安徽大学学位归档材料之三
安徽大学硕士学位论文中、外文摘要
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题目 |
语篇衔接与功能语旨 |
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Textual Cohesion and |
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Functional Tenor |
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专业 |
英语语言文学 |
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研究方向 |
语言学 |
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姓名 |
王裕坤 |
届别 |
2000 |
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导师姓名 |
朱跃 |
职称 |
教授 |
2004年 4 月 26 日
Textual Cohesion and Functional Tenor
Presented in Partial Fulfillment of the Requirements
for the Degree of Master of Arts
in the School of Foreign Studies of Anhui University
by
Wang Yukun
Under the Supervision of
Professor Zhu Yue
Anhui University
May 2004
CONTENTS
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Contents …………………………………………………………………………………………….Acknowledgements………………………………………………………………………………... Abstract (English)………………………………………………………………………………… Abstract (Chinese)….………………………………………………………………………….... . Chapter One Introduction ---- a Survey on Cohesion and Tenor of Discourse……….……….
Chapter Two Non-structural Cohesion and Functional Tenor……………………………….... 2.1 Lexical cohesion and functional tenor………………………………………………………. 2.1.1 Theoretical basis…...……………………………………………………………………… 2.1.2 Data analysis………………………………………………………………………………. 2.1.2.1 Repetition of words……………………………………………………………………… 2.1.2.2 Identical chains…………………………………………………………………………... 2.1.2.3 Similarity chains…………………………………………………………………………. 2.1.2.4 Collocation sets………………………………………………………………………….. 2.1.3 Summary…………………………………………………………………………………... 2.2 Reference, substitution, ellipsis, conjunction and functional tenor……………………….…. 2.2.1 Theoretical basis...…………………………………………………………………………. 2.2.1.1 Reference………………………………………………………………………………… 2.2.1.2 Substitution………………………………………………………………………………. 2.2.1.3 Ellipsis…………………………………………………………………………………… 2.2.1.4 Conjunction……………………………………………………………………………… 2.2.2 Data analysis…………………………………………………………………………….… 2.2.3 Discussion and summary………………………………………………………………….. Chapter Three Structural Cohesion and Functional Tenor……………………………………. 3.1 The thematic structure and functional tenor…………………………………………………. 3.1.1 Theoretic basis...…………………………………………………………………………… 3.1.1.1 Them-rheme theory……………………………………………..…………………….…. 3.1.1.2 Basic patterns of thematic progression………………………………………………….. 3.1.2 Data analysis…………………………………………………………………………….… 3.1.2.1 Theme……………………………………………………………………………………. 3.1.2.2 Thematic progression……………………………………………………………………. 3.1.3 Summary…………………………………………………………………………………... 3.2 Transitivity system and functional tenor…………………………………………………….. 3.2.1 Theoretic basis...…………………………………………………………………………… 3.2.2 Data analysis…………………………………………………………………………….… 3.2.2.1 Processes………………………………………………………………………………… 3.2.2.2 Participants…………………………………………………………………………….… 3.2.2.3 Circumstances…………………………………………………………………….……... 3.2.3 Summary…………………………………………………………………………………... 3.3 Mood system and functional tenor…………………………………………………………... 3.3.1 Theoretical basis…………………………………………………………………………… 3.3.2 Data analysis…………………………………………………………………………….… 3.3.3 Discussion and summary………………………………………………………………….. Chapter Four Conclusion……….……………………………………………………………... Appendix ……..……………………………………………………………………………….. Appendix ……...……………………………………………………………………………… Appendix …..………………………………………………………………………………... Appendix ……..……………………………………………………………………………… Appendix ……………...……………………………………………………………………… Appendix ………………...…………………………………………………………………... Appendix ………………...……………………………………………………………….… Appendix ……………………………..…………………………………………………… Bibliography……..……………………………………………………………………………… |
ⅢⅣⅥ 1 1 2 5 5 5 8 9 11 11 13 14 15 15 15 16 16 17 18 20 23 23 23 23 25 26 27 28 30 31 31 34 34 36 37 38 39 40 41 43 45 48 49 50 51 52 53 54 57 61 |
Acknowledgements
I wish to avail myself of this opportunity to express my sincere thanks to all those who have offered me help in the course of writing this thesis.
My thanks are particularly extended to Professor ZhuYue —— my supervisor, who has struck me with his expertise on which my thesis is based and constructed. I am grateful to him for his instruction, patience, kindness and advice.
Likewise, I express my heartfelt gratitude to all the teachers of the School of Foreign Studies of Anhui University, especially to Professor Hong Zengliu, Professor Chen Zhengfa, Professor Li Yongfang, Professor Zhou Fangzhu, Professor He Gongjie, Professor Cheng Yongsheng and Professor Zhang Zuwu for their lectures.
I am also grateful to Professor Yin Fulin, who is the dean of the School of Arts & Law of Anhui University of Technology for his advice and encouragement.
Lastly, I would like to express my indebtedness to my wife —— Mrs. Li Ying, who has not only given me the necessary moral support but also typed the thesis for me.
Abstract
Many linguists, including Halliday, hold the view that register plays an important role in the formation of cohesion (Zhang Delu, 1999). The author thinks that this conclusion is too general, for register is the variety of language used in a given situational context, which is examined on three parameters: the field of discourse, the mode of discourse, and the tenor of discourse. So if register is a controlling factor of cohesion, the functional tenor should be the crux, because it is for functional tenor that a text is composed and the message is conveyed.
This thesis focuses on the study of the relation between cohesion and functional tenor in the light of theories of the functional grammar. The author believes that functional tenor in the register plays a great role in cohesion and many choices of cohesive devices in a text are decided by the functional tenor of the text.
In order to illustrate the author’s belief, this thesis is organized into four chapters. Chapter One is a survey on the theories of cohesion and functional tenor, especially the competing theories about the determining factors in the formation of cohesion. Chapter Two and Chapter Three are the discussions of the relations between nonstructural cohesion, structural cohesion and functional tenor respectively. Chapter Four is the conclusion of this thesis.
In the discussion of the relation between nonstructural cohesion, structural cohesion and functional tenor, the author collects some texts of two different functional tenors in the field of bank at random and makes some careful analysis. Half of the texts are expository entries in the English encyclopedias, and the rest are persuasive advertisements in English magazines. It is found in the analysis that the occurrence and frequency of cohesive devices vary regularly with the functional tenor of the text, and cohesive devices contribute to the achievement of functional tenor. However, there are some exceptions. For example, the functional tenor of texts makes no difference in the frequency of substitution and ellipsis.
Based on the study of textual cohesion and two different functional tenors, the author suggests in what way and to what degree textual cohesion and functional tenor are related to each other.
In addition, the author points out that this thesis is only a preliminary study on the relation between cohesion and functional tenor. It is expected that this finding can be of some help in the future study in this field.
