NOMINALIZATION IN LEGAL DISCOURSE a SYSTEMIC FUNCTIONAL ANALYSIS DANH hóa TRONG văn bản LUẬT PHÁP PHÂN TÍCH THEO QUAN điểm CHỨC NĂNG hệ THỐNG

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HANOI NATIONAL UNIVERSITY
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
POST GRADUATE DEPARTMENT
*****

NOMINALIZATION IN LEGAL DISCOURSE A SYSTEMIC
FUNCTIONAL ANALYSIS

DANH HÓA TRONG VĂN BẢN LUẬT PHÁP PHÂN TÍCH
THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG

M.A THESIS
English Linguistics
60 22 15

HANOI – 2013
PART A: INTRODUCTION


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1. Rationale
Nominalization is one of the most prominent features of formal written discourses.
According to Fowler (1991:79), “English is a sort of nominalized language” so
nominalization characterizes almost all English written texts and its frequency of
occurrence varies in different functional varieties, especially those formal functional
varieties. As one type of very formal written discourse, English legal discourse is noted for
its high frequency of nominalization. Apart from the roles of nominalization in
constructing the specific characteristics for this genre, nominalization is also one of the

grammar structures causing a higher degree of ambiguity in legal discourses. When
nominalizing, semantic information is usually left out, which increases the degree of
ambiguity and the difficulty in correctly decoding the sentence. Therefore, understanding
the nature and characteristics as well as the roles of nominalization in English legal
discourse will make great contribution to the perception of this discourse genre, which is
very necessary in today’s world when globalization and integration has become an
inevitable trend. Thus, it is of great necessity to conduct a study on the phenomenon of
nominalization in legal discourses if we want to learn more about this important variety of
English and benefit the reading and writing of English legal discourses as well as help
translators much easier in translating Vietnamese legal discourses into English and vice
versa.
Using the theory of systemic functional grammar which is considered a satisfactory
explanation of the phenomenon of nominalization as developed by Halliday (1994) and
some other systemic linguists, this thesis attempts to explore how nominalization is
realized in English legal discourse with the hope that it will help readers to recognize the
importance of nominalization for the comprehension and manipulation this specific genre.
2. Significance of the study
The result of this study may help improve the ability of understanding English legal
discourses and limit avoidable misunderstandings in interpreting legal discourses. It also
makes contribution to the teaching and learning of ESP for English teachers and students
majoring in law. Besides, this thesis hopes to assist the translation of Vietnamese legal
discourses into English and vice versa.


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3. Aims of the study
The aim of the study is to make an inquiry into how nominalization is realized in English
legal discourse. To achieve this aim, the study will examine the nature of nominalization,
its functions as well as its types. Besides, the main characteristics of English legal

discourse will be pointed out to set the base for finding out the typical realization of
nominalization in this legal discourse.
Thus, to achieve the aim of the study, the main research question needs to be raised for
exploration is:
How is nominalization realized in English legal discourse?
However, to find the answer for this main question, two following questions must be
investigated first:
1. What is nominalization?
2. What are the main characteristics of English legal discourse?
4. Scope of the study
The scope of this study is just to investigate the typical realization of nominalization in
English legal discourse. Since this genre consists of various subtypes, within the limited
space for a minor thesis, I only explore the use of nominalization in one of genre in English
legal discourse - prescriptive legal text. In this thesis, the legal text “Convention on the
Rights of the Child” (1989) was chosen as data for my study.
5. Method of study
This is a case study which sets its main objective of investigating how nominalization is
realized in English legal discourse using systemic functional grammar as the theoretical
framework.
To achieve the goal of the study, both quantitative and qualitative method will be
employed. These two methods are complimentary with the quantitative approach being
used to collect and categorize data and the qualitative one to interpret the statistics taken
from the data.
6. Design of the study


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The study consists of three chapters:
Chapter 1 provides the theoretical background of the study. This chapter focuses on

introducing important concepts in systemic – functional linguistics relevant to the topic of
the thesis such as definitions of grammatical metaphor and its classifications.
Chapter 2 investigates the general notion of nominalization in the light of the systemic
functional theory and some other linguistic approaches. In this chapter, nominalization’s
definitions, functions and classification will be presented.
Chapter 3 provides the background knowledge of English legal discourse by giving its
definition, classification and main characteristics. Then, an attempt is made to find out how
nominalization is realized in English legal discourse. In this part, the frequency of
occurrence of nominalization, its typical types, characteristics and semantic roles seen
from ideational, interpersonal and textual metafunctions will be investigated.

