29 43

UNIT 29
DISCOURSE ANALYSIS AND ARTICULATION. COHESION

AND COHERENCE. ANAPHORA AND CATAPHORA.
CONNECTORS. DEIXIS.
OUTLINE
1. INTRODUCTION.
1.1. Aims of the unit.
1.2. Notes on bibliography.
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS AND ARTICULATION OF

DISCOURSE.
2.1. On defining the term discourse.
2.2. Related notions.
2.2.1. The notion of text linguistics.
2.2.2. Sentence vs. Utterance.
2.2.3. Speech acts.
2.2.4. Communicative context.
2.3. On defining discourse analysis.
2.3.1. The seven standards of textuality.
2.3.2. The role of syntax, semantics and pragmatics.
2.3.3. Oral vs. written discourse.
2.3.4. The analysis and articulation of discourse.
3. COHESION.
3.1. Definition.
3.2. Types of cohesive devices.
3.2.1. Grammatical devices.
3.2.1.1. Substitution.
3.2.1.2. Ellipsis.
3.2.1.3. Reference: anaphora, cataphora and deixis.
3.2.1.4. Conjunctions.
3.2.2. Lexical devices.
3.2.3. Graphological devices.
4. COHERENCE.
4.1. Definition.
4.2. Main features.
5. EDUCATIONAL IMPLICATIONS IN LANGUAGE TEACHING.

5.1. The Communicative Approach: a basis for discourse analysis.
5.2. New directions in discourse analysis.
6. CONCLUSION.
7. BIBLIOGRAPHY.
1/33
1. INTRODUCTION.
The main aim of Unit 29 is to examine discourse analysis and its articulation by means of such
devices as anaphora and cataphora, connectors and deixis. Our aim is to offer a broad account in
descriptive terms of the notion of discourse and discourse analys is and its importance in society,
and especially, in the language teaching community, from its origins to present-day studies. This
presentation will start by offering the most relevant bibliography in this field as a reference for the
reader, and by presenting our study in six chapters.
Chapter 2 will offer an account of the analysis and articulation of oral and written discourse, it is
relevant to introduce first a theoretical framework which shall develop our understanding of central
concepts related to their linguistic nature. So we shall review (1) the definition of the term
discourse, (2) related notions such as (a) the notion of text linguistics, (b) sentence vs. utterance,
(c) a definition of speech act and (d) the notion of communicative context in order to frame (3) the
definition of discourse analysis and its main features, such as (a) the seven standards of textuality,
(b) the role of syntax, semantics and pragmatics, (c) general considerations in oral and written
discourse and finally, (d) the main elements in the analysis and articulation of discourse.
Chapters 3 and 4 will offer then an insightful analysis and description of the elements in the
analysis and articulation of discourse, that is, cohesion and coherence respectively. Chapter 5 will
be devoted to present the main educational implications in language teaching regarding discourse
analysis. So, we shall examine the model for a Communicative Approach which is considered to be
a basis for discourse analysis and new directions in this respect. Chapter 6 will offer a conclusion
to broadly overview our present study, and Chapter 7 will include all the bibliographical references
used to develop this account of discourse analysis.
An influential introduction to the analysis of discourse is based on relevant works of Cook,

Discourse (1989); van Dijk, Text and Context (1984); Brown and Yule, Discourse Analysis (1983)
and notes on the articulation of discourse regarding cohesion and coherence are namely taken from
2/33
Beaugrande and Dressler, Introduction to Text Linguistics (1988) and, still indispensable, Halliday
and Hasan, Cohesion in English (1976). Classic works on the influence of semantics, pragmatics
and sociolinguistic on discourse analysis, include van Dijk, Studies in the Pragmatics of Discourse
(1981); Hymes, Communicative Competence (1972) and Foundations in Sociolinguistics: An
Ethnographic Approach (1974); Halliday, Explorations in the Functions of Language (1975)and
Spoken andWritten Language (1985); and Searle, Speech Act (1969).
The background for educational implications is based on the theory of communicative competence
and communicative approaches to language teaching are provided by Canale, From Communicative
Competence to Communicative Language Pedagogy (1983); Canale and Swain, Theoretical bases
of communicative approaches to second language teaching and testing (1980); Hymes, On
communicative competence (1972). In addition, the most complete record of current publications
within the educational framework is provided by the guidelines in B.O.E. (2002); the Council of
Europe, Modern Languages: Learning, Teaching, Assessment. A Common European Framework of
reference (1998); Hedge Tricia, Teaching and Learning in the Language Classroom (2000); and
Celce-Murcia & Olshtain, Discourse and context in language teaching (2000). New directions on
language teaching is provided by the annual supplement of AESLA 2001 (Asociacin Espaola de
Lingstica Aplicada).
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS AND ARTICULATION OF

DISCOURSE.
In order to offer an account of the analysis and articulation of oral and written discourse, it is
relevant to introduce first a theoretical framework which shall develop our understanding of central
concepts related to their linguistic nature. So we shall review (1) the definition of the term
discourse, (2) related notions such as (a) the notion of text linguistics, (b) sentence vs. utterance,
(c) a definition of speech act and (d) the notion of communicative context in order to frame (3) the
definition of discourse analysis and its main features, such as (a) the seven standards of textuality,
(b) the role of syntax, semantics and pragmatics, (c) general considerations in oral and written
discourse and finally, (d) the main elements in the analysis and articulation of discourse.
3/33
2.1. On defining the term discourse.
The term discourse comes into force when we deal with the highest grammatical level of analysis
in the rank scale, that is, paragraphs and texts, which are considered to be larger stretches of
language higher than the sentence (Aarts, 1988). At this level, language does not occur in solitary
words or sentences (simple, complex and compound) in grammatical terms, but in sequences of
sentences, that is, utterances in terms of meaning and use in connected discourse. Then we shall
deal with sequences of utterances which interchange in order to establish relations of social
interaction either in spoken or written language in communicative events (utterance pairs and
responses in letters, greetings and telephone conversations).
Discourse then represents the complex picture of the relations between language and action in
communicative contexts which account for the functions of utterances with underlying textual
structures (van Dijk, 1981). The origins of the term are to be found within the fields of
sociolinguistics and pragmatics, which had a rapid growth in the 1970s: the former confronting with
data and problems of actual language use, the latter introducing the notions of speech acts, felicity
conditions and context. This means that semantic coherence of sentence sequences should be
complemented with coherence at the pragmatic level of speech act sequences.
Hence it must be borne in mind that a pragmatic theory cannot be limited to an account of single
speech acts, expressed by single sentences, but also must explain the structure of speech act
sequences and general speech acts, realized by sequences of sentences of discourse and
conversation. Yet, following van Dijk (1981), a speech act is accomplished by an utterance in some
context, and such an utterance does not necessarily consist of one single sentence. In other words, a
pragmatically text grammar should specify the conditions under which whole discourses, when
uttered in some context, could be said to be appropriate with respect to that context.
2.2. Related notions.
Up to here, we have encountered some notions which need to be examined in order to fully
understand our current analysis on the pragmatics of discourse, thus (1) text linguistics, (2)
sentence vs. utterance, (3) speech acts and (4) communicative context.
4/33
2.2.1. The notion of text linguistics.
The notion of text linguistics designates any work in language science devoted to the text as the
primary object of inquiry (Beaugrande & Dressler, 1988). In fact, many fields have approached the
study of texts: linguistics (from grammar, morphology and phonology), anthropology (different
speech acts in different cultures), psychology (speaker and hearer behaviour), stylistics (correctness,
clarity, elegance, appropriateness, style), literary studies (text types) and so on, but the most
important fields are sociology (which explores conversational studies and gives way to discourse
analysis), semantics (coherence, cohesion, connectors) and pragmatics (speech acts, contexts) which
shape the text into a pragmatic coherent structure (van Dijk, 1984).
Yet, the oldest form of preoccupation with texts and the first foundation for the analysis of texts and
its articulation is drawn from the notion of text linguistics which has its historical roots in rethoric,
dating from Ancient Greece and Rome through the Middle Ages up to the present under the name
of text linguistics or discourse. Traditional rethoricians were influenced by their major task of
training public orators on the discovery of ideas (invention), the arrangement of ideas (disposition),
the discovery of appropriate expressions for ideas (elocution), and memorization prior to delivery
on the actual occasion of speaking.
In the Middle Ages, rethoric was based on grammar (on the study of formal language patterns in
Greek and Latin) and logic (on the construction of arguments and proofs). Rethoric still shares
several concerns with the kind of text linguistics we know today, for instance, the use of texts as
vehicles of purposeful interaction (oral and written), the variety of texts which express a given
configuration of ideas, the arranging of ideas and its disposition within the discourse and the
judgement of texts which still depends on the effects upon the audience.
2.2.2. Sentence vs. utterance.
As stated above, language does not occur in solitary words or sentences but builds texts in
sequences of sentences. This means that a sentence is defined in grammatical terms, that is, it is
considered to be the highest unit in the rank scale (either simple, complex or compound), and also
to be indeterminate since it is often difficult to decide where one sentence begins and another start
(partic ularly in spoken language). Yet, an utterance is defined in terms of meaning and use in
5/33
connected discourse, that is, in terms of its communicative function. We can say an utterance is a
stretch of language (oral or written) which may vary in extension from a single word to a whole
book.
2.2.3. Speech acts.
The speech act theory holds that the investigation of structure always presupposes something about
meanings, language use and extralinguistic functions. One of the speech acts basic characteristics is
undoubtely the establishment of a special kind of social interaction between speaker and hearer
where the former tries to change the mind of the actions of the hearer by producing an utterance,
oral or written. We may classify the intention of the speaker (statements, questions, commands and
exclamations) according to the kind of sentences he states (declarative, interrogative, imperative or
exclamative respectively).
Similarly, we can relate the type of intention to the utterance type, that is, the speech act used
depending on its purpose and language function. According to Searle (1969) speech acts (and
therefore purposes) are divided into assertives (to tell people how things are by stating); directives
(to try to get people to do things by means of commanding and requesting); expressives (to express
our feelings and attitudes by thinking, forgiving, or blaming); declaratives (to bring about changes
through our utterances by means of bringing about correspondence between the propositional
content and reality, through baptizing, naming, appointing or sacking); and finally, commissives (to
commit ourselves to some future actions by promising and offering).
2.2.4. Communicative context.
This sequence of utterances usually takes place in a communicative context. The term context is
defined as the state of affairs of a communicative situation in which communicative events take
place (van Dijk, 1981). A context must have a linguistically relevant set of characteristics for the
formulation, conditions and rules for the adequate use of utterances, for instance, it must be
appropriate andsatisfactory for the given utterance.
6/33
The notion of context is rather static when it is merely used to refer to a state of affairs. Hence we
may introduce the term communicative so that an event may be successful if a given context
changes into a specific new context (i.e. speaking face to face vs. speaking on the phone). Generally
speaking, we may say that conditions for morphonological, syntactic and sematic well-formed
utterances may change from oral contexts to written ones. Thus utterances which are formally
appropriate with respect to their contexts, may not be actually acceptable in concrete
communicative situations, and conversely.
2.3. On defining discourse analysis.
The term discourse analysis is also called the study of conversation. As stated above, the
integration of sociology is of vital importance to a science of texts since it has developed an
interest in the analysis of conversation as a mode of social organization and interaction
(Beaugrande & Dressler, 1988). Many studies have been conducted on how people take turns in
speaking and on the mechanisms which combine texts as single contributions into discourses as
sets of mutually relevant texts directed to each other.
In the present section we shall review the main features in the analysis of discourse analysis: (1) the
seven standards of textuality, (2) the role of syntax, semantics and pragmatics, (3) general
considerations in oral and written discourse and finally, (4) the main elements in the analysis and
articulation of discourse.
Discourse analysis reveals then major factors about the standards of textuality (either oral or
written) by exploring first, two semantic standards: cohesion (how the components of a surface
text are mutually connected within a sequence) and coherence (how the concepts and relations
which underlie the surface text are mutually accessible and relevant); second ly, pragmatic standards
such as the attitudes of producers by means of such devices as intentionality (the goal-directed use
of conversation) and receivers by means of acceptability (inmmediate feedback), and also
informativity (the selection of contributions to conversation).
7/33
The communicative setting is described in terms of situationality (particularly direct
communicative context; intonation contours) and intertextuality (text types in operation, that is,
how to frame your text in regard to other peoples texts in the same discourse). Moreover, the
regulative principles of efficiency, effectiveness and appropriateness can immediately regulated any
disregard for the demands in the text.
2.3.2. The role of syntax, semantics and pragmatics.
For many years, syntax and semantics were studied with little regard for the ways people used
grammar and meaning in communication and the use of language was relegated to the field of
pragmatics. Nowadays, the questions of use (pragmatics) are freely treated in syntax and semantics
and the notions of cohesion and coherence, usually related to semantics, can be also helpful
when studying a text only if they deal with how connections and relations are actually set up among
communicative contexts.
Then in a text pragmatics explores the attitudes of producers by means of such devices as
intentionality (the goal-directed use of conversation) and receivers by means of acceptability
(inmmediate feedback), and informativity (the selection of contributions to conversation). In
addition, the communicative setting is described in terms of situationality (particularly direct
how to frame your text in regard to other peoples texts in the same discourse).
On the other hand, semantics explores the relationship between syntactic structures (and therefore
grammatical categories building phrases, sentences and clauses) and the logical relationship
between them in a text by means of coherence and cohesion, having as a result the whole text under
the shape of a pragmatic coherent discourse.
2.3.3. Oral vs. written discourse.
According to Rivers (1981), writing a language comprehensibly is much more difficult tha n
speaking it. When we write, she says, we are like communicating into space if we do not know the
recipient of our piece of writing, whereas when we communicate a message orally, we know who is
8/33
receiving the message. We are dealing here once again with a traditional division of language into
the two major categories of speech and writing.
We observe that both categories, speaking and writing, share similar features as well as differ in
others regarding the nature of each category. Following Byrne (1979), we can establish similar
resources for both speaking and writing at a linguistic level, thus on its grammar and lexis, but not
to the extent to which some resources apply directly to the nature of the two channels. Thus, as
speech is the language of immediate communication, most linking devices will also occur in the
spoken language although less frequently than in writing where they are essential for the
construction of a coherent text.
Therefore, we shall namely focus on the construction of longer texts and their coherence, cohesion
and effectiveness. When examining writing (as the way of making contact at a distance), we cannot
forget graphological devices which compensate for the absence of oral feedback and paralinguistic
devices that exist in oral communication. Then, we shall concentrate on cohesion and coherence as
they establish intrasentential and intersentential links in written and oral discourse.
There are also at least three more regulative principles that control textual communication: the
efficiency of a text is contingent upon its being useful to the participants with a minimum of effort;
its effectiveness depends upon whether it makes a strong impression and has a good potential for
fulfilling an aim; and its appropriateness depends upon whether its own setting is in agreement with
the seven standards of textuality (Beaugrande & Dressler, 1988).
2.3.4. The analysis and articulation of discourse.
The analysis and articulation of discourse was virtually limited to relations within the sentence up to
the third quarter of this century. It was thought that relations beyond the sentence involved a
complex interplay of linguistics with other concerns such as rhethoric, aesthetics, and pragmatics.
However, literary critics and social anthropologists began to shed light on this issue from the
constructs evolved by de Saussure, the Prague School, and other linguists whose work extended and
embraced stylistics and other aspects of textual studies .
9/33
In the following sections then we shall approach the analysis and articulation of discourse from the
disciplines of syntax, pragmatics and namely semantics, together with a grammatical approach
when necessary on morphonological and phonological features. Hence in this chapter we shall only
analyse two of the seven standards of textuality: cohesion and coherence. We shall start by offering
(1) an analysis of cohesion where we shall include the concepts of anaphora, cataphora, connectors
and deixis (following Halliday & Hassan, 1976) and then (2) a brief analysis of coherence.
3. COHESION.
3.1. Definition.
The term cohesion concerns the ways in which the components of the surface text (the actual
words we hear or see) are mutually connected within a sequence of utterances (Beaugrande &
Dressler, 1988), that is, intra-text linking devices are connected to extra -textual reference. The notion
of cohesion is expressed through the stratal organization of language which can be explained as a
multiple coding system comprising three levels of coding: the semantic one (meanings), the
lexicogrammatical (forms: grammar and vocabulary) and the phonological and orthographic one
(expressions: sounding and writing).
Moreover, Halliday and Hasan, in their ground-breaking work Cohesion in English (1976),
described cohesion as a semantic concept that refers to relations of meaning that exist within a
text. In other words, it is a semantic relation between an element in the text and some other element
that is crucial to the interpretation of it. These two elements are defined as the presupposing and
the presupposed. Both of them may be structurally related to each other or may be not. The first
elements may be found in the text but its location in the text is in no way determined by the second
element.
It must be borne in mind that in spoken English certain types of grammatical cohesion are in their
turn expressed through the intonation system (i.e. Did she hurt your feelings? She didnt mean to).
In this example, the second sentence not only shows the cohesive device of ellipsis with She didnt
mean to but also with by the ellipsis of conjunction since the adversative meaning of but is
expressed by the rising-falling tone.
10/ 33
3.2. Types of cohesive devices.
Cohesion has been a most popular target for research, and it is well known its relation to the second
of the textuality standards, coherence. Since cohesive markers are important for the understanding
of oral and written texts, all speakers make extensive use of them, for example in order to enhance
coherence, but also for reasons of economy (e.g. saving time and alleviating conceptual work load
by using anaphoric devices like generalisations and pro-forms).
Since cohesion is expressed partly through the grammar and partly through the vocabulary, we find
two main types of cohesive devices considered as general categories of cohesion: grammatical
cohesion (substitution, ellipsis, conjunction, reference) and lexical cohesion (reiteration,
collocation). Yet, we shall include in our study a third type that, although last is not the least. We
refer to graphological devices (orthography, punctuation, headings, foot notes, tables of contents
and indexes) since most of them deal with form and structure of different types of texts, and are part
of the semantic relations established in a text.
3.2.1. Grammatical cohesion.
Thus the concept of cohesion accounts for the essential semantic relations whereby any passage of
speech or writing is enabled to function as text. It is within grammatical cohesion that we find
different types of relations: substitution, ellipsis, conjunction and reference. Note that the first two
items are not included in the title of this study, but the rest makes reference to the terms anaphora
and cataphora, connectors and deixis. It is relevant to mention first that anaphora and cataphora
will be examined under the heading of reference , connectors under the heading of conjunction and
finally, deixis as a subtype of reference and ellipsis.
3.2.1.1. Substitution.
The cohesive device of substitution is very similar to that of ellipsis. These two cohesive
relations are thought of as processes within the text: substitution as the replacement of one item by
another, and ellipsis as the omission of an item. Essentially the two are the same process since
11/ 33
ellipsis can be interpreted as that form of substitution in which the item is replaced by nothing,
that is, simply substitution by zero (Halliday & Hasan, 1976). However, the mechanisms involved
in the two are rather different, and also, at least in the case of ellipsis, fairly complex, so we shall
devote a section to each. Similarly, substitution is different from reference in that the former is a
grammatical relation whereas the latter is a semantic one.
We may find different types of substitution which are defined in grammatical terms rather than
semantically. The criterion is the grammatical function of the substitute item so the substitute may
function as a noun, a verb, or as a clause. To these, according to Halliday & Hasan (1976),
correspond the three types of substitution: nominal (one, ones, same), verbal (do), and clausal (so,
not):
First, within nominal substitution, the substitute one/onesalways functions as Head of a