Key Words: text structural cohesion nonstructural cohesion cohesive devices functional tenor
包括韩礼德在内的许多语言学专家都认为语域一致性是语篇形式标志成为衔接标志的决定因素。作者认为这一结论过于笼统,因为语域是情景语境中三个变量(语场、语旨和语式)的变异而形成的各种各样的语言变体。如果说语域是衔接标志形成的决定因素,那么功能语旨一定起着重要的作用,因为任何语篇都是围绕特定的功能语旨(即交际目的或意图)而展开的,并为实现这一功能语旨来组织语篇的。
本文从功能语法角度探讨了衔接与功能语旨的关系。作者认为功能语旨在语篇衔接中起着重要作用,衔接手段的选择受语篇的功能语旨所支配。
为了证明作者的观点,本文分为四大章节。第一章节回顾了有关衔接和功能语旨的理论,以寻求作者的理论基点。第二章节和第三章节分别讨论了非结构衔接与结构衔接和功能语旨的关系。第四章节得出结论。
在讨论语篇衔接和功能语旨的关系中,作者对所收集的两类不同功能语旨的有关“银行”方面的语篇进行了分析。一类选自英语杂志的劝说性广告;另一类选自英文百科全书中的词条。分析结果表明,语篇中衔接手段出现的频率随着语篇的功能语旨不同而产生变化,同时又对语旨的实现起着促进作用。但是,及物系统中的“过程”、非结构衔接中的“替代”和“省略”似乎是个例外,它们在两类语篇中的出现频率没有明显差异。
基于语篇衔接和功能语旨关系的讨论,本文指出了语域对语篇衔接的影响方式与程度。作者同时也认为本文只是对衔接与功能语旨关系的初步研究,有其局限性。但作者期望本文研究结果会对未来同一领域的研究有所启示。
关键词:语篇
结构衔接 非结构衔接 衔接机制 功能语旨Chapter One Introduction ---- A Survey on Cohesion and Tenor of Discourse
In 1976, Halliday and Hasan published their book Cohesion in English. In this book, five kinds of cohesive devices ?reference, substitution, ellipsis, conjunction and lexical cohesion ?were discussed in detail. Ever since its publication, the book has aroused the interest and enthusiasm of many linguists. The definition and the scope of cohesion have caused much debate.
According to Halliday and Hasan (1976), cohesion is a kind of semantic relation: if the interpretation of any term in a text requires reference to some other items in the text, there is cohesion. Widdowson H.G. (1978), however, argues that cohesion exists when the development of proposition is found between different parts of a sentence or between sentences. Again, he says that if the combination of sentences makes a text, the connection between sentences is grammatical cohesion. In the view of Crystal (1985), cohesion refers to the syntactic and semantic connection of linguistic forms in the surface structure. Petofi (1990) thinks that there are two kinds of cohesion. One is text cohesion, referring to text structure, words of the same semantic field, etc., while the other is compositional cohesion, referring to the cohesion which results from the communication topic, connection, co-reference, etc.. There is no widely accepted definition of “cohesion” among the linguists and scholars.
As far as the scope of cohesion is concerned, no agreement can be reached, either. Halliday and Hasan (1976) refer to cohesion as the semantic relation between a linguistic form and its referential counterpart that can be found in the text. Their study focuses on the ideational function of cohesion. Subsequently, some other linguists, such as Vandijk (1977) and Fries (1983), argue that since cohesion is a kind of semantic relation, it should also be related with textual meaning and interpersonal meaning instead of being limited to ideational meaning. Then, Halliday and Hasan (1985) enlarge the scope of cohesion to include parallel structure, theme-rheme structure, given-new structure, etc.. Hu Zhuanglin (1994) and Zhang Delu (1999, 2000) believe that transitivity structure and mood structure have also cohesive function.
The term “tenor” was first mentioned by Spencer and Gregory (1964). Later, Gregory (1967) makes further study on the tenor of discourse. According to the work of Malinowski and Firth and other linguists, Gregory puts forward his own classification of elements in the context of situation. He puts the elements into three categories: field of discourse, tenor of discourse, and mode of discourse.
According to Gregory (1978), tenor of discourse reflects how the addresser interacts with the addressee and includes the intention of communication. He further explains that the exact nature of the addressee relationship depends upon divisions of social structure, which determines the number and type of roles we could play, either in relation to social or logical attributes or to personal attributes. These divisions may be determined by economic variables, by education, by profession, by sex, and so on. Every person who belongs to a given society will fit in some of the categories, and his status, within the community, will depend on the groups that he can claim membership in.
Tenor can express the degree of formality of the relationship or it may reflect the role that language is playing in the situation. So Gregory (1978) divides the tenor of discourse into two: personal tenor and functional tenor.
Personal tenor is concerned with the social roles of participants together with their status relationship and personalities. It thus handles the degree of formality, familiarity and technicality of linguistic exchanges (Morley G.D., 1985).
Functional tenor, in the view of Morley G. D. (1985), embodies the area formerly handled by role; it is concerned with the social function or role of an utterance, identifying the purpose for which the language is being used, such as description, directions, request, etc..
The interaction of individuals involves not only the status relationship but the intent of communication. Any communication is undertaken to achieve certain intention. For example, advertising is to persuade potential customers to buy products or services, and news broadcasting is to offer the audience information, etc.. All these intentions comprise the functional tenor of context of situation. Gregory (1978) categorizes functional tenor into four: “phatic”, “expository”, “persuasive”, and “didactic”.
Cheng Qilong (2001) holds cohesion to be the one that concerns the realization between the interconnected conceptual meaning and the formal expression. He believes that formal cohesion can be categorized into componential and structural, and that the realization of the formal cohesion can be lexical, phonetical and structural as well.
This thesis classifies cohesion into non-structural cohesion and structural cohesion, which is in agreement with the division of cohesion made by Halliday and Hasan (1985). Structural cohesion consists of thematic structure, transitivity structure, and mood structure, while non-structural cohesion includes reference, substitution, ellipsis, conjunction and lexical cohesion. The formal realization of cohesion is termed as cohesive device in this thesis. This thesis will make contrastive study on different cohesive devices in written English of two different functional tenors. One is persuasive, and the other is expository.
As to the theory of cohesion so far, few people explore the elements that determine the choice of cohesive devices in a text, though some linguists like Ehrlich (1990) and Martin (1992) to some extent state that conversational situation and conversational intent have great influence on the surface structure of a text. They fail to find out how great the influence is on cohesion and in what way. Halliday (1976) also makes such a comment that the continuity of register is the key element which determines the transition of a linguistic form into a cohesive device. However, it disappoints us that he does not go any further to tell us how register affects the formation of cohesion in a text. With this question in mind, the author of this thesis tries to make further study on the relation between cohesion and functional tenor of the register in order to tell the readers in what way and to what degree they are related to each other.
Chapter Two Non-structural Cohesion and Functional Tenor
This chapter focuses on non-structural cohesive devices. Some tentative explorations into their contribution to functional tenor will be detailed, in order to see what lies between the non-structural cohesion and functional tenor of texts.
Here non-structural cohesion as stated in Chapter One refers to the lexical cohesion and the other four cohesive devices including reference, substitution, ellipsis and conjunction.
2.1 Lexical cohesion and functional tenor
The content of a text tenor conforms to its functional tenor. In order to achieve functional tenor, the writer or speaker always tries to make the information offered relevant enough to the functional tenor to draw the reader抯 or listener抯 attention.
In this section, some basic quantitative researches are made into the collected texts of two different functional tenors 棗 exposition and persuasion, with the purpose to see how functional tenors influence the choice of lexical cohesion and how lexical cohesion contributes to the realization of functional tenors.
2.1.1 Theoretical basis
As a linguistic phenomenon, the cohesive relation of lexical items has been probed and discussed by many linguists. Saussure (1915:15) points out that a word can always evoke everything that can be associated with it in one way or another. But he does not go any further about it, let alone cohesion. Later, Firth (1957) discusses the relationship between words in terms of “location”. He believes that a reader or listener would know a word by the company it keeps. Still, Firth fails to make further study in this respect. It is Halliday and Hasan who begin to make a serious study of lexical cohesion. They define lexical cohesion as “the cohesive effect achieved by the selection of vocabulary” (Halliday and Hasan, 1976:274), and they also state that lexical cohesion “comes about through the selection of items that are related in some way to those that have gone before” (Halliday and Hasan, 1994:330).
Hoey (1991) says that the study of the greater part of cohesion is the study of lexis, and the study of cohesion in text is to a considerable degree the study of patterns of lexis in text. In his analysis, he focuses on the repetition patterns of lexical items. Hoey (1991:83) divides lexical cohesive devices into nine, which are listed below in decreasing order of importance:
However, his classification is much too complex and overlaps with grammatical cohesion. In this thesis, the classification of Halliday and Hasan (1986) is adopted: lexical cohesion mainly includes reiteration and collocation.