PART B: DEVELOPMENT


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CHAPTER 1
THEORITICAL BACKGROUND
1.1. Introduction
Grammatical metaphor is one of the most interesting theoretical notions developed by
Halliday (1985/1994) and some other systemic linguists such as Thompson (1996), Martin
(1985), etc. In this chapter, the first focus is to examine the concept of grammatical
metaphor in systemic functional linguistics. We will start by providing the definitions of
grammatical metaphor. Then, different views on the classification of grammatical
metaphor are also presented.
1.2. An overview of grammatical metaphor theory
1.2.1. Definitions of grammatical metaphor
The concept of grammatical metaphor arose from the ancient time by the Ancient Greek
philosopher - Aristotle. For him, metaphor was defined as “one word for a concept used to
refer to another one”. Therefore, metaphor involves a transference. His theory of metaphor

puts the primitive foundation for the concept of grammatical metaphor which has been
developed by modern linguistists two thousand years later.
The concept of grammatical metaphor was then introduced in Halliday’s An introduction to
Functional Grammar (1985/1994). In this book, Halliday revised and improved his
Functional Grammar constantly, and put forward the concept of grammatical metaphor.
Halliday took a new approach which is different from the traditional one, looking metaphor
“from above” as “variation in the expression of a given meaning” not “from below” as
“variation in the meaning of a given expression” of the traditional approach. For him,
metaphor is also a transference, which uses a kind of grammar means to replace another,
but expresses the same grammatical meaning. From this point, grammatical metaphor has
its unique performance characteristics as a kind of grammar phenomenon. The congruence
and metaphor are two means to express the meaning, both of which have difference in the
event of the order, frequency, and cognitive habit.
According to Halliday and Martin (1993: 79) cited in Wang (2002), a grammatical
metaphor (GM) is a substitution of one grammatical class, or one grammatical structure, by


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another; for example, “his departure instead of he departed”. Put it simply, the process of
depart has been turned into a noun.
Another systemic linguist who is also concerned about the concept of grammatical
metaphor is Thompson. In his book – Introducing functional grammar (1996: 165), he
defined grammatical metaphor as the expression of a meaning through a lexicalgrammatical form which originally evolved to express a different kind of meaning. The
expression of the meaning is metaphorical in relation to a different way of expressing the
‘same’ meaning which would be more congruent. Consider the following examples:
[1:1] (i). Water evaporates from a puddle.
(ii). Evaporation occurs more quickly in hot weather.
(ii) is grammatical metaphor because in this sentence a process evaporates is rendered in a
nominal type Evaporation.

1.2.2. Classification of grammatical metaphor
Systemic linguists often pay attention to the function of grammatical metaphor when
classifying different types of grammatical metaphor. According to Halliday, language has
three metafunctions involved in one clause: ideational function, interpersonal function, and
textual function. Language is used to organize, understand and express our perception of
the world by the ideational function, which can be divided into experiential function and
logical function. The experiential function is mainly associated with the ideas, while the
logical is concerned with the relationship between ideas. People use language to
communicate with other people, to express their feelings and attitude by interpersonal
function. On the basis of these metafunctions, Halliday (1994: 343) classifies grammatical
metaphor into two main types: metaphors of mood (including modality) and metaphors of
transitivity. In terms of model of semantic functions, these are, respectively, interpersonal
metaphors and ideational metaphor.
When classifying grammatical metaphor, Martin (1992) seems more detailed. He divided it
into ideational (logical and experiential), interpersonal and textual metaphor.
Meanwhile, H.V.Van (1999) shows that an instance of grammatical metaphor may be
involved in more than one metafunction. This means that a congruent realization in the


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interpersonal metafunction may have its metaphorical realization in the experiential
metafunction. For example,
[1:2] (i) She should go to the meeting.
(ii) Her obligation is to go to the meeting.
In the two above examples, “should” is a congruent realization in the interpersonal
metafunction and “obligation” is a metaphorical realization in the experiential
metafunction.
In the following sections, we will adopt Halliday’s view in classifying grammatical
metaphors into ideational metaphor and interpersonal metaphor.

1.2.2.1. Ideational metaphor (metaphor of transitivity)
Ideational metaphors are usually expressed through the transitivity system (material,
ralational, behavioral, mental, verbal, and existential). According to Halliday (1994: 343),
there are three steps involving in the process of choices in the transitivity system of
language. First is the selection of process type (material, mental, relational). Second is the
configuration of transitivity functions (Actor, goal, senser, manner…). Third is the
sequence of group – phrase classes (verbal group, nominal group, adverbial group,
prepositional phrase, and their various sub-classes). Variation in any of the selection can
lead to ideational grammatical metaphor. Let look at the following examples:
[1:3] (i) They arrived at the summit on the fifth day.
(ii) The fifth day saw them at the summit.
(i) and (ii) can be represented diagrammatically in two following figures:
Figure 1a: Analysis of congruent form
They

arrived

at the summit

on the fifth day

Actor

Material

Place

Time

(Source: Halliday (1994: 346)