nominal group, and can substitute only for an item which is itself Head of a nominal group
(i.e. I like those white boots-Which ones?). Note that the substitute may differ from the
presupposed item in number (i.e. (At the library) I will take this book, and... this one, too).
In addition, it is relevant to ment ion that the word one may also function as personal
pronoun (i.e. One never knows what may happen), cardinal number (i.e. He made one very
good point), indefinite article (i.e. Are there any biscuits in the box? -Yes, I can see some at
the bottom), as a pro-noun (i.e. The ones she really loves are her cousins).
Other related items are the word the same (i.e. John sounded really sorry-Yes, Mary
sounded the same) and general nouns such as thing, person, creature (i.e. This thing never
works-Dont worry, my old one is also hopeless).
Secondly, verbal substitution . The verbal substitute in English is the verb do, which
operates as head of a verbal group, in the place that is occupied by the lexical verb and is
always placed at the end of the sentence (i.e. The words didnt come easily as they used to
do). Here the verb do is the substitute for the verb come. Yet, verbal substitution
regularly extends across sentence boundaries.
In addition to functioning as the verbal substitute, the verb do may occur in other contexts.
For instance, in Modern English it appears as lexical verb (i.e. I have work to do, lets do
12/ 33
the accounts), general verb (i.e. It does no harm), as a pro-verb (i.e. What was she doing?-
She wasnt doing anything) and verbal operator (i.e. Does she sing?-No, she doesnt).
Finally, we have clausal substitution and in this type, what is presupposed is not an element
within the clause but an entire clause. Usually the words used as substitutes are so and
not (i.e. Is there going to be an earthquake?-It says so/Have they failed?-I hope not).
There are three environments in which clausal substitution may take place: report. (in
reported clauses), condition (conditional clauses) and modality (modalized clauses).
First, in reported clauses, the presupposed element may be in the quoted form, that is, direct
speech (i.e. The trial cannot proceed, said he). Then the reported clause that is substituted
by so or not is always declarative, whatever the mood of the presupposed clause (i.e. He
said the trial could not proceed-Yes, I believe so/I hope not). There is no substitution for
interrogative or imperative, that is, indirect questions and commands.
Secondly, we find conditional structures which are frequently substituted by so and not
again, especially following if but also in other forms such as assuming so, suppose not
(i.e. Everyone seems to be innocent. If so, no doubt hell be condemned); and finally, so
and not may occur as substitutes for clauses expressing modality (i.e. May I give you a
call?-Well, perhaps not, said Anita).
3.2.1.2. Ellipsis.
As stated above, the cohesive device of ellipsis is very similar to that of substitution and,
therefore, is considered as a process. It is defined as the omission of an item or that form of
substitution in which the item is replaced by nothing, that is, simply substitution by zero
(Halliday & Hasan, 1976). The structural mechanisms involved in ellipsis are fairly complex and
hence, it shows different patterns from those of substitution. The discussion of ellipsis is related to
the notion that it is something left unsaid where there is no implication that what is unsaid is not
understood; on the contrary, unsaid implies but understood nevertheless, and another way of
referring to ellipsis is in fact as something understood meaning going without saying (i.e. She
brought some biscuits, and Cristine some fruit).
13/ 33
Like substitution, ellipsis is a relation within the text, and in the great majority of instances the
presupposed item is present in the preceding text, that is, in anaphoric relation. We may distinguish
two different structural possibilities in which ellipsis is a form of relation between sentences by
means of
First, nominal ellipsis, that is, ellipsis within the nominal group (i.e. He ate four oysters and
yet another four) where the modifying elements include some which precede the head and
some which follow it, as premodifier and postmodifier respectively (i.e. How did you enjoy
the show?-A lot (of the show). We may omit specific deictics, usually determiners
(demonstrative, possessive and definite article -the) as in The men got back at midnight.
Both were tired; non-specific deictics (each, every, all, both, any, ether, no, neither, some,
a) as in Have some wine-Where?I cant see any; post-deictics, usually adjectives (other,
same, different, identical, usual, regular, and so on) as in Ive used up your knife. Can I
have another?; numeratives, usually numerals or other quantifiying words (ordinals,
cardinals and indefinite quantifiers) as in Have another chocolate.-No, thanks; that was my
fourth; and finally, epithets, which are typically fulfilled by adjectives (comparatives and
superlatives) as in Apples are the cheapest in autumn).
Secondly, verbal ellipsis, that is ellipsis within the verbal group (i.e. Have you been
running? -Yes, I have). An elliptical verbal group presupposes one or more words from a
previous verbal group. In technical terms, it is defined as a verbal group whose structure
does not fully express its systemic features (finiteness: finite vs. non-finite, polarity:
positive vs. negative, voice: active vs. passive, tense: present vs. past vs. future).
3.2.1.3. Reference: anaphora, cataphora and deixis.
The third type of grammatical cohesion is reference, which is another well researched area within
linguistics. It is defined by Halliday & Hasan (1976) as the case where the information to be
retrieved is the referential meaning, the identity of the particular thing or class of things that is being
referred to; and the cohesion lies in the continuity of reference, whereby the same thing enters into
the discourse a second time (i.e. See how they eat! =where they may be three children, four
horses, etc).
14/ 33
As stated before, by contrast to substitution and ellipsis, reference is a semantic relation as well as
directional. This means that first, alike substitution and ellipsis (which were subjected to very strong
grammatical conditions, that is, for the substitute to be of the same grammatical class as the item for
which it substitutes), reference is not constrained to match the grammatical class of the item it refers
to.
Secondly, there is a logical continuity from naming through situational reference (referring to a
thing as identified in the context of situation) to textual reference (referring to a thing as identified
in the surrounding text) and hence a significant opposition in the system between pointing back
(anaphora) and pointing forwards (cataphora). Thus the direction may be anaphoric (with the
presupposed element preceding) or cataphoric (with the presupposed element following). The
typical direction as we shall see later is the anaphoric one. It is natural after all, to presuppose what
has already gone rather than what is to follow. Hence, in this case, situational reference would be
the prior form.
Thus, it is relevant to have a special term for situational reference, in other words, exophora or
exophoric reference (reference that must be made to the context of the situation) in contrast with
endophoric reference (reference that must be made to the text of the discourse itself). Then, if
endophoric, we may distinguish between anaphoric reference (referring to the preceding text) or
cataphoric reference (referring to the text that follows). Here we find the two items to be developed
in the title: anaphora and cataphora. Let us consider these in turn.
Anaphora.
First, anaphora is the cohesive device that uses a pro-form after the co-referring expression (i.e.
We asked Bob to sing a Christmas carol and so he sang). Anaphora is the most common
directionality for co-reference, since the identity of the conceptual content being kept current is
made plain in advance. Yet, anaphora may be troublesome if there is a lengthy stretch of text
before the pro-form appears. By then, the original elements could have been displaced from
active storage and other candidates may be mistakenly called (Beaugrande & Dressler, 1988).
Cohesion as we have said is not a structural relation, hence it is unrestricted by sentence

boundaries, and in its most normal form it is simply the presupposition of something that has
15/ 33
gone before, whether in the preceding sentence or not. This form of presupposition, pointing
back to some previous items is known as anaphora. This cohesive device places the identity of
someone or something at the beginning of the text (oral or written) and through the discourse it
is referred to by means of other grammatical categories such as pronouns (i.e. personal,
possessive, interrogative), adjectives (i.e. possessive, demonstrative) or other categories such as
determiners (the).
Cataphora.
So far we have considered cohesion purely as an anaphoric relation, with a presupposing item
presupposing something that has gone before it (Beaugrande & Dressler, 1988). But this
presupposition may go in the opposite direction, with the presupposing element following and
then we shall refer to as cataphora. In other words, it is the cohesive device which has forward
reference instead of back-reference by means of possessive, demonstrative, definite and
personal pronouns and adjectives, which are mentioned first and the identity of the person,
thing or place is revealed later through the discourse (i.e. Nobody knew them
Charlie soon became well-known at that place).
In this case, the presupposed element may, and often does, consist of more than one sentence.
Where it does not, the cataphoric reference is often signalled in writing with a colon: but
although this has the effect of uniting the two parts into a single orthographic sentence, it does
not imply any kind of structural relation between them. The colon is used solely to signal the
cataphora, this being one of its principal functions (Beaugrande & Dressler, 1988).
Types of reference: deixis.
As stated before, reference is the relation between an element of the text and something else
by reference to which it is interpreted in the given instance. The interpretation may take two
forms: either the reference item is interpreted through being identified with the referent in
question; or it is interpreted through being compared with the referent. In the former case,
where the interpretation involves identifying, the reference item functions as a deictic item
which is always specific.
16/ 33
gone before, whether in the preceding sentence or not. This form of presupposition, pointing
back to some previous items is known as anaphora. This cohesive device places the identity of
someone or something at the beginning of the text (oral or written) and through the discourse it
is referred to by means of other grammatical categories such as pronouns (i.e. personal,
possessive, interrogative), adjectives (i.e. possessive, demonstrative) or other categories such as
determiners (the).
Cataphora.
So far we have considered cohesion purely as an anaphoric relation, with a presupposing item
presupposing something that has gone before it (Beaugrande & Dressler, 1988). But this
presupposition may go in the opposite direction, with the presupposing element following and
then we shall refer to as cataphora. In other words, it is the cohesive device which has forward
reference instead of back-reference by means of possessive, demonstrative, definite and
personal pronouns and adjectives, which are mentioned first and the identity of the person,
thing or place is revealed later through the discourse (i.e. Nobody knew them but Rose and
Charlie soon became well-known at that place).
In this case, the presupposed element may, and often does, consist of more than one sentence.
Where it does not, the cataphoric reference is often signalled in writing with a colon: but
although this has the effect of uniting the two parts into a single orthographic sentence, it does
not imply any kind of structural relation between them. The colon is used solely to signal the
cataphora, this being one of its principal functions (Beaugrande & Dressler, 1988).
Types of reference: deixis.
16/ 33
However, they become anaphoric in quoted speech (specially in written la nguage
and narrative fiction). Personals referring to other roles (persons or objects other
than the speaker or addressee) are typically anaphoric, that is, deictic. This includes
he, she, it and they and also the third person component of we when present. So
far personal reference can be also achieved by cataphoric reference by means of
personal pronouns, which refer forward to succeeding elements to which they are
in no way structurally related (i.e. I would never have believed it. Theyve accepted
the whole scheme).
o Demonstrative reference.
Demonstrative reference is essentially a primary form of verbal pointing which may

be accompanied by demonstrative action, in the form of a gesture indicating the
object referred to (i.e. Pick this up!). So, the speaker identifies the reference by
locating it on a scale of proximity regarding place (here/there) or time (now/then) as
in Come here!/Come now! or This vs. That is a big garden=near vs. far. Thus we
find two subtypes: neutral (the) and selective (near, far, this, that, these, those, here,
there, now, then).
In the case of the demonstratives, there are certain differences in meaning between
the functions of modifier and head since a demonstrative functioning as head is
more like a personal pronoun (i.e. Thats my brother). Also, there are many
expressions containing a demonstrative that occur as adjuncts, usually at the
beginning of a clause (i.e. in that case, that being so, after that, at this moment, etc).
o Comparative reference.
Comparative reference may be described in terms of general and particular

comparison. When we refer to general comparison, we deal with comparison in
terms of likeness and unlikeness without respect to any particular property by
means of a certain class of adjectives and adverbs (i.e. identical, fast, good). The
adjectives function in the nominal group either as deictic (i.e. identity, similarity,
difference) or as epithet (comparatives). These items are called adjectives of
comparison and adverbs of comparison.
18/ 33
On the other hand, if we refer to particular comparison we compare in terms of
quantity and quality by means of adjectives and adverbs, too. The adjectives
function, as always, within the nominal group, but not as deictic. They function
either as numerative (more, so many, one, first) or as epithet (comparatives). The
same principles operate with comparison as with other forms of reference: it may be
anaphoric, and therefore cohesive, or it may be cataphoric or even exophoric.
3.2.1.4. Conjunctions.
Conjunction is a relationship which indicates how the subsequent sentence or clause should be
linked to the preceding or the following sentence or parts of sentence. This is usually achieved by
the use of conjunctions (included in the title of the unit). Frequently occurring relationships are
addition, causality and temporality. Subordination links works when the status of one depends on
that of the other, by means of a large number of conjunctive expressions: because, since, as, thus,
while , or therefore.
Conjunctive elements are cohesive not in themselves but indirectly, by virtue of their specific
meanings. They are not primarily devices for reaching out into the preceding (or following) text, but
they express certain meanings which presuppose the presence of other components in the discourse
as well as the text structure. With conjunction, then, we move into a different type of semantic
relation which is a specification of the way in which what is to follow is systematically connected to
what has gone before (Beaugrande & Dressler, 1988).
We may distinguish three varieties of presenting conjunctions in a text. First, conjunctive

