Modalization and Modulation in commencement addresses by English speakers A Systemic Functional Analysis = Tình thái và Biến thái hóa trong các bài phát biểu tạ

VIETNAM NATIONAL UNIVERSITY, HANOI
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
FACULTY OF GRADUATE AND POSTGRADUATE STUDIES


TRƯƠNG THỊ ÁNH

MODALIZATION AND MODULATION IN COMMENCEMENT
ADDRESSES BY ENGLISH SPEAKERS: A SYSTEMIC
FUNCTIONAL ANALYSIS
(TÌNH THÁI VÀ BIẾN THÁI HÓA TRONG CÁC BÀI PHÁT BIỂU TẠI LỄ
TỐT NGHIỆP CỦA CÁC DIỄN GIẢ NÓI TIẾNG ANH: PHÂN TÍCH THEO
QUAN ĐIỂM NGỮ PHÁP CHỨC NĂNG)

M.A. MINOR PROGRAMME THESIS

Field: English Linguistic
Code: 60.22.15



Hanoi - 2013


VIETNAM NATIONAL UNIVERSITY, HANOI
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
FACULTY OF GRADUATE AND POSTGRADUATE STUDIES

TRƯƠNG THỊ ÁNH

MODALIZATION AND MODULATION IN COMMENCEMENT
ADDRESSES BY ENGLISH SPEAKERS: A SYSTEMIC
FUNCTIONAL ANALYSIS
(TÌNH THÁI VÀ BIẾN THÁI HÓA TRONG CÁC BÀI PHÁT BIỂU TẠI LỄ
TỐT NGHIỆP CỦA CÁC DIỄN GIẢ NÓI TIẾNG ANH: PHÂN TÍCH THEO
QUAN ĐIỂM NGỮ PHÁP CHỨC NĂNG)

M.A. MINOR PROGRAMME THESIS

Field: English Linguistic
Code: 60.22.15
Supervisor: Prof. Dr. Hoàng Văn Vân



Hanoi - 2013
i

DECLARATION
I, Trương Thị Ánh, hereby certify that this thesis is the result of my own research
and that the substance of the thesis has not, partly or wholly, been submitted for a
degree to any other universities or institutions.





Signature

Trương Thị Ánh
ii


ACKNOWLEGEMENTS
I would like to express my sincere thanks and gratitude to the people who assisted
and always made the best conditions and environment for me to complete this
thesis.
The first person I would like to send my special thanks to is Prof. Dr. Hoàng Văn
Vân, who spent much of his valuable time supervising and guiding my study.
I am also indebted to my lecturers in both undergraduate and postgraduate faculties
at my university for their precious lectures in linguistics which help me to have the
basic and necessary knowledge to carry out this study.
I also owe many thanks to my family members who gave me great encouragement,
my friends and my colleagues who were willing to share my heavy workload at my
school so that I could invest my time to this thesis.


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ABSTRACT
This study investigates the realization of modalization and modulation in
commencement addresses made by well-known English speakers. The analytical
framework of the study is based on M. A. K. Halliday‘s Systemic Functional
Grammar theory of modality. The data of the research is taken from the analysis of
five commencement addresses of Steve Jobs (2005), Bill Gates (2007), Barbara
Kingsolver (2008), J. K. Rowling (2008), and Barack Obama (2009). The results
show that modalization and modulation are realized in a variety of forms and

expressions which can be modal operators, modal adjuncts, passive verb
predicators, and adjective predicators. Modalization overtakes modulation in terms
of frequency. Each group of modal operators and modal adjuncts when being used
to realize modalization and modulation has its own effectiveness and specialties.
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TABLE OF CONTENTS

Declaration…………………………………………………………………… i
Acknowledgements…………………………………………………………………ii
Abstract……………………………………………………………………… iii
Table of contents……………………………………………………………………iv
List of figures and tables………………………………………………………… vi

PART A: INTRODUCTION
1. Rationale……………………………………………………………….… 1
2. The significance of the study………………………………………….…… 2
3. Aims of the study…………………………………………………… 3
4. Scope of the study………………………………………………………… 3
5. Methods of the study………………………………………………… 3
6. Design of the study…………………………………………… …… … 4

