses 44 Fig 19: Quoting vs Paratactic Reporting 44 Fig 20: Paratactic vs Hypotactic Projection 45 Fig 21: Projecting Processes and Mood of Projected Clause in Combination 46 viii Fig 22: Projecting Processes in Quoting and Hypotactic Reporting 47 Fig 23: The framework of projection in clause complexes 49 Fig 24: Possible Positions of Expanding Clauses 51 Fig.25: An Analysis of a Clause complex of Expansion 51 Fig 26: Clause Moods of Expanded Clauses 52 Fig 27: Expanding and Expanded Clauses Paratactically Related 53 Fig 28: Meaning of some Verbal Hypotactic Expanding Markers 54 Fig 29: Modes of Elaborating Relation 55 Fig 30: Modes of Extending Relation 56 Fig 31: Modes of Enhancement 56 Fig 32: The Framework of Expansion in Clause Complexes 58 Fig 33: Overview of the analysis process in SysFan 66 Fig 34: Chunking a group into clause complexes 68 Fig 35: Chunking a clause complex into clauses 69 Fig 36: Seven possible levels of chunking clause complexes 69 Fig 37: Labeling the clauses in analysis 70 Fig.38: Distribution maps of clause complex relation types 71 Fig 39: Complex Combination of Clauses – 124 Fig 40: Complex Combination of Clauses - 125 Fig.41: The multi-function expanded clause in English 140 Fig.42: A Multi-function Expanded Clause in Vietnamese 163 ix LIST OF SYMBOLS SYMBOLS MEANING OF SYMBOLS || clause divider ||| complex divider ^ clause conjunction α , β, Ɣ … hypotactic related clauses 1, 2, 3,… paratactic related clauses ‟ Idea ” Locution Proposition ! Proposal + Extension = Elaboration x Enhancement […] Embedding x INTRODUCTION Rationale Over the years, functional approach has had a significant impact on the study of grammar This theoretical approach tries to incorporate meaning, function, context, and grammatical categories Funtionalism has been developed by many functional grammarians like Dik (1978), Halliday (1985, 1994), Bloor (1994), Eggins (1994), Thompson (1996), Lock (1997), Martin (1997), VanValin and LaPolla (1997), Matthiessen (2002), and many others Different functional theories have emerged, representing a great range of theoretical opinion, but the central theme of the functionalist theories is: functional motivation is an alternative to innateness Linguistic theories which reject the syntactocentric or formal view and adopt the communication and cognition perspective include Functional Grammar (Dik, 1978, 1991), Systemic Functional Grammar (Halliday 1994), Role and Reference Grammar (RRG; VanValin and LaPolla 1997), Lexical Functional Grammar (LFG; Bresnan 2001), etc Unlike the linguistic theory that is still the received tradition in school, functionalism takes the resource perspective rather than the rule perspective; and it is designed to display the overall system of grammar rather than only fragments It wishes to be a theory which is 'functional' in at least three different, though interrelated senses: i It takes a functional view on the nature of language; ii It attaches primary importance to functional relations at different levels in the organization of language; iii It wishes to be practically applicable to the analysis of different aspects of language and language use Functional theories can be described in three groups: extreme, moderate and conservative, all are common in basically a rejection of the syntactocentric view of formalists and a recognition of the importance of the communicative factors, cognitive factors or both in grammatical theory and analysis Among the three, systemic functional grammar (SFL) belongs to the moderate group Systemic functional linguistics (SFL) is an approach to language developed mainly by M.A.K Halliday in the UK and later in Australia This approach has its origin in the main intellectual tradition of European linguistics that developed following the work of Saussure Its primary source was the work of J.R Firth (1957) and his colleagues in London, who defines ―system‖ in systemic functional linguistics, as, in its technical sense, the ―theoretical representation of paradigmatic relations, contrasted with ―structure‖ for syntagmatic relations‖, and who characterizes systemic theory as the theory in which the system takes priority, the most abstract representation at any level is in paradigmatic terms As well as other schools of thought in Europe such as glossemantics, this theory also draws on American anthropological linguistics, and on traditional and modern linguistics as developed in China While American-style linguistics evolved in the modeling of the world‘s languages, SFL was developed to address the need of language teaching and learning A significant milestone in the development of this theory is when it was wholly developed in the work on the grammar of Chinese by Halliday (1956); and it has been used in educational and computational contexts from an early stage With the primary goal of addressing the needs of language teaching / learning, systemic functional grammar (SFG), the theory of grammar in the light of SFL, lays an emphasis on the functions of language - what language is used for Although SFG is a theory of grammar, it focuses more on the meaning, not the pure form of what is said like what formalists have long been doing Since 1980, SFL has been expanded considerably in various directions; further studies have been devoted to languages other than English, notably Chinese, French, Indonesian, Japanese and some other Asian and African languages It has not been of much popular use in Vietnam studies of grammar In Vietnamese, the first functional studies that should be counted are Tiếng Việt: Sơ Thảo Ngữ Pháp Chức Năng by Cao Xuân Hạo (1991), Ngữ Pháp Kinh Nghiệm cú Tiếng Việt: Mô tả theo quan niệm chức hệ thống by Hoàng Văn Vân (2002), Ngữ Pháp Chức Năng Tiếng Việt: Câu Tiếng Việt, and Ngữ Pháp Chức Năng Tiếng Việt: Ngữ Đoạn Từ Loại by Cao Xuân Hạo (2007), and some PhD thesis by Hoàng Văn Vân (1997), Thái Minh Đức (1998), and Đỗ Tuấn Minh (2007) These studies are the first attempts to bring the contemporarily not widely applicable theoretical perspective which has not yet been highlighted much in Vietnamese grammar studies SFG is a complex and comprehensive model, so in order to master all its concepts and categories, it is necessary to receive the cooperation from many people, not from one individual who can classify a further of a category only Hundreds of PhD theses have been conducted studying different areas of grammar in different languages in the light of SFG The studies on Vietnamese grammar using the same theoretical framework were on the system of transitivity, clauses, and thematic structures, leaving the area of clause combination an untouched topic which the author of this paper therefore takes this area as the topic for her thesis In the light of SFG, a comparison between English and Vietnamese clause complexes ... in English and Vietnamese clause complexes 3.3.2.1 Operation of quoting in English and Vietnamese clause complexes 3.3.2.2 Operation of hypotactic reporting in English and Vietnamese clause complexes. .. projection in English and Vietnamese Clause Complexes Chapter - Findings and Discussion: Expansion in English and Vietnamese Clause Complexes - describes and then compares expansion in English and Vietnamese. .. EXPANSION IN ENGLISH AND VIETNAMESE CLAUSE COMPLEXES 4.1 Expansion in English clause complexes 4.1.1 How is expansion realized in English clause complexes 4.1.1.1 Expanding clauses 4.1.1.2 Expanded clauses