Figure 1b: Analysis of metaphorical form


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The fifth day

saw

them

at the summit

Senser

Mental perception

Phenomenon

Place

(Source: Halliday (1994: 346)
From the comparison of the two sentences above, “the fifth day” in sentence (i) is the
expression of time, which meets the reality and is the congruence. But “the fifth day” in the
sentence (ii) becomes the feeler of a thinking process and the material process has become
the process of psychology, so sentence (ii) is called the metaphor.
Ideational metaphor is a powerful resource in the grammar of a language, by which the
expression of ideational meanings such as processes, qualities and entities is extended in
important ways beyond their default encodings as clauses, adjectives and nouns (or noun

phrases) respectively: different forms can be borrowed to express different meanings.
Important work on ideational metaphor in systemic functional framework concerns the
study of which particular forms can be used to express which particular meanings. In this
context, Halliday has proposed a model showing that certain forms (especially noun
phrases) are more likely to be used as metaphorical forms than any other types of
expressions
1.2.2.2. Interpersonal metaphor
As we have seen above, the interpersonal component of grammar especially concerns the
areas of MODALITY and MOOD. In these two areas, Halliday (1994) also distinguishes
between basic, non-metaphorical expressions, and metaphorical ones, i.e. interpersonal
metaphors. Let us look at each area in turn.
1.2.2.2.1 Metaphors of modality
According to Halliday (1994), the first type of interpersonal metaphor is the metaphor of
modality. Modality is used to express the speaker’s opinion of thing. There are four
variable in modality, which are TYPE, ORIENTATION, VALUE and POLARITY.
Modality refers to the area of meaning that lies between yes and no – the intermediate
ground between positive and negative polarity. What this implies more specifically will
depend on the underlying speech function of the clause. If the clause is an “information”
clause, it is modalization. If the clause is a “goods - & - service” clause, it is called
modulation. Each type contains two degrees: Modalization has degree of probability and


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modulation has degree of obligation or of inclination. However, the orientation is the factor
that determines how each type of modality will be realized. Thus, they should be
distinguished between subjective and objective modality; between explicit and implicit
variants. The third variable in modality is the value that is attached to the modal judgment:
high, median or low. The median value is clearly set apart from the two “outer” values by
the system of polarity: the median is that in which the negative is freely transferable

between the proposition and the modality. (Eg: Direct negative: It’s likely Mary doesn’t
know  Transferred negative: It isn’t likely Mary knows). With the outer values, if the
negative is transferred the value switches (Eg: Direct negative: It’s certain Mary doesn’t
know (high)  It isn’t possible Mary knows (low)).
A network of modality systems is set up as in table 1.1 below:
modalization
TYPE
modulation

probability
usuality
obligation
inclination

subjective
objective
explicit
implicit
median

ORIENTATION

VALUE

outer

high
low

positive

POLARITY

negative

direct
transferred

Table 1.1: Modality system
(Source: Halliday, 1994: 360)
1.2.2.2.2. Metaphors of mood
The second interpersonal area in grammar, according to systemic functional linguistics, is
that of mood. In order to understand the notion of interpersonal metaphors of mood, it is
necessary to consider, again, what the default types of encoding are. According to Halliday
(1994: 363), mood expresses the speech functions of statement, question, offer and
command. Statements are expressions which give information, questions are expressions


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which ask information, offers are the expressions which put forward something to be
considered and accepted or refused and commands are expressions which ask for
something to take place. Each of these functions has its standard, default type of encoding:
statements are encoded by the declarative, questions by the interrogative, and commands
by the imperative clauses. The expression of statements and questions is fairly
straightforward, but with regard to commands, the situation is different. There is a large
variety of expressions that can be used to express the same command:
[1:6]

Send your proposal by email, please.

[1:7]

(i) Could you send your proposal by email, please?
(ii) I would advise you to send it by email.
(iii) You are kindly requested to send your proposal by email.
(iv) It is recommended that you send your proposal by email.
(v) It is advisable to send your proposal by email.

The examples in [1:7] are different metaphorical variants of expressing a command that
can also be expressed, in its most straightforward, standard way, as an imperative [1:6].
The metaphorical examples in [1:7] include the interrogative mood type (which is the
standard expression of requests for information), and the declarative mood type (which
normally, i.e. non-metaphorically, expresses the speech function of giving information).
Halliday brings together these various expressions under the heading of the notion of
interpersonal metaphor of mood. The reason why these examples are regarded as
metaphorical, lies in the fact that they deviate from the standard, most straightforward
realization of a command by means of the imperative mood. Their metaphorical nature can
be made clear by pointing to the literal meanings that these expressions have. For instance,
(i), at face-value, is basically a request for information: ‘could you send your proposal by
email, or couldn’t you’? Similarly, at face-value, (ii) only refers to a statement: I state that I
advise something to you.
The metaphorical nature of such metaphors of mood is exploited in verbal play. A case in
point is the well-known dinner-table example, where someone asks: Can you pass me the
salt, please? and the addressee answers, ‘Yes, I could certainly do that’, without
undertaking any further action with regard to the salt.