PART B: DEVELOPMENT
Chapter 1: Theoretical background
1.1. Semantic-oriented approaches……………………………………………….5
1.2. Pragmatic-oriented approaches………………………………………………7
1.3. Criticisms of the semantic-oriented and pragmatic-oriented approaches……7
1.4. Halliday‘s functional approach………………………………………………9
1.4.1. Halliday‘s notion of modality: Modalization and Modulation………… 9

1.4.2. Modalization: notion and realization………………………………… 11
1.4.3. Modulation: notion and realization……………………………………… 14
1.5. Review of previous studies…………………………………………………16
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Chapter 2: The study
2.1. Research question…………………………………………………………… 18
2.2. Data collection……………………………………………………………… 18
2.3. Analytical framework…………………………………………………………18
2.4. Data analysis and major findings…………………………………………… 19
2.4.1. Modalization……………………………………………………………… 19
2.4.1.1. Modal adjuncts…………………………………………………………….20
2.4.1.2. Modal operators……………………………………………………… 21
2.4.2. Modulation……………………………………………………………… 22
2.5. Discussion………………………………………………………………… 24
2.5.1. Modalization and Modulation………… ………………………………….24
2.5.2. Modal adjuncts – realization and meanings……………………………… 25
2.5.3. Modal operators of Modalization – realization and meanings………… 32
2.5.4. Modulation…………………………………………………………….… 33

PART C: CONCLUSION
1. Summary and major findings………………………………………………36
2. Implications……………………………………………………………… 38
3. Suggestions for further studies…………………………………………….40
REFERENCES……………………………………………………………………41
APPENDIX 1: Raw data……………………………………………………………I
APPENDIX 2: Analyzed data…………………………………… XXX

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LIST OF FIGURES AND TABLES

Figure 1: Speech functions and responses 10
Figure 2: Three values of modality 11
Figure 3: Modalization 12
Figure 4: Modal operators 13
Figure 5: Modal adjuncts 13-14
Figure 6: Modulation 15
Table 1: Modalization in five speeches 19
Table 2: Modal adjuncts in five commencement addresses 20
Table 3: Modal operators in five commencement addresses 22
Table 4: Modulation in five commencement addresses 23
Table 5: Modalization and Modulation 24







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PART A: INTRODUCTION
1. Rationale
Over the years, many grammatical models have been developed, for example
phrase structural grammar, structural grammar, transformation grammar, etc. These
models mainly focus on the structural characteristics of languages, ignoring the

possible functions of language. In 1920s, functional approach was first introduced
by an influential group of literary critics and linguists in Prague. Since then
funtionalism has been developed by many functional grammarians like Halliday
(1985, 1994), Bloor (1995), Eggins (1994), Thompson (1996), Martin (1997), and
many others. Functionalism can be understood as any approach to the description of
language structure which attaches importance to the purposes or functions to which
language is put. When systemic functional grammar (SFG) was introduced by
Halliday in the UK (1985) and later in Australia (1994), functional approach to
grammar theory may be understood as the study of language as a network of
systems, or interrelated sets of options for making meaning. The term function
refers to Halliday‘s view that language serves metafunctions as: ideational
metafunctions, texture metafunctions, and interpersonal metafunctions. Among
these metafunctions, the interpersonal ones which refer to the grammatical choices
that enable speakers to enact their complex and diverse interpersonal relations may
be the most unintelligible perspective. The speaker‘s grammatical choices can vary
but one of the effective tools may be the use of modality in general or modalization
and modulation in particular. From this point of view, the researcher has made an
effort to investigate and prove the effectiveness of those elements in the thesis.
The second thing that should be clarified is the researcher‘s choices of genres
and the collection of texts that were used in the thesis. This study focuses on the
commencement addresses made by famous English speakers. One thing that can be
definitely true is that no one is randomly chosen to give a speech in a university
graduation ceremony. Those who were given the honor to make speeches at many
big universities are prestigious and well-known. They all tactfully used their wordy
power to persuade their audiences. Commencement addresses, therefore, always
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play an important role in orienting, inspiring, and encouraging students who are
going to be graduates. Moreover, the success of a commencement address is
obvious the interpersonal relation between the speaker and the listeners. To achieve