expressions, second conjunctive relations and finally, other conjunctive items called continuatives.
First of all, conjunctive expressions involve the presence of a preposition which governs the
reference item (i.e. instead of, as a result of, in consequence). The resulting prepositional
group will then function as a cohesive adjunct and hence we distinguish three types of
conjunctive adjuncts:
19/ 33
o first, adverbs: simple adverbs (but, so, then, next), compound adverbs (ending in
ly: accordingly, actually) and compound adverbs (there/where-: therefore, whereat).
o Secondly, other compound adverbs (furthermore, anyway, besides, instead) and
prepositional phrases (on the contrary, as a result, in addition to).
o Finally, prepositional expressions with that or other reference item (as a result of
that, instead of that, in addition to that).
Secondly, conjunctive relations involve the phenomena we group under the heading of
conjunctions. There is no uniquely correct inventory of the different types of conjunctive
relations; on the contrary, different classifications are possible, each of which would
highlight different aspects of the facts grouped in four categories: additive (i.e. And in all
this time he said nothing), adversative (i.e. Yet he was aware of his own mistake), causal
(i.e. So he tried to apologize) and temporal (i.e. Then, as he thought, she didnt forgive him)
(Beaugrande & Dressler, 1988).
o First, additive conjunctions are embodied in the form of coordination. When are
considering cohesive relations, we can group them in the form of coordination, the
and type and the or type which can be in turn, positive or negative:
(1) Simple additive relations which are classified as (a) additive (and; and also, and
... too), (b) negative (nor; and ... not, not ... either, neither) and (c) alternative
(or; or else).
(2) Complex additive relations, also called emphatic, can be classif ied into (a)
additive (furthermore, moreover, additionally, besides that, add to this, in
addition, and another thing) and (b) alternative (alternatively).
(3) Complex additive relations, or also called afterthought which are de-emphatic
because they reduce the weight acorded to the presupposing sentence and to its
connection with what went before (incidentally, by the way).
(4) Comparative relations which can be (a) similar (likewise, similarly, in the same
way, in just this way) and (b) dissimilar (on the other hand, by contrast,
conversely).
(5) Finally, appositive relations which can be (a) expository (that is, I mean, in
other words, to put it another way) and (b) exemplificatory (for instance, for
example, thus).
20/ 33
o Secondly, adversative conjunctions refer to a relation that is contrary to
expectation, which may be derived from the content of what is being said, or from
the communication process, the speaker-hearer situation, so , as in the additive, we
find cohesion in the following cases:
(1) Proper adversative relations (meaning in spite of) are classified into (a) simple
(yet, though, only), (b) containing and (but) and (c) emphatic (however,
nevertheless, despite this, all the same).
(2) Contrastive relations (meaning as against) are expressed by means of avowal
(in fact, as a matter of fact, to tell the truth, actually, in point of fact).
(3) Corrective relations (meaning not...but) are classified into (a) correction of
meaning (instead, rather, on the contrary), (b) correction of wording (at least,
rather, I mean).
(4) Dismmissive adversative relations are those which are generalized adversative
relations (meaning no matter..., still) and are classified into (a) dismissal or
closed relations (in any/either case, any/either way, whichever) and (b)
dismissal or open-ended relations (anyhow, at any rate, in any case, however
that may be).
o Thirdly, causal relations are expressed by simple forms (so, thus, hence, therefore,
consequently, accordingly) and a number of expressions (as a result of that, in
consequence of that, because of that) which are regularly combined with initial
and (...and the consequence of his behaviour was terrible). They occur under
different positions, for instance, so occurs only initially unless following and
(i.e. They argued so he felt really bad); thus, like yet, occurs initially or in the
first part (i.e. Yet he didnt say anything); therefore has the same potentialities as
however, that is, initial position and between commas (i.e. They left early in the
morning. However, she didnt want to leave her city).
Under the heading of causal relations are included the specific ones of result (i.e.
He was fired from work. As a result, he got depressed), reason (i.e. On account of
this, he started to find another job) and purpose (i.e. With this intention, he joined a
charity organization). Then we find the following relations of the causal type:
21/ 33
(1) General causal relations (meaning because..., so) are classified into (a) simple
(so, thus, hence, therefore) and (b) emphatic (consequently, accordingly,
because of this).
(2) Specific causal relations such as (a) reason (for this reason, on account of this,
it follows from this, on this basis), (b) result (as a result of this, in consequence
of this, arising out of this) and (c) purpose (for this purpose, with this in
mind/view, with this intention, to this end).
(3) Reversed causal relations are simple items (for, because).
(4) Conditional relations (meaning if..., then) may be (a) simple (then), (b)
emphatic (in that case, that being the case, in such an event, under those
circumstances), (c) generalized (under the circumstances) and (d) reversed
polarity (otherwise, under the circumstances).
(5) Respective relations (meaning with respect to) may be (a) direct (in this
respect/connection, with regard to this, here) and (b) reversed polarity
(otherwise, in other respects, aside/apart from this).
o Finally, temporal conjunctions refer to the relation between the theses of two
successive sentences, which may be simply one of sequence in time (then): the one
is subsequent to the other (and then, next, afterwards, after that). We may establish
the following classification:
(1) Simple temporal relations are classified into (a) sequential (and then, next,
afterwards, after that, subsequently), (b) simultaneous (just then, at the same
time, simultaneously) and (c) preceding (earlier, before then/that, previously).
(2) Complex temporal relations can be (a) immediate (at once, thereupon, on
which, just before), (b) interrupted (soon, presently, later, after a time, some
time earlier, formerly), (c) repetitive (next time, on another occasion, this time,
on this occasion, the last time, on a previous occasion), (d) specific (next day,
five minutes later, five minutes earlier), (e) durative (meanwhile, all this time),
(f) terminal (by this time, up till that time, until then) and (g) punctiliar (next
moment, at this point/moment, the previous moment).
(3) Conclusive relations may be (a) simple (finally, at last, in the end, eventually).
(4) Sequential and conclusive relations are (a) sequential (first...then, first....next,
first...second...) and (b) conclusive (at first...finally, at first...in the end).
22/ 33
(5) Temporal relations can be (a) sequential (then, next, secondly) and (b)
conclusive (finally, as a final point, in conclusion).
(6) Temporal relations which involve correlative forms are (a) sequential
(first...next, first...then, first...secondly, in the first place...in the second place, to
begin with...finally, to conclude with) and (b) conclusive (finally, to conclude
with).
(7) Here and now relations (mainly used in reported speech) may refer to the (a)
past (up to now, up to this point, hitherto, heretofore), (b) present (at this point,
here) and (c) future (from now on, henceforward).
(8) Finally, summary relations may be (a) culminative (to sum up, in short, briefly)
and (b) resumptive (to resume, to get back to the point, anyway).
Finally, there are other ways of expressing conjunctive relations called continuatives.
Although these items do not express any particular conjunctive relation are nevertheless
used with a cohesive force in the text. They are grouped according to their particular
external relation (adversative, temporal and so on) or their internal relation (closely linked
to the external one). We refer to items such as
(1) now. If it is tonic, it is deictic and not cohesive (i.e. What are we doing now?).
However, if it is reduced, it means the opening of a new stage in communication, that
is, a new incident in the story, a new point in the argument, a new role or attitude being
taken on by the speaker and so on (i.e. Are you ready?-Now when I tell you, open your
eyes!).
(2) of course. If tonic, it means you should have known that already (i.e. Did you sign
your contract?-Of course). If not, it means I accept the fact (i.e. Everything is just as it
was!-Of course, it is). It is typically used to disarm someone into accepting something
the speaker knows he is likely to reject.
(3) well. This item usually occurs at the beginning of a response in a dialogue (i.e. Did
you enjoy the trip?- Well, I might say yes). In this case, it serves to indicate that what
follows is in fact a response to what has preceded and hence is purely cohesive in
function.
(4) anyway. Its use derives from its meaning under an adversative relation (i.e. No matter
if you dont want to visit her. I am going to see her anyway). In its tonic form, it has a
dismissive meaning (no matter under which circumstances), but if not, the meaning is
23/ 33
resumptive, that is, to come back to the point (i.e. She couldnt remember anything.
Anyway, it was not important).
(5) surely. When tonic, it invites the hearer to assent the proposition being enunciated by
demanding an answer (i.e. I wont go with you. Surely?). If not, it has what is
basically the cohesive equivalent of the same meaning, that is, am I right in my
understanding of whats just been said? (i.e. Theyll think you are mean. Nobody
will think that, surely).
(6) after all. In its tonic form, it means after everything relevant has been considered,
what remains is... (i.e. This car is not so bad after all). If not, the usual meaning is in
addition to and in spite of (i.e. You neednt apologize. After all nobody could have
known what would happen).
(7) The final cohesive device is that of intonation. Cohesive elements relate the sentence to
something that has gone before it. Often, they are anaphoric and there no new content to
them. Now, anaphoric items in English are phonologically non-prominent but if the
cohesive relation is to be brought into focus of attention, this is marked by tonic
prominence. Thus the falling and the falling-rising intonation pattern are considered as
expressing forms of conjunctive relations.
3.2.2. Lexical cohesion.
Lexical cohesion does not deal with grammatical or semantic connections but with connections
based on the words used. It is achieved by selection of vocabulary, using semantically close items.
Because lexical cohesion in itself carries no indication whether it is functioning cohesively or not, it
always requires reference to the text, to some other lexical item to be interpreted correctly. There
are two types of lexical cohesion: reiteration and collocation.
First of all, reiteration includes repetition, synonymy, hyponymy, metonymy (part vs. whole),
antonymy whereas collocation is any pair of lexical items that stand to each other in some
recognisable lexico-semantic relation, e.g. "sheep" and "wool", "congress" and "politician", and
"college" and "study".
24/ 33
Like in the case of synonymous reference, collocational relation exists without any explicit
reference to another item, but now the nature of relation is different: it is indirect, more difficult to
define and based on associations in the reader mind. The interpreter sometimes adds coherence to
the text by adding cohesion markers.
3.2.3. Graphological devices
With respect to graphological resources, we are mainly dealing with visual devices as we make
reference to orthography, punctuation, headings, foot notes, tables of contents and indexes. As most
of them deal with form and structure of different types of texts, and will be further developed as
part of a subsequent section, we shall primarily deal with orthography and punctuation in this
section.
Firstly, orthography is related to a correct spelling, and in relation to t his term, Byrne (1979) states
that the mastery of the writing system includes the ability to spell. This device covers different word
categories, but mainly, rules of suffixation, prefixation, and addition of verbal markers as gerunds,
past tenses or third person singular in present tenses. Moreover, Byrne claims for the use of the
dictionary as the relationship between sound and symbol in English is a complex one, and spelling
becomes a problem for many users of the language, native and non-native speakers alike. The
importance of correct spelling is highlighted when Byrne says that most of us are obliged to consult
a dictionary from time to time so as not to be indifferent to misspelling. Therefore, students are
encouraged to acquire the habit of consulting a dictionary in order to ensure an adequate mastery of
spelling.
Secondly, according to Quirk et al (1972) punctuation serves two main functions. Firstly, the
separation of successive units (such as sentences by periods, or items in a list by commas), and
secondly, the specification of language function (as when an apostrophe indicates that an inflection
is genitive). Moreover, punctuation is concerned with purely visual devices, such as capital letters,
full stops, commas, inverted commas, semicolons, hyphens, brackets and the use of interrogative
and exclamative marks. It is worth noting that punctuation has never been standardised to the same
extent as spelling, and as a result, learners tend to overlook the relevance of punctuation when
producing a text. Learners must be encouraged to pay attention to the few areas where conventions
governing the use of the visual devices as fairly well established, among which we may mention
25/ 33
letters and filling in forms as part of a sociocultural educational aim. Thus, students must try to
understand the relevance of the use of capital letters as a mark of sentence boundary, the use of
commas to enumerate a sequence of items, the use of question and exclamation marks to express
requests or attitudes, and the use of inverted commas to highlight a word or sentence.
4. COHERENCE.
4.1. Definition.
The term cohesion is often confused or conflated with coherence. But it is necessary, both from a
theoretical and a practical point of view to retain this distinction between surface and content. The
term coherence concerns the ways in which the components of the textual world, thus the concepts
and relations which underlie the surface text, are mutually accessible and relevant (Beaugrande &
Dressler, 1988).
4.2. Main features.
Coherence is a purely semantic property of discourse, while cohesion is mainly concerned with
morpho-syntactic devices in discourse. A coherent text is a semantically connected, integrated
whole, expressing relations of closeness, thus, causality, time, or location between its concepts and
sentences. A condition on this continuity of sense is that the connected concepts are also related in
the real world, and that the reader identifies the relations.
In a coherent text, there are direct and indirect semantic referential links between lexical items in
and between sentences, which the reader must interpret. A text must be coherent enough for the
interlocutor to be able to interpret. It seems probable that this coherence can be achieved either
through cohesion, for instance, markers and clues in the speakers text, or through the employment
of the user-centred textuality standards of intentionality, acceptability, informativity, situationality
and intertextuality.
26/ 33
These markers are defined as all the devices which are needed in writing in order to produce a text
in which the sentences are coherently organised so as to fulfil the writers communicative purpose.
Byrne (1979) claims that they refer to words or phrases which indicate meaning relationships
between or within sentences, such as those of addition, contrast (antithesis), comparison (similes),
consequence, result, and condition expressed by the use of short utterances, and exemplification
(imagery and symbolism).
Within the context of textual analysis, we may mention from a wide range of rethorical devices the
use of imagery and symbolism; hyperbole, antithesis, similes and metaphors; onomatopoeias,
alliteration and the use of short utterances for rhythm and effect; repetition and allusion to drawn
the reade rs attention; and cacophony and slang to make the piece of writing lively and dynamic.
Regarding the educational implications of discourse analysis in language teaching, we must trace
back to the origins of the assessment model of communicative competence as a basis for the
analysis and articulation of discourse. This communicative approach emerged in the 1970s and
1980s as the work of anthropologists, sociologists, and sociolinguists on foreign and second
language teaching. In the 1980s, prominence was given to more interactive views of language
teaching, which became to be known as the Communicative Approach or simply Communicative
Language Teaching. The key was to considere language as social behaviour, seeing the primary
goal of language teaching as the development of the learner's communicative competence.
Hence learners were considered to need both rules of use to produce language appropriate to
particular situations, and strategies for effective communication. Scholars such as Hymes (1972),
Halliday (1970), Canale and Swain (1980) or Chomsky (1957) levelled their contributions and
criticisms at structural linguistic theories claiming for more communicative approaches on language
teaching, where interactive processes of communication received priority. Upon this basis, the
introduction of cultural studies is an important aspect of communicative competence as
communicating with people from other cultures involves not only linguistic appropriateness but also
pragmatic appropriateness in the use of verbal and non-verbal behavior. This issue is the aim of an
ethnography of communication theory in order to approach a foreign language from a pragmatic
27/ 33
and linguistic point of view and the key theory for the development of our present study, the
analysis of discourse.
The verbal part of communicative competence, and therefore, the analysis of discourse, comprises
all the so-called four skills: listening, reading, speaking and writing. It is important to highlight that
language is both productive and receptive. Hymes stated the four competences at work regarding
the elements and rules of oral and written discourse are as follows: linguistic competence,
pragmatic competence, discourse competence, strategic competence, and fluency (Hedge 2000).
First, the linguistic competence, as it deals with linguistic and non-linguistic devices in the oral and
written interaction involving all knowledge of lexical tiems and of rules of morphology, syntax,
sentence-grammar semantics and phonology (Canale and Swain, 1980).
Secondly, the pragmatic competence as it also deals with the knowledge the learner has to acquire
the sociocultural rules of language. Regarding the rules of discourse, it is defined in terms of the
mastery of how to combine grammatical forms and meanings (Canale and Swain 1980). When we
deal with appropriateness of form, we refer to the extent to which a given meaning is represented in
both verbal and non-verbal form that is proper in a given sociolinguistic context. This competence
enables a speaker to be contextually appropriate or in Hymess words (1972), to know when to
speak, when not, what to talk about with whom, when, where and in what manner.
Thirdly, the rules of use and usage, proposed by Widdowson (1978) have to do with the discourse
competence . Here, usage refers to the manifestation of the knowledge of a language system and use
means the realization of the language system as meaningful communicative behavior. Discourse
analysis is primarily concerned with the ways in which individual sentences connect together to
form a communicative message. This competence addresses directly to the mastery of how to
combine grammatical forms and meanings to achieve a unified spoken or written text in different
genres (Canale and Swain 1980) by means of cohesion in form and coherence in meaning.
Cohesion deals with how utterances are linked structurally and facilitates interpretation of a text by
means of cohesion devices, such as pronouns, synonyms, ellipsis, conjunctions and parallel
structures to relate individual utterances and to indicate how a group of utterances is to be
understood as a text. Yet, coherence refers to the relatioships among the different meanings in a
text, where these meanings may be literal meanings, communicative functions, and attitudes.
28/ 33
Finally, we come to the fourth competence at work, the strategic competence. (Canale 1983) where
verbal and nonverbal communication strategies may be called into action to compensate for
breakdowns in communication due to performance variables or due to insufficient competence. This
may be achieved by paraphrase, circumlocution, repetition, hesistation, avoidance, guessing as
well as shifts in register and style. Hedge (2000) points out that strategic competence consists of
using communication strategies which are used by learners to compensate for their limited
linguistic competence in expressing what they want to say.
From a practical perspective in education, providing experiences for contact with language in
context proved difficult for foreign language teachers as they were forced to rely on textbooks and
classroom materials in teaching language. However, nowadays new techonologies may provide a
new direction to language teaching as they set more appropriate context for students to experience
the target culture. Present-day approaches deal with a communicative competence model in which
first, there is an emphasis on significance over form regarding how to deal with discourse types, and
secondly, motivation and involvement are enhanced by means of new technologies.
Regarding writing skills, there is a need to create classrooms conditions which match those in real
life and foster acquisition, encouring reading and writing (letters, advertisements, filling forms,
official papers). The success partly lies in the way the language becomes real to the users, feeling
themselves really in the language. Some of this motivational force is brought about by intervening
in authentic communicative events. Otherwise, we have to recreate as much as possible the whole
cultural environment in the classroom for us to make the articulation of discourse fluent and
effective.
This is to be achieved within the framework of the European Union educational guidelines through
the European Council (1998) and, in particular, the Spanish Educational System which establish a
common reference framework for the teaching of foreign languages where students are intended to
carry out several communication tasks with specific communicative goals within specific contexts.
Thus, foreign language activities are provided within the framework of social interaction, personal,
professional or educational fields.
Writing and oral skills in discourse articulation are mentioned as one of the aims of our current
educational system (B.O.E. 2002). It is stated that students will make use of this competence in a
29/ 33
natural and systematic way in order to achieve the effectiveness of communication through the
different communication skills, thus, productive (oral and written communication), receptive (oral
and written comprehension within verbal and non-verbal codes), and interactional role of a foreign
language as a multilingual and multicultural identity.
This effectiveness of communication is to be achieved thanks to recent developments in foreign

language education which have indicated a trend towards the field of intercultural communication.
The Ministry of Education proposed several projects within the framework of the European
Community, such as Comenius projects and Plumier projects. The first project is envisaged as a
way for learners to experience sociocultural patterns of the target language in the target country, and
establish personal relationships which may lead to keep in contact through writing skills. Besides,
the Plumier project uses multimedia resources in a classroom setting where learners are expected to
learn to interpret and produce meaning with members of the target culture. Both projects are
interrelated as students put in practice their writing and reading skills by means of keeping in touch
through e-mails with their friends and read their messages, apart from fostering the oral skills.
Current research on Applied Linguistics shows an interest on writing skills, such as on the
pragmatics of writing, narrative fiction and frequency on cohesion devices in English texts, among
others. We may also find research on intercultural communication where routines and formulaic
speech are under revision of contrastive analysis between English and Spanish. However, the
emphasis is nowadays on the use of multimedia and computers as an important means to promote a
foreign language in context.
6. CONCLUSION.
The role of writing and oral skills in our present society is emphasized by the increasing necessity
of learning a foreign language as we are now members of the European Union, and as such, we
need to communicate with other countries at oral and written levels. Written patterns are given an
important role when language learners face the monumental task of acquiring not only new
vocabulary, syntactic patterns, and phonology, but also discourse competence, sociolinguistic
competence, strategic competence, and interactional competence.
30/ 33
Students need opportunities to investigate the systematicity of language at all linguistic levels,
especially at the highest level of written discourse. Without knowledge and experience within the
discourse and sociocultural patterns of the target language, second language learners are likely to
rely on the strategies and expectations acquired as part of their first language development, which
may be inappropriate for the second language setting and may lead to communication difficulties
and misunderstandings.
One problem for second language learners is not to acquire a sociocultural knowledge on the
foreign language they are learning, and therefore, have a limited experience with a variety of
interactive practices in the target language, such as reading a complaint sheet, writing a letter to a
department store, or writing a letter to an English person with the appropriate written patterns.
Therefore, one of the goals of second language teaching is to expose learners to different discourse
patterns in different texts and interactions. One way that teachers can include the study of discourse
in the second language classroom is to allow the students themselves to study language, that is, to
make them discourse analysts (see Celce-Murcia & Olshtain, 2000), by learning in context.
By exploring natural language use in authentic environments, learners gain a greater appreciation
and understanding of the discourse patterns associated with a given genre or speech event as well as
the sociolinguistic factors that contribute to linguistic variation across settings and contexts. For
example, students can study speech acts by searching information on Internet about a job
application, address patterns, opening and closings of museums, or other aspects of speech events.
To sum up, we may say that language is where culture impinges on form and where second
language speakers find their confidence threatened through the diversity of registers, genres and
styles that make up the first language speakers day to day interaction. Language represents the
deepest manifestation of a culture, and peoples values systems, including those taken over from the
group of which they are part, play a substantial role in the way they use not only their first language
but also subsequently acquired ones.
The assumptions of discourse analysis we have reviewed in this study are then important not only
for understanding written and oral discourse patterns and the conditions of their production, but also
for a critical assessment of our own cultural situation.
31/ 33
7. BIBLIOGRAPHY.
Beaugrande, R. & Dressler, W. 1988. Introduction to Text Linguistics. London: Longman.
B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 112/2002, de 13 de septiembre.

Currculo de la Educacin Secundaria Obligatoria en la Comunidad Autnoma de la Regin de
Murcia.

Currculo de Bachillerato en la Comunidad Autnoma de la Regin de Murcia.
Brown, G. and G. Yule. 1983. Discourse Analysis. Cambridge University Press.
Canale, M., and M. Swain, 1980. Theoretical bases of communicative approaches to second
language teaching and testing. Applied Linguistics 1 (1).
Canale, M. 1983. From Communicative Competence to Communicative Language Pedagogy, in J.

Richards and R. Schmidt (eds.). Language and Communication. London, Longman.Hymes, D.
1972. On communicative competence. In J. B. Pride and J. Holmes (eds.), Sociolinguistics, pp.
269-93. Harmondsworth: Penguin.
Celce-Murcia, M,. & Olshtain, E. (2000). Discourse and context in language teaching. New York:
Cambridge University Press.
Council of Europe (1998) Modern Languages: Learning, Teaching, Assessment. A Common

European Framework of reference.
Cook, Guy. 1989. Discourse. Oxford University Press.
Halliday, M.A.K. 1975. Explorations in the Functions of Language. London: Edward Arnold.
Halliday, M.A. K. and R. Hasan. 1976. Cohesion in English . Longman.
Halliday, M.A.K. 1985. Spoken and Written Language. Victoria: Deakin University.
32/ 33
Hedge Tricia (2000) Teaching and Learning in the Language Classroom (OUP).
Hymes, D. 1972. On communicative competence. Harmondsworth: Penguin.
Hymes, D. 1974. Foundations in Sociolinguistics: An Ethnographic Approach. Philadelphia:

University of Pennsylvania Press.
Searle, J. R. (1969). Speech Acts: An essay in the philosophy of language. Cambridge: Cambridge
University Press.
van Dijk, T. 1984. Text and Context: Explorations in the Semantics and Pragmatics of Discourse.
London: Longman.
van Dijk, T. 1981. Studies in the Pragmatics of Discourse. Mouton publishers.
Revistas de la Asociacin Espaola de Lingstica Aplicada (AESLA):
De la Cruz, Isabel; Santamara, Carmen; Tejedor, Cristina y Valero, Carmen. 2001. La Lingstica
Aplicada a finales del Siglo XX. Ensayos y propuestas. Universidad de Alcal.
Celaya, M Luz; Fernndez-Villanueva, Marta; Naves, Teresa; Strunk, Oliver y Tragant, Elsa. 2001.
Trabajos en Lingstica Aplicada . Universidad de Barcelona.
33/ 33
UNIT 30
DIRECT AND INDIRECT SPEECH

1. INTRODUCTION.
2. A LINGUISTIC INTRODUCTION TO THE NOTION OF SPEECH ACT.

2.1. Linguistic levels involved.
2.2. On speech acts: what, how and why.
2.3. Grammatical categories involved.
3. A THEORETICAL FRAMEWORK FOR THE NOTIONS OF DIRECT AND INDIRECT SPEECH.

3.1. On defining Speech Act.
3.2. The Speech Act Theory.
3.2.1. Austin (1962).
3.2.2. Searle (1969).
3.3. Main types of speech act: the illocutionary force.
3.4. : Direct vs. Indirect.
3.4.1. The relevance of Pragmatics.
3.4.2. Main structural differences.
4. ON DIRECT SPEECH: MAIN STRUCTURAL FEATURES.