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1.3. Concluding remarks

This chapter has been concerned with the examination of grammatical
metaphor in the framework of the systemic-functional model. Its major
points may be summarized as follows:
- Grammatical metaphor is a substitution of one grammatical class, or
one grammatical structure, by another (Halliday and Martin, 1993: 79)
or as the expression of a meaning through a lexical-grammatical form
which originally evolved to express a different kind of meaning
(Thompson, 1996: 165).
- Different systemic linguists have different views on grammatical
metaphor. It can be classified into logical, experiential, interpersonal and
textual metaphor by Martin or ideational and interpersonal metaphor by
Halliday (1994).
In the following chapter, the nature of nominalization along with its functions and types
will be presented to set the background knowledge for understanding its realization in legal
discourse.

CHAPTER 2
NOMINALIZATION
2.1. Introduction


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Nominalization is a prevalent linguistic phenomenon in English, especially in written
English so that this phenomenon has been investigated by many linguists. In this chapter,
different points of views toward the definitions of nominalization will be presented. Then,
a substantial part will be devoted to the exploration of the functions and classification of
nominalization into different categories
2.2. What is nominalization?
The phenomenon of nominalization has been studied by many researchers. Scholars from

different linguistic schools present different points of view toward nominalization.
Therefore, there are different definitions of nominalization in English.
According to Quirk (Quirk et al. 1985), nominalization is a process of turning a verb or an
adjective into a noun. In a somewhat similar manner, nominalization is defined as the
grammatical process of forming nouns from other parts of speech, usually verbs or
adjectives (Longman Dictionary of Language Teaching and Applied Linguistics, 2002) or
as any process by which either a noun or a syntactic unit functioning as a noun phrase is
derived from any other kind of unit such as a verb or an adjective (Oxford Dictionary of
Linguistics).
The common idea among these definitions is that all the definitions above are concerned
about the changes of the lexical elements but the function and structures of nominalization
in a clause. Quirk et al. (1985) refer to a narrow sense of nominalization and it only
involves the change of form and grammatical categories.
Having a broader view, Chomsky (1968) believes that “nominalization is a process by
which a stem, verb phrase or sentence is transformed into a nominal”. According to him,
nominalization is not only the changes in terms of lexical elements but, more broadly, the
changes in terms of sentence also.
Compared with other approaches, systemic functional linguists make a more thorough and
profound analysis of nominalization. Thompson (1996: 167) argues that “nominalization is
the use of a nominal form to express a process meaning”. He adds that “nominalization can
also be used to express an attributive meaning – a relational process together with the
Attribute”. To Mathews (1997), nominalization is “any process by which either a noun or a
syntactic unit functioning as a noun phrase is derived from any other kind of unit”. As one


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of the most famous systemic linguists, Halliday (1985) points out that nominalization
refers to any element or group that can function as nouns or noun groups in a clause,
including clauses, nominalized adjectives or verbs, etc. He emphasizes that nominalization

is the single most powerful resource for creating grammatical metaphor. By this device,
processes (congruently worded as verbs) and properties (congruently worded as adjectives)
are reworded metaphorically as nouns; instead of functioning in the clause, as Process or
Attribute, they function as Thing in the nominal group. In Halliday’s definition, he focuses
on the “function” of the elements in clause and provides a unique standpoint on
nominalization as a meaning-making resource. According to Dik (1997: 159), we
understand that nominalization is an embedded construction which has one or more
properties in common with a primary, nominal term. This means that any elements that
have one or more characteristics in common with nominal term can be considered as
nominalization.
As the main emphasis of each study is different, researchers have different opinions about
nominalization. But each definition has its own value and something in common – that is
the drift toward “thingness. From definitions above, some functions of nominalization can
be pointed out as follows:
2.3. Functions of nominalization
- Nominalization is a powerful resource for making meaning in scientific and technical
register, where it plays a dual role. First, a noun typically refers to a “thing”, i.e. something
which exists. By “nouning” a process, the writer can reflect a fact that he has negotiated
and established the meaning of the clause centred around the process – in other words, that
meaning can now be treated as existing, as a kind of abstract “thing”. Second, it makes it
possible to develop an argument step by step, using complex passages “packaged” in
nominal form as Theme. This important function of nominalization is encapsulation
(Thompson, 1996: 170)
- Nominalization helps create the sense of objectivity for the text. The reason why
nominalization is in harmony with the ideology of academic, formal writing in general, is
that it allows processes to be objectified, to be expressed without the human doer.
Nominalization is used for ideological control as a “masking device” for they allow the


