An investigation into nominalization and grammatical metaphor in “happy teachers change the wor

THE UNIVERSITY OF DANANG UNIVERSITY OF FOREIGN LANGUAGE STUDIES GIÃ THỊ TUYẾT NHUNG AN INVESTIGATION INTO NOMINALIZATION AND GRAMMATICAL METAPHOR IN ―HAPPY TEACHERS CHANGE THE WORLD‖ BY THICH NHAT HANH AND KATHERINE WEARE MASTER THESIS IN LINGUISTICS AND CULTURAL STUDIES OF FOREIGN COUNTRIES Da Nang, 2020 THE UNIVERSITY OF DANANG UNIVERSITY UNIVERSITY OF FOREIGN LANGUAG LANGUAGE E STUDIES GIÃ TH THỊỊ TUYẾT NHUNG AN INVESTIGATION INTO NOMINALIZATION AND GRAMMATICAL METAPHOR IN “HAPPY TEACHERS CHANGE THE WORLD” BY THICH NHAT HANH AND KATHERINE WEARE Major Code : ENGLISH LINGUISTICS : 822.02.01 822.02.01 MASTER THESIS IN LINGUISTICS AND CULTURAL STUDIES OF FOREIGN COUNTRIES SUPERVISOR: Assoc Prof Dr PHAN VĂN HÒA HÒA Da Nang, Nang 2020 i STATEMENT OF AUTHORSHIP Except where reference is made in the text of the thesis, this thesis contains no material published elsewhere or extracted in whole or in part from a thesis by which I have qualified for or been awarded another degree or diploma No other person‟s work has been used without due acknowledgements in the thesis This thesis has not been submitted for the award of any degree or diploma in any other tertiary institution Da Nang, July 2020 Giã Thị Tuyết Nhung ii ACKNOWLEDGEMENT My special thanks, first of all, are extended to the University of Foreign Language Studies – Danang University, especially my lecturers for teaching me so enthusiastically, dedicatedly and preparing me for the completion of the research Secondly, I would like to express my deepest gratitude to my research supervisor, Assoc Prof Dr Phan Van Hoa for his selecting the research topic, providing me with a lot of valuable documents From the bottom of my heart, I would like to say that without his constant encouragement, timely feedback and constructive comments I can not finish my thesis Thirdly, I would like to send my sincere thanks to great Zen Master Thich Nhat Hanh and Professor Katherine Weare, coauthors of „Happy Teachers Change the World‟- a masterpiece from which I am honoured to „collect‟ not only the treasure of data but also the endless inspiration and energy for my research Last but not least, I would like to give my great love to the Education Board of Truong Chinh High School, Kontum,where I have been teaching for 10 years and my family for their endless spritual and material support in the process of my learning and doing the research iii ABSTRACT The study aims at analysing and clarifying the processes of nominalizing word classes and nominal functions From doing so will discover the ways of expressing the types of Grammatical Metaphor including Ideational Grammatical Metaphor, Interpersonal Grammatical Metaphor, and Textual Grammatical Metaphor The analysis and explanations of the study are based on the new points of view of Functional Grammar introduced by Halliday (1985, 2004, 2014) The book “Happy Teachers Change The World” by Zen Master Thích Nhất Hạnh and Educator Dr Katherine Weare (2017), is used as the source of data collected and the evidences for the existence and the functions of Nominalization in NonGrammatical Metaphor and Nominalization in Grammatical Metaphor cases to affirm again that Nominalization has it own properties that are different from Grammatical Metaphor However, Nominalization is also a part of Grammatical Metaphor.The investigation reveals that Nominalization and Grammatical Metaphor occupies a large number: 507 samples in which Nominalization accounts for 262 samples, and Grammatical Metaphor occupies 245 samples including Ideational Grammatical Metaphor, Interpersonal Grammatical Metaphor, and Textual Grammatical Metaphor.Based on Halliday's Functional Grammar framework, the thesis suggests some applications of the research results to English learning, especially in enriching vocabulary and improving writing skills including academic writing iv TABLE OF CONTENTS STATEMENT OF AUTHORSHIP i ACKNOWLEDGEMENT ii ABSTRACT iii TABLE OF CONTENTS iv ABBREVIATIONS vi LIST OF TABLES vii LIST OF FIGURES ix Chapter One INTRODUCTION 1.1 RATIONALE .1 1.2 AIMS AND OBJECTIVES 1.2.1 Aims of the study 1.2.2 Objectives 1.3 RESEARCH QUESTIONS 1.4 SCOPE OF THE STUDY 1.5 SIGNIFICANCE OF THE STUDY .6 1.6 ORGANIZATION OF THE STUDY Chapter Two LITERATURE REVIEW