4.1. Main types of direct speech.
4.2. Form.
4.2.1. Reporting verbs.
4.2.2. Verbal tenses.
4.2.3. Pronouns.
4.2.4. Here and now words.
4.2.5. Semantic changes.
4.3. Function.
4.3.1. Specific structures: quote speech.
4.3.2. Word order: reporting verbs.
4.4. Main uses.
5. DIRECT SPEECH.
5.2. Form.
5.2.2. Verbal tenses: time reference.
5.2.3. Pronouns.
5.3. Function.
5.3.1. Specific structures: reported speech.
1/27
5.3.2. Word order: reported structures.
5.4. Main uses.
6. EDUCA TIONAL IMPLICATIONS.
7. CONCLUSION.
8. BIBLIOGRAPHY.
2/27
1. INTRODUCTION.
Unit 30 is primarily aimed to examine the English the expression of direct and indirect speech (also
called direct and indirect discourse) in terms of their main structural features regarding form,
function and main uses in order to provide a relevant and detailed account of this issue. Therefore,
the study will be divided into seven chapters.
Thus, Chapter 2 provides a linguistic introduction to the notions of speech acts in English in terms
of form, main functions and uses. In fact, this introductory chapter aims at answering questions such
as, first, which linguistic levels are involved, what they describe, how and why; and third, which
grammar categories are involved in their description at a functional level.
In Chapter 3, we shall offer a theoretical framework for the notions of direct and indirect speech
since there are several key notions which must be clarified when reviewing this issue. So, we shall
start by (1) defining the term speech act, (2) offering an analysis of the Speech Act Theory in
which we shall include the main types of speech acts following relevant figures in this field, that is,
(a) Austin (1962) and (b) Searle (1969); then, we shall introduce (3) the main types of speech act
and therefore, the notion of illocutionary force; next, we shall analyse (4) the relevance of
pragmatics within the coinage of the terms direct vs. indirect speech; and finally, we shall approach
both types of speech in terms of its (5) main structural differences regarding form (grammatical
categories), function (syntax and semantics) and main uses (pragmatics).
Chapters 4 and 5 will offer an individual analysis of each item regarding (1) form, (2) function and
(3) main uses of each style addressing their (a) major syntactic constructions and (b) main structural
features, that is, morphology, phonology, syntax, semantics and pragmatics. Chapter 6 provides an
educational framework for the structural features of sentence structure within our current school
curriculum, and Chapter 7 draws on a summary of all the points involved in this study. Finally, in
Chapter 8 bibliography will be listed in alphabetical order.
3/27
In order to offer an insightful analysis and survey on the expression of direct and indirect speech in
English, we shall deal with the most relevant works in the field, both old and current, and in
particular, influential grammar books which have assisted for years students of English as a foreign
language in their study of grammar. For instance, Flor Aarts and Jan Aarts (University of Nijmegen,
Holland) in English Syntactic Structures (1988); and also, Snchez Benedito, Gramtica Inglesa
(1975); Greenbaum & Quirk, A Students Grammar of the English Language (1990). Main
approaches to notional grammar and pragmatics are taken from Searle, Speech Acts (1969), Austin,
How to Do Things With Words (1962); Bach and Harnish (1979), Linguistic Communication and
Speech Acts; and van Ek, J.A.; and J.L.M. Trim, Vantage (2001) among the most relevant authors.
The rest of bibliography is at the end of this discussion.
2. A LINGUISTIC INTRODUCTION TO THE NOTION OF SPEECH ACT.
Before examining in detail the notions of direct and indirect speech in English, it is relevant to
provide first a linguistic introduction to the grammatical elements that are involved in the notion of
speech act in order to fully understand the terms direct, indirect and speech separately and in
combination. In fact, this introductory chapter aims at answering questions, such as (1) which
linguistic levels are involved in this notion; (2) what it describes, how and why; and (3) which
grammar categories are involved in its description at a functional level.
2.1. Linguistic levels involved.
In order to offer a linguistic description of the notions under study, we must confine them to
particular levels of analysis so as to focus our attention on this particular aspect of language. Yet,
although there is no consensus of opinion on the number of levels to be distinguished, the usual
description of a language comprises four major components: phonology, grammar, lexicon, and
semantics, out of which we get five major levels: phonological, morphological and syntactic,
4/27
lexical, and semantic (Huddleston, 1988). However, due to the relevance of the speakers attitude
with respect to the use of direct vs. indirect speech, we shall include here the field of pragmatics.
First, the phonology describes the sound level, that is, the pronunciation (i.e. stress, rhythm, tone
and intonation) within the sentence structure. Secondly, since the two most basic units of grammar
are the word and the sentence, the component of grammar involves the morphological level (i.e.
tense changes) and the syntactic level (i.e. grammatical typology of sentences statements,
questions, commands and exclamations). Third, the lexicon, or lexical level, lists vocabulary items
which are closely related to the expression of direct vs. indirect speech (i.e. here and now words:
time adverbs, adverbial expressions, prepositions, nouns, adjectives, verbs).
Another dimension is the study of meaning, that is, semantics, or the semantic level, to which all
four of the major components are related regarding. We must not forget that a linguistic description
which ignores meaning is obviously incomplete, and in particular for our purposes, where semantics
plays a very important role in order to express what the speaker wants to say (i.e. He shouted vs. He
whispered, Leave me alone).
Similarly, from a functional approach, we must bear in mind the prominence of pragmatics in
speech acts when dealing with how to say things in English, that is, taking into account the
speakers attitude and the context where the sentence is uttered, where meaning and the speakers
attitude are essential elements in communicative exchanges (oral, written, paralinguistic).
2.2. On direct and indirect speech: what, how and why.
On defining speech, we must link their linguistic description, that is, what they represent (speech
acts) to (1) how they are represented, both grammatically (different grammatical categories: verbs,
nouns, adjectives, etc) and syntactically (the types of sentences in which they are embedded); and
(3) to their function and why they are used in the speech act, that is, to explain the speakers
attitude. Traditionally, these notions have been defined as speech acts (assertion, questions, orders
and requests) which take place within certain types of sentences (declaratives, interrogative,
imperative) with a particular function (convey information true or false-; elicit information;
commands which cause others to behave in certain ways).
5/27
Since they are defined on the basis of sentence analysis, they are closely related to the domain of
text grammar (text linguistics) and discourse analysis because of their syntactic structures and the
different illocutionary acts they may represent. In general, they work with a wide range of
grammatical constructions, from the simplest ones like the word to the largest unit of grammatical
description like the sentence. Both extremes will be taken into account when embedded in larger
stretches of language such as paragraphs and texts (discourse analysis).
The notion of speech act is to be found within the study of acts of communication and, in
particular, within Searles theory of Speech Acts (1969) where he distinguishes five types:
assertives (to tell people how things are by stating); directives (to try to get people to do things by
means of commanding and requesting); expressives (to express our feelings and attitudes by
thinking, forgiving, or blaming); declaratives (to bring about changes through our utterances by
means of bringing about correspondence between the propositional content and realit y, through
baptizing, naming, appointing or sacking); and finally, commissives (to commit ourselves to some
future actions by promising and offering).
2.3. Grammar categories involved.
So far, in order to confine these the notion of speech acts to particular grammatical categories, we
open and closed classes since the structure of the sentence involve both. The open classes are verbs,
nouns, adjectives and adverbs, and are said to be unrestricted since they allow the addition of new
members to their membership, whereas the closed classes are the rest: prepositions, conjunctions,
articles (definite and indefinite), numerals, pronouns, quantifiers and interjections, which belong to
a restricted class since they do not allow the creation of new members. Yet, as we shall see, our two
main concepts shall deal with both classes since the duality direct vs. indirect speech will be
represented by a wide range of changes in the different grammatical categories (verbs, nouns,
adjectives, adverbs, etc).
6/27
3. A THEORETICAL FRAMEWORK FOR THE NOTIONS OF DIRECT AND INDIRECT
SPEECH.
In this chapter, we shall offer a theoretical framework for the notions of direct and indirect speech
since there are several key notions which must be clarified when reviewing this issue. So, we shall
start by (1) defining the term speech act, (2) offering an analysis of the Speech Act Theory in
which we shall include the main types of speech acts following relevant figures in this field, that is,
(a) Austin (1962) and (b) Searle (1969); then, we shall introduce (3) the main types of speech act
and therefore, the notion of illocutionary force; next, we shall analyse (4) the relevance of
pragmatics within the coinage of the terms direct vs. indirect speech; and finally, we shall approach
both types of speech in terms of its (5) main structural differences regarding form (grammatical
categories), function (syntax and semantics) and main uses (pragmatics).
3.1. On defining Speech Act.
When we vocalise in order to send messages through the air to other members of our species we are
producing speech events. Hence the message sent, the content of the communication, is a form of
human action. So we shall define a speech act not as the act of speaking, but an act we perform by
speaking. For instance, if we say I promise to give you back twenty euros, I have made a promise
and not an apology or a wish, and that promise is created by the words that I use. This is the essence
of the speech act; uttering the words generates the action.
So, in general, speech acts are acts of communication since to communicate is to express a certain
attitude, and the type of speech act being performed corresponds to the type of attitude being
expressed. For example, a statement expresses a belief, a request expresses a desire, and an apology
expresses a regret. As an act of communication, a speech act succeeds if the audience identifies, in
accordance with the speaker's intention, the attitude being expressed.
So, speech acts, whatever the medium of their performance, fall under the broad category of
intentional action, with which they share certain general features. An especially pertinent feature is
that when one acts intentionally, generally one has a set of nested intentions. For instance, one
might push a button with the intention not just of pushing the button but of ringing a bell. Here the
single bodily movement involved in pushing the button comprises a multiplicity of actions, each
7/27
corresponding to a different one of the nested intentions. Similarly, speech acts are not just acts of
producing certain sounds.
3.2. The Speech Act Theory.
The speech act theory was inspired by the work of the British philosopher J.L. Austin whose
postumously published lectures How to do things with words (1962) influenced a number of
students of language including the philosopher John Searle (1969), who established a speech act
theory as a major framework for the study of human communication. In contrast to the assumptions
of structuralism where langue is seen as a system, over parole concerning the speech act, speech act
theory holds that the investigation of structure always presupposes something about meanings,
language use, and extralinguistic functions.
But why should we review this theory? Because, as Austin stated, we can do many things with
words and his typology of speech acts (later reviewed by Searle) will leads us directly to the
classification of utterances in direct speech which have their respective structural changes in
indirect speech. This is the reason why this classification is so relevant in our study.
3.2.1. Austin (1962).
In How to Do Things with Words, Austin (1962) starts by enunciating a distinction between
constative and performative utterances. According to him, an utterance, which originally is a spoken
word or string of spoken words with no particular forethought or intention to communicate a
meaning, becomes constative if it describes some state of affairs whose correspondence with the
facts is either true or false. Performatives, on the other hand, do not describe or report or constate
anything as true or false. It is worth mentioning here that the attitude of the person performing the
linguistic act, his thoughts, feelings, or intentions is of great relevance at this distinction.
Furthermore, Austin (1962) and Searle (1969) conceptualized speech acts as comprising three
components. First, the locutionary act (the act of saying something) as the actual form of an
utterance. Second, the illocutionary act (what one does in saying it: direct or indirect speech) as the
8/27
communicative force of the utterance. Third, the perlocutionary act (what one does by saying it)
depicted as the communicative effect of the utterance upon the feelings, thoughts, or actions of the
audience, of the speaker, or of other persons.
In other words, a locutionary act has meaning; it produces an understandable utterance. An