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withholding of the identity of the actors. It not only obscures the participants, it also
obscures the time, space and modality. Thompson (1996: 171) points out that nominalized
processes are non-finite: they are not tied to any specific time in relation to the time of
speaking. (Incidently, this is yet another reflection of the functional unity of Mood: both
Subject and Finite typically disappear when a process is nominalized). Thus a nominalized
process is detached from the here and now in a way that is not normally possible for a
process expressed by a verb. Thus by using nominalization, writer can obscure not only the
participants but also the time, the space, and the modality to make the expression more
objective and non-negotiable.
- Nominalization can add another semantic dimension to what already exists in the
congruent form. According to Halliday (1994: 353), the piece of wording that is
metaphorical has as it were an additional dimension of meaning: it means both
metaphorically and congruently.
- The use of nominalization has changed people's perception of the world, or the world of
experiences. Nominalization is a tool used to name things in certain forms in different
ways, as though the identities have been transformed into different things. Actually, this
occurs when human beings begin to vision the situation from a new perspective, a
metaphorical one. The use of nominalization is a great progress made in the cognitive
capability of human beings.
- Nominalization makes the text more ambiguous. In a text packed with nominalizations,
when clausal patterns or congruent forms are replaced by nominalized ones, some of the
information is lost. The writer presumably knows exactly what they mean; but the reader
may not so this kind of highly metaphorical discourse tends to mark off the expert from
those who are uninitiated (Halliday, 1994: 353). Therefore, it makes the text more formal
with a touch of ambiguity.

2.4. Classification of nominalization in English
Basing on the systemic functional approach, we can divide nominalization into two main
types: lexical nominalization and clausal nominalization. Details of these will be presented

as follows:


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2.4.1. Lexical nominalization
Lexical nominalization is a derivational process that creates nouns from lexical verbs and
adjectives, and the resulting nouns become the head nouns in a noun phrase (Comrie &
Thompson, 1995). For example,
Conclude

-

Conclusion (deverbal nominalization)

Concise

-

Concision

(de-adjectival nominalization)

Cheat

-

Cheat

(zero derivational nominalization)

At the lexical level, basing on words’ morphological changes, we can classify
nominalization into two types: derivational nominalization and zero derivational
nominalization (conversion).
2.4.1.1. Derivational nominalization
According to Biber, Conrad and Leech (1992), derivational nominalizations are ones
derived from verbs and adjectives. Most derived nouns are abstract in meaning. This type
of nominalization is formed by adding suffixes to the roots.
2.4.1.1.1. Deverbal nominalization
According to (Biber et al. 1992: 89), frequently seen nominalizing suffixes in English
include: -ability, -age, -al, -ance, -ant, -cy, -dom, -ee, -ence, -ent, -er, -ery, -an, -ibility,
-ion，-ism，-ist，-ity, -ive，-ment，-ness，-or, -side, -ure, etc.
Adding suffixes to verbs is a way to create nominalizations, which can function as:
* The action, state or intance of verb
-age: breakage, storage, wastage, wreckage, etc:
-al: betrayal, dismissal, renewal, withdrawal, etc.
-ance: acceptance, attendance, performance, assistance, etc.
-ence: coherence, occurrence, adherence, transference, etc.
-ation (-tion, -ion):: production, protection, reaction, reduction, etc.
- ure : closure, departure, presssure, etc.
- ing : feeling, meeting, reading, training, etc.
-ment: accomplishment, achievement, etc.
* The agent of the verb
-ant: assistant, accountant, applicant, attendant, consultant, etc.


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-er: worker, driver, employer, manager, painter, etc.
-or: actor, spectator, supervisor, visitor, etc.

-ar: beggar, burglar, etc.
* The patient of the verb
-ee: employee, addressee, retiree, etc.
* The instrument of the verb
-age: carriage, package, etc.
-ant: pollutant, sealant, etc.
-er: computer, cooker, mixer, printer, recorder, etc.
2.4.1.1.2. Deadjectival nominalization
Adding suffixes to adjectives is another way to create nominalizations, which refer, among
other things, to:
* Abstract concepts having the quality described by the adjectives
-bility: ability, applicability, etc.
-ness: sadness, ugliness, weakness, etc.
- hood: falsehood, likelihood, etc.
- dom: boredom, freedom, wisdom, etc.
- ance, ence: dependence, difference, ignorance, etc.
- cy: accuracy, adequacy, infancy, etc.
-ity: creativity, curiosity, simplicity, etc.
* Persons having the quality described by the adjectives
-ist: extremist, modernist, nationalist, etc.
* Ideology, movement, tendency
- ism: modernism, capitalism, Marxism, nationalism, etc.
Apart from –er, the most frequent noun suffixes are all abstract: - tion, -ity, -ness, -ism,
-ment. In general, these suffixes are far more frequent and productive in academic writing
than in the other registers. (Biber et al. 1992: 90)
2.4.1.2. Zero derivational nominalization (conversion)
Another way to derive nouns from other word classes is known as conversion (or zeroderivation). In this case, no affix is added to the base but the base itself is converted into a


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different word class, usually from a verb or adjective into a noun. (Biber et al. 1992: 91).
The details will be presented in table 2.1 below:
Conversion
From