AND THEORETICAL BACKGROUND .7 2.1 A REVIEW OF PREVIOUS STUDIES RELATED TO THE TOPIC .7 2.2 THEORETICAL BACKGROUND 10 2.2.1 Functional Grammar 10 2.2.2 Nominalization 11 2.2.3 Grammatical Metaphor .19 2.3 INTRODUCTION TO AUTHORS AND BOOK “HAPPY TEACHERS CHANGE THE WORLD” 36 2.3.1 Thich Nhat Hanh 36 2.3.2 Katherine Weare .36 2.3.3 The book “Happy Teachers Change The World” 37 2.4 SUMMARY .37 v Chapter Three RESEARCH DESIGN AND METHODOLOGY 39 3.1 RESEARCH .39 3.2 SAMPLING .39 3.3 DATA COLLECTION .39 3.4 DATA ANALYSIS 40 3.5 PROCEDURES 41 3.6 RELIABILITY AND VALIDITY .41 Chapter Four FINDINGS AND DISCUSSIONS 42 4.1 NOMINALIZATION TYPES USED IN “HAPPY TEACHERS CHANGE THE WORLD” 42 4.1.1 Simple Nominalization .43 4.1.2 Complex Nominalization 52 4.1.3 Summary 58 4.2 GRAMMATICAL METAPHOR EXPRESSED THROUGH NOMINALIZATION IN” HAPPY TEACHERS CHANGE THE WORLD” 60 4.2.1 Ideational Grammatical Metaphor 62 4.2.2 Interpersonal Grammatical Metaphor .79 4.2.3 Textual Grammatical Metaphor .93 4.2.4 Summary 97 Chapter Five CONCLUSION .100 5.1 CONCLUSION 100 5.2 IMPLICATIONS 103 5.2.1 Implication for teachers 105 5.2.2 Implication for learners 106 5.3 LIMITATIONS OF THE THESIS AND FURTHER STUDY .106 5.3.1 Limitations of the thesis 106 5.3.2 Suggestions for Further Researches .107 REFERENCES QUYẾT ĐỊNH GIAO ĐỀ TÀI LUẬN VĂN (Bản sao) vi ABBREVIATIONS Adj Adjective ESL English as a Second Language GM Grammatical Metaphor N NML S Noun Nominalization Subject SFL Systemic Functional Linguistics SFG Systemic Functional Grammar V Verb vii LIST OF TABLES Number Name of Table of Tables 2.1 2.2 Five types of nominalizations Congruent Mode of a Figure (Halliday and Matthiessen 1999) Page 12 16 2.3 Metaphorical Mode of a Figure (element) 16 2.4 Ideational Grammatical Metahor Types (Ravelli,1988) 26 2.5 Shift to „thing‟ (Derewianka 2008) 28 2.6 Major categories of metaphor of modality (Halliday 1994: 354-363) 31 2.7 Four types of textual metaphor provided by Martin (1992) 35 4.1 Nominalization by using suffix- derivation (a) 44 4.2 Nominalization by using suffix- derivation (b) 45 4.3 Nominalization by using conversion (a) 46 4.4 Nominalization by using conversion (b) 46 4.5 Nominalization by using final syllable shift 47 4.6 Nominalization by using Adjectives 48 4.7 Nominalization by using Adverbs 49 4.8 Nominalization by using both Nouns and Adjectives 49 4.9 Nominalization by using both Verbs and Adjectives 50 4.10 Nominalization: Transformation, number and probability 51 4.11 Nominal with Wh- 56 4.12 Types of Complex Nominalization 57 4.13 Types of Nominalization 58 4.14 The transference from congruent to metaphorical mode – 61 viii Number Name of Table of Tables Page (Halliday1994) 4.15 Nominalization of the Process (1) 63 4.16 Nominal of the Process (2) 65 4.17 Nominalization of the Process (3) 65 4.18 Nominalization of the Process (4) 66 4.19 Nominalization of the Circumstance 69 4.20 Nominalization of the Attribute (1) 70 4.21 Nominalization of the Attribute (2) 71 4.22 Nominalization of the Attribute (3) 72 4.23 Three types of Nominalization in the clause: Number, Probability 73 4.24 Nominalization of the Epithet (1) 74 4.25 Nominalization of the Epithet (2) 74 4.26 Nominalization with the Relator of Cause/ Effect 76 4.27 Types of Ideational Grammatical Metaphor 77 4.28 Metaphor of Modality (1) 87 4.29 Types of Interpersonal GM 92 4.30 Types of Textual GM 96 4.31 Types of Grammatical Metaphor 98 Textually, with the rest of the clause to expand into discussing causes, implications, or related phenomena In this example, we see a Process such as « consume » become « consumption », but there can be several typical shifts and stages along the way that happen within GM as representation moves from congruence ( the here and now) to metaphorical forms : logical relations ( such as » because ») move from being between clauses to manifesting as Circumstances(« because of x » or « as a result of x »)., premodifying adjectives within Participants (« causal factors ») to, most metaphorically, nominalized Participants (« a cause ») After introducing the concept of GM, we task students with identifying the specific linguistic changes ( both lexical and grammatical ) made in excerpts that are « unpacked » (rendered more congruent), then those same excerpts « packed up » (summaried through GM) As they deconstruct these paragraphes, they