illocutionary act has force; it is informed with a certain tone, attitude, feeling, motive, or intention,
and a perlocutionary act has consequence; it has an effect upon the addressee.
3.2.2. Searle (1969).
Searle summarizes Austins speech acts (1962) into five main categories: representatives,
directives, commissives, expressives, and declarations. In examining what people say to one
another, we shall use Searles classification to state the main types of direct speech in order to
analyse its main structural features:
(1) firstly, representatives (also assertives) refer to some state of affairs by means of assertions,
claims and descriptions, that is, to tell people how things are by stating;
(2) secondly, directives, which are speech acts whose intention is to get the addressee to carry
out some action by means of commands, requests, dares or entreaties;
(3) thirdly, commissives, which are speech acts that commit the speaker to some future course
of action by means of promises, threats and vows;
(4) fourthly, expressives, which are speech acts that indicate the speaker's psychological state
or mental attitude by means of greeting, congratulating, thanking or apologising in order to
express the speaker's feelings and attitudes by thinking, forgiving, or blaming;
(5) and finally, declaratives, which are speech acts that themselves bring about a state of affairs
by means of marrying, naming, blessing or arresting. For instance, they bring about changes
through our utterances by means of bringing about correspondence between the
propositional content and reality, through baptizing, naming, appointing or sacking.
9/27
3.3. Main types of speech act: the illocutionary force.
Traditional grammar recognises three main types of speech act, distinguishable in many languages
on the basis of their form: first, statements or declaratives; second, questions or interrogatives ; and
finally, commands or imperatives. For instance, respectively, Her husband took out the rubbish,
Did he take out the rubbish?, Take out the rubbish, John!
Though the unmarked illocutionary force for declarative sentences is assertion, we have already
seen that they can be used with other illocutionary forces as well. Similarly, not all interrogative
sentences represent acts of questioning when uttered with falling intonation (i.e. Im going to quit
working-Do you want to be poor all your life?) as imperatives need not express command (i.e.
Enjoy yourself in Bali/Use at your own risk).
As seen, the British philosopher Austin (1962) and the American Searle (1969) conceptualized
speech acts as comprising three components: the locutionary, the illocutionary and the
perlocutionary element. Yet, in our study we shall namely focus on the illocutionary act since it is
this type the one related to direct and indirect speech and the one from which we get the main
classification of utterances.
In a speech act, the illocutionary act informs the listeners about something (an announcement, a
wedding, farewell, promises) for the audience to understand the message. When (1962) In How to
Do Things with Words, stated that an utterance, which originally is a spoken word or string of
spoken words with no particular forethought or intention to communicate a meaning may be
reported either in direct or indirect speech by means of performative verbs. These verbs shall
indicate the attitude of the person performing the linguistic act (his thoughts, feelings, or intentions)
through three main types of sentences: declarative (statements), interrogative (questions) and
commands (orders).
Therefore, if we concentrate on the illocutionary acts and possible performative verbs for our
purposes, we find four major categories of communicative illocut ionary acts: constatives, directives,
commissives and acknowledgments, respectively, where each type of illocutionary act is
individuated by the type of attitude expressed (i.e. constatives: affirm, answer, claim, confirm,
deny, inform, report, state; directives: ask, beg, order, request, warn; commissives: agree, offer,
promise; and acknowledgments: apologize, congratulate, thank, accept).
10/ 27
3.4. The relevance of Pragmatics: direct vs. indirect speech.
The field of pragmatics proves relevant on the distinction direct vs. indirect speech since it is based
on the observation of how people use language to accomplish certain kinds of acts, broadly known
as speech acts. In fact, the philosopher J.L. Austin defined it as the study of how to do things
with words since speech acts are distinct from physical or mental acts like drinking a cup of coffee,
thinking about holidays, etc.
Speech acts include asking for a cup of coffee, promising to book a holiday, threatening to cancel
the booking, ordering a room, and so on. However, as stated before, most of these should be called
communicative acts, since speech and even language are not strictly required to speaking and
writing but also to pointing to a pitcher and miming the act of drinking. Yet, most introductions to
pragmatics divide speech acts into two categories: direct and indirect, which are embedded in the
notion of illocutionary force and show different structural features.
3.5. Main structural differences.
The main structural differences between direct and indirect speech makes reference to syntactic,
semantic and pragmatic parametres. For many years, syntax and semantics were studied with little
regard for the ways people used grammar and meaning in communication and the use of language
was relegated to the field of pragmatics. Nowadays, the role of syntax, semantics and namely use
(pragmatics) when dealing with direct vs. indirect speech proves essential when studying a text
regarding how connections and relations are actually set up among communicative contexts.
For instance, note a sentence like Her parents visited her yesterday, they said. Syntactically, the
direct speech sentence is quoted by inverted commas whereas the indirect speech sentence has no
markers and is introduced by that. Semantically, we use direct speech to report what someone has
said by quoting the words called verbatim whereas indirect speech is used to report what someone
has said in ones own words (i.e. They said that her parents had paid a short visit to her the day
before). Finally, in terms of use we shall say that indirect speech is much more usual than direct
speech, but why? The reason is given by the speakers attitude and intention which shall use
11/ 27
different grammatical and syntactic features when talking in first person singular and when
reporting a fact.
Regarding the main syntactic structural differences between direct and indirect speech it should be
borne in mind that in terms of their complexity, sentences can be divided into three types: simple,
complex and compound. For our purposes this analysis will deal with the main types of sentence
structures based on their grammatical form (syntactic constructions) and their function in
communication (the illocutionary force) that is, from their syntactic structures and their association
with one particular function in speech acts (direct vs. indirect).
4. ON DIRECT SPEECH: MAIN STRUCTURAL FEATURES.
On reviewing direct speech, that is, when we repeat the original speakers exact words (i.e. He said,
I have lost my car keys), we shall start by analysing its main structural features so as to relate
them to indirect speech. So, we shall review (1) main types of direct speech, (2) form on reviewing
(a) reporting verbs, (b) verbal tenses, (c) pronouns, (d) here and now words, and finally, (e)
semantic changes in certain items; (3) function in terms of syntax and semantics on reviewing (a)
main syntactic structures: quote speech and (b) word order of reporting verbs; and (4) main uses of
direct speech in order to differenciate them from their respective indirect speech acts.
There are three basic types of direct speech acts, and they correspond to three special syntactic
types that seem to occur in most of the worlds languages. Concernin g the sentence grammatical
form, the classification comprises four types: declarative sentences, interrogative sentences,
imperative sentences and exclamatory sentences whereas the classification concerning their
function in communication shows that declarative sentences are chiefly used to make statements,
interrogative sentences to ask questions, imperative sentences to give commands and exclamatory
sentences to make exclamations, depending on the way speakers express their attitude through
phonological, syntactic and semantic cues.
12/ 27
Within this classification, we shall establish a close connection with the changes that occur in
indirect speech (sometimes called reported speech) when reporting a piece of information. So, we
shall base our analysis of direct and indirect speech within three main different communicative
functions: (1) stating, by using declarative sentences (positive and negative); (2) requesting, by
asking questions fo two types (a) Wh-questions and (b) yes-no questions; (3) ordering, by giving
commands in the imperative form (positive and negative); and finally, (4) exclaming, by uttering
exclamations in order to express emphasis. But let analyse the main structural features of these
communicative functions in direct speech since they will give us the basis to build up indirect
speech.
4.2. Form.
Within this section, we shall approach the form of direct speech (morphology and phonology)
regarding the grammatical categories involved in the main changes which take place when reporting
in indirect speech, that is, reporting verbs, verbal tenses, pronouns, here and now words and
certain items that involve internal semantic changes (come vs. go, bring vs. take).
Thus when dealing with reporting verbs, we have to bring back again the contributions of Austin
(1962), who called them performative verbs. Austin stated that an utterance was a spoken word or
string of spoken words with no particular forethought or intention to communicate a meaning but
that could be reported either in direct or indirect speech by means of performative verbs. These
verbs show the attitude of the person performing the linguistic act (his thoughts, feelings, or
intentions) through three main types of sentences: declarative (statements), interrogative
(questions), commands (orders) and exclamative (exclamations).
Therefore, if we concentrate on the illocutionary acts and possible performative verbs for our
purposes, we find three main types respectively: constatives (say, affirm, answer, claim, confirm,
deny, inform, report, state) in which we shall include exclamative verbs (exclaim, shout), directives
(ask, wonder (if), enquire/inquire, want to know), and finally, commissives (beg, order, command,
request, warn). We must not forget other verbs wich are followed by prepositions and which namely
13/ 27
express acknowledgments (apologize, congratulate, thank, accept) as in Thank you for coming
tonight, Jane, said Tom (vs. Tom thanked Jane for visiting him that night).
Verbal tenses in direct speech will undergo some changes which are termed backshift, and the
resulting relationship of verb forms in the reporting and reported clauses is known as the sequence
of tenses. We may illustrate all types of tense: present (simple vs. continuous) and past (simple vs.
continuous), and also any type of time reference: future (simple, continuous, perfect), conditional,
modal verbs and so on.
Note that in direct speech, the reporting verb may not coincide with the one quoted, for instance, in
a sentence like What time have you arrived?, I asked- the former sentence is introduced by
present perfect and the latter by simple past.
4.2.3. Pronouns.
This grammatical category is namely drawn from personal, object and possessive pronouns
respectively (i.e. I asked Paul, Do you like her?-No, I dont. Its all yours, David); and also
from demonstrative and possessive adjectives respectively (i.e. This is my watch, I warned him).
Note that all of them shall undergo certain changes in indirect speech since speaker and hearer and
their respective possessive, personal and object references are not the same any more.
This type of words corresponds respectively to place adverbs (here, there) or adverbial expressions
of place (at this point, in the same place, under that tree) and time adverbs (yesterday, tomorrow) or
14/ 27
adverbial expressions of time (some minutes ago, next week, in two hours). Note that individually,
they usually belong to the grammatical category of nouns (tomorrow, yesterday), adjectives (next,
last), or prepositional phrases (two minutes ago, in two hours).
In direct speech we shall also find certain items (come vs. go, bring vs. take) that undergo relevant
semantic changes from an internal perspective, namely situational and directional. Thus in a
sentence like Will you come to my party tonight?, I asked Peter, there will be internal semantic
changes when reported later. Note that the invitation is one-way directional (Will you come...?) and
will be reported in the other direction by the person invited to that party (He asked me if I would go
to his party).
4.3. Function.
Within function, we shall approach the main syntactic structures of given utterances in direct
speech, that is, quote structures and the word order of reporting verbs, together with their semantics
in order to establish further differences with indirect speech.
4.3.1. Specific structures: quote speech.
The two most outstanding features of direct speech are, first, that the actual words a person says are
quoted, that is, are reported between inverted commas and secondly, that the introductory reporting
clause is preceded by a comma (i.e. What are you doing?, he asked me). Alternatively, it is
possible to remove either or both of these features in what we know as free direct speech.
This type is considered to be a free form whereby the characters apparently speak to us without the
narrator as an intermediary (i.e. He said Ill come back soon). It is namely used in narrative style in
order to speed up the action so as to get the feeling of fast continuity (used by writers such as
Dickens, Hemingway, James Joyce). Note that here it is not used the illocutionary force but
locutionary types since there are no quotation marks and the speech is direct.
15/ 27
4.3.2. Word order: reporting verbs.
In order to examine word order in the placing of reporting verbs, we must establish first the
difference between the two main clauses involved in direct speech. Thus in a sentence like I wont
do it again, he promised we distinguish the reporting clause, which contains the reporting verb
(he promised) and the quote itself (I wont do it again), which represents the exact words
someone has said. Note that the reporting clause may be placed in different positions with respect to
the quote: at the end, in the middle, at the beginning).
(1) The usual syntactic structure to quote is at the end on reporting what someone said as
statements, questions, orders, suggestions and exclamations. As we have seen, after the quote there
is no inversion of subject and verb when the subject is a pronoun. Yet, we may find inversion
subject-verb (i.e. I am ready, replied John) in novels and short stories with verbs such as ask,
exclaim, suggest, reply, cry, reflect, suppose, whisper among others.
(2) We may also find the reporting verb in the middle of the quote in particular cases, for instance,
(a) after a noun group (Your son I shouted, has broken my window car); (b) after a vocative
(Paula, he said, dont play with my sunglasses); (c) after an adverbial clause (Maybe she
thought, he finds me too boring); and (d) after a clause if the quote contains more than one clause
(I was watching TV she said when that man phoned me. This type is namely used in literary
writing where reporting expressions often interrupt the normal flow of the sentences quoted.
(3) Another usual position is at the beginning, that is, in front of the quote (i.e. She replied, I will
do it right now), except for verbs such as wonder, agree, disagree, command, promise, which are
hardly ever used in this case
4.4. Main uses.
As stated above, we namely use direct speech to quote literally what someone said regarding
thoughts, feelings, intentions, orders, suggestions or whatever. In addition, we use direct speech in
literary style and, in particular, in narrative style to give speed to the action. Yet, in everyday life we
do not use it very often since it is quite difficult to remember word by word so as to quote it literally
although there are people who are able to do it.
16/ 27
5. ON INDIRECT SPEECH: MAIN FEATURES.
In this chapter, we shall review the other way of reporting what people have said, that is, indirect
speech, which is namely achieved by using our own version of the words rather than the words
actually used. We shall focus on the main changes, and therefore differences, taking place in the
process direct-indirect speech. So, we shall review (1) main types of indirect speech, and the main
changes in (2) form, on reviewing (a) reporting verbs, (b) verbal tenses, (c) pronouns, (d) here and
now words, and finally, (e) semantic changes in certain items; (3) function, in terms of syntax and
semantics in (a) the main syntactic structures: reported speech and (b) word order of reporting
verbs; and (4) main uses of indirect speech.
5.1. Main types of indirect speech.
Similarly to direct speech types, we classify indirect speech acts into three basic types, which
correspond to three special syntactic types: declarative sentences, interrogative sentences, and
imperative sentences and exclamatory sentences (these two are included within the same type)
whereas the classification concerning their function in communication shows that declarative
sentences are chiefly used to make statements, interrogative sentences to ask questions, imperative
sentences to give commands and exclamatory sentences to make exclamations, depending on the
speakers attitude through phonological, syntactic and semantic cues.
Within this classification, we shall establish three main different communicative functions: (1)
stating, by using declarative sentences (positive and negative); (2) requesting, by asking questions
fo two types (a) Wh-questions and (b) yes-no questions; and finally, (3) ordering, by giving
commands in the imperative form (positive and negative). But let analyse the main structural
features of these communicative functions in reported speech and its main changes.
5.2. Form.
The form of indirect speech addresses the main changes which take place backwards when
reporting from direct to indirect speech within reporting verbs, verbal tenses, pronouns, here and
now words and certain items that involve internal semantic changes (come vs. go, bring vs. take).
17/ 27
The reporting verbs within indirect speech are drawn from the already mentioned types of
sentences: declarative (statements), interrogative (questions) and commands (orders) in order to
show the attitude of the person performing the linguistic act (his thoughts, feelings, or intentions).
Therefore, we shall namely introduce statements by means of constative verbs, such as say, affirm,
answer, claim, confirm, deny, inform, report, state; questions by means of directive verbs, such as
ask, wonder (if), enquire/inquire, want to know; and commands by means of commissive verbs,
such as beg, order, command, request, warn.
Special attention must be paid on those verbs which are followed by prepositions and which namely
express acknowledgments (apologize, congratulate, thank, accept) as in Thank you for coming
tonight, Jane, said Tom (vs. Tom thanked Jane for visiting him that night).
We may establish a typology of changes from direct to indirect speech within all types of verbal
tenses, from the expression of tense (present and past) to any type of time reference (future,
conditional, modal verbs). When the report structure is used, it usually refers to something said in
the past, so the reporting verb and the verb in the reported clause are therefore in a past tense.
Yet, there are some exceptions where the reporting verb may appear in present tense (i.e. An apple
a day keeps the doctor away, she says), usually when idiomatic expressions or proverbs are
involved. Note that backshift is also optional when the time reference of the original utterance is
valid at the time of the reporting (i.e. The teacher told them that the earth moves around the sun).
Moreover, the reporting verb may be in the present tense for communications in recent past time
(i.e. She says she was too busy to join us yesterday) and for reports attributed to famous works or
authors which have present validity (i.e. The Bible says that greed is a sin). Finally, verbs of
cognition may also be used in the present tense (i.e. I know they dont care at all).
But let us analyse the main changes within verbal tenses (simple, perfect, progressive). In the list
below we shall present the direct speech form first and then the corresponding one in indirect
speech.
18/ 27
From Simple Present to Simple Past (i.e. He said, I am worried vs. He said he
was worried).
From Present Continuous to Past Continuous (i.e. He said, I am singing because I
feel happy vs. He said he was singing because he felt happy).
From Simple Past to Past Perfect (i.e. He said , I didnt understand a word vs. He
said he hadnt understood a word).
From Present Perfect to Past Perfect (i.e. I have phoned Jane, he said vs. He said
he had phoned Jane).
From Past Perfect to Past Perfect (i.e. I had seen her walking, he said vs. He said
he had seen her walking).
From Past Continuous to Past Continuous (i.e. He said, I wasnt doing anything
wrong vs. He said he wasnt doing anything wrong).
From Present Perfect Continuous to Past Perfect Continuous (i.e. He said, Ive
been wait ing for two hours vs. He said he had been waiting for two hours).
From Future (will) to Conditional Simple (would) (i.e. He said, I will be there in
two minutes vs. He said he would be there in two minutes).
From Future Continuous to Conditional Continuous (i.e. She said, I will be using
your car while you are away vs. She said she would be using my car while I was
away).
But note, from Conditional to Conditional (i.e. I said, I would like to see him vs. I
said I would like to see him).
Moreover, note the time reference change on modal verbs, for instance: from can
to could (i.e. He said, I can do it alone vs. He said he could do it alone); from
may to might (i.e. He said, It may be a boy vs. He said it might be a boy); from
must to had to (i.e. The doctor said, You must take this pill everyday vs. The
doctor said I had to take that pill everday); and special uses like from need to had
to (i.e. He said, You need to go soon vs. He said I had to go soon).
5.2.3. Pronouns.
Pronouns and possessive adjectives usually change from first or second to third person except when
the speaker is reporting his own words (i.e. I said, I like my new house vs. I said that I liked my
new house). Also, pronoun changes may affect the verb (i.e. He says, I know her vs. He says he
knows her). Moreover, the demonstrative adjectives this and that and their plural forms these
19/ 27
and those undergo certain changes just to indicate a backward personal or object reference (i.e.
He said, I like this T-shirt vs. He said he liked that T-shirt).
Drawn from direct speech, this type of words corresponds respectively to place adverbs (here, there)
or adverbial expressions of place (at this point, in the same place, under that tree) and time adverbs
(yesterday, tomorrow) or adverbial expressions of time (some minutes ago, next week, in two
hours). Note that individually, they usually belong to the grammatical category of nouns (tomorrow,
yesterday), adjectives (next, last), or prepositional phrases (two minutes ago, in two hours).
In indirect speech, adverbs and adverbial phrases of time change backwards using the adjective the
previous and forward using the next/the following + a noun. Hence the main changes are as
follows: from today to that day; from yesterday to the day before/the previous day; from the
day before yesterday to two days before; from tomorrow to the next day/the following day;
from the day after tomorrow to in two days time; from next week/year/etc to the following
week/year/etc; from last week/year/etc to the previous week/year/etc; from a year ago to a
year before/the previous year; from now to then, at that moment; and so on.
Note, however, that if the speech is made and reported on the same day these time changes are not
necessary (i.e. At breakfast this morning he said, Ill be working vs. At breakfast this morning he
said that he would be working). With respect to the place adverbs the main change happens from
here to there when it is clear what place is meant (i.e. On the phone he said, Ill come back here
very soonvs. He said he would come back there very soon).
There are certain reported clauses that may undergo semantic changes when reported in indirect
speech. Thus a sentence like You took the money! might be reported He accused me of taking the
money. So, from different contexts we may include the following reporting verbs: admit, apologize
for, deny, insist on + gerund (i.e. No way. Ill pay, said John vs. John insisted on paying) or verbs
such as: agree, refuse, offer, promise, threaten + infinitive structure (i.e. Ill pay, he said to her vs.
He offered to help her).
20/ 27
We may also find semantic differences between such verbs as say and tell. For instance, indirect
statements are normally introduced by say + object (i.e. He said hed just heard the news). Yet, we
use tell ...+ how/about (i.e. He told us how he had passed the exam) although this verb is
frequently used to introduce commands (i.e. He told me to stop playing). Moreover, there are other
types of verbs such as murmur, mutter, shout, stammer, whisper which indicate the voice or the
tone of voice in which the speaker pronounces his statement.
5.3. Function.
Within function, we shall approach the main syntactic structures of given utterances in direct
speech, that is, reporting verbs and the word order of reported structures, together with their
semantics in order to establish further differences with indirect speech.
5.3.1. Specific structures: reported speech.
The two most outstanding features of indirect speech are, first, that the words a person says are
reported, that is, the speaker conveys a report of what has been said in his own words . Then, alike
direct speech, words are not reported between inverted commas and secondly, that there is no
comma after the introductory verb (i.e. What are you doing?, he asked me vs. He asked me what I
was doing).
As stated above, the main reporting verbs within indirect speech are say, affirm, answer, claim,
confirm, deny, inform, report, state for statements; ask, wonder (if), enquire/inquire, want to
know for questions; and beg, order, command, request, warn for commands. Exclamation verbs
are included within the statement type.
5.3.2. Word order: reported structures.
In order to examine word order in reported structures, we shall revise again the main discourse
types mentioned above which may be converted into indirect speech. So, indirect statements will be
21/ 27
introduced by a subordinate that-clause; indirect questions by a subordinate wh-clause or if-clause;
indirect exclamation by a subordinate wh-clause; and finally, the indirect directive (or commands)
will be introduced by a subordinate that-clause or to-infinitive clause (without subject).
(1) First, when statements are built up syntactically, they follow the structure: reporting verb +
optional that + a subordinate clause (i.e. John said, I dont like meat vs. John said (that)
he didnt like meat). It must be borne in mind that any of the reporting verbs are valid in the
place of said (i.e. claimed, stated, affirmed).
(2) Secondly, when we turn direct questions into indirect speech, there are necessary changes
in tenses, pronouns and possessive adjectives, and also adverbs of time and place (as in
statements). The interrogative form of the verb changes to the affirmative form and the
question mark (?) is therefore omitted in indirect questions.
Within the first type (a subordinate wh-clause), if the introductory verb is say, it must be
changed to a verb of inquiry (ask, inquire/enquire, wonder, want to know) as in He said,
Where is the shop? vs. He asked where the shop was. Yet, they are usually placed at the
end of the sentence. On the other hand, in the indirect clause ask can be followed by the
person addressed (indirect object) as in He asked me where the shop was and as we may
observe, the question word with which the direct question begins is repeated in the indirect
question (i.e. How are you?, he said vs. He asked me how I was).
When there is no question word, we are dealing with if-clauses in the indirect questions,
and then if or whether (less usual) must be used (i.e. Is anyone there? he asked vs. He
asked if anyone was there).Whether can emphasize that a choice has to be made (i.e. Do
you want to bo by air or sea? He asked vs. He asked whether I wanted to go by air or sea).
Whether + infinitive is possible after wonder, want to know (i.e. Should I wait for you?
He wondered vs. He wondered whether to wait for me or go on).
(3) With respect to indirect commands (requests and advice are included here), they are usually
epxressed by the sequence: verb of command/request/advice + object + infinitive (i.e. He
said, Lie down, Tobby vs. He told Tobby to lie down). The following verbs can be used:
advise, ask, beg, command, encourage, forbid, invite, order, remind, request, tell, urge and
warn. Note that say is not included in this list since it is related to statements.
22/ 27
Negative commands, requests, etc are usually reported by not + infinitive (i.e. He said,
Dont lie down, Tobby vs. He told Tobby not to lie down). Most verbs mentioned above
require object + infinitive and must be followed directly by the person addressed without
preposition (i.e. He said, Go away! vs. He told me to go away).
Other ways of expressing indirect commands are expressed by the sequences: say/tell +
subject + be + infinitive (i.e. He said/told me that his wife was pregnant) and say/tell +
(that) + subject + should (i.e. He said/told me that if it was too late I shouldnt walk home
alone).
(4) With respect to exclamations, we shall say that they usually become statements in indirect
speech and that the exclamation mark disappears (i.e. He said, What a wonderful day! vs.
He exclaimed that it was a wonderful day/He told us how wonderful the day was). Other
types of exclamation such as Good! Marvellous! Splendid! Heavens! have to be
paraphrased when reported indirectly (i.e. Good! he exclaimed vs. He gave an
exclamatio n of pleasure)
5.4. Main uses.
As stated above, we namely use indirect speech to give the exact meaning of a remark or a speech,
without necessarily using the speakers exact words (i.e He said that he had no money at all). Yet,
in everyday life we use it ve ry often since it is quite difficult to remember the exact words a person
said some time ago (and sometimes even recently!). Moreover, we often use it to express the
speakers feelings, thoughts and attitudes, for instance, when swearing as in Damn!, he said, we
can report it by just saying He swore; Liar! he said, by saying He called me a liar and so on.
There is a variety of indirect speech called free indirect speech which is used extensively to report
speech or (particularly in fiction) the stream of thought. It is basically a form of indirect speech but
(a) the reporting clause is omitted (except when retained as a parenthetical clause, as in direct
speech), and (b) the potentialities of direct-speech sentence structure are retained (for example,
direct questions and exclamations, vocatives, tag questions, and interjections). It is therefore the
backshift of the verb, together with equivalent shifts in personal pronouns, demostratives, and time
23/ 27
and place references, that signals the fact that the words are being reported, rather than being in
direct speech (Quirk et al. , 1990).
6. EDUCATIONAL IMPLICATIONS.
This study has looked at the expression of direct and indirect speech within lexical semantics,
morphology and syntax in order to establish a relative similarity between the two languages that
Spanish-speaking students would find it useful for learning English if these connections were
brought to their attention, especially when different changes take place in time reference, pronouns,
here and now words and so on.
It has been suggested that a methodology grounded in part in the application of explicit linguistic
knowledge enhances the second language learning process. In the Spanish curriculum (B.O.E.
2002), the expression of direct and indirect speech is envisaged from earlier stages of ESO in terms
of stating what other people say up to higher stages of Bachillerato, towards more complex
constructions, such as those of commands (i.e. He told me to leave the room).
The expression of indirect speech has been considered an important element of language teaching
because of its high-frequency in speech. We must not forget that the expression of these items is
mainly drawn from both closed class categories, such as verbs, adverbs, adjectives, and nouns, and
open class categories such as prepositions which have a high frequency of use when reporting facts.
Hence, the importance of how to handle these expressions cannot be understated since you cannot
communicate without it. Current communicative methods foster the teaching of this kind of
specific linguistic information to help students recognize new L2 words. Learners cannot do it all on
their own. Language learners, even 2nd year Bachillerato students, do not automatically recognize
similiarities which seem obvious to teachers; learners need to have these associations brought to
their attention.
So far, we have attempted in this discussion to provide a broad account of the expression of direct
and indirect speech in order to set it up within the linguistic theory and a theoretical framework so
as to establish their main syntactic structures to be analysed individually. We hope students are able
24/ 27
to understand the relevance of handling correctly these two ways of reporting in everyday life
communication.
7. CONCLUSION.
How language represents the world has long been, and still is, a major concern of philosophers of
language. It is worth noting that although direct and indirect speech are fairly universal ways of
reporting facts, thoughts, feelings and many more attitudes, they have separate syntactic
constructions that distinguish them, for instance, an utterance like Where are you? he asked may
be identified as a direct reporting fact within the type wh-questions.
Moreover, almost any speech act is really the performance of several acts at once, distinguished by
different aspects of the speaker's intention: there is the act of saying something, what one does in
saying it, such as requesting or promising, and how one is trying to affect one's audience. Making a
statement may be the paradigmatic use of language, but there are all sorts of other things we can do
with words (whisper, say, shout, apologize).
We can make requests, ask questions, give orders, make promises, give thanks, offer apologies,
expressing emphasis and disagreeing. In general, speech acts are acts of communication. To
communicate is to express a certain attitude, and the type of reporting act being performed
corresponds to the type of attitude being expressed (statement, questio n, command, exclamation).
For example, a statement expresses a belief, a request expresses a desire, and a command expresses
an order.
Throughout this unit we have shown the correlation between direct and indirect speech.
Communicative success is achieved if the speaker chooses his words in such a way that the hearer
will, under the circumstances of utterance, recognize his communicative intention (inform, require,
order). So, for example, if you spill some beer on someone and say 'Oops' in the right way, your
utterance will be taken as an apology for what you did and reported indirectly with other words
(paraphrased) as in He apologized for spilling the beer on him.
So far, in this study we have attempted to take a fairly broad view of the expression of direct and
indirect speech since we are also assuming that there is an intrinsic connexion between its learning
and successful communication. Yet, we have provided a descriptive account of Unit 30, untitled
25/ 27
Direct and Indirect Speech whose main aim was to introduce the student to the different ways of
expressing these acts of speech. In doing so, the study has provided first a linguistic framework for
these two items and then a theoretical framework to clarify some key terminology on the issue.
In fact, these two ways of reporting are speech acts which are a central element in communicative
competence and in the acquisition of a second language since students must be able to express their
thoughts, opinions and emotions in their everyday life in many different situations, directly or
indirectly. As stated before, the teaching of these expressions comprises four major components in
our educational curriculum: phonology, grammar, lexicon, and semantics, out of which we get five
major levels: phonological, morphological and syntactic, lexical, and semantic plus that of
pragmatics, which offers us the social context in which we must use them.
Therefore, it is a fact that students must be able to handle the four levels in communicative
competence in order to be effectively and highly communicative in the classroom and in real life
situations. Our two current expressions prove highly frequent in our everyday speech, and
consequently, we must encourage our students to have a good managing of them.
26/ 27
8. BIBLIOGRAPHY.
- Aarts, F., and J. Aarts. 1988. English Syntactic Structures. Functions & Categories in Sentence Analysis.
Prentice Hall Europe.
- Bach, K. (1994) 'Conversational impliciture', Mind & Language 9: 124-62. (Identifies the middle ground
between explic it utterances and Gricean implicatures.)
- Bach, K. and R. M. Harnish (1979), Linguistic Commuication and Speech Acts , Cambridge, Mass.: MIT
Press
- B.O.E. RD N 112/2002, de 13 de septiembre por el que se establece el currculo de la Educacin

Secundaria Obligatoria/Bachillerato en la Comunidad Autnoma de la Regin de Murcia.
- Bolton, D. And N. Goodey. 1997. Grammar Practice in Context. Richmond Publishing.
- Council of Europe (1998) Modern Languages: Learning, Teaching, Assessment. A Common European
Framework of reference.
- Eastwood, J. 1999. Oxford Practice in Grammar. Oxford University Press.
- Greenbaum, S. and R. Quirk. 1990. A Students Grammar of the English Language. Longman Group UK
Limited.
- Greenbaum, S. 2000. The Oxford Reference Grammar. Edited by Edmund Weiner. Oxford University Press.
- Quirk, R & S. Greenbaum. 1973. A University Grammar of English. Longman.
- Snchez Benedito, F. 1975. Gramtica Inglesa . Editorial Alhambra.
- Searle, J. 1969. Speech Acts. Cambridge University Press.
- Thomson, A.J. and A.V. Martinet. 1986. A Practical English Grammar. Oxford University Press.
- van Ek, J.A., and J.L.M. Trim, 2001. Vantage. Council of Europe. Cambridge University Press.
27/ 27
UNIT 31
TEXT AND CONTEXT. TEXT TYPES: MAIN CRITERIA

FOR TEXT TYPOLOGY. REGISTER.
OUTLINE
1. INTRODUCTION.
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF TEXT AND CONTEXT.