this red string – the linkage, modality used in those speeches must be very flexible
and intelligent in order to show the speaker‘s ego as well as create the connection
between the particular ego and the majority. All of the above mentioned reasons
motivated the researcher to investigate the realization of modalization and
modulation in several selected speeches made by English speakers.
2. The significance of the study
The significance of the study can be seen the most clearly in its contribution
to investigate the use of modality in texts. Geoff Thompson (1996) says modality is
an extremely complicated area of English grammar. Although a number of linguists
have been working on this field, the results achieved do not satisfy the researcher‘s
inquisitiveness. Many linguists have pointed out the definition, classification, and
degree of modality but everything just stops at the theory and a limited number of
typical examples. In other words, the exemplification is not attached to any specific
original texts. Writers of some PhD theses have been applying SFG framework or
modality to analyze real texts but none of them have taken commencement speeches
as sources of data. This thesis, which aims to investigate the realization of
modalization and modulation in some authentic commencement addresses, thus fills
the blanks of studying how modality is realized in commencement speeches.
An additional point motivating the researcher to carry out this study is
derived from the realistic demand. In textbooks currently used in Vietnamese
schools, the realization of modality in texts are mostly introduced and analyzed in
terms of only modal verbs. Other means to realize modality are not fully presented
and exploited, which in some way limit students‘ understanding and ability to
flexibly use modality in creating their own texts. This thesis is hoped to give clear
clarification of all means to realize modality in English and how the good
exploitation of these means can, to some extent, support developments of students‘
language skills.
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3. Aims of the study

The research aims at studying and finding out the use of modalization and
modulation in some English commencement addresses. Moreover, the researcher
also has her ambition to see how effective the modality is. In short, the study aims
to find the answers to the question:
How are modalization and modulation realized in the commencement addresses?
4. Scope of the study
This minor M.A. thesis first focuses on the theory of modality in the light of
systemic functional grammar, and then it shows the realization of modalization and
modulation – two categories of modality in five commencement addresses made by
Steve Jobs (2005), Bill Gates (2007), Barbara Kingsolver (2008), Joanne "Jo"
Rowling (J. K. Rowling, 2008), and Barack Obama (2009).
5. Methods of the study
This study is carried out with the combination of both descriptive and
explanatory methods. In detail, the research is conducted according to several steps
below:
Firstly, data about theories of modality and the commencement addresses
was collected from different books, articles, and other researches in libraries or on
the internet.
Secondly, the collected information was synthesized and categorized to
withdraw the basic knowledge about modality in many perspectives, especially
Halliday‘s framework about modality. Moreover, the collected commencement
addresses were read and chosen carefully based on several criteria set in advance by
the researcher.
Finally, the commencement addresses were analyzed in order to discover the
realization of modalization and modulation in each one by using Halliday‘s view
about modality as the theoretical framework. Each type of modalization and
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modulation is distinguished from the other by a set of symbols so that the researcher
could easily control and bring out the exact figures for the study.

6. Design of the study
The structure of the study is based on the basic design of a scientific research
which includes three main parts. Part A – INTRODUCTION presents the
rationale, significance, aims, scope, and design of the study. Part B –
DEVELOPMENT comprises two chapters. Chapter 1 presents the theoretical
background of the study. Chapter 2 shows the findings of the study in terms of the
realization of modalization and modulation in all four speeches with some possible
explanations about the types of modality used and the discussion about the effect of
modalization and modulation in those commencement addresses. Part C –
CONCLUSION summarizes the findings and points out the implications of the
study. Some suggestions for further studies are also included in the last part.