draw on their existing knowledge of formal grammar, deploy their developing familiarity with functional metalanguage, and build a repertoire of typical shifts to deploy in their own paraphrases Example Original « Food los sis defined as the edible food that is lost throughout production, postharvest, and processing, whereas food waste to edible food lost at the end of the food chain due to behaviour of retailers and consumers » (Nance,Vadnais, Hicks,& Lawson,2016) Unpacked (made more congruent): Food loss is food we can eat but that we discard while it is being produced, after it is harvested or while it is being processed Food waste is food that we cane at but that we throw away at the end of the food chain because retailers and consumers choose not to sell or eat it.(Nance et al.,2016) Some of shifts from the original with GM to congruence include : -Premodifying adjective „ edible food‟ is unpacked to post modifying embedded clause „ food we cane at „ - Nominalizations „ production, post harvest and processing „ are unpacked as passive Processes (verbs) „ is being produced, is harvested,… Being processed‟ - Causal meaning of „ due to „ within a Circumstance becomes Logical relator „ because „ between clauses Packed (made more metaphorical) Food that is edible but discarded during production is known as food loss, whereas food discarded once it has reached the market is called food waste (Nance et all.,2016) In the final paragraphrase, all in information is packed into a compound clause with the following components: Food that is edible but discarded during is known as food loss production Participant Process Participant nominal group verbal Nominal group group Whereas food discarded once it has is called food loss reached the market Logical Participant Process Participant nominal group verbal Nominal group group relator Text connector In the example, we see how embedded clauses such as „ food we cane at „, „ we discard „ and „ while it is being produced „can become adjectives („ edible „and „ discarded „) and reduced post modifiers („during production‟) Example Original « Some food loss is unavoidable for health and safety reasons, however, the consumers‟ demand for cosmetically perfect fruits and vegetables has created an unnecessary amount of waste » (Nance et al.,2016) Unpacked (made more congruent) We cannot avoid throwing out some food because we want to protect people‟s health and safety However, because consumers want cosmetically perfect fruits and vegetables, too much food is thrown out (Nance et al., 2016) Packed (made more mataphorical) The protection of health and safety means some food loss is inevitable, although excessive waste results from market demands and standards‟ (Nance et al., 2016) In this example we highlight : - The inevitability of food loss as either Participant („unavoidable‟) or Process („cannot avoid) - The rationale as Circumstance („for health and safety reasons‟), dependent clause („because we want to protect people‟s health and safety‟) and Participant („the protection of health and safety‟) - Market forces as Participant ( the consumers‟ demand‟), clause („consumers want…‟) and the abstracted Participant „market demands and standards‟ In addition to focusing students‟ gaze on deconstructing original and paraphrased texts We also help them build their repertoire of common paraphrasing techniques with a list and comprehension check of other typical metaphorical shifts, supported with contextualized examples :  Shifting sentences : Two independent clauses become a compound complex sentence (with conjunction) Note how the clauses are rearranged in the final example : Food waste occurs at different points in the FSC However, it is most readily defined at the retail and consumer stages Food waste occurs at different points in the FSC, although it is most readily defined at the retail and consumer stages Or : Although it is most readily defined at the retail and consumer stages, food waste occurs at different points in the FSC  Shifting sentences : Two independent clauses become a compound sentence (with gerund to show how something is done) This paper presents results from a drive review of food waste issues It combines information on food waste from the international literature with supply chain experts This paper presents results from a drive review of food