Reiteration is a form of lexical cohesion which involves the repetition of a lexical item. At one end of the scale, a general word is used to refer back to the lexical item, while at the other end of the scale, a number of things in between such as a synonym, a near-synonym, or a superordinate are used (Halliday and Hasan, 1976). Thus, reiteration takes the form of two kinds of chain: an identity chain and a similarity chain. An identity chain consists of lexical items referring to the same entity such as recursion of an identical item or expressions with reference to the identical item while a similarity chain contains items referring to similar subjects or items saying similar things. Items entering into the similarity chain are related according to one of such meaning relations as synonymy, antonymy, hyponymy and metonymy.
Collocation in discourse is the association between lexical items that have a tendency to co-occur regularly. If lexical items in any pair or cluster, be they dense or loose, are associated in some way or other, or co-occur in some recognizable lexical-semantic relation in discourse, they produce a cohesive force (Halliday, 1985:312. Halliday & Hasan, 1976:284). The patterns of co-occurrence and those patterns of “what goes with what” play an important role in the realization of functional tenor.
Roughly, collocation can be classified into three types (Jiang Zhiweng, 1998): ① Habitual collocation. This type of collocation refers to the predictable co-occurrence of lexical items that result from their natural or habitual combination. For example, we expect a pretty woman, but a handsome man. ② Text-oriented collocation. This refers to the continuous co-occurrence of lexical items in a meaningful text. For example, in a weather report, we would expect cohesive clusters of words about geographic areas and weather conditions. ③ Collocation of sense variation. This refers to the particular co-occurrence of lexical items, one of which has changed its usual sense, and is endowed with a particular significance. For instance, we have a list of color names that have picked up new meanings in co-occurrence with different words.
It is obvious that the collocation of the second type is within our concern, for this type of collocation is often used to achieve cohesive function.
2.1.2 Data analysis
Since lexical cohesion includes reiteration and collocation, the author takes the identity chain, the similarity chain, and collocation as the lexical cohesive devices, and the study of them will help to find out whether the form of lexical cohesion varies with functional tenor of texts.
Table 2.1 shows the occurrence of identity chains, similarity chains and collocation sets in the texts1collected for my analysis.
Table 2.1 Lexical Cohesive Devices Employed in Each Text
|
Lexical Cohesive Device |
Text1 |
Text2 |
Text3 |
Text4 |
Text5 |
Text6 |
Total |
|
Identity Chains |
8 |
6 |
3 |
6 |
7 |
4 |
34 |
|
Similarity Chains |
3 |
8 |
8 |
4 |
2 |
7 |
32 |
|
Collocation Sets |
3 |
1 |
1 |
2 |
1 |
1 |
9 |
It is shown in this table that there are more identity chains than similarity chains, and much fewer collocation sets than the other two cohesive devices in the six texts analyzed. But if we look into each individual text, it is found that things are different.
For example, Text One has more identity chains (eight in number) than
similarity chains (three in number), with three collocation sets. However, in Text Two, there are more similarity chains (eight in number) than identity chains (six in number), with only one collocation set. Specifically speaking, the texts which have more identity chains than similarity chains are Text One, Text Four, and Text Five. When taken a close look at, they are all advertisements of banks. The other three texts, which are introductions to banks, have more similarity chains than identity chains. As far as collocation set is concerned, the texts that have more than one collocation set are advertisements of banks. Those texts that have only one collocation set are all the introductions to banks.
Therefore, the conclusion can be drawn that the introductions to banks have more similarity chains than advertisements of banks, but the latter have more identity chains. This shows that lexical cohesive devices vary with the functional tenor of the texts.
Now let us see how the lexical cohesion contributes to the functional tenors of texts. To save the reader抯 time, the author just takes Text Three and Text Four as examples.
Text Three is an introduction to “Bank of England”, taken from the New Columbia Encyclopedia (1975). Text Four is an advertisement of “Citybank Singapore” taken from Time (May 25,1998). Text Three has a total of 312 words, and Text Four 224; Text Three contains fourteen sentences, while Text Four eighteen.
It is known that the more frequently a lexical item occurs, the better it is highlighted. Halliday (1964) points out that lexical cohesion in its clearest form is carried out by two or more occurrences, in close proximity, of the same lexical item, or of items paradigmatically related in the sense that they may belong to the same lexical set. So the lexical items of the highest frequency in the two texts need to be found out first, for repetition is the striking instance of reiteration.
2.1.2.1 Repetition of words
Table 2.2 shows the words that most frequently occur in the two texts.
In Text Three, the first word that has high frequency is the word “bank”. It may be concluded that Text Three concerns the bank, Bank of England. The other words are “issue” and “note”, which combine to mean “issue notes”, which is one of the main functions of a bank. So repetition of words in Text Three reflects the functional tenor of the text 棗 the introduction to the Bank of England.
Table 2.2 Words Most Frequently Repeated in Text Three and Text Four2
|
Text Number |
Words |
Frequency |
Percentage |
|
Text Three |
bank |
20 |
6.4 |
|
issue |
7 |
2.7 |
|
|
note |
6 |
1.9 |
|
|
Text Four |
you |
15 |
6.7 |
|
money |
7 |
3.1 |
|
|
bank |
6 |
2.7 |
|
|
we |
5 |
2.2 |
In contrast, in Text Four which is also about a bank, the two words that have higher frequency are “you / your” and “money”. It seems that “your money” is the main concern of Text Four rather than the bank. This is different from Text Three, and the difference is made by the functional tenors. Text Two is an advertisement of the Citybank of Singapore. Its functional tenor is to persuade the potential customer to invest their money in the bank. That is why “you”,” “money”, “bank” and “we” are frequently used. “You” here refers to the potential customers, “money?refers to the customers?money, “bank” refers to the Citybank of Singapore or the bank itself, and “we / us / our” is of course the representative of the Citybank of Singapore. Together the four words may tell us the relationship between “your money” and “our bank”, “what we offer” and “what you can get”.
The analysis of the other collected texts also supports this finding. The repetition of words in the expository entries directly and overtly reflects the functional tenor by repeating the word “bank” being introduced and the bank items. In contrast, the repetition of words in persuasive advertisements of banks contributes to the functional tenor by repeating any possible words, including but not confined to the bank being advertised, to achieve persuasion.
2.1.2.2 Identity chains
Table 2.1 shows that there are fewer identity chains in the text of expository entry (for example, Text Three) than in the text of persuasion (for example, Text Four).
There are three identity chains in Text Three. The longest one is the chain of “Bank of England”, which has identity ties in most of the sentences. The break is filled in by another chain, the chain of “a commercial bank”, the predecessor of “Bank of England”. The other one is the chain of “Great Britain”, which occurs in Sentence One, Sentence Four, and Sentence Five. The three chains highlight the functional tenor of Text Three in that they foreground the “Bank of England” and its predecessor, the “commercial bank” in Great Britain.
In contrast, in Text Four, there are twice more identity chains. The longest two are the chain of “you” and that of “your money”, with six and five identity ties respectively. Both “you” and “your money” have a large coverage and appear in most sentences of Text Four, which obviously shows that this text concerns your money. The other four chains are the chains of “Citibank”, “Singapore”, “expertise” and “we / us”. It is safe to say that the identity chains in Text Four give us a deep impression that “we” offer you “expertise” about “your money” in “Citibank of Singapore”. It corresponds with the functional tenor of Text Four, which is to persuade potential customers to invest in the bank.
2.1.2.3 Similarity chains
Let us look at Table 2.3 and locate the differences between the two texts in the similarity chains.