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PART B: DEVELOPMENT
CHAPTER 1: THEORETICAL BACKGROUND
Approaches of modality
The theoretical description of modality may be semantic, pragmatic, or
functional-oriented. Some approaches will be reviewed below.
1.1. Semantic-oriented approaches
A number of linguists have had a bias in favor of semantics when describing
the concept of modality. Among those, Joos (1964), Marino (1973), Hermeren
(1978), Perkins (1983), and Palmer (1986) can be counted and their views will be
briefly presented below.
Joos (1964) adopts a semantic approach to modality. He classifies eight
modal auxiliaries: will, shall, can, may, must, ought to, dare, and need into some
subcategories by finding the differences in the kinds of semantic oppositions among
them. He places the eight modals on the eight corners of ―an abstract semiological
cube‖ with the six characteristics on the six faces of that cubes. Six categories of
modals are named casual modals, stable modals, adequate modals, contingent

modals, assurance, and potentiality (Joos, 1964: 149-150).
The semantic approach is also adopted by Marino (1973) and his account of
the meaning of modals is quite similar to Joos‘ to some extent. Marino codes the
meaning of modals regarding the presence or absence of a set of semantic features.
He declares that there are ―nuances of the modal system‖, so it is necessary to have
a ―system of description [which] should be at least powerful enough to account for
the range of meanings in modality‖ (Marino, 1973: 312). Like Joos, Marino
classifies modals into eight categories such as obligation, possibility, advisability,
etc. He sets the criteria for his classification by examining the absence or presence
of three semantic features which are necessity, possibility, and execution. He assigns
a value to each category of modal. For example, obligation group of modals is seen
as the strong presence of necessity and execution. In contrast, the presence of
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possibility is weak. As a result, the meaning of obligation is coded as [+necessity, -
possibility, +execution]. Other categories have the different degree of strength and
weakness of these semantic features.
Perkins‘s semantic account of modality also reflects a ―mono-semantic‖
(Coates 1983: 9) approach since he attempts to set a ―core meaning for each modal‖
and then analyzed these core meanings (Perkins, 1983: 25). In other words, he
means the core meaning of each modal is ―independent of its context of use‖
(Perkins, 1983: 26). Moreover, he believes in the concept that an auxiliaries modal
verb like ―may‖ differentiates itself from its paraphrase ―it is possible that‖ in the
uses of these two.
Hermeren (1978) seems to have a different view on the meaning of modality
compared to the three above-mentioned linguists although he still takes the
semantic approach. His aim is to make ―a semantic classification of the modals in
contemporary English (Hermeren, 1978: 14). While the other linguists who also
take the semantic approach are only interested in modal auxiliaries themselves
when talking about modality, Hermeren believes modality can be expressed by

other parts of speech like nouns, verbs, adjectives, and adverbs. He disagrees with
the idea that the meanings of modal verbs are context-independent. In fact, he
argues that modal meanings are not either absolutely independent or dependent.
Hermeren (1978: 71) clarifies his ideas by showing that ―changes in various types
of sentences (active - passive, statement - question, etc.) as well as the ―changes in
basic sentence unit (subject, verbs, etc.) affect the meaning of the modal‖. He
groups modals under three categories namely ―internal modalities‖, ―external
modalities‖, and ―neutral modalities‖. The internal modalities are ―inherent in their
surface subjects‖ and express ―ability‖ and ―volition‖ while the external modalities
refer to the notions like ―necessary‖ and ―permission‖. The last category ―neutral
modalities‖ is considered neither internal nor external.
Palmer‘s account on modal meanings is remarked by his division between
―epistemic modality‖ and ―deontic modality‖. The term ―epistemic modality‖ is
concerned with ―language as information, with the expression of the degree or
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nature of the speaker‘s commitment to the truth of what he says‖ and the term
―deontic modality‖ is defined as ―language as action, mostly with the expression by
the speaker of his attitude towards possible actions by himself and others‖ (Palmer,
1986: 121). He once again emphasizes that the term epistemic should not refer ―to
modal system that basically involve the notions of possibility and necessity, but to
any modal system that indicates the degree of commitment by the speaker to what
he says‖ (Palmer, 1986: 51). In contrast, the term deontic modality should refer to
its two main types called ―Commissives‖ and ―Directives‖. Commissives are those
expressions in which ―we commit ourselves to doing things‖ (Searle, 1983: 166)
and Dirrectives are those ones in which ―we try to get our hearers to do things‖
(Searle, 1983: 166). Although epistemic and deontic modality are very different at
semantic level but they shares the same thing called ―subjectivity‖ (Palmer, 1986:
96). His explanation is ―modality in language is …concerned with subjective
characteristics of an utterance‖ (Palmer, 1986: 16). This means the speaker‘s