waste issues, combining information on food waste from the international literature with supply chain experts  Switching polarity (Positive / negative) : Cosmetically Perfect Fruits and Vegatables meet aesthetic standards… Cosmetically imperfect fruits and dvegetables refer to produce which is considered visuallu substandard… Cosmetically imperfect produce, not satisfying various physical characteristics,…  Participant or Circumstance Oftentimes, people discard cosmetically imperfect produce, resulting in food waste or food loss (Participant) Produce that does not meet these standard is often thrown away, and can be classified as either food loss or food waste (Participant) … produce outside these norm tends to be discarded at some point along the production and/or distribution chain (Circumstance) Produce that is too small, too large or misshappen is considered cosmetically imperfect and tends to be discarded, either before or after reaching the consumer (Circumstance)  Modifying quality within a Participant, or as a Participant (Attribute) ? Produce that conforms to normative standards of physical characteristics is considered cosmetically perfect (Participant)  Pre or post modification of the Head Noun within a Participant : Produce that is too small, too large or misshappen… Oversize, undersize or misshappen produce…  Circumstance or embedded in Process? Produce that does not meet these standards is often thrown away (Circumstance) Often, produce that does not meet these standards is thrown away (circumstance) Produce outside these norms tends to be discarded ( within Verbal group/ Process) II JOINT RECONSTRUCTION The guiding questions to help students unpack and identify the Process, Participants, Circumstance and stance of the source text : What’s this about ? What are the Processes ? Who/ What is involved ? (Participants) What are the relations between these Participants ? What are the Circumstances around this ? Which ideas are most important ? How is the author saying this ? What impression (feeling) you have ? The guiding questions serve not only to help students identify the components before manipulating their form and function, but also serve to underline how paraphrasing is not just an exercise in writing ; it relies on comprehension of the source material Paraphrasing itself‟… provides insight into how well students read (since comprehension is the first step toward paraphrasing) as well as write » (Hirvela & Du, 2013, p.88) WORKSHEET CONJUNCTIONS AS THINGS AND QUALITIES Conjunction can also be reconstrued as a thing or quality This is the logical type of ideational metaphor, or logical metaphor It is used to reconstrue logical relations between figures as if they were relations between elements within figures Here are a few examples of conjunction as a thing: conjunction —— — —►thing before the first time then sequel so reason, result, consequence thus conclusion by a means to if condition CONJUNCTION: logical connections The following are some examples of these conjunction-as-things in discourse, and their alternative realization as a sequence: Time Many of those in the security forces who have come forward had previously been regarded as respectable members of their communities It was often the very first time that their communities and even sometimes their families heard Before they came forward their communities and even sometimes their families had not heard Consequence Conjunctions have an important role in letting us know what to expect at each step of a discourse This is one reason they tend to come at or near the start of each sentence in English Conjunctions let us know what to expect so they tend to come at or near the start of each sentence in English Means Amnesty didn't matter It was only a means to the truth The truth would come out by amnesty being given Condition The only conditions for gaining amnesty were:  The act for which amnesty was required should have happened between 1960 and 1994  The act must have been politically motivated , »  The applicant had to make a full disclosure  The rubric of proportionality had to be observed Amnesty is gained: if the act happened between 1960 and 1994 if the act was politically motivated if applicant made a full disclosure if the rubric of proportionality was observed In each case, the logical metaphor allows other