In Text Three, the relationships between items in each chain fall into four types: near-synonymy, antonymy, hyponymy, and metonymy. However, in Text Four, the four chains belong to only one kind of relationship 棗 near-synonymy.
Table 2.3 Similarity Chains in Text Three & Four
|
Text Three |
Text Four |
|
|
The longest and most complex chain in Text Three is that of the“bank”, which holds two hyponyms such as “commercial bank” and
“central bank”, and four metonyms such as “office”, “branch”, “the issue department” and “the banking department”. The second longest chain in Text Three is that of “Great Britain”, which covers two synonyms: “United Kindom” and “British Isles”, and three metonyms: “Scotland”, “Northern Ireland” and “London”. The other chains are of the relationship of near-synonymy (fund / bond, affairs / business, control / handle, stand on / locate in), metonymy (government / governor), and antonymy (public / private). All the similarity chains in Text Three, whether they are noun chains or verb chains, tell us either the history or location of the bank or the function of the bank. That is to say, they are all closely related to the functional tenor of the text.
In the four chains of Text Four, two are concerned with “bank”. One is “Citibank / global bank”, which refers to “Citibank Singapore”, while the other is “US$ 50,000 / equivalent”, which is the minimum sum to open an account in Citibank Singapore. The other two chains are concerned with “your money”. One is “one thing / expertise / what we can offer”, which refers to the expertise of investing your money. The other one is “offer / give”. The goal or object of the verb “offer” is “expertise” and that of the verb “give” is “treasury and investment information on the money market”. All these indicate that the four chains in Text Four meet the need of the functional tenor.
In the process of analyzing all the collected texts, it can be found that just like the identity chains, similarity chains in the expository entries are exclusively about the bank itself or its function, while similarity chains in persuasive advertisements are about the advantages of the bank to achieve persuasion.
2.1.2.4 Collocation sets
Collocation, which has a semantic basis, is one of the important factors in building up the expectations of development in discourse. Let us take a close look at the collocation sets in Text Three and Text Four.
institution
branch deputy
facility director
profit, pound, asset, amount,
monetary terms depository, priviledge
home 棗 key, lock, safeguard, sure
bank 棗 money, investment, tax-free, account, treasury, safeguard
Text Three is an introduction to “Bank of Britain ”, so it is expected that the collocation sets are in the same semantic field of bank or banking. As a result of the analysis, there is only one set of collocation, that is “bank”, which indicates that the bank is the focus of information, and all the development of the text concentrates on the bank 棗 its history, functions, management, etc.. So the collocation set in Text Three is the manifestation of the functional tenor of the text.
However, in Text Four, two sets of collocation can be found. One is the co-occurrence of words concerning “home”, while the other is concerning “bank ”. As a persuasive advertisement, Text Four needs more ways of persuasion by employing more sets of collocation. A further look into the collocation set of “home” reveals that all the co-occurrences are about “safety”, the safety of “your money”. “home” is a metaphor of the bank 棗 “Citibank Singapore”. Together, the two collocation sets make up a persuasion of investing money in the bank.
2.1.3 Summary
In short, the conclusion can be drawn that lexical cohesive devices are decided by functional tenors. The lexical cohesive devices employed in the texts vary with the functional tenors.
The six texts analyzed are of two different functional tenors. Though all the texts employ the three lexical cohesive devices, the frequency of the devices is different. Texts of persuasive functional tenor contain more identity chains and collocation sets, while texts of the expository functional tenor have more similarity chains. The difference is the requirement of the different functional tenors of texts.
As the analysis shows, more identity chains and more collocation sets provide more ways and greater freedom to achieve the functional tenor of persuasion, while more similarity chains provide more details about one thing. That is why persuasive advertisements employ more identity chains and more collocation sets, while entries of the expository functional tenor has more similarity chains.
It is also clear that lexical cohesive devices contribute to the functional tenors of texts. In the entries, all the three cohesive devices are employed to highlight one thing, the “bank”. In contrast, in persuasive advertisements, the cohesive devices are used to talk about more things, in addition to the bank. Provided that texts are equal in length, texts about one thing will inform us more details, whereas texts about more things can possess more means to achieve the goal. That is why persuasive advertisements are about different things, and entries are just about one thing 棗 the bank.
2.2 Reference, substitution, ellipsis, conjunction and functional tenor
In this part, the relationship between functional tenor and the other four non-structural cohesions, i.e., reference, substitute, ellipsis, and conjunction will be the focus of study.
2.2.1 Theoretical basis
2.2.1.1 Reference
According to Halliday and Hasan, reference refers to the items that have the property of rementioning, “that抯 to say, instead of being interpreted semantically in their own right, they make reference to something else for their interpretation” (Halliday & Hasan, 1976:31). So reference is a semantic relation. Pragmatically speaking, reference includes situational reference and textual reference. Therefore reference items may be exophoric or endophoric; and if endophoric, they may be anaphoric and cataphoric. In general, there are three types of references: personal, demonstrative, and comparative.
Personal reference is reference by means of function in the speech situation, through the category of persons. Demonstrative reference is reference by means of location, on a scale of proximity. Comparative reference is indirect reference by means of identity or similarity (Halliday & Hasan, 1976). All the three are shown clearly in the following table.
Table 2.4 Reference
|
Personal Reference |
Determinative |
I, me, you, we, us, he, him, she, her, they, them, it, |
|
Possessive |
my, mine, our, ours, your, yours, his, her, hers, it, its, their, theirs |
|
|
Demonstrative Reference |
Head |
this, these, that, those, it |
|
Deictic |
this, these, that, those, the |
|
|
Adjunct |
here, now, there, then |
|
|
Comparative Reference |
Adjective |
same, identical, equal, similar, additional, other, different, else, better, more, etc. |
|
Adverb |
identically, similarly, likewise, so, differently, otherwise, more, equally, etc. |
2.2.1.2 Substitution
Substitution is the replacement of one item by another. So it is a relation in the wording rather than in the meaning, which distinguishes it from reference (Halliday & Hasan, 1976:87). In English, the substitute may function as a noun, as a verb or as a clause. So items that occur as substitutes can be classified into the following three types:
③ Clausal: so, not
Ellipsis generally refers to that form of substitution in which the item is replaced by nothing. For example:
Give me one dollar the first day and two for the next.
The nominal group “two” is presupposing, meaning “two dollars”, and so is “the next”, meaning “the next day”.
Like substitution, ellipsis is a relation within the text, and in the great majority the presupposed item is in the preceding text. That is to say, ellipsis is normally an anaphoric relation. Ellipsis can also be nominal, verbal and clausal.
2.2.1.
4 ConjunctionConjunctive elements express certain meaning which presupposes the presence of other components in the discourse. In general, conjunctive adjuncts are of three kinds:
A. Adverbs, including: ① simple adverbs (coordinating conjunctions): but, so, then, next, etc.
②compound adverbs in 杔y: accordingly, subsequently, actually, etc.
③ compound adverbs in there- and where-: therefore, thereupon, whereas, etc.
B. Other compound adverbs, e.g. furthermore, nevertheless, anyway, instead, besides; and prepositional phrases, e.g. on the contrary, as a result, in addition
C. Prepositional expressions with 憈hat” or other reference items, e.g. as a result of that, instead of that, in spite of that, because of that
There are various classifications of the types of conjunction. This thesis adopts the classification offered by Halliday and Hasan (1976), who divide conjunctions into four categories: ① additive ② adversative ③ causal ④ temporal.3
2.2.2 Data analysis
Now the author would like to probe into the occurrence of the four cohesive devices in the collected texts4, with the purpose to see what relation lies between the cohesive devices and functional tenor. The occurrence of all the cohesive devices is shown in Table 2.5.