attitude is expressed through the realization of modality.
1.2. Pragmatic-oriented approach
Boyd and Thorne (1969) base on the theory of speech acts which is
introduced by Austin (1962) to describe modality in English. Unlike other linguists
who try to classify modal auxiliary verbs in English, they use Speech Act Theory to
paraphrase English modal auxiliary verbs. They focus on the meanings of modals in
specific instances of use. As in the case of Speech Act Theory, ―the illocutionary
force‖ of any verbs is considered as being determined by a set of formal features
such as ―first person‖, ―present tense‖, ―non-progressive aspect‖, and ―non-habitual
aspect‖ (Boyd and Thorne, 1969: 58). Therefore, the selection of modal auxiliaries
verbs indicating the illocutionary potential of the utterances are also subject to these
restrictions.
1.3. Criticisms of the semantic-oriented and pragmatic-oriented approaches
Those semantic and pragmatic approaches mentioned earlier have been
attracting several criticisms.
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Joos‘ approach and Perkins‘s one are considered ―mono-semantic‖ (Coates,
1983: 9) since they attempt to provide a ―basic meaning for each modal‖. It is very
difficult to decide which meanings constitutes the ―core meaning‖ for a particular
modal auxiliary. As a result, the definition of each modal is both unclear and
general in order to account for the diversity in the possible interpretations of the
modal (Hermeren, 1978: 18).
Marino‘s modal auxiliary divisions are not clear and subjective because he
does not present an analysis of modals in English and gives the inadequate
explanation for his decision. For example, he assigns a value ―+execution‖ for
Future and ―-execution‖ for Imperative (Marino, 1973: 315) without any detailed
explanations.
Hermeren (1978), like most of his predecessors, restricts his description,
classification, and analysis to modal auxiliary verbs mainly although his criticism

on the earlier approaches seems to promise that he will list the various forms of
modality.
Palmer also insists on discussing only modal auxiliary verbs because they
can be distinguished by formal criteria. It seems that he is only interested in the
phenomenon that one modal form can be used to express more than one meaning,
and this makes ‗form‘ of primary importance in his account.
Boyd and Thorne (1969) receive several criticisms of their approach.
Hermeren (1978) points that if we apply their above-mentioned criteria, the past
forms of auxiliary verbs such as ‗would‘, ‗could‘, ‗might‘, etc would not be
considered modal. In addition, there is some confusion in the differentiation
between ‗illocutionary force‘ and ‗illocutionary potential‘ since they both refer to
the same instance of language use in two different places in these authors‘ article
(Hermeren, 1978: 28). Finally, their choices of examples is not only de-
contextualized, but also selected in such a way ―to avoid possible confusion‖ like
those which arise ―from the existence of considerable dialectal variation‖ (Boyd and
8

Thorne, 1969: 62). In short, such an account presents a very restrictive view of
modality in general, so it is not useful at the practical level.
To sum up, each account of modality has its limitations and it seems that
most of the linguists mentioned above just put the emphasis on modal verbs when
discussing the issue about modality. Obviously, modal verbs are easily seen signals
of modality but the researcher believes there are also other means which convey
modality in the propositions and utterances. Halliday‘s account of modality which
will be presented below may be the most suitable theoretical base for the researcher
find out the interpersonal links in the commencement addresses. Therefore,
modalization and modulation in those speeches are brought to light based on the
theory of Halliday‘s systemic functional grammar.
1.4. Halliday’s functional approach
1.4.1. Halliday’s notion of modality: modalization and modulation