2.1. Text vs. sentence.
2.2. The relevance of semantics and pragmatics.
2.3. The notion of text linguistics.
3. TEXT AND CONTEXT.

3.1. On defining text.
3.1.1. Textual features:texture and ties.
3.1.2. Textuality: the seven standards.
3.1.3. Text types.
3.1.4. Main criteria for text typology.
3.2. On defining context.
3.2.1. The context of situation.
4. TEXT TYPES: MAIN CRITERIA FOR TEXT TYPOLOGY.

4.1. Text typology: main criteria.
4.1.1. Literary devices.
4.1.2. Order and sequence.
4.1.3. Text structure.
4.2. Text types: classification and description.
4.2.1. Narration.
4.2.2. Description.
4.2.3. Exposition.
4.2.4. Argumentation.
4.2.5. Instruction.
5. REGISTER.
5.1. On defining register.

6.1. New directions in language teaching.
6.2. Implications in language teaching.
7. CONCLUSION.
8. BIBLIOGRAPHY.
1/26
1. INTRODUCTION.
The main aim of Unit 30 is to present the issue of text and context, text type and main criteria for
text typology, and register. Our aim is to offer a broad account in descriptive terms of these notions
and examine how text, context and register relate to each other in a communicative situation. In
order to do so, we shall divide our study in seven chapters.
In Chapter 2 we shall offer a theoretical framework for text, context and register so as to locate
them within linguistic studies and analyse how they related to each other in a communicative
context. Therefore, we shall provide an account of key notions and related issues which prove
essential in the understanding of these three concepts. So we shall review (1) the definition of text
vs. sentence, (2) the relevance of semantics and pragmatics and (3) the notion of text linguistics in
order to frame the following chapters on the issue of text, context, register and their main features.
Chapter 3 will offer then an insightful analysis and description of text and context by offering (a)
definition and (b) main features; Chapter 4 will examine (1) the main criteria for text typology and
(2) a description of the main types of texts; Similarly, Chapter 5 will analyse the term register in
relation to the previous notions. Chapter 6 will be devoted to present the main directions and
educational implications in language teaching regarding text, context and register following the
model for a Communicative Approach. Chapter 7 will offer a conclusion to broadly overview our
present study, and Chapter 8 will include all the bibliographical references used in this study.
An influential introduction to the analysis of text, context and register is based on relevant works of
van Dijk, Text and Context (1984); Brown and Yule, Discourse Analysis (1983); Cook, Discourse
(1989); Beaugrande and Dressler, Introduction to Text Linguistics (1988) and, still indispensable,
Halliday and Hasan, Cohesion in English (1976). Classic works on the influence of semantics,
pragmatics and sociolinguistic on text analysis, include van Dijk, Studies in the Pragmatics of
Discourse (1981); Hymes, Communicative Competence (1972) and Foundations in Sociolinguistics:
2/26
An Ethnographic Approach (1974); Halliday, Explorations in the Functions of Language (1975)
and Spoken andWritten Language (1985); and Searle, Speech Act (1969).
communicative competence (1972). In addition, the most complete record of current publications
within the educational framework is provided by the guidelines in B.O.E. (2002); the Council of
Europe, Modern Languages: Learning, Teaching, Assessment. A Common European Framework of
reference (1998); Hedge Tricia, Teaching and Learning in the Language Classroom (2000); and
Celce-Murcia & Olshtain, Discourse and context in language teaching (2000). New directions on
language teaching is provided by the annual supplement of AESLA 2001 (Asociacin Espaola de
Lingstica Aplicada).
We shall offer a theoretical framework for text, context and register so as to locate them within
linguistic studies and analyse how they related to each other in a communicative context. Therefore,
we shall provide an account of key notions and related issues which prove essential in the
understanding of these three concepts. So we shall review (1) the definition of text vs. sentence, (2)
the relevance of semantics and pragmatics and (3) the notion of text linguistics in order to frame the
following chapters on the issue of text, context, register and their main features.
2.1. Text vs. sentence.
The terms text vs. sentence differ at the highest grammatical level of analysis in the rank scale,
where paragraphs and texts are considered to be larger stretches of language higher than the
sentence (Aarts, 1988). At this level, language does not occur in solitary words or sentences
(simple, complex and compound) in grammatical terms, but in sequences of sentences, that is,
3/26
utterances in terms of meaning and use in connected discourse. Then we shall deal with sequences
of utterances which are semantically interrelated and that interchange in order to establish relations
of social interaction either in spoken or written language.
2.2. The relevance of semantics and pragmatics.
In fact, we can affirm that a sentence may be defined in grammatical terms whereas a text is under
the influence of semantics and pragmatics, that is, in terms of meaning and use. Several years ago,
syntax and semantics were studied with little regard for the ways people used grammar and
meaning in communication and the use of language was relegated to the field of pragmatics.
Nowadays, the question of use is freely treated in syntax and semantics and the notions of
cohesion and coherence, usually related to semantics, can be also helpful when studying a text
only if they deal with how connections and relations are actually set up among communicative
contexts.
Then, in a text, pragmatics explores the attitudes of producers by means of such devices as
(inmmediate feedback), and informativity (the selection of contributions to conversation). In
how to frame your text in regard to other peoples texts in the same discourse).
On the other hand, semantics explores the relationship between syntactic structures (and therefore
between them in a text by means of coherence and cohesion, having as a result the whole text under
the shape of a pragmatic coherent discourse, that is, in a communicative context.
2.3. The notion of text linguistics.
Finally, the notion of text linguistics designates any work in language science devoted to the text as
the primary object of inquiry (Beaugrande & Dressler, 1988). In fact, many fields have approached
the study of texts: linguistics (from grammar, morphology and phonology), anthropology (different
4/26
speech acts in different cultures), psychology (speaker and hearer behaviour), stylistics (correctness,
clarity, elegance, appropriateness, style), literary studies (text types) and so on, but the most
important fields are sociology (which explores conversational studies and gives way to text
analysis), semantics (coherence, cohesion, connectors) and pragmatics (speech acts, contexts) which
shape the text into a pragmatic coherent structure (van Dijk, 1984).
3. TEXT AND CONTEXT.
Following Halliday & Hasan (1976), the word text is used in linguistics to refer to any passage,
spoken or written, of whatever length, that does form a unified whole. As a general rule, we know
whether an utterance or sequence of utterances constitute a text or not though it may be spoken or
written, prose or verse, dialogue or monologue, and also anything from a single proverb to a whole
play, from a momentary cry for help to an all-day discussion on a committee (1976). Hence, a text
is not defined by its size but by its meaning.
5/26
Although it may be envisaged as a grammatical unit larger than a sentence, a te xt is not a
grammatical unit but a unit of language in use; in other words, a text is best regarded as a semantic
unit and not a unit of form. Linguistic form is important but is not itself sufficient to give a stretch
of language the status of a text, for instance, Dangerous road is an adequate text though
comprising only a short noun phrase.
3.1.1. Textual features: texture and ties.
It must be born in mind that a text does not consist of sentences; it is realized by sentences. In fact,
the property of being a text is given by textual features such as texture and ties. First of all, the
concept of texture expresses in itself the property of being a text and this is what distinguishes a
text from something that is not a text. Texture, then, functions as a unity with respect to its
environment. The resources that English has for creating texture contribute to its total unity and
they are called ties.
Halliday and Hasan (1976) define ties as the term used to refer to a single instance of cohesive
relation (anaphora, cataphora, reference). The concept of a tie makes it possible to analyse a text in
terms of its cohesive properties and give a systematic account of its patterns of texture. We can
characterize any segment of a text in terms of the number of kinds of ties which it displays:
reference, substitution, ellipsis, conjunction, and lexical cohesion1 .
As it has been stated above, a text is not an undifferentiated sequence of words, much less of bytes.
In addition, written texts conform to rules that most successful writers unconsciously follow and
native readers unconsciously expect to find. It is relevant, then, to address the term textuality in
written and oral texts as it is involved in rules governing written discourse. In the approach to text
linguistics by de Beaugrande & Dressler (1988), a text, oral or printed, is established as a
communicative occurrence, which has to meet seven standards of textuality : cohesion, coherence,
intentionality and acceptability, informativity, situationality and finally, intertextuality. If any of
1
It must be borne in mind that the concept of cohesion can therefore be usefully supplemented by that of
register (the context of situation), since the two together effectively define a text.
6/26
these standards are not satisfied, the text is considered not to have fulfilled its function and not to be
communicative.
(1) Cohesion and coherence are text-centred notions, designating operations directed at the text
materials. On the one hand, cohesion is related to the function of syntax and therefore, it
concerns the ways in which the components of the surface text (the actual words we hear or
see: phrase, clause, sentence) are mutually connected within a sequence. It also deals with
cohesive ties as mentioned above (anaphora, cataphora, ellipsis, etc) and signalling relations
(tense and aspect, modality, uptdating, junction, conjunction, disjunction and
subordination).
(2) Coherence is the outcome of actualizing meanings in order to make sense (Beaugrande &
Dressler, 1988). It concerns the ways in which the components of the textual world are
mutually accessible and relevant. These components are the concepts and relations which
underlie the surface text: a set of relations subsumed under causality (cause, enablement,
reason, purpose time) and global patterns (frames, schemas, plans, and scripts). They are
responsible for making a text be senseless or non-sensical. In other words, if cohesion
gives meaning to a text, coherence enhances the continuity of sense within the text
(meaning vs. sense).
So, a text is organized for different purposes, divided into many different units and different
types or sizes. For instance, prose text might be divided into sections, chapters, paragraphs,
and sentences. A verse text might be divided into cantos, stanzas, and lines. Once printed,
sequences of prose and verse might be divided into volumes, gatherings, and pages (Swales
1990). Also, structural units of this kind are most often used to identify specific locations or
reference points within a text (the third sentence of the second paragraph in chapter ten or
page 582), but they may also be used to subdivide a text into meaningful fragments for
analytic purposes (how many paragraphs mention a specific word or how many pages a
book has).
(3) The remaining standards of textuality are user-centred, concerning the activity of textual
communication by the producers and receivers of texts. A language configuration must be
intended to be a text and accepted as such in order to be used in communicative
interaction, thats why we shall examine the attitudes of intentionality and acceptability
7/26
together. They both involve some tolerance towards disturbances of cohesion or coherence,
as long as the purposeful nature of the communication is upheld. Hence the production and
reception of texts function as discourse actions relevant to some plan or goal.
Intentionality, on the one hand, subsumes the intentions of text producers, that is, their
attitude. In the most immediate sense of the term, the producer intends the language
configuration under production to a cohesive and coherent text instrumental in fulfilling the
writer intentions. This standard deals with the pragmatic perspective of discourse, that is,
the conversational maxims of co-operation: quantity, quality, relation and manner on saying
be informative, be truthful, be relevant and be brief (first, quality envisages messages to
be truthful; quantity , by means of which messages should be as informative as is required,
but not more informative; relation, for messages to be relevant; and manner, where
messages should be clear, brief and orderly). Acceptability, on the other hand, concerns the
receiver attitude. Here a set of occurrences should constitute a cohesive and coherent text
having some use or relevance for the receiver in an appropriate context of communication.
(4) Informativity concerns the extent to which the occurrences of the text are expected vs.
unexpected or known vs. unknown or uncertain. Usually, this notion is applied to content,
but occurrences in any language system might be informative. The emphasis on content,
that is, content words (verbs, nouns, adjectives, adverbs), arises from the dominant role of
coherence in textuality, while language systems like phonemes or syntax seem to have
focused less attention. Content words activate more extensive and diverse cognitive
materials and can elicit more pronounced emotions or mental images than can function
words (articles, prepositions and conjunctions). Hence we expect different types of texts
(poetic, scientific, literary, etc).
(5) Situationality concerns the factors which make a text relevant to a current or recoverable
situation of occurrence (Beaugrande & Dressler, 1988). The effects of a situational setting
are very rare when there is no mediation and therefore, the extent to which one feeds ones
own beliefs and goals into ones model of the current communicative situation. Yet, the
accessible evidence in the situation is fed into the model along with our prior knowledge
and expectations about how reality is organized but then, we guide the situation through
situation monitoring and situation management, which can vary depending on the views of
the individual participants (i.e. in dramatic texts, as a subclass of literary texts, there exist
8/26
the prerogative of presenting alternative organizations for objects and events in live
presentations (prologue, unusual frequency of events, actions with no reason, etc).
(6) Finally, intertextuality concerns the factors which make the use of one text dependent upon
knowledge of one or more previously encountered texts, that is, the ways in which the
production and reception of a given text depends upon the participants knowledge of other
texts. The usual mediation is achieved by means of the development and use of text types,
being classes of texts expected to have certain traits for certain purposes: descriptive,
narrative, argumentative, literary and poetic, scientific and didactic. Usually, the are defined
along functional lines (descriptive: to enrich knowledge spaces; narrative: to arrange
actions and events; argumentative: to promote the acceptance of certain beliefs; and so on).
The above seven standards of textuality are called constitutive principles (Searle 1965), in that they
define and create textual communication as well as set the rules for communicating. There are also
at least three regulative principles that control textual communication: the efficiency of a text is
contingent upon its being useful to the participants with a minimum of effort; its effectiveness
depends upon whether it makes a strong impression and has a good potential for fulfilling an aim;
and its appropriateness depends upon whether its own setting is in agreement with the seven
standards of textuality (Beaugrande & Dressler 1988).
3.2. On defining context.
The term context means literally accompanying text and it is defined as the state of affairs of a
communicative situation in which communicative events take place (van Dijk, 1981). A context
must have a linguistically relevant set of characteristics for the formulation, conditions and rules for
the adequate use of utterances, for instance, it must be appropriate andsatisfactory for the given
utterance. Moreover, the notion of context is rather static when it is merely used to refer to a state of
affairs. Hence we may introduce the term communicative so that an event may be successful if a
given context changes into a specific new context (i.e. speaking face to face vs. speaking on the
phone).
9/26
3.2.1. The context of situation.
The term situation, meaning the context of situation in which a text is embedded, refers to all
those extra-linguistic factors which have some bearing on the text itself. These external factors
affect the linguistic choices that the speaker or the writer makes on the basis of the nature of the
audience, the medium, the purpose of the communication and so on. The concept of context of
situation was formulated by Malinowski in 1923 2 and further on, Hymes (1969) categorized the
speech situation in terms of eight components: form and content of text, setting, participants, ends
(intent and effect), key, medium, genre and interactional norms. It is within this context that we
shall develop later the construct of register (linguistic features typically related to situational
features).
Following Halliday and Hasan (1976), the use of context in the collocation context of situation
seems to us a metaphorical extension. But it is fairly easy to see that there is a logical continuity
from naming (referring to a thing independently of the context of situation), through situational
reference (referring to a thing as identified in the context of situation) to textual reference (referring
to a thing as identified in the surrounding text); and in this perspective, situational reference would
appear as the prior form. In fact, the nature of a text is closely related to the context of situation in
which it takes place.
The context makes explicit the basis on which utterances are formed by the speaker and received by
the listener. In other words, the context of situation is related to the material, social and ideological
environment whe re those words are uttered. The linguistic patterns make it possible to identify what
features of the environment are relevant to linguistic behaviour and so form part of the context of
situation (here again we prepare the ground for the concept of register).
10/ 26
4. TEXT TYPES: MAIN CRITERIA FOR TEXT TYPOLOGY.
Chapter 4 approaches the concept of text from two main perspectives: (1) the main criteria for text
typology by means of which we review basic principles for all types of texts regarding literary
devices, order and sequence elements and common text structures; and (2) a text type classification
and description.
4.1. Text typology: main criteria.
4.1.1. Literary devices.
Before providing a brief account of text types and their respective instances within a literary
production, it is relevant to mention those basic principles (or main criteria) by which all text types
are interrelated as literary productions, that is, lay behind the notion of intertextuality, as we shall
see below.
Literary texts are formed from constituents that are not always immediately recognizable, such as
specific conditions of production, contradictory cultural discourses, and intercultural processes. For
such reasons, literary texts may be polysemous, having a range of in terpretive possibilities.
However, there are some basic principles of literature which have common characteristics that make
it possible for them to be classified into genres and text types.
These basic principles are considered to be literary elements and devices to evaluate how the form
of a literary work and the use of literary elements and devices, such as setting, plot, theme, and
many more to be mentioned, contribute to the works message and impact. Among the basic
principles of literature applied to all text types, we may find that the subject is expressed in terms of
theme ; the writer approaches this subject with a specific point of view, both physical and
psychological, and from a definite perspective; the writers attitude toward a subject is expressed
through his voice, real and assumed, which is marked by a distinctive tone. Satire, irony, and
hyperbole are special attitudes and tones.
2
It was published in a supplement called The Meaning of Meaning which further developed into a paper called Personality and
language in society (1950).
11/ 26
Furthermore, the distinctive voice of the writer speaks through his style, which essentially is a
product of language, the choice and combination of words, sentence structures, and the rhythms of
larger elements; the writer also structures the material of experience into artistic forms and patterns;
contrast and likeness of elements are important aspects of pattern and form, and are heightened
through repetition, balance, and the internal rhythms of the piece itself.
4.1.2. Order and sequence.
Moreover, basic to the concept of form is the notion of order and sequence, which can be logical,
chronological, or psypchological; much of literature deals with storied elements which have their
genesis in some type of conflict; plot, then, moves from complication, through conflict, to
resolution where deeper levels of meaning are suggested through image, metaphor, and symbols;
such storied literature takes place in a real or imagined setting, within a time and a place; and
finally, participants are considered to be characters, and the reality they represent is
characterization.
4.1.3. Text structure.
By studying the textual and lexical elements of text types, one can learn to regularly recognize the
overall structure of a text. For example, if one finds lexical signals that indicate situation-problem-
response-result (Hoey 1994), we can know with some certainty that we are dealing with a Problem-
Solution test. When one identifies vocabulary items that signal doubt or skepticism, (words such as
appear, suggests, speculation, etc.), we know we are dealing with a Claim-Counterclaim structure.
In fact, while the sequence of these structures may be varied, we should always find all the elements
we are looking for in a well-formed text.
Following a general division of any kind of text we may sometimes begin with a brief heading or
descriptive title, with or without a byline, an epigraph or brief quotation, or a salutation, such as we
may find at the start of a letter. They may also conclude with a brief trailer, byline, or signature.
Elements which may appear in this way, either at the start or at the end of a text division proper, are
regarded as forming a class, known as divtop or divbot respectively .
12/ 26
The following special purpose elements are provided to mark features which may appear only at the
start of a division. Firstly, the head, which may contain any heading, such as the title of a section, a
list or a glossary. Sometimes regarding text type, the heading may be categorized in a meaningful
way to the encoder. Secondly, an epigraph which contains a quotation, anonymous or attributed,
appearing at the start of a section or chapter, or on a title page. Thirdly, an argument in terms of a
formal list or prose description of the topics addressed by a subdivision of a text. Finally, an opener
which groups together dateline, byline, salutation, and similar phrases appearing as a preliminary
group at the start of a division, especially of a letter. The conclusion will be characterized by a brief
trailer of the subject matter as a summary of facts. A byline or a signature may also conclude any
piece of writing.
4.2. Text types: classification and description.
Literary works are not created merely in an individual authors mind. A literary work can be said to
have a personality of its own, which is interwoven with the ruling social and cultural
circumstances. However, a literary text is influenced not only by the social and political
circumstances of its time. It is also engaged in a dialogue with other texts to which it relates,
critically or affirmatively. This process is called intertextuality.
Moreover, literary works do not occur in isolation, but as members of groups, as a novel among
novels, a poem among poems, or a drama among dramas. Historically and structurally, they are
connected to other works of the same genre, as well as other genres. The relationship between text
types and genres is not straightforward since genres reflect differences in external format and text
types may be defined on the basis of cognitive categories (Smith 1985). For all genres,
intertextuality is a basic feature. If each literary work relates to other works and other forms, it is
also influenced in subtle ways by the form or medium in which it is presented. A literary text is
capable of changing its manner of access and presentation.
For 2,400 years there have been two traditions of classifying texts. The first one, deriving from
Aristotles Rethoric, where the term rethoric refers to the uses of language. More specific, it refers
to modes of discourse realized through text types, thus narration, description, directive, exposition
13/ 26
and argumentation. Within the second tradition, rethoric refers to communicative function as
rethorical strategies. According to Trimble (1985) we may classify texts in two ways. Firstly,
according to purpose, and secondly, according to type or mode.
According to purpose, in terms of communicative functions, the discourse is intended to inform,