Table 2.5 Frequency of the Four Cohesive Devices in the Given Texts5
|
Texts |
Ss |
Length |
Reference |
Substitute |
Ellipsis |
Conjunction |
||||||||||||||
|
a b c |
T |
d e f |
T |
d e f |
T |
g h i j |
T |
|||||||||||||
|
Ads |
T1 T4 T5 |
22 18 20 |
227 225 193 |
31 24 33 |
8 4 5 |
5 1 2 |
44 29 40 |
0 1 0 |
0 0 0 |
0 0 0 |
0 1 0 |
0 0 0 |
3 1 0 |
0 0 3 |
3 1 3 |
4 3 4 |
1 3 2 |
1 1 1 |
1 0 0 |
7 7 7 |
|
Entries |
T2 T3 T6 |
5 14 14 |
216 310 403 |
5 9 8 |
22 31 31 |
0 0 3 |
27 40 42 |
0 0 2 |
0 0 0 |
0 0 0 |
0 0 2 |
1 2 0 |
1 0 1 |
0 0 2 |
2 2 3 |
0 1 0 |
0 0 1 |
0 0 0 |
0 0 0 |
0 1 1 |
|
Total |
222 |
3 |
14 |
23 |
||||||||||||||||
Table 2.5 shows that the highest occurrence of four cohesive devices is the reference, with a total occurrence of 222 in the given texts. Conjunction and ellipsis are only 23 and 14 respectively in total. Substitution takes the least share with a total occurrence of 3. Each individual text carries the same feature, that is, reference takes overwhelmingly the largest share.
Now let us rearrange these figures in two groups according to their functional tenors, and see whether there is any relation between these figures and the functional tenor.
Table 2.6 shows that persuasive advertisements have more cohesive devices than expository texts with the total ratio of 142 to 120. Both the advertisements and the expository entries have much more references as their cohesive devices. The largest gap lies in the occurrence of conjunctions. In the advertisements, the total number of conjunctions is 21, while in the entries the total is only 2. The occurrence of the ellipsis in the advertisements happens to be the same as that in the entries. As for the occurrence of the substitute, in different functional tenors, there is only a slight difference.
Table 2.6 Frequency of Cohesive Devices in Different Functional Tenors
|
Cohesive Devices |
Texts of Persuasive Functional Tenor |
Texts of Expository Functional Tenor |
||||||
|
T1 |
T4 |
T5 |
Total |
T2 |
T3 |
T6 |
Total |
|
|
Reference Substitute Ellipsis Conjunction |
44 0 3 7 |
29 1 1 7 |
40 0 3 7 |
113 1 7 21 |
27 0 2 0 |
40 0 2 1 |
42 2 3 1 |
109 2 7 2 |
|
Total |
54 |
38 |
50 |
142 |
29 |
43 |
48 |
120 |
Are all the differences made by the different lengths of the texts? Let us examine the ratio of the occurrence to the total number of words in the texts of different functional tenors.
In the Persuasive Ads. In the Expository Entries
Reference 113 ÷ 645 = 17.5% 109 ÷ 929 = 11.7%
Substitute 1 ÷ 645 = 0.2% 2 ÷ 929 = 0.2 %
Ellipsis 7 ÷ 645 = 1.1% 7 ÷ 929 = 0.8%
Conjunction 21 ÷ 645 = 3.3% 2 ÷ 929 =0.2%
Total 142 ÷ 645 = 22% 120 ÷ 929 = 13%
The ratio still supports the above finding with the exception of the ellipsis. Then what is it like in each individual text? Let us look at Graph One.
T5 T1
200 300 400 the Length of the Texts (words)
It can be clearly seen from Graph One that the occurrence of the cohesive devices in the expository entries goes up steadily with the length of the texts. However, it is not true with the persuasive advertisements. For example, Text One and Text Four are of almost the same length, with the total number of words of 225 and 227 respectively, but Text One possesses more cohesive devices, with the total of 54. In Text Four, the number is only 38. This means that the occurrence of cohesive devices in persuasive advertisements does not vary with the length of the text. Long texts may have lower occurrence of cohesive devices, and short texts may employ higher occurrence of cohesive devices.
2.2.3 Discussion and summary
So far, as far as the four cohesive devices (reference, substitution, ellipsis and conjunction) are concerned, it is obvious that although texts of both functional tenors share some common features, the difference is great as well.
The common features lie in that both persuasive advertisements and expository entries employ the four cohesive devices; both have a high frequency of reference, and a low frequency of ellipsis; and there is almost no substitute in both kinds of texts. These features may be owed to the same mode of discourse of the texts 棗 “written to be read”. As we know, spoken English is often set in a particular situation and lots of information can be obtained from the immediate context. Therefore, there are inevitably many substitutes and ellipses. Different from spoken English, written English requires complete information to make up for the lack of vivid situations. It is no wonder that it has few ellipses and fewer substitutes. Reference, as Halliday (1976 ) believes, is a kind of semantic relation, so it is no surprise that it should take the predominant place, for language is meaning potential.
However, differences exist between advertisements and entries in employing the four cohesive devices, and the differences result from the differences in functional tenors.
As is analyzed, texts of persuasive advertisements have more conjunctions than expository entries. This is because advertisements are often dynamic, and they usually have more and shorter sentences than the expository entries, though their total number of words is smaller (which can be seen in Table 2.6). Conjunctions are the elements that cohere sentences together, so more sentences require more conjunctions in texts of the given length. And also, in order to achieve persuasion, advertisements usually need more turns of sentence topics to provide different ways of persuasion. When the topics of sentences change, there is often a conjunction to cohere the sentences. As a result, persuasive advertisements need more conjunctions. But expository entries are relatively static, with fewer and longer sentences, and they usually do not need to change their sentence topics quite often. So it is quite natural that expository entries possess fewer conjunctions.
In order to persuade a potential customer to buy the advertised goods or services, advertisements try every possible means to shorten the distance between the advertiser and the reader or potential customers to establish an intimate and friendly relation between them. Thus, most persuasive advertisements employ more personal references, most of which are either “we” or “you”. As the number of the ways of persuasion in each text is different, so is the occurrence of cohesive devices. This means long texts may employ fewer ways, and short ones may employ more ways. This explains why the occurrence of cohesive devices does not increase with the length of the texts in persuasive advertisements.
On the contrary, the main purpose of expository entries is just to supply sufficient information for the reader, so it is always based on the fact. And the demonstrative reference “the” takes the dominant share in the occurrence of reference in expository entries to serve this function. Expository entries are often static and consistent in topic, so the occurrence of cohesive devices rises with the increase of the length of texts.
In a word, functional tenors make differences in the frequency of the four cohesive devices in advertisements and entries. It can be concluded that the two cohesive devices, reference and conjunction, are decided by functional tenors and meanwhile they contribute to the realization of functional tenors, while the others, ellipsis and substitution, are not.
Chapter Three Structural Cohesion and Functional Tenor
In this chapter, structural cohesive devices will become the focus of the study, and discussions will be made into their contribution to functional tenors, in order to find out the link between structural cohesion and functional tenors of texts.
The structural cohesive devices mentioned here refer to the theme-rheme structure, transitivity structure and mood structure.
3.1 The thematic structure and functional tenor
“Text is a semantic unit” or “actualized meaning potential” (Halliday, 1978:109-113). Thematic analysis can help to discover the meaning potential, and to make clear the main points of a given text and their distribution, namely the semantic configuration of a text. The theme-rheme arrangement of a sentence is communicatively important. It reflects the writer抯 or speaker抯 perspective of looking at his topic subject. So through thematic analysis, it can be shown whether thematic structures are decided by functional tenors.
3.1.1 Theoretical basis
3.1.1.1 Theme-rheme theory
Halliday (1994:37) believes that “the theme is the element which serves as the point of departure of the message: it is that with which the clause is concerned. The remainder of the message, the part in which the theme is developed is called, in Prague school terminology, the rheme.” As a message structure, a clause consists of a theme accompanied by a rheme; and the structure is expressed by the order: whatever is chosen as the theme is put first.