Base

meaning(s)
noun

Adjectives
(A)

hopefu
l

Someone who is A

Presidential hopefuls

white

Someone who is A
Someone that is A

They speak like the whites do in the
South.
You could see the whites of his eyes.

catch

Act of V-ing
Something that is V-ed
Something used for V-ing

He took a brilliant catch (sport).
They had a fine catch of fish.
He loosened the catch and opened the
window.

cheat

Someone who V-s

…accused him of being a cheat

walk

Act if V-ing
Way of V-ing
Place for V-ing

We can go for a walk later
The walk of a gentleman
The walk stretched for 154miles

Verbs (V)

of

converted

example of converted noun

Table 2.1: Converted nouns
(Source: Biber et al. 1992: 91)

2.4.2. Clausal nominalization
Clausal nominalization is a process by which a prototypical verbal clause […] is converted
into a noun phrase (Givón, 1990: 498) cited in (Carmen, 2008). According to Givón (1990:
498), clausal nominalization refers to any finite or non-finite clause which functions as a
nominal clause. Meanwhile, nominal clauses are also called complement clauses because
they often occupy a noun phrase slot in a clause such as subject, object or predicate. (Biber
et al. 1992: 308).
There are four major types of complement clauses: that-clauses and wh-clauses are finite
complement clauses; to-clauses and ing-clauses are non-finite complement clauses. All
four of the main types can complement both verbs and adjectives.
2.4.2.1. That-clauses
That-clauses are finite. Therefore, they are marked for tense and modality, and they have a
subject. For example,


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(1) I think Stuart’s gone a bit mad.
(2) The truth is that the country is now specializing more in processing and marketing.
(3) It is virtually important that both groups are used to support one another.
2.4.2.1.1. Discourse functions of that-clauses
a. Post-predicate that-clauses

That-clauses in post-predicate position are by far the most common type of that-clauses.
They account for over 80 percent of all that-clauses. These that-clauses typically report the
speech and thought of humans. The subject of the main clause usually refers to a person,
the main clause verb presents the type of reporting. These structures are common in fiction
and news and also conversation.
•

Grammatical patterns

There are three major grammatical patterns for verbs that take a that-clause in postpredicative position.
 Pattern 1: Verb + that-clause (eg: agree, ask)
I didn’t agree that he should be compelled to do singing.
 Pattern 2: Verb + NP + that-clause (eg: tell, persuade)
I persuaded (myself) that something awful might happen.
 Pattern 3: Verb + to NP + that-clause (eg: suggest)
I suggested (to Mrs Kerrison) that she sit down on the chair and wait.
•

Verbs controlling post-predicate that-clauses

- Mental verbs: mental verbs are very common with that- clauses, reporting various mental
states and attitudes such as know, think, guess, see, find, believe, mean, suppose, feel,
realize, hear, hope, assume… Mental verbs are less common with that-clauses in academic
prose, because academic writers usually do not mark the reports of personal thought
explicitly.
- Speech act and other communication verbs: some common verbs such as: say, show,
suggest, ensure, and indicate. While the verb say is extremely common in news and
conversation, some verbs such as show, suggest, ensure and indicate are used quite

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frequently in academic prose because these verbs are often used with a non- personal
subject.
•

Adjectives controlling post-predicate that-clauses

Some adjectives controlling post-predicate that-clauses are:
- Certainty: certain, confident, sure, positive, etc.
- Emotive adjectives: afraid, angry, annoyed, hopeful, glad, etc.
b. Subject predicate that-clauses
When a that-clause serves as subject predicative to a copular verb it usually has one of
three functions.
- Describe a problem of some kind: (The problem is that ….)
- Present reasons, results, or conclusions: (Our first conclusion at this point was that….)
- Present accepted truths or facts: (The truth is that….)
c. Extraposed that-clauses
Extraposed that-clauses often involve a main clause that reports an attitude or stance
without attributing it to anybody. Usually they show the attitude of the speaker or writer of
the text, but the author does not assume direct responsibility. Extraposed that-clauses are
used primarily in news and academic prose. That-clause usually has a non-human subject,
and reports a state or relationship in an impersonal manner.
Eg: It is certain that the challenges ahead are at least as daunting as anything the cold
war produced.
•

Verbs controlling extraposed that-clauses

The copula be is the most common verb controlling this type of clause. Some other such as

seem, appear, follow, etc. (It now appears that I will be expected to part with a further
portion of my income.)
•

Adjectives controlling extraposed that-clauses

Some common adjectives controlling extraposed that-clauses are: clear, (un)likely,true…
Others include: - Certainty: certain, doubtful, evident, obvious, etc.
- Emotion or evaluation: amazing, curious, disappointing, good, great, etc.