express an attitude, persuade and create a debate. According to type or mode, the classification
distinguishes among descriptive, narrative, expository, argumentative, and ins trumental modes
(Faigley & Meyer 1983). Here the focus is on functional categories or rhetorical strategies
regarding abstract meaning. However, genre refers to completed texts, communicative functions
and text types, being properties of a text, cut across genres. Thus informative texts (newspaper
reports, TV news, and textbooks); argumentative texts (debates, political speeches, and newspaper
articles).
Analytic interpretation of texts in all genres should become part of every literary students basic
competence (B.O.E., 2002). There are hidden influences at work beneath the textual surface: these
may be sociocultural, inter and intratextual, or ecological. The literary student has to discover these,
and wherever necessary apply them in further examination. Interpreting a literary text thus calls for
a fundamental interest in making discoveries, and in asking questions. The main aims that our
currently educational system focuses on are mostly sociocultural, to facilitate the study of cultural
themes, as our students must be aware of their current social reality within the European framework.
According to Brown and Yule (1983), one of the pleasures of teaching the written language is that it
is so easy to provide good models of almost any kind of writing. We may find models of texts and
models of sentences created for different purposes. We will deal with in this section with models of
texts, as models of sentences will be examined in section six under the heading of routines and
formulae speech. In each case the model is one which the student can profitably base his own
production on and, if he copies the model carefully, the teacher can tell him that what he produces is
right. This comfortable notion of correctness is a good deal less obvious when it comes to teaching
the spoken language since native spoken language reveals so many examples of slips, errors, and
incompleteness that we do not have when writing.
Therefore, this continuum of activities that range from the more mechanical or formal aspects of
writing down on the one end, to the more complex act of composing on the other end, are
generally classified, as mentioned above, as mainly narrative, descriptive, expository,
14/ 26
argumentative and instructive texts. Accordingly, these texts belong predominantly to the category
or text types of narration, description, exposition, argumentation and instruction. We shall provide
in five subsections their basic characteristics.
4.2.1. Narration.
The purpose of a narrative text is to entertain, to tell a story, or to provide an aesthetic literary
experience. Narrative text is based on life experiences and is person-oriented using dialogue and
familiar language (Wolpow, & Zintz 1999). Narrative text is organized using story grammar. The
genres that fit the narrative text structure are folktales (wonder tales, fables, legends, myths, tall
tales, and realistic tales); contemporary fiction; mysteries, science fiction, realistic fiction, fantasy,
and historical fiction.
A main feature of narrative texts is the telling of a story of events or actions that have their inherent
chronological order, usually aimed at presenting facts. This story telling involves the participation
of elements such as characters and characterization, setting, plot, conflict, and theme. Besides, we
find other two relevant narratives features which deal with the order of events, and the narrators
point of view. Telling a story does not mean, necessarily, that we are dealing with fiction. So
instances of narrative texts are novels, short stories (including myths, folk tales, and legends),
poetry, plays, drama and non-fiction. Also, news story, a biography or a report are text forms that
generally adhere to the narrative text types.
Thus, regarding characters, they may be classified as main characters if they are the protagonists, or
supporting characters if they are secondary to the development of the plot. A similar, but different
term is characterization which refers to the way the author portrays stereotypes, and it is often
related to medieval literary texts where morals were identified in a fable and folk tales. In relation to
the setting, we may say it refers to the environment, the context, and the circumstances of the story,
that may happen in real or imaginery situations. Since the plot involves the action around which the
story is developed, the conflict is directly related to it, as it is usually drawn from complication,
through conflict, to a solution,stated or open-ended. Finallly, the theme is concerned with an
interesting and attractive issue which will be the starting point to develop the story, thus love,
injustice, or a murder.
15/ 26
The order of events that are structured by time, rather than space, is what marks a text as narrative.
The order is given by the focus on the story ending. Therefore, we may find three types of narrative
developments. Firstly, in order to know the ending of the story, we shall find a linear development
which follows a chronological order from the beginning to the end of the story. Secondly, if the
focus is not on the ending but on the circumstances leading to the ending, events may start at the
end of the story and be described, then, in terms of flash-backs in order to attract the readers
attention. Thirdly, if the focus is on both the beginning and the ending, the telling may start at an
intermediate point within the story for events to be described in terms of backwards and forwards
movements. This technique is to be called in medias res narration.
Moreover, another relevant feature within narrative te xts is the narrators point of view. Thus, the
narrator is the person who tells the story, and therefore he is in charge of introducing the characters,
and explaining the circumstances in which events may take place. He is, in fact, the one who makes
the story telling a lively and dynamic text. As a result, there are three different perspectives
depending on the point of view the narrator describes events, thus a first person narration where the
the narrator is an omniscient character who knows every detail in the story and takes part in it as
any other character, that is, as a main or supporting character, or as a witness. When the narrator
and the main character are the same person, we refer to an autobiography. Secondly, a second
person narration where the narrator becomes both narrator and character at the same time,
addressing to himself. Thirdly, a third person narration where the narrator is the author and it is a
mere witness in the story.
4.2.2. Description.
The purpose of a descriptive text is to describe and present the attributes and features of people,
animals, items and places, or to provide a detailed, neutral presentation of a literary situation.
Descriptive texts are usually based on material objects, people or places, rather than with abstract
ideas or a chronological sequence of events. In opposition to narrative texts, descriptive texts tend
to be structured in terms of space, rather than time (Halliday and Hasan 1976). The genres that may
fit into the descriptive text structure are brochures, descriptions of animals, or descriptions of
scientific and technical concepts. Yet, the descriptive process is to be compared to the painting
process because of the details the reader may perceive through most of the senses.
16/ 26
We may distinguish first, types of descriptions regarding the description of people and animals
(prosopographic), the description of landscapes (topographic), and the description of objects. On the
other hand, there are other types of description concerning the mode of discourse, thus scientific,
literary, static and dynamic. Firstly, the scientific description is concerned with the notions of
objectivity and rigour. Mechanisms, different phenomena, or reactions are accurately described in
terms of external appearance, elements, and features, mainly in technical and scientific research.
Secondly, the literary description is concerned with the writers subjectivity, where his or her point
of view is emphasized, regarding practical and sensorial things, such as the five senses: hearing,
smelling, tasting, touching, and seeing.
Within the static description, the writer describes in a precise way the object which is placed
statically at a certain distance. It is depicted by means of photographic techniques, giving details on
shape, size, colour, material, among other aspects. Finally, the dynamic description is featured by
movement. Thus, the object is progressively described as the writer sees it passing by. In it, the
writer describes the reality in front of him by means of a cinematographic technique through which
he makes the reader discover the object at the same time as him.
Descriptive texts are usually aimed at precision and clarity. The choice of words may range from
metaphors, similes or comparisons in order to give as many details as possible in terms of colour,
height, length, beauty, or material type. The vocabulary used can therefore be expected to be exact
and price, the overall style neutral, unemotional and sometimes technical and dry to the point of
boredom. Qualifying adjectives and relative sentences may also enrich the descriptive process.
Usually in descriptive writing, the main topic is introduced and then the attributes are included in
the body of the paragraph. An organized structure may be used to map the indiv idual characteristics
or traits of the topic being introduced. This structure can be expected to be mirrored in the text by
means of different paragraphs which would deal with different parts of the object described. For
instance, in the description of a persons physical appearance, the first paragraph may deal with an
overall impression of the individual regarding average age, beauty, height, or weight; the second
with his head description in detail, thus hair, eyes, mouth, or eyebrows; the third with his body, thus
arms, legs, and so on; and the fourth with special body features.
17/ 26
4.2.3. Exposition.
Expository texts are usually written in attempts at analyzing, explaining, describing and presenting
events, facts and processes that may be quite complicated. Besides, they may be used to persuade as
well. Their structure would be determined mainly by logical coherence, but aspects of time and
space may also be quite important, depending on the subject-matter. It is thus not always easy to
differentiate between expository texts and narrative or descriptive texts, especially as expository
texts sometimes include elements of narration or description. An expository essay should be fairly
detailed and precise in order to convey accurate and objective information.
The organization of the structure of expository text is dependent upon the form or genre, and,
therefore it may include a letter, a brochure, a map, essays, speeches, lab procedures, journal
entries, government documents, newspaper and magazine article s, and directions, among other
things. Moreover, the language used in expositions is virtually always neutral, objective and
analytical. You would not expect to find emotionally loaded terms or subjective comments in an
expository text.
First, students ne ed to understand the characteristics of an expository text. A narrative text includes
such elements as a theme, plot, conflict, resolution, characters, and a setting. Expository texts, on
the other hand, explain something by definition, sequence, categorization, comparison-contrast,
enumeration, process, problem-solution, description, or cause-effect. Where the narrative text uses
story to inform and persuade, the expository text uses facts and details, opinions and examples to do
the same. There are, however, seven basic structures of expository text and researchers recommend
that teachers begin to teach expository text structure at the paragraph level. Heller (1995) lists the
following text structures: definition, description, process (collection, time order, or listing),
classification, comparison, analysis, and persuasion. Included for each type of text structure will be
designed questions that can be asked for each text structure. Expository text is subject-oriented and
contains facts and information using little dialogue.
4.2.4. Argumentation.
Argumentative texts are intended to convince, or only to persuade, the reader of a certain point of
view, or to understand the authors reason for holding certain views on a matter under discussion.
18/ 26
This subject-matter may often be a controversial issue, but that is not a necessary requirement of
argumentative texts. Argumentative texts include demonstration brochures, government speeches,
debates, face-to-face discussions, thesis and the research field.
The author will analyze the question or problem he wishes to discuss and will present his own
opinion to the reader, along with the arguments that lead him to this opinion. Most argumentative
texts weigh the pros and cons of the issue, but simpler argumentations may restrict themselves to
merely one side of the debate. The argumentation in these simpler texts would thus be linear in
nature, while more complex argumentations can be expected to be dialectical
A framed layout is to be applied in these type of texts. Firstly, the writer starts by stating the idea
that constitutes the starting point of the argumentation, and besides he also holds a subjective
position regarding the stated issue. Secondly, within the development body of the text, the writer
must support his assertion by means of presenting good, convincing and solid arguments for, and
poor, unconvincing and dubious if the arguments are against the issue. Also, the writer illustrates
his view with several examples to prove the assertion made above. His aim is to persuade the reader
about the rejection or acceptance of the theory stated. Finally, the author concludes by presenting
his arguments in a neutral or balanced way on the convinction of persuading the reader through his
line of reasoning. His line of argumentation must be consistent, logical and conclusive.
In any argumentative text, the language used by the author will, to a greater or lesser degree, reflect
his personal views on the subject-matter. It is generally less neutral than the style employed in other
non-fictional texts and may, in some cases, make use of devices such as irony or sarcasm, as well as
rather emotional terminology and phrases that express a clear opinion. You would also expect to
find more of the stylistic devices common in fictional texts in argumentation than in any other type
of non-fictional text.
4.2.5. Instruction.
Instructive texts exist for the sole purpose of telling their reader what to do in a clearly specified
situation, usually referring to future activities (Wolpow, and Zintz, 1999). While an argumentative
text may very well try to persuade the reader to engage in a certain course of action, the author of an
19/ 26
instructive text assumes that the reader knows very well what he wants to do, but he needs to be told
how to do it.
A typical example of an instructive text might be a recipe in a cookery-book or the users manual
giving instructions for a high-tech product. The authors style and choice of words are generally
fairly objective and unemotional although decisions the author makes about structure and word
choice contribute to the effect of the literary production on the reader, as assembly and operation
instructions.
The style in instructive text is simple, straight-forward and aimed at utmost precision. However,
sometimes the reader may find a sheet of instructions that has been translated from Korean into
Japanese, which in turn, has been translated from English into German, in which case the language
tends to make no sense. This fact may leave the reader with an emotional sensation of feeling
helpless and confused.
You can often recognize instructive texts simply by the fact that the syntax is dominated by simple
imperatives, sentences in the passive form, and suggestive remarks. Besides, stage directio ns take
the form of simple present tense. Regarding the use of vocabulary, there is an emphasis on technical
and impersonal use of vocabulary.
5. REGISTER.
5.1. On defining register.
As stated above, the concept of register can be usefully supplemented by that of cohesion since the
two together effectively define a text. Following Halliday & Hasan (1976), a text is a passage of
discourse which is coherent in these two regards: it is coherent with respect to the context of
situation, and therefore consistent in register. Neither of these two conditions is sufficient without
the other, nor does the one by necessity entail the other.
The term register is closely related to that of situational reference, that is, referrring to exophoric
(situational) and also endophoric (textual) reference. Within the latter type , register is related to
20/ 26
anaphora (elements referring to preceding text) and cataphora (referring to following text). One of
the features that distinguish different registers is the relative amount of exophoric references. If the
situation is one of language -in-action, with the language playing a relatively small and subordinate
role in the total event, the text is likely to contain a high proportion of instances of exophoric
reference. Hence it is often difficult to interpret a text of this kind if one only hears it and has no
visual record avalaible (i.e. a conversation between an adult and a four-year-old child. For instance:
Child:- Why does that one come out?/Father: -That what?/ Child: -THAT one!/Father: -
That what?/Child: That ONE!).
6.1. New directions on language teaching.
classroom materials in teaching language. However, nowadays new technologies may provide a
first, there is an emphasis on significance over form, and secondly, motivation and involvement are
enhanced by means of new technologies.
life and foster acquisition, encouring reading and writing, and within this latter one, to distinguish
text types and its main characteristics. The success partly lies in the way the language becomes real
to the users, feeling themselves really in the language. Some of this motivational force is brought
about by intervening in authentic communicative events. Otherwise, we have to recreate as much as
possible the whole cultural environment in the classroom.
This is to be achieved within the framework of the European Council (1998) and, in particular, the
Spanish Educational System which establishes a common reference framework for the teaching of
foreign languages where students are intended to carry out several communication tasks with
21/ 26
specific communicative goals within specific contexts and registers. Thus, foreign language
activities are provided within the framework of social interaction, personal, professional and
educational fields.
Writing skills are mentioned as one of the aims of our current educational system (B.O.E. 2002) and
in particular, for students about how to write a narration, argumentation or description. It is stated
that students will make use of this competence in a natural and systematic way in order to achieve
the effectiveness of communication through the different communication skills, thus, productive
(oral and written communication), receptive (oral and written comprehension within verbal and
non-verbal codes), and interactional role of a foreign language as a multilingual and multicultural
identity.
This effectiveness of communication is to be achieved thanks to recent developments in foreign