It is generally accepted that the theme comes in the first position of the clause. In other words, the very left constituent of any main sentence is often referred to as its theme. Thus in a declarative clause, the typical theme is the one which is conflated with subject. And the theme is termed as “unmarked theme”. A theme that is something other than the subject is known as “marked theme”. But there is a sub-category of declarative clause in Halliday抯 theory, which has a special thematic structure, namely the exclamatory. Exclamatory clauses typically have an exclamatory WH-element as the “unmarked theme”.
In a Yes / No interrogative clause, the element that typically functions as the unmarked theme is the one that embodies the expression of polarity, namely, the “finite verbal operator”(Halliday, 1994:45), but it extends over the subject as well. In a WH-interrogative clause, the element that functions as theme is the element that requires the information, namely the WH-element. In the imperative clause, the predicator is the unmarked theme.
But, in text analysis, we often run into a clause, whose theme is too complex. It may contain conjunctive adjuncts, modal adjuncts, prepositional group, adverbial group and so on. So Halliday (1994:52) further classifies theme into three subcategories: topical, interpersonal, and textual.
The topical theme is the experiential element in the theme of a clause. The theme of a clause consists of topical theme together with anything else that comes before it, i.e., the topical theme always comes last and anything following it is part of the rheme. The theme of any clause always includes one, and only one, experiential element, that is, the topical theme. It may be preceded by elements that are textual and / or interpersonal in function, the textual and interpersonal themes respectively.
3.1.1.2 Basic patterns of thematic progression
As theme is the point of departure of the message, a probe into the theme-rheme arrangements will in turn help to find out the pathways of the writer抯 / speaker抯 thinking and his /her information focus. In this sense, the thematic progression has the function of cohesion. In this thesis, “thematic progression pattern” refers to the same type of theme-rheme arrangement in any neighbouring clauses in the texts. One thematic progression pattern may include two or more clauses, or rather, two or more “thematic progression steps.”
Many researches have been carried out in human thinking pattern in the past decades. Van Dijk (1977) formulizes the thinking pattern as [<a, b>, <b, c>, <c, d> …], and [<a, b>, <a, c>, <a, d> …], in which the former is a kind of chain pattern, while the latter is a kind of parallel one.
In analyzing the structure of theme / rheme in English discourses, Xu Shenghuan (1982) puts forward four basic patterns of thematic progression: parallel, continual, concentrated, and crossing. Huang Yan (1985) further classifies it into seven types. But in this thesis, based on the achievement of the above research, the author would like to generalize the thematic progression pattern into six basic ones, for other types are either variation of or derivation from these patterns. They are illustrated in the following table:
Table 3.1 The Thematic Progression Pattern
|
Pattern A |
Pattern B |
Pattern C |
Pattern D |
Pattern E |
|
|
T1--R1 T2(=T1)--R2 Tn(=T1)--Rn |
T1--R1 T2(=R1)桼2 Tn(=Rn-1)--Rn |
T1--R1 T2--R2(=T1) Tn--Rn(=Tn-1) |
T1--R1 T2(=R1)--R2 Tn(=R1)--Rn |
T1--R1 T2--R2(=R1) Tn--Rn(=R1) |
T1--R1 T2--R2 Tn--Rn |
In Pattern A, all the other themes are the same as that in the first clause in the pattern, but rhemes are different. To my understanding, it is “branch pattern”, for all the rhemes develop out of the same theme, the theme in the first clause.
In Pattern B, each theme in the immediate successive clause is the same as the rheme in the proceeding sentence. The author just names it “successive pattern” in this thesis.
The rheme in each clause in Pattern C is the same as the theme in the proceeding clause. So it is also a kind of successive pattern.
All the themes in Pattern D are the same as the rheme in the first clause in the pattern. In other words, the development of all the clauses except the first one roots from the rheme in the first clause. So it is a kind of branch pattern, too.
All the rhemes in Pattern E are the same as the rheme in the first clause. So it is a branch pattern.
In Pattern F, the theme and rheme in each clause have no apparent relation with each other. It is a “random pattern” in this sense.
Here by “same” in the above statements, we virtually mean “similar”. In addition to the repetition of exactly the same items, the sameness can also be achieved by means of substitution, superordination, synonymy / near synonymy, general words and paraphrases. And the above six patterns are highly abstract and generalized ones. In actual practice, due to the complexity of human thinking and the need of the development of a text, the text may employ more than one pattern.
Based on this, let us probe into the collected texts to see the link between the functional tenors and thematic progression.
3.1.2 Data analysis
To make a contrastive analysis of the thematic progression of the given texts, first of all, clauses in the collected texts should be identified. It will be difficult to do so, for clauses can be classified on different criteria. But the author will take a functional approach, just as Halliday does (Halliday 1994:66). The “main clause” in the traditional grammar is termed as “independent clause”, and the “subclause” as “dependent clause”.
Since the theme is the point of departure of a message, all the rest in a clause is the development of the theme. By analyzing the theme, we could find out the topic of the text, and accordingly we could find whether the themes reflect the functional tenors of the text.
First let us analyze the themes in the collected texts to see whether themes flow with the main concern of the texts, or rather, whether themes are confined by the functional tenors of the texts.
3.1.2.1 Theme
As all the texts for the analysis here are in the field of “bank”, bank terms are taken for granted to be the themes by the largest coverage, if not all. First of all, it needs to be found out whether themes in the texts are bank-related.
Let抯 see Table 3.2
Table 3.2 Number of Themes in Each Text6
|
Advertisements |
Entries |
|||||||
|
Text1 |
Tex4 |
Text5 |
Total |
Text2 |
Text3 |
Text6 |
Total |
|
|
Total Themes Bank-related Themes Length of Texts (words) |
19 2 227 |
17 0 225 |
20 5 193 |
56 7 645 |
4 3 216 |
14 13 310 |
16 15 403 |
34 31 929 |
First, let us see the ratio of bank-related themes to the total themes in the texts of two different functional tenors.
In the texts of advertisements, the ratio is 7/56 = 12.5%, while in the texts of entries, the ratio is 31/34 = 91.2%. It tells us that there are far more themes of bank terms in the entries from encyclopedia than in the persuasive advertisements. Nearly all the themes in the entries are exclusively bank terms. This shows that the themes in the entries are bank-related.
Next, let us see the ratio of the total number of themes to the total number of words in the analyzed texts.
In the texts of advertisements, the ratio is 56/645 = 8.7%, while, in the texts of entries, the ratio is 34/927 = 3.7%. The two figures show that the advertisements have more themes than the entries in a given length of text by a ratio of 8.7 percent to 3.7 percent. This means that persuasive advertisements have more and shorter clauses than entries, which agrees with the finding we made in the previous chapter. But entries have longer themes, for entries have fewer and longer clauses than advertisements in a given length of text.
Now, let us discuss the patterns of thematic progression in the analyzed texts.
3.1.2.2 Thematic progression
All the thematic progression patterns in each individual text are listed below7.