meanings to be incorporated Logical metaphor enables „logical things‟ to be numbered, described, classified and qualified: the very first time one reason only a means the only conditions On the other hand, reconstruing conjunction as qualities means they can be used to modify things or processes: Conjunction —— —► quality of thing (Epithet or Classifier) or process (Quality) so resulting action by enabling action in fact actual size thus conclusively proven then subsequently shown before previously regarded if conditionally approved Here is an example of „conjunction-as-quality‟ in Tutu‟s argument: Many of those in the security forces who have come forward had previously been regarded , as respectable members of their communities This could be unpacked as: Many of those in the security forces who have come forward were regarded as respectable members of their communities before .they came forward How much we choose to unpack ideational metaphors in our analyses will depend on our purposes We have shown two advantages of unpacking experiential and logical metaphors One is that by paraphrasing highly metaphorical discourse in a more spoken form, we can show learners how it means what it does, and also design a curriculum that leads from more spoken to more written modes Another is that we can recover participant roles and logical arguments that tend to be rendered implicit by ideational metaphor This can be a powerful tool for critical discourse analysis - revealing implicit nuclear relations such as agency and effect, and implicit logical relations such as cause and effect A full range of internal and external conjunction types is given in Tables Table External conjunctions Addition Additive Adding and, besides, both and, Subtracting nor, neither nor, Comparison Alternative or, either or, if not then Similar like, as if Different Opposite whereas, while Replacing instead of, in place of, rather than Excepting except that, other than, apart from Successive Time Sometime after, since, now that, before Immediate once, as soon as, until Simultaneous as, while, when Expectant Cause because, so, therefore Concessive although, even though, but, However Expectant Means by, thus Concessive even by, but Open Expectant if, then, provided that, as long as, Condition Concessive even if, even then Closed Unless Desire Expectant Purpose so that, in order to, in case Concessive even so, without Fear lest, for fear of Table Internal conjunctions Addition Comparison Additive Adding and, besides, both and, Subtracting nor, neither nor, Alternative or, either or, if not then Similar like, as if Different Opposite whereas, while Replacing instead of, in place of, rather than Excepting except that, other than, apart from Successive Time Sometime after, since, now that, before Immediate Simultaneous Cause once, as soon as, until as, while, when Expectant because, so, therefore Concessive although, even though, but, However Means Condition Open Expectant by, thus Concessive even by, but Expectant if, then, provided that, as long as, Concessive Closed Purpose Desire even if, even then Unless Expectant so that, in order to, in case Concessive even so, without Fear lest, for fear of Table Continuatives Logical relation Expectancy Addition Neutral too, also, as well Neutral so (did he) less than only, just more than Even Comparison Time Sooner Already Longer finally, at last Persistent Still Repetitive Again WORKSHEET SOME COMMON PATTERNS OF ENGLISH NOMINALIZATION (nine patterns in which NML is often formed and some suggestions to denominalize them to translate into Vietnamese better.) The nine patterns: Pattern 1: N‘s + NML, Pattern 2: Poss Adj + NML, Pattern 3: Poss Adj + Epithet+ NML, Pattern 4: The + NML + Prep + N, Pattern 5: N‘s/Adj Poss + NML + Prep + N, Pattern 6: S + V-lex + (A/An) + NML (Range), Pattern 7: There + Be + (No) + NML, Pattern 8: Prep + (Poss Adj /N‘s) + NML and Pattern 9: S + V+ Poss Adj./N‘s + NML In writing, we suggest two types of NML: Positive NML and Negative NML Positive NML means NML from the original form through using its derivation Six common structures: Structure 1: S + V-lex + NML (Range) + (Prep + O) Structure 2: There + Be + (No) + (a/an) + Adj + NML + Prep + O Structure 3: Prep + Poss Adj / N‘s + NML Structure 4: (No) + NML+ Prep + O + To + V-inf Structure 5: Adj + NML + Prep + (O1) + V (another process) + O2 Structure 6: S + V (another process) + Adj + NML + (Prep + O Negative NML means NML from different elements (an adverb, a conjunction, modal adverbs, a phrase and a peposition) In negative NML form, another noun as a Thing that is synonymous with the different elements is used to replace them to express the same meaning as that of the original form Some negative NML often occurs in the following ways of transference 1) And Adverb  NML 2) A Verb  NML (Borrowed) 3) A Phrase  NML 4) A Relator  NML 5) A Preposition  NML WORKSHEET NOMINALIZATION PRACTICE EXAMPLE1: REWRITE THE SENTENCE BY CHANGING THE NOUNS INTO VERBS This report gives an analysis of the problem of climate change and describe three potential solutions -> This report……………………………………….………………………… The President did not provide an explanation for the pardon of his business friend -> The President………………………………….………………………… Mr Black‟s class debate concerned the issue of nuclear weapons -> Mr Black‟s class…………………………………………………………… We performed a review of the company‟s annual reports -> We reviewed………………………………………………………………… The school‟s drama club gave a performance of Romeo and Juliet on the sencond of June -> The school‟s drama club………………………………………………… There is a need for further study of this student financial aid program -> This student financial aid program……….……………………………… I need a change in my life -> I need ……………………………………………………………………… EXAMPLE 2: REWRITE THE SENTENCE BY CHANGING THE VERBS INTO NOUNS Political candidates need to perform well during a TV dabate -> Political candidates……………………….…………………………………… Our city needs to assess the recycling system -> There is …………………………………………………………………… I hope my English students will use this book -> It is …………………………………….…………………………………… The police investigated the robbery -> The police …………………………………………………………………… The Japanese invaded Korea in 1592 -> The Japanese………………………………………………………………… This sentence illustrates the problem with nominalization -> This sentence………………………………………………………………… We can‟t understand what the professor means -> We can‟t……………………………………………………………………… EXAMPLE 3: SENTENCE TRANSFORMATION He will probably never come back -> It is ……………………………………….…………………………………… -> In …………………………………….……………………………………… That he behaved rudely made the boss socked ->His …………………………………………………………………………… -> The …………………………………………………………………………… He is too weak to stand up without help -> His …………………………………………………………………………… -> Because of …………………………………………………………………… Because she teaches English, she has designed some games to make the lessons interesting -> As a(n) …………………………………….………………………………… -> Her ………………………………………………………………………… EXAMPLE 4: TEXT COMPLETION Text Before outsiders first visited their land they knew nothing about the (a exist) ……… of others or the government or the modern life However, in the 1980s miners found gold in the region and soon thousands of miners rushed into the area which resulted in the (b exploit) ………… of the Yanomamis' homeland During that time 20% of them died due to many reasons Today they try hard to maintain their land and (c traditional) ………, which doesn't seem so easy to Text Insects not have (a visible) ……… as sharp as that of mammals or birds The insect compound eye is more familiar to (b move) ……… and so it cannot precisely position distant objects So, insects have a (c tend)……… to take a rather unsteady flight path to navigate to a particular object For example, in order to locate the caterpillar, the wasp needs a balanced (d receive)………… of the odour signals via its two antennae Besides, nominalization can be practised in some games used as the warm-up or consolidation of the lesson These activities are not time-consuming but effective, helping students remember the lesson well ... Especially, NML appearing with the word “mindfulness” is the transformation of Noun into Adjectives and then into Nouns It is a transference a Thing into a Quality and then into a new Thing which is different... and Textual Metaphor work The book “Happy Teachers Change The World” by Thích Nhất Hạnh and Katherine Weare, was used as the source of data collected and the evidences for the existence and the. .. of the study This study aims to: - Investigate the types and the functions of NML in the book“Happy Teachers Change The World” by Thich Nhat Hanh and Katherine Weare - Investigate GM including