Halliday‘s account of modality is based on his multifunctional view of
language. According to Halliday, language is organized around three metafunctions:
the ideational, the textual, and the interpersonal metafunctions. The ideational
metafunction is the function for construing human experience and it is realized
through the transitivity system. The textual metafunction is the function for
organizing discourse and creating continuity and flow in our texts. It is realized
through the systems of theme-rhyme and information focus. And the interpersonal
metafunction is the function for enacting our personal and social relationships. It is
realized through the mood and modality systems.
According to Halliday (1994: 75), modality is ―the speaker‘s judgment of the
probabilities, or the obligations, involved in what he is saying‖. He describes
modality as representing those choices in language which lie between two polarities
―yes‖ and ―no‖, thus covering all ―intermediate degrees‖ as well as the ―various
kinds of indeterminacy‖ that fall in between two extremes (Halliday, 1994: 88).
Halliday‘s functional view continues being shown more clearly as he divides
modality into modalization and modulation, depending on the two types of
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communicative activities to which it relates, the two areas of meaning which it
covers. The first area of meaning deals with propositions and is tackled under
modalization and the second area of meaning deals with proposals and is covered
under modulation.
It is necessary to distinguish Halliday‘s concept about proposition and
proposal before discussing the issues of modalization and modulation. According to
Halliday (1994: 68), the fundamental types of speech role are always ―giving‖ and
―demanding‖. This means the speaker gives the hearer something (for instance, the
given thing is a piece of information) and he also requires something from the
speaker (what is required maybe also information or an action). When the thing
demanded is information or in Halliday‘s words ―the nature of commodity being
exchanged‖ is information, the speech function now is conveyed through

propositions. In contrast, when the thing demanded is an object or an action and
language is just brought in to help the process along, the speech function is
conveyed through proposals (See figure 1).
Commodity
exchanged
Speech function
Role in
exchange
Expected responses
Discretionary
alternative


Information
Proposition
STATEMENT
He’s offering her
a cup of tea.
Give
Acknowledgement
Contradiction
QUESTION
What’s he offering
her?
Demand
Answer
Disclaimer

Goods-&-
Services

Proposal
OFFER
Would you like a
cup of tea?
Give
Acceptance
Rejection
COMMAND
Pass the teapot!
Demand
Undertaking
Refusal
Figure 1: Speech functions and responses (Halliday, 1994: 69)

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Halliday‘s concept of modality, in short, can be seen through the three
variables which modality is subject to. The first is the above-mentioned distinction
between the two main types of modality: modalization and modulation. The second
is what Halliday (1994: 355, 358) refers to as ―orientation‖ in modality. These are
four which either subjective-explicit (I think Mary knows) or subjective-implicit
(Mary will know) on the one hand, or on the other hand it could be either objective-
explicit (It‘s likely that Mary knows) or objective-implicit (Mary probably knows).
Finally, the third variable is what Halliday calls the values attributed to modal forms
and these can be low, median, high (Halliday, 1994: 358). In that sense,
modalization would include various intermediary degrees of probability
(possible/probable/certain) and usuality (sometimes/usually/ always), while
modulation would cover different degrees of obligation (allowed/ supposed/
required) and inclination (willing/ keen/ determined) (Halliday, 1994: 358). These
correspond respectively to the low, median, and high degrees. (See figure 2)

Low Median High
Probability: possible probable certain
MODALIZATION
(Proposition) Usuality: sometimes usually always
Modality
(Proposal) Obligation: allowed supposed required
MODULATION
Inclination: willing keen determined

Figure 2: Three values of modality (Halliday, 1994: 357)

1.4.2. Modalization
1.4.2.1. The notion of modalization
This subdivision of modality is seen to reflect the speaker‘s judgment on the
likelihood of the propositions. Halliday further subdivides modalization into two
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sections depending on two kinds of intermediate possibilities: degree of probability
(possibly/ probably/ certainly) and degree of usuality (sometimes/ usually/ always).
The degree of probability is equivalent to ―either yes or no” and the degree of
usuality is equivalent to ―both yes or no‖ (Halliday, 1994: 89).
Halliday‘s concept of modalization can be visualized in the figure below.
Propositions
(‘information’, i.e.
statements and
questions)
Positive pole: asserting (‘It is so.’)
Negative pole: denying (‘It isn’t so.’)
Intermediate

possibilities
Degrees of probability
( possibly/probably/certainly)
Degrees of usuality
(sometimes/usually/always)
either yes
or no
both yes
and no
MODALIZATION