T
ext One Text Two Text Three Text FourT1桼1 E T1桼1 A T1桼1 A T1桼1 A
T2桼2(=R1) E T2(=T1)桼2 A T2(=T1)桼2 A T2(=T1)桼2 A
T3(=T2)桼3(=R1) E T3(=R2)桼3 B T3(=T1)桼3 A T3桼3 F
T4(=t2)桼4(=R1) E T4(=T1)桼4 A T4(=T1)桼4 D T4(=T1)桼4 A
T5桼5 A T5桼5(=T1) D T5(=T1)桼5 A
T6(=R5)桼6 A T6(=T1)桼6 A T6(=R5)桼6 B
T7桼7(=R1) B T7(=T1)桼7 A T7(=R3)桼7 B
T8(=R1)桼8 B T8(=T1)桼8 A T8(=R7)桼8 B
T9桼9 C T9(=T1)桼9 A T9(=R8)桼9 B
T10桼10(=T9) C/A T10(=T1)桼10 A T10(=T7)桼10 A
T11(=T10)桼11 A T11(=T1)桼11 A T11(=T7)桹 A
T12桼12 B T12(=T1)桼12 A T12(=T7)桼12 A
T13(=R12)桼13 B/F T13(=T1)桼13 A T13桼13 F
T14桼14 F T14(=T1)桼14 A T14(=R13)桼14 B
T15桼15 E/F T15桼15 F
T16桼16(=R14) E/B T16桹 F
T17(=R15)桼17 B T17桼17 F
T18桼18 F
T19桼19 F
Text Five Text Six
T1桼1 A T1桼1 A
T2(=T1)桼2 A T2(=T1)桼2 A
T3桼3 D T3(=T1)桼3 A
T4(=R3)桹 D T4(=T1)桼4 A
T5(=T4)桼5 D T5(=T1)桼5 A
T6(=T4)桼6 D T6(=T1)桼6 A
T7(=T4)桼7 D T7(=T1)桼7 A
T8桼8(=R7) C T8(=T1)桼8 A
T9桼9 C T9(=T1)桼9 A
T10(=R9)桼10 B T10桼10 A
T11(=R9)桼11 B T11桼11 A
T12(=R11)桼12 B T12(=T1)桼12 A
T13桼13 E T13(=T1)桼13 A
T14桼14 E/D T14(=T1)桼14 A
T15(=R14)桼15 D T15(=T10)桼15 A
T16(=R14)桹 D T16(=T1)桼16 A
T17(=R9)桼17 E
T18桼18 E
T19桼19 E
T20桹 F
It is shown that some texts seem to prefer one kind of thematic pattern, while other texts prefer more than two thematic patterns. What makes this difference?
To find out the answer, let us see how many progression steps each pattern holds in each individual text to see what pattern takes the dominant place in the thematic progression of a text. See Table 3.3.
It is clearly shown that in the texts of entries, pattern A possesses more progression steps. In text Two, the ratio of pattern A step to the total number of progression steps is three to four. In Text Three, the ratio is twelve to fourteen, and in Text Six the ratio is thirteen to fifteen. So as a whole, the progression pattern of the entries falls into pattern A, the “branch pattern”, which means nearly all the themes in the text are just the same as the theme in the first clause. A look at the original texts will reveal that the theme in the first clause in the analyzed texts is a bank term, which agrees with the finding made in Section 3.1.2.1.
the Analyzed TextsTable 3.3 Progression Steps in Each Progression Pattern of
|
Patterns |
Advertisements |
Entries |
||||
|
Text 1 |
Text 4 |
Text 5 |
Text 2 |
Text 3 |
Text 6 |
|
|
A B C D E F |
4 6 0 0 6 4 |
7 7 0 0 0 1 |
2 4 2 8 0 6 |
3 1 0 0 0 0 |
12 0 0 2 0 0 |
13 2 0 0 0 0 |
But the patterns of thematic progression for advertisements are at random. They can be called “comprehensive pattern”, for each individual text employs at least three patterns of thematic progression. For example, in Text One, there are four progression patterns --- Pattern A, B, E and F and each takes about the same share of progression steps, namely four, six, six and four respectively. In Text Five, all these six thematic progression patterns appear except Pattern E. In such random progression patterns, no consistent theme or rheme can be found throughout the text, which means more than one piece of information is conveyed.
3.1.3 Summary
From the analysis made above, it can be inferred that in expository entries, themes are stable, consistent and bank-related, and the rhemes are longer. This makes entries informative about the “bank”. This is decided by the functional tenor, for all the entries collected are the expositions of banks, which talk about nothing but more information about banks. In contrast, few of the themes in the persuasive advertisements seem to be bank-related. The themes are dynamic and random, and the rhemes are relatively short. So the advertiser is allowed to give more freedom to say more besides the “bank” itself. For example, the adviser may tell the reader about the safety and stability about the bank, the service of the bank and other relevant advantages about the bank. In a word, all these provide flexible ways of persuasion.
The thematic progression patterns also tell us that the persuasive advertisements follow a dynamic and flexible pattern. This is the requirement of the functional tenor of the advertisements 棗 to persuade. To persuade is to want more ways and different starting points. The themes have to shift very often, and so do the rhemes, though accidentally there may be succession in theme or rheme within a certain progression pattern. It is no wonder that the advertisements employ more than one kind of thematic progression pattern in each individual text. However, the thematic progression in the expository entries is of the same pattern, Pattern A. This meets the need of the functional tenor of the entries, for entries need enough information about one subject, the “bank”. So the development of the whole text should generally start from one point, that is, themes in the text should generally be the same.
In short, themes and thematic progression in both persuasive advertisements and expository entries support the functional tenor of the text and are constrained by the functional tenor.
3.2 Transitivity system and functional tenor
3.2.1 Theoretic basis
Transitivity is a semantic system that reflects the ideational function of language. Transitivity construes the world of experience into a manageable set of process types. Halliday (1994:107) thinks that there exist roughly six types of processes in the experiential world. They are the material process, the mental process, the relational process, the behavioral process, the verbal process and the existential process.
The material processes are the processes of the external world, the outer experience; the mental processes are the processes of consciousness, the inner experience and the relational processes are the processes of classifying and identifying to relate one fragment of experience to another. These are the three main types of processes in English transitivity. The other three processes are located at the three boundaries.
On the borderline between material and mental processes are the behavioral processes which represent the outer manifestation of inner workings, or the acting out of processes of consciousness and physiological states. On the borderline of mental and relational processes is the category of verbal processes, which are symbolic relationships constructed in human consciousness and enacted in the form of language, like saying and meaning. And on the borderline between the relational and the material are the processes concerned with existence, the existential, by which phenomena of all kinds are simply recognized to “be” ---- to exist, or to happen.
A process usually consists, in principle, of three components: ① the process itself; ② participants in the process; ③ circumstances associated with the process.
The participants, as Halliday (1994:106-143) names, are “actor” and “goal” in material processes, “behaver” in behavior processes, “senser” and “phenomenon” in mental processes, “sayer” and “target” in verbal processes, “carrier” and “attribute” in attributive relational processes, “identified” and “identifier” or “token” and “value” in identification relational processes, and “existent” in existential processes. These are directly involved in the process: the one that does, behaves, senses, says, is or exists. Grammatically these are the elements that typically relate directly to the verb, without having a preposition as intermediary.
In addition to these participants, Halliday (1994:144) thinks that there are two “oblique” or “indirect” participants 棗 beneficiary and range. “The beneficiary is 憀ogical indirect object?and the range would be 憀ogical cognate object挕?(Halliday 1994:144). The beneficiary is the one to whom or for whom the process is said to take place. It appears mainly in material and verbal processes, and occasionally in relational processes. The range is the element that specifies the range or scope of the process. A range may occur in material, behavioral, mental and verbal processes.
The circumstantial elements can be time, space, manner, cause, role, etc. They usually occur in the form of an adverbial phrase or a prepositional phrase. Typically, they occur freely in all types of processes, and with essentially the same significance wherever they occur. Halliday (1994:151) classifies the circumstantial elements into nine, together with the specific categories.
Table 3.4 Types of Circumstantial Elements
|
Type |
Specific Categories (subtypes) |
|
distance, duration place, time means, quality, comarison reason, purpose, behalf condition, concession, default comitation, addition guise, product |
As Hu Zhuanglin (1994) and other linguists believe, transitivity is also a cohesive device. High occurrence of a certain type of process may reflect the purpose of the text, and the choice of voices of the processes can reflect the texture of a text. For example, in scientific articles, passive voice takes high occurrence to show the objectivity of the text. So the following analysis will focus on processes and voice to see whether high occurrence of certain processes meets the need of the functional tenor of a text and whether the choice of voice in the process is the requirement of the functional tenor.