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- Importance: critical, essential, important, necessary, vital, etc.
2.4.2.2. Wh-clauses
There are three basic types of wh- complement clauses: Interrogative clauses, nominal
relative clauses and exclamatives. Interrogative clauses and nominal relative clauses use
the same wh- words, except that whether is used only with interrogatives. Exclamative wh
– clauses begin with how or what. For example,
(1) Jill was asking what happened. (Interrogative clauses)
(2) What baffles me is how few of them can spell. (Nominal relative clauses)
(3) He still remembered how wonderful it had been. (Exclamatives)
2.4.2.2.1. Structure and functions of Wh-clauses
a. Wh-clauses controlled by verbs
•

Post-predicate wh-clauses

With verbs, wh-complement clauses often occur in object position. For example,
 Grammatical patterns:

- Pattern 1: verb + wh-clause (eg, know, remember, see, etc.)
I don’t know what they are
- Pattern 2: verb + NP + wh-clause (eg, ask, show, tell, etc.)
I didn’t tell (you) what Emma thought.
 Verbs controlling wh-clauses
There are four types of verbs that are most common with wh-clauses.
-

Mental verbs: know, think, remember, understand, guess, realize, find (out)

-

Speech act verbs: tell, ask, say, explain

-

Other communication verb: show

-

Perception: see, look(at)

Wh-clauses are generally less common in academic prose. However, there are some mental
and communication verbs that are particularly useful with wh-clauses in academic prose
such as: discover, describe, and indicate.
•

Subject

Wh-clauses can also occur as subject. For example,

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How to read the record is the subject of much of this book.
•

Subject predicatives

Wh-clauses also occur as subject predicatives. These structures are particularly common in
conversation with the demonstrative pronoun that as subject, and the copula contracted to
‘s. for example: That’s what I am saying.
b. Wh-clauses as complements of adjectives and prepositions
•

Wh-clauses can also follow adjectival predicates. For example,

I am not sure when it’s open for anybody.
•

Unlike that-clauses, wh-clauses can be the complement of a preposition or the
object of a prepositional verb. For example,

She was amazed at how exhausted she was.
2.4.2.3. To-clauses
In general, infinitive clauses are more common in the written registers than in
conversation. Infinitive complement clauses serve a wide range of functions. They report
speech, mental states, intentions, desires, efforts, perceptions, and other general actions.
They usually occur in post predicate position although they can also occur in subject
position and in extraposed constructions.

2.4.2.3.1. Post predicate to-clauses controlled by verbs
a. Grammatical patterns
There are five major grammatical patterns for post – predicate infinitive clauses following
a verb:
•

Pattern 1: verb + to- clause (eg, try, hope)

I am trying to get away early.
•

Pattern 2: verb + NP + to – clause (eg, tell, believe, enable, expect)

It enables (the farmer) to maintain uniform and near constant condition in the house.
•

Pattern 3: verb + for NP + to- clause (eg, ask, love, arrange, wait)

Hire a Daily Mirror van and wait for Mrs John to arrive.
•

Pattern 4: verb + bare infinitive clause (eg, dare, help, let)


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It could have helped clarify a number of issues.
•

Pattern 5: verb + NP + bare infinitive clause (eg, have, feel, make, help, see)

I will have Judy do it.
b. Verbs controlling post predicate to-clauses
•

For speech act and other communication verbs: ask, prove, promise, tell, warn, etc.

•

For cognition verbs: learn, expect, find, understand, etc.

•

For perception verbs: see, feel, hear, watch, etc.

•

For verbs of desire: hope, like, need, want, etc.

•

For verbs of intention or decision: agree, decide, intend, mean, prepare, etc.

•

For verbs of modality or caution: get, allow, enable, require, etc.

•

For verbs of effort: attempt, fail, manage, try, etc.

•

For verbs of probability or simple fact: appear, seem, tend, etc.

c. Adjectives controlling post predicate to-clauses
The adjectives that control to-clauses fall into five semantic categories
•

Degree of certainty: certain, sure, etc.

•

Ability or willingness: anxious, careful, eager, ready, etc.

•

Emotion or stance: afraid, amazed, angry, happy, etc.

•

Ease or difficulty: awkwark, (un)pleasant, (im)possible, etc.

•

Evaluation: bad, brave, careless, crazy, etc.