Figure 3: Modalization
1.4.2.2. The realization of modalization
Halliday suggests that modalization is typically realized by (i) finite modal
operators in the verbal group (such as might, will) and/ or (ii) modal adjuncts of
probability and usuality (such as certain, probably) and other subtypes (Halliday,
1994: 89).
(i) Finite modal operators
Modality is first realized by finite modal operators or modal auxiliary verb
(Halliday, 1994: 89). He classifies finite modal operators based on two criteria as
degree of modality and polarity. In terms of degree, he points out three levels as
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high, median, and low. In terms of polarity, he shows the two poles that are positive
and negative (See figure 4)
Figure 4: Modal operators (Halliday, 1994: 76)
(ii) Modal adjuncts
According to Halliday (1994: 49), modal adjuncts ―are those which express
the speakers‘ judgment regarding the relevance of the message.‖ He subdivides
modal adjuncts into two categories that are mood adjuncts and comment adjuncts.

All these two types of modal adjuncts as well as their wordy realization are
summarized in the table below.
Type

Subtypes
Meaning
Examples



Mood
adjuncts
Probability
How likely?
probably, possibly, certainly, perhaps, maybe
Usuality
How often?
usually, sometimes, always, (n)ever, often, seldom
Typicality
How typical?
occasionally, generally, regularly, for the most part
Readiness
How ready?
willingly, readily, gladly, certainly, easily
Obligation
How
compulsory?
definitely, absolutely, possibly, at all costs, by all
means
Time

When?
yet, still, already, once, soon, just
Obviousness
How obvious?
of course, surely, obviously, clearly
Intensity
How intense?
just, simply, merely, only, even, actually, really, in
fact, indeed
Degree
What degree?
quite, almost, nearly, scarcely, hardly, absolutely,
totally, utterly, entirely
MODAL OPERATORS
Degree of modality
Low
Median
High


Polarity
Positive
can, may, might,
could (dare)
will, would, should,
is/was to

must, ought to,
need, has/have to
Negative

needn‘t,
doesn‘t/didn‘t + need
to/have to
won‘t, wouldn‘t,
shouldn‘t, (isn‘t,
wasn‘t)
mustn‘t, oughtn‘t
to, can‘t, couldn‘t,
(mayn‘t, mightn‘t,
hasn‘t/hadn‘t to)
13




Comment
Adjuncts
Opinion
I think
in my opinion, personally, to my mind
Admission
I admit
frankly, to be honest, to tell you the truth
Persuasion
I assure you
honestly, really, believe me, seriously
Entreaty
I request you
please, kindly
Presumption

I presume
evidently, apparently, no doubt, presumably
Desirability
How desirable?
(un)fortunately, to my delight/distress, regrettably,
hopefully
Reservation
How reliable?
at first, tentatively, provisionally, looking back on
it
Validation
How valid?
broadly speaking, in general, on the whole, strictly
speaking, in principle
Evaluation
How sensible?
(un)wisely, understandably, mistakenly, foolishly
Prediction
How expected?
to my surprise, surprisingly, as expected, by chance
Figure 5: Modal adjuncts (Halliday, 1994: 49, 82, 83)
1.4.3. Modulation
1.4.3.1. The notion of modulation
The second main subsection of modality is modulation which deals with the
meaning of proposals, i.e. goods-&-services commodity exchange. As being an
aspect of modality, the value of modulation is supposed to stand between the
positive pole and negative pole. According to Halliday (1994: 89), modulation can
be subdivided into two types: degree of obligation on other person to carry out the
command and degree of inclination or willingness of speaker to fulfill the offer. The
scale for the demanded goods-&-services or the degree of obligation includes:

‗allowed to‘ (permission), ‗supposed to‘ (advice), ‗required to‘ (obligation). The
degree of inclination involves: ‗anxious to‘ (desire), ‗willing to‘ (willingness),
‗determined to‘ (determination). In short, modulation not only shows the speaker‘s
demands on other people but it also describes the speaker‘s offers. Whatever
linguistic devices are used as long as they express the degree of obligation or
inclination, they will realize modulation.
Halliday‘s concept of modulation can be visualized in the figure 6.
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Proposals
(‘goods-&-services’,
i.e. offers and
commands)
Positive pole: prescribing (‘do it.’)
Negative pole: proscribing (‘don’t do it.’)
Intermediate
possibilities
Degrees of obligation
( allowed to/supposed to/required
to)
Degrees of inclination
(willing to/anxious to/determined
to)
MODULATION

Figure 6: Modulation
1.4.3.2. The realization of modulation
Halliday (1994) suggests that modulation is typically realized by: first, (i) the
modal operators; second, (ii) a passive verb predicator; (iii) an adjective predicator.
(i) The modal operators

An example that modulation is expressed by a modal operator can be: ―You
should know that; I‘ll help them‖ (Halliday, 1994: 89)
The table of modal operators is presented in figure 3.
(ii) A passive verb predicator
Modulation is expressed by the selection of voice can be seen in the
following example:
• You are required to do the job. (Obligation – Obligation/ High)
• You are supposed to find a good solution. (Advice – Obligation/ Median)
• I am determined to do the job. (Determination – Inclination/ High)
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(iii) An adjective predicator
Some examples which illustrate this type of realization can be:
• I am willing to do the work. (Willingness – Inclination/ Low)
• I am keen to do the job. (Desire – Inclination/ Median)
• I am certain to do the research. (Determination – Inclination/ High)
1.5. Review of previous studies
Although many books about the theories of modality have been written by
many linguists so far, the number of studies about the use of modality has been
limited and not many studies have been based on the systemic functional approach.
Some previous studies are reviewed below.
Recski (2006) did a systemic functional research on examining the use of
modality U.S. dissertation defenses. In the thesis, he analyzed eight U.S.
dissertation defenses with more than thirty thousand clauses to find out the answers
for three research questions ―(i) the probabilities attached to the system of modality;
(ii) the functional modality of the mental process I think; (iii) the most common
interpersonal strategy employed by committee members to ask questions and to
give recommendations and/or suggestions‖ (Recski, 2006: v). The answer to the
first question is that the probabilities make us to describe overtly the disparity of
language according to the variation of context. To the second question, the function

of I think is only identified when we considering both the nature of propositions and
the meaning of the co-texts. To the last question, the most common interpersonal
strategy is to expand metaphorically the speech functional system.
Takahashi (2009) with his article called ―Modality in L2 Legal Writing: A
functional Analysis‖ presented a research on modal expressions in legal memoranda
written by six international students at a U. S. law school. The systemic functional
framework was claimed to be used in this study to investigate how modality was
realized in those writings through lexical-grammatical resources. However, the
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semantic perspective was still made used of when its terms frequently appeared in
the study such as ―epistemic modality‖, ―hedges‖, ―boosters‖, etc. The study does
not present the specific quantity of each type of lexical-grammatical resources that
were used to convey modality. Moreover, the number of analyzed clauses was very
limited and the study just stops at showing some examples of modality usage in
those memoranda.
Khalid (2013) carried out a research on analyzing three genres namely
business letters, newspaper articles, and promotional brochure which were
associated with the ship RMS Queen Elizabeth in 1938. This thesis not only focuses
on investigating the use of modality but also on the generic structures and the
lexico-grammar of the texts from a range of theoretical perspectives including
systemic functional grammar. The purpose of the author is to explore the
constructing method of the texts by creating an interpersonal relationship. However,
when examining the use of modality, the author only paid attention to the lexical
properties of modal verbs and he used the Sinclair‘s (1996) and Stubbs‘ (2002)
Models of Extended Lexical Units to interpret the meanings of them.
As mentioned above, the number of studies which examine the realization of
modality is not plentiful and up to now there have not been any studies about the
use of modalization and modulation in commencement addresses by using the
systemic functional framework. Therefore, the study is expected to fill the gap and

to a certain extent, will contribute to the clarification of different ways of realizing
modality in real texts and offer some suggestions to the practice of language
teaching and learning in Vietnam.