3.2.2 Data analysis
3.2.2.1 Processes
Hu Zhuanglin (1994:36) believes that relational processes can be best used to describe an object or a person, thus all the collected texts for analysis in this thesis are expected to have more relational processes, for both the expository entries from encyclopedias and the persuasive advertisements from journals are to the greatest extent the descriptions of banks.
However, the author抯 analysis seems to tell a different story. See Table 3.5.
Table 3.5 Process Types in the Collected Texts8
Material |
Relational |
Mental |
Existential |
Verbal |
Behavioral |
||
Entries |
Text2 Text3 Text6 |
21 18 23 |
1 4 4 |
0 2 0 |
0 0 0 |
0 0 0 |
0 0 0 |
Total |
62 |
9 |
2 |
0 |
0 |
0 |
|
Ads. |
Text1 Text4 Text5 |
23 23 15 |
12 8 5 |
2 2 3 |
1 0 0 |
2 0 0 |
0 0 0 |
Total |
61 |
25 |
7 |
1 |
2 |
0 |
Table 3.5 shows that material processes take the predominant place in number in both the advertisements and the entries. In the entries, the number of material processes is 62, which covers 85% of the total processes. In the advertisements, the number of material processes is 61, which takes up 63% of the total processes. The number of relational processes ranks second in both kinds of texts. In the advertisements, the number is 25, which has a percentage of 26%; in the entries, the number is 9, which is 12% of the total. The other four types of processes take only a small share in the total, and there are no existential, verbal, behavioral processes in the entries at all.
Since the material process takes a salient place in both functional tenors, it is worth further analysis of what kind of verbs and voices are employed in the processes to see what differences lie between the material processes in the advertisements and the material processes in the entries.
Through the analysis, it is found that the verbs in the material processes in the entries are mostly bank-related and in the passive voice, but it is not true with the verbs in the material processes in the advertisements. See Table 3.6.
Table 3.6 Bank-related Verbs9 and Passive Voices in the Material Processes in the Collected Texts
|
Entries |
Advertisements |
|||||||
|
Text2 |
Text3 |
Text6 |
Total |
Text1 |
Text4 |
Text5 |
Total |
|
|
Bank-related Verbs Passive voices |
12 4 |
16 11 |
14 15 |
42 30 |
4 0 |
3 0 |
5 0 |
12 0 |
F
rom Table 3.6, it can be seen that 42 out of the 62 material processes in the entries employ the bank-related verbs, about a percentage of 68. However, in the advertisements, only 12, i.e. 20% of the verbs in material processes are bank-related. This means that although the two kinds of texts have exactly the same number of processes, the verbs used in the processes are quite different. Maybe it is the influence of different functional tenors.In order to tell the history of the bank, its function, its management, etc, bank-related verbs have to be used, such as “issue”, “handle”, “safeguard”, “check” and “fund”. However, advertisements will focus on the safety, convenience and other advantages of the bank. So, besides bank-related verbs, verbs in the material processes in the advertisements vary in semantic fields.
It is also striking in the table that more material processes in the entries are in the passive form than those in the advertisements. In the entries, the total number of passive forms in material processes is 30, about 48% of the total number of the material processes. In contrast, in the advertisements, there is no passive form. This also meets the need of the functional tenor.
In passive voice, it is the “goal” rather than “actor” that becomes the grammatical subject in the material processes. In this way, objectivity can be obtained and the processes are highlighted as well. As has been discussed, verbs in the material processes in the entries are bank-related. In the passive voice, these verbs are highlighted to make the functional tenor projected. An exposition is more objective than an advertisement, for exposition often takes an as-a-matter-of-fact tone to give facts of the bank, but advertisements usually stress the advantages of the bank and weaken the disadvantages. No wonder the entries have more passive forms.
Now, let us see what happens to the participants, for they are the only ones by whom, to whom, and for whom the process takes place. Since the material processes are the major processes in both kinds of texts, focus will be made on the participants in the material processes.
3.2.2.2 Participants
First, let抯 find out how many actors, goals and beneficiaries there are in the field of banks, for texts of both functional tenors are about banks. See Table 3.7.
Table 3.7 shows that in the advertisements almost no actors are related with “bank”, but 26 goals are bank terms, and there are four beneficiaries. But in the entries, more actors and goals are bank terms, 15 and 43 respectively. Nearly all the actors are bank terms. (Remember most of the material processes in the entries are in the passive form, so there are few actors in the entries.)
Table 3.7 Participants in Material Processes of the Collected texts10
|
Participants |
Advertisements |
Entries |
||||||
|
Text1 |
Text4 |
Text5 |
Total |
Text2 |
Text3 |
Text6 |
Total |
|
|
Actor Goals Beneficiaries |
0 5 1 |
1 10 1 |
3 11 2 |
4 26 4 |
2 16 0 |
7 13 0 |
6 14 0 |
15 43 0 |
This finding meets the need of the functional tenors of the texts. In the advertisements, though few of the actors are bank-related, almost all the goals are in the field of banks, and the four beneficiaries are exclusively personal pronoun “you”. In the entries, all the participants are nothing but bank terms. This means everything in the entries is bank-oriented, which also serves the functional tenor of the texts, which is introduction to the banks.
Finally, let us analyze the circumstances in the collected texts, for the process consists of participants, process itself and circumstances. By analyzing circumstances, we might find what relationship lies between circumstances and functional tenors.
3.2.2.3 Circumstances
All the types of circumstances in the collected text are listed in Table 3.8.
Table 3.8 tells us that circumstances in the entries surpass those in the advertisements in number and in type. In the advertisements of the four types of circumstances employed, location comes out first in number, which covers more than half of the total. And there are no circumstances of extent, cause, role, matter and angle in the advertisements. However, in the entries, nearly all the types of circumstances can be found with the exception of angle. Of all the types in the entries, location, manner and role take larger shares, with 20, 15 and 11 respectively. In introducing banks, emphasis is often laid on the history, function or role, and operation of the bank. Thus, time, place, role and manner are naturally more needed in the circumstances.
Table 3.8 Types of Circumstances in the Collected Texts
|
Circumstances |
Advertisements |
Entries |
||||||
|
Text1 |
Text4 |
Text5 |
Total |
Text2 |
Text3 |
Text6 |
Total |
|
|
Extent Location Manner Cause Contingency Accompaniment Role Matter Angle |
0 5 1 0 0 1 0 0 0 |
0 4 1 0 0 0 0 0 0 |
0 5 3 0 5 0 0 0 0 |
0 14 5 0 5 1 0 0 0 |
2 2 9 1 1 1 1 0 0 |
2 6 1 1 1 2 5 1 0 |
2 12 5 2 1 0 5 0 0 |
6 20 15 4 3 3 11 1 0 |
|
Total |
25 |
63 |
||||||
In the advertisements, location enjoys a higher and more frequent occurrence in all the texts. In addition, all the locations are about place, no location of time occurs, and the location of place is not confined to the field of bank. It is because present tense is often used in persuasion. So there is no need for location of time, but the location of time is always needed to locate the situation of the shifts of ways for persuasion.
3.2.3 Summary
Based on the above analysis, it can be concluded that transitivity structure as a whole contributes to and is confined by the functional tenors of the texts analyzed.
It is no surprising that the material processes outnumber all the other five processes in a great degree in both persuasive advertisements and the expository entries. First, the material process is the process of “doing”. Moreover, the collected texts are all about “doing” something with the entries introducing banks, and the advertisements advertising banks. However, they hav