2.4.2.3.2. Subject predicative to-clauses
To- clauses acting as subject predicatives are relatively common in the written registers.
They occur after a copula verb and identify the subject of the main clause. They subject is

typically abstract. There are four major uses of subject predicative to-clauses:
•

Framing points in a discussion

•

Introducing an aim, objective, plan, goal, purpose, strategy, task, or idea

•

Introducing a methodology

•

Making a balanced sentence structure when a to-clause is also subject of the main
clause


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2.4.2.3.3. Extraposed to-clauses
There are few verbs that control extraposed to-clauses. The most common is copula be
combined with a subject predicative noun phrase or prepositional phrase. For example,
It is still an adventure to travel down the canyon of the Colorado river in a small boat.
Although extraposed to-clauses controlled by verbs are rare, there are many adjectives that
can control extraposed to- clauses. For example: It’s not safe to run down there
2.4.2.3.4. Subject to-clauses
Subject to- clause are rare in all registers. When they do occur, they are used primarily in
academic prose. In almost all cases, subject to- clauses are used for given information,

creating cohesion with the previous discourse.
To take away the profits of crime is one thing; to seize the assets that have no connection
with crime is another.
2.4.2.3.5. To-clauses across registers
The distribution of to-clause type reflects their different discourse functions. The details
will be presented in the table 2.2 below:
CONV

FICT

NEWS

ACAD

Post – predicate to- clause
complementing a verb

Common

Very common

Very
common

Common

Post – predicate to- clause
complementing an adjective

Rare

Moderately common

Common

Moderately
common

Extraposed
toclause Rare
complementing an adjective

Rare

Relatively
rare

Rare

Extraposed to – clause
complementing an adjective

Rare

Moderately common

Moderately
common

Common

Subject to- clause

Rare

Rare

Rare

Rare

Subject predicate to- clause

Rare

Moderately common

Moderately
common

Moderately
common

Table 2.2: Types of to-clause complements across registers
(Source: Biber et al. 1992: 343)
2.4.2.4. Ing-clauses


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Like that-complement clauses and to-complement clauses, ing-complement clauses serve a
wide range of functions. They are used most often with verbs like begin, start, and stop,
etc to convey aspect, but they are also used to report speech acts, cognitive states,
perceptions, emotions, and other actions. Overall, ing-clauses are more common in the
written registers than in conversation. Ing-clauses can occur in post- predicative position,
subject position and subject predicative position.
2.4.2.4.1. Post predicate ing-clauses
a. Grammatical patterns for ing-clauses controlled by verbs
•

Pattern 1: verb + ing-clause (eg, begin, remember,etc.)

I remember reading this book.
•

Pattern 2: verb + NP + ing-clause (eg, see, find)

Don’t be surprised to find (me) sitting on the tee in the lotus position.
•

Pattern 2a: verb + possessive determiner +ing-clause

And may be you won’t mind (my) saying that you’re getting a little old for studying.
•

Pattern 3: prepositional verb + ing-clause

We were thinking of bringing our video camera.
b. Verbs controlling ing-clauses
The most common verbs controlling ing-clauses are verbs of aspect or manner such as

keep, start, go on, stop, etc.
Some other kind of verbs occur with moderate frequencies controlling ing- clauses such as
•

Communication and speech act verbs give indirect report of statements

•

Cognition verbs tell of a mental state or process

•

Stance verbs tell the speaker/ writers’ feelings or attitudes towards the idea

c. Adjectives controlling ing-clauses
Most adjectives that control ing-clauses express a personal feeling or attitude, or some
evaluation of the idea in the ing-clause. (I am sorry about being in a mood Saturday.)
2.4.2.4.2. Subject position
Ing-clauses can also occur in subject position:
Reflecting on this and related matters took him past his stop and almost into Dinedor itself.


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2.4.2.4.3. Subject predicative position
They can also occur as subject predicatives: Sometimes being loud is being obnoxious.
In conlusion, this part has discussed four types of complement clauses: that-clauses, whclauses, to-clauses and ing-clauses. In many ways, the types are interchangeable: each type
can complement verbs and adjectives, and each type occurs in several positions. Overall,
that-clauses and to-clauses are more than twice as common as wh-clauses and ing-clauses.
Finite complement clauses (that-clauses and wh-clauses) are most common in

conversation, followed by fiction. They are relatively rare in academic prose. However,
academic prose shows a moderately frequent use of communication verb such as show,
ensure, and indicate. These verbs are often used with a non personal subject. Non-finite
complement clauses (to-clauses and ing-clauses) are most common in fiction, followed by
news and academic prose. They are relatively rare in conversation.
2.5. Concluding remarks
This chapter has been concerned with the examination of the nature of nominalization. Its
major points may be summarized as follows:
- The nature of nominalization is the drift toward “thingness”. It is the grammatical process
by which a verb, a verb phrase, a sentence or a portion of a sentence including the verb
function as a noun phrase” (Thompson, 1982: 575).
- As the single most powerful resource for creating grammatical metaphor, one important
function of nominalization is encapsulation. Besides, nominalization helps create the sense
of objectivity and adds another semantic dimension to what already exists in the congruent
form. The use of nominalization has changed people's perception of the world, or the world
of experiences and makes the text more ambiguous.
- Nominalization can be divided into two types: lexical and clausal nominalization. There
are two subtypes named derivational nominalization and conversion existing in the first
type. In the second type-clausal nominalization, there are four subtypes of complement
clauses: that-clauses, wh-clauses; to-clauses and ing-clauses.

CHAPTER 3