language education which have indicated a trend towards the field of intercultural communication.
The Ministry of Education proposed several projects within the framework of the European
Community, such as Comenius projects and Plumier projects. The first project is envisaged as a
way for learners to experience sociocultural patterns of the target language (text types) in the target
country, and establish personal relationships which may lead to keep in contact through writing
skills. Besides, the Plumier project uses multimedia resources in a classroom setting where learners
are expected to learn to interpret and produce meaning with members of the target culture.
6.2. Implications in language teaching.
With so much writing in foreign language classes over so many years, one would expect to find
highly effective methods for teaching this skill and marked success in learning it. Unfortunately,
examination papers in composition the world over are, with few exceptions, disappointing. Many
22/ 26
college and university students with four, five, even six or more years of study of another language
behind them are still unable to express themselves in a clear, correct, and comprehensible manner in
writing (Rivers 1981).
We would do well to examine critically the role of writing in foreign and second-langugage
learning, to analyze what is involved in the process of writing another language, and to trace out the
steps by which this skill can be progressively mastered. At this stage it may be well to recall two
facts often ignored by language teachers, who traditionally have expected students to write
something as a demonstration of learning: first, that many highly articulate persons express
themselves very inadequately in writing in their native language, and, second, that only a minority
of the speakers of any language acquire the skill of writing it with any degree of finesse, and then
only after years of training in school and practice out of school. We must realize that writing a
language comprehensibly is much more difficult than speaking it.
However, follow ing Widdowson (1978), and more recently, the guidelines of the Ministry of
Education (B.O.E.,2002), the writing skill is to be given a prominent role, over past years, in
acquiring a foreign language within the framework of a communicative competence theory. Yet,
there is a need for integrating writing with other language skills such as reading, speaking and
listening, in the belief that this leads to the effectiveness of communication.
Byrne (1979) says that writing serves a variety of pedagogical purposes to be enumerated as
follows. First, writing enables us to provide for different learning styles, needs and speeds.
Especially learners who do not learn easily through oral practice alone feel more secure if they are
alllowed to read and write in the target language. Secondly, it also satisfies a psychological need
since written work serves to provide the learners with some evidence that they are making progress
in the language. Thirdly, being exposed to more than one medium is likely to be very effective.
Thus, writing provides variety in classroom activities and increases the amount of language contact
through work that can be done out of the class. Finally, we have to speak about a practical reason.
Writing is often needed for formal and informal testing. Due to the limit of time available for exams
and to the large number of students per class we are often forced to use some form of written test.
All the above considerations on the advantages and disadvantages of writing strongly suggest that
while still concentrating on aural oral skills in the early stages, we can make good use of writing, as
23/ 26
part of an integrated skills approach to language learning because it seems it has valuable
pedagogical applications.
It is in listening comprehension and reading that a sophisticated level is required for handling the
language, because in these areas there will be no control over the complexity of the material they
encounter. These are the skills through which we can improve our knowledgde of the language at a
later stage. However, in speaking and writing, the non-native speaker rarely achieves the same
degree of mastery as the native speaker, even after living in a country whre the language is spoken.
What students most need in these production areas is to be able to use what they know flexibly,
making the most of the resources at their command to meet the occasion.
7. CONCLUSION.
Taking into account text types, context and register, the role of writing skills in present society is
emphasized by the increasing necessity of learning a foreign language as we are now members of
the European Community, and as such, we need to communicate with other countries at oral and
written levels. Written patterns are given an important role when language learners face the
monumental task of acquiring not only new vocabulary, syntactic patterns, and phonology, but also
discourse competence, sociolinguistic competence, strategic competence, and interactional
competence.
especially at the highest level of written discourse. Without knowledge and experience within the
discourse and sociocultural patterns of the target language, second language learners are likely to
rely on the strategies and expectations acquired as part of their first language development, which
may be inappropriate for the second language setting and may lead to communication difficulties
and misunderstandings.
24/ 26
make them discourse analysts (see Celce-Murcia & Olshtain, 2000), by learning in context.
application, address patterns, opening and closings of museums, or other aspects of speech events
(written discourse).
deepe st manifestation of a culture, and peoples values systems, including those taken over from the
but also subsequently acquired ones. The assumptions of discourse analysis, then, are important not
only for understanding written discourse patterns and the conditions of their production, but also for
a critical assessment of our own cultural situation.
25/ 26
8. BIBLIOGRAPHY.
Beaugrande, R. & Dressler, W. 1988. Introduction to Text Linguistics . London: Longman.
B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 112/2002, de 13 de septiembre. Currculo de la Educacin
Secundaria Obligatoria en la Comunidad Autnoma de la Regin de Murcia.
B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 113/2002, de 13 de septiembre. Currculo de Bachillerato en
la Comunidad Autnoma de la Regin de Murcia.
Canale, M., and M. Swain, 1980. Theoretical bases of communicative approaches to second language teaching and
testing. Applied Linguistics 1 (1).
Canale, M. 1983. From Communicative Competence to Communicative Language Pedagogy, in J. Richards and R.
Schmidt (eds.). Language and Communication. London, Longman.Hymes, D. 1972. On communicative competence. In J.
B. Pride and J. Holmes (eds.), Sociolinguistics, pp. 269-93. Harmondsworth: Penguin.
Celce-Murcia, M,. & Olshtain, E. (2000). Discourse and context in language teaching. New York: Cambridge University
Press.
Council of Europe (1998) Modern Languages: Learning, Teaching, Assessment. A Common European Framework of
reference.
Halliday, M.A. K. and R. Hasan. 1976. Cohesion in English. Longman.
Hedge, T. 2000. Teaching and Learning in the Language Classroom (OUP).
Hymes, D. 1974. Foundations in Sociolinguistics: An Ethnographic Approach. Philadelphia: University of Pennsylvania

Press.
Searle, J. R. 1969. Speech Acts: An essay in the philosophy of language. Cambridge: Cambridge University Press.
van Dijk, T. 1984. Text and Context: Explorations in the Semantics and Pragmatics of Discourse. London: Longman.
Revistas de la Asociacin Espaola de Lingstica Aplicada (AESLA):

De la Cruz, Isabel; Santamara, Carmen; Tejedor, Cristina y Valero, Carmen. 2001. La Lingstica Aplicada a finales del
Siglo XX. Ensayos y propuestas. Universidad de Alcal.
Celaya, M Luz; Fernndez-Villanueva, Marta; Naves, Teresa; Strunk, Oliver y Tragant, Elsa. 2001. Trabajos en
Lingstica Aplicada . Universidad de Barcelona.
26/ 26
UNIT 32
NARRATIVE TEXTS: STRUCTURE AND MAIN FEATURES.
OUTLINE
1. INTRODUCTION.

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF NARRATIVE TEXTS.
2.1. The notion of text linguistics: Discourse Analysis.

2.2.3. Intertextuality: text types.
2.2.4. Text typology.
2.2.4.1. Text types: main criteria.
2.2.4.2. Text types: narration.
3. NARRATION: STRUCTURE AND MAIN FEATURES.

3.1. On defining narrative texts.
3.2. Narrative texts: main ele ments.
3.2.1. Narrator: point of view and voice.
3.2.2. Character vs. characterization.
3.2.3. Theme: the story central idea.
3.2.4. Plot: sequence of events.
3.2.5. Setting: place, time and atmosphere.
3.3. Narrative texts: structure.
3.4. Narrative texts: textual features.
3.4.1. Cohesion.
3.4.1.1. Grammatical devices.
3.4.1.2. Lexical devices.
3.4.1.3. Graphological devices.
3.4.2. Coherence.
4. NARRATIVE TEXTS AND LANGUAGE TEACHING.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/26
1. INTRODUCTION.
The main aim of Unit 32 is to present the issue of narrative texts in terms of structure and main
features. Our aim is to offer a broad account of this type of texts and examine their structure and
main features from a linguistic point of view. In order to do so, we shall divide our study in five
chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of narrative texts since this
concept is related to other key notions which prove essential in the understanding of its study. So
we shall review (1) the notion of text linguistics since the analysis of narrative texts is discussed
within the framework of Discourse Analysis. Accordingly then, we shall analyse (2) the definition
of text and hence we shall examine (a) textual features such as texture and ties, (b) the seven
standards of textuality within the notion of textuality, (c) the notion of intertextuality as the origin
of text types, and then (d) the main text typology so as to analyse (i) the main criteria for classifying
text types and (ii) the concept of narrative within text types.
Chapter 3 will offer then an insightful analysis and description of narrative texts in terms of (1)
definition; (2) main narrative elements: (a) narrator, (b) characters vs. characterization, (c) theme,
(d) plot and (e) the setting; (3) structure and (4) main literary devices within narrative text types: (a)
cohesion, (b) coherence and (c) other literary devices.
Chapter 4 will be devoted to present the main directions and educational implications in language
teaching regarding narrative texts and Chapter 5 will offer a conclusion to broadly overview our
present study. Finally, Chapter 6 will include all the bibliographical references used in this study.
An influential introduction to the analysis of text is based on relevant works of Halliday and Hasan,
Cohesion in English (1976); Brown and Yule, Discourse Analysis (1983); van Dijk, Text and
Context (1984); and Beaugrande and Dressler, Introduction to Text Linguistics (1988). Classic works
regarding the term narrative include Scholes and Kellogg, The Nature of Narrative (1966), still
2/26
indispensable; Barthes, Introduction to the structural analysis of narratives (1977); Traugott and
Pratt, Linguistics for Students of Literature (1980); Genette, Noveau discours du rcit (1983); Bal,
Narratology: Introduction to the Theory of Narrative (1985); Rimmon-Kenan, Narrative Fiction:
Contemporary Poetics (1985); and Toolan, Narrative: A Critical Linguistic Introduction (1988).
Competence to Communicative Language Pedagogy (1983); Hymes, On communicative
competence (1972). In addition, the most complete record of current publications within the
educational framework is provided by Jenni Conn, Choosing and Using Literature (1995), the
guidelines in B.O.E. (2002) and the Council of Europe, Modern Languages: Learning, Teaching,
Assessment. A Common European Framework of reference (1998).
In Chapter 2 we shall offer a theoretical framework for the analysis of narrative texts since this
concept is related to other key notions which prove essential in the understanding of its study. So
we shall review (1) the notion of text linguistics since the analysis of narrative texts is discussed
within the framework of Discourse Analysis. Accordingly then, we shall analyse (2) the definition
of text and hence we shall examine (a) textual features such as texture and ties, (b) the seven
standards of textuality within the notion of textuality, (c) the notion of intertextuality as the origin
of text types, and then (d) the main text typology so as to analyse (i) the main criteria for classifying
text types and (ii) the concept of narration within text types.
study of texts, and in part icular, that of narrative texts through literary studies: linguistics (from
grammar, morphology and phonology), anthropology (different speech acts in different cultures),
3/26
psychology (speaker and hearer behaviour) and stylistics (correctness, clarity, elegance,
appropriateness, style).
The definition of text is quite relevant in our study since it will lead us straighforwardly to the
notion of narrative text when reviewing text types. It will be from text typology that we shall get
the notion of intertextuality and therefore, narrative texts. Following Halliday & Hasan (1976), the
word text is used in linguistics to refer to any passage, spoken or written, of whatever length, that
does form a unified whole. As a general rule, we know whether an utterance or sequence of
utterances constitute a text or not though it may be spoken or written, prose or verse, dialogue or
monologue, and also anything from a single proverb to a whole play, from a momentary cry for
help to an all-day discussion on a committee. In addition, a text is best regarded as a semantic unit
and not a unit of form. Hence, we may establish its relation to the term narration since it may be a
short or long story, a proverb, a play, a joke in terms of narrating a fact.
4/26
Textual features such as texture and ties give a text the status of being a text. First of all, the
concept of texture is defined as the textual resource that functions as a unity with respect to its
environment and secondly, ties are defined as the resources that English has for creating texture so
as to contribute to its total unity by means of cohesive relations (reference, substitution, ellipsis,
conjunction, and lexical cohesion). The concept of a tie makes it possible to analyse a text in terms
of its cohesive properties and give a systematic account of its patterns of texture (Halliday & Hasan,
1976).
Perhaps the notion of textuality is the most relevant in our study since we reach the notion of
narrative text through one of its seven standards: intertextuality. Actually, written texts conform to
rules that most successful writers unconsciously follow and native readers unconsciously expect to
find. It is relevant, then, to address the term textuality in written and oral texts as it is involved in
rules governing written discourse (hence its relationship to narrative texts).
In the approach to text linguistics by de Beaugrande & Dressler (1988), a text, oral or printed, is
established as a communicative occurrence, which has to meet seven standards of textuality :
cohesion, coherence, intentionality and acceptability, informativity, situationality and finally,
intertextuality. If any of these standards are not satisfied, the text is considered not to have fulfilled
its function and not to be communicative.
We shall briefly review the first six standards of textuality so as to analyse the seventh one in next
section:
(1) Cohesion is, as well as coherence, a text-centred notion which is related to the function of
syntax and the components of the surface text. It also deals with cohesive ties as mentioned
above (anaphora, cataphora, ellipsis, etc) and signalling relations (tense and aspect,
modality, uptdating, junction, conjunction, disjunction and subordination).
(2) Coherence is the outcome of actualizing meanings in order to make sense (Beaugrande &
Dressler, 1988). It concerns a set of relations subsumed under causality (cause, enablement,
5/26
reason, purpose time) and global patterns responsible for making a text be senseless or
non-sensical (frames, schemas, plans, and scripts). In other words, it gives sense to a text.
(3) Intentionality subsumes the intentions of text producers, that is, their attitude. In the most
immediate sense of the term, the producer intends the language configuration under
production to a cohesive and coherent text instrumental in fulfilling the writer intentions.
This standard deals with the pragmatic perspective of discourse, that is, the conversational
maxims of co-operation: quantity, quality, relation and manner on saying be informative,
be truthful, be relevant and be brief
(4) Acceptability, on the other hand, concerns the receiver attitude. Here a set of occurrences
should constitute a cohesive and coherent text having some use or relevance for the receiver
in an appropriate context of communication.
unexpected or known vs. unknown or uncertain by means of content words (verbs, nouns,
adjectives, adverbs). Hence we expect different types of texts (poetic, scientific, literary,
etc).
own beliefs and goals into ones model of the current communicative situation (i.e. in
dramatic texts, as a subclass of literary texts). There exist the prerogative of presenting
alternative organizations for objects and events in live presentations (prologue, unusual
frequency of events, actions with no reason, etc).
(7) And finally, intertextuality which will be reviewed in connection to text types and,
therefore, the notion of narrative texts in next section.
2.3. Intertextuality: text types.
Intertextuality concerns the factors which make the use of one text dependent upon knowledge of
one or more previously encountered texts, that is, the ways in which the production and reception of
a given text depends upon the participants knowledge of other texts. The usual mediation is
achieved by means of the development and use of text types, being classes of texts expected to have
certain traits for certain purposes: descriptive, narrative, argumentative, literary and poetic,
scientific and didactic.
6/26
to modes of discourse realized through text types, thus narration, description, directive, exposition
and argumentation. Within the second tradition, rethoric refers to communicative function as
rethorical strategies in functional lines: descriptive: to enrich knowledge spaces; narrative: to
arrange actions and events; argumentative: to promote the acceptance of certain beliefs; and so on.
2.4. Text typology.
In this section we shall approach the concept of text typology from two main perspectives: (1) the
main criteria for text typology by means of which we review basic principles for all types of texts
regarding literary devices, order and sequence elements and common text structures; and (2) a text
type classification and description.
2.4.1. Text types: main criteria.
There are three main criteria when establishing a typology for texts: literary devices, order and
sequence elements and common text structures for all types of texts.
(1) Regarding literary devices, we deal with literary texts which share specific conditions of
production, contradictory cultural discourses, and intercultural processes. For such reasons,
literary texts may be polysemous, having a range of interpretive possibilities. The main
basic principles are considered to be literary elements and devices to evaluate how the form
of a literary work and the use of literary elements and devices, such as setting, plot, theme,
and many more to be mentioned, contribute to the works message and impact.
Among the basic principles of literature applied to all text types, we may find that the
subject is expressed in terms of theme; the writer approaches this subject with a specific
point of view, both physical and psychological, and from a definite perspective; the writers
attitude toward a subject is expressed through his voice, real and assumed, which is marked
by a distinctive tone. Satire, irony, and hyperbole are special attitudes and tones.
7/26
(2) Order and sequence. Moreover, basic to the concept of form is the notion of order and
sequence, which can be logical, chronological, or psypchological; much of literature deals
with storied elements which have their genesis in some type of conflict; plot, then, moves
from complication, through conflict, to resolution where deeper levels of meaning are
suggested through image, metaphor, and symbols; such storied literature takes place in a
real or imagined setting, within a time and a place; and finally, participants are considered
to be characters, and the reality they represent is characterization.
(3) Text structure. By studying the textual and lexical elements of text types, one can learn to
regularly recognize the overall structure of a text. Following a general division of any kind
of text we may sometimes begin with a brief heading or descriptive title, with or without a
byline, an epigraph or brief quotation, or a salutation, such as we may find at the start of a
letter. They may also conclude with a brief trailer, byline, or signature. Elements which
may appear in this way, either at the start or at the end of a text division proper, are
regarded as forming a class, known as divtop or divbot respectively.
The following special purpose elements are provided to mark features which may appear
only at the start of a division : the head, an epigraph an argumen and a salutation. The
conclusion will be characterized by a brief trailer of the subject matter as a summary of
facts. A byline or a signa ture may also conclude any piece of writing.
2.4.2. Text types: narration.
According to Trimble (1985) we may classify texts in two ways. Firstly, according to purpose, and
secondly, according to type or mode. According to purpose, in terms of communicative functions,
the discourse is intended to inform, express an attitude, persuade and create a debate. According to
type or mode, the classification distinguishes among descriptive, narrative, expository,
argumentative, and instrumental modes.
Hence, in this study we are dealing with narrative texts which, on the one hand, are intended to tell
a story in terms of communicative functions and, on the other hand, according to the category or
text types it is included within the type of narration, that is, the fact of narrating events, facts and
situations. Now let us examine narrative texts more in depth regarding structure and main features.
8/26
3. NARRATION: STRUCTURE AND MAIN FEATURES.
The analysis of narration will be carried out in terms of (1) definition; (2) main narrative elements:
(a) narrator, (b) characters vs. characterization, (c) theme, (d) plot and (e) the setting; (3) structure
and (4) main literary devices within narrative text types: (a) cohesion, (b) coherence and (c) other
literary devices.
3.1. On defining narrative texts.
A narrative text is usually defined as a type of discourse concerned with action, with events in time
and with life in motion which answers the question What happened? in order to tell a story (Bal,
1985). Narrative is then a recounting of things distant in time and space (hence the different ways of
telling events). As stated above, the purpose of a narrative text is to entertain, to tell a story, or to
provide an aesthetic literary experience in fiction or real life.
Narrative text is based on life experiences and is person-oriented using dialogue and familiar
language. Narrative text is organized using story grammar which give account of interesting events
which constitute part of our daily life (jokes, personal el tters, e-mails, diaries, reports, school
essays, curricula vitae, reviews, biography, autobiography, novels, thrillers, post-it notes among
many others). The genres that fit the narrative text structure are folktales (wonder tales, fables,
legends, myths, tall tales, and realistic tales); contemporary fiction; mysteries, science fiction,
realistic fiction, fantasy, and historical fiction. So, narrative text may be either fiction or non-fiction.
Examples of fiction include realistic fiction, science fiction, mysteries, folk tales, fairy tales, and
myths whereas on-fiction is fact-based text such as reports, factual stories, and biographies.
3.2. Narrative texts: main elements.
We can distinguish two types of narrative elements depending on the type of narrative text:
common elements for all narrative text types and specific elements for literary texts. It must be
9/26
borne in mind that in current society, narration is always present at different levels but it is perhaps
in the domains of literature that narrative texts have been analysed in more detail.
So, first of all, for general narrative texts to exist, there must be three main elements: characters,
plot and intention. The element character gives coherence to the story and must undergo
transformation changes. Secondly, the plot is said to be a sequence of predictable events which
must be altered so as to change the normal story line. Finally, the concept of intention gives sense
and orientation to the text and it may be explicit (off voice in advertisements) or inferred (the same
news on two different newspapers).
On the other hand, literary texts are said to have five common elements (some of which coincide
with the previous ones): narrator (point of view, voice); characters (people or animals in the story)
vs. characterization (round vs. flat characters); theme (central ideal of the story); plot (sequence of
events, conflicts which change the normal rhythm of the story) and setting (time and place, when or
where the story takes place).
3.2.1. Narrator: point of view.
The narrator is defined as the voice that tells a story (not to be confused with author, the person
who creates the story). Then, the narrator is the authors creation and belongs to the narrative world
as well as characters (Rimmon-Kenan, 1985). He is defined as the person who bears some relation
to the action, either as an observer or a participant who serves the reader as akind of guide to the
action (Toolan, 1988). Yet, we may approach the figure of the narrator regarding (1) who the
narrator is in the story (a main character, a secondary character, an invented narrator) depending on
the relation they bear to the action, that is, how much they know about the story (omniscient vs.
mere observer); (2) the point of view the story is told (first person, second person, third person, the
narrators explicit address); and (3) the mode of presentation (telling vs. showing).
(1) Regarding who the narrator is and how much he knows about the story, we shall say that
generally, the narrator may be a main character, a secondary character or an invented
narrator. Often, secondary characters coincides with being mere observers and an invented
narrator is used by the author to talk explicitly through the story. The narrators can be
omniscient, if they know all the aspects of the plot, express the characters feelings and
10/ 26
thoughts and even may anticipate actions; in contrast to non-omniscient narrators who are
external observers and are objective. Hence they are compared with a cinema camera,
which films facts, gestures and words).
(2) With respect to the point of view the story, that is, the relation the narrator keeps with the
story, we distinguish the narration in (a) third person singular, (b) first person, (c) second
person singular and (c) explicit address on the part of the narrator.
a. First, we examine narration in third person singular since it is the most usual form.
It offers and impersonal point of view about the story. The narrator can have (i) an
omniscient point of view (panoramic narrator) who reports all aspects of an action
and may go into the head of any or all of the characters involved in the action.
Also, we find (ii) a non-omniscient point of view (sharp focus) where the author
does not sweep the entire field of the action but keeps his intention focused on one
character and on that characters relation to the action ((Toolan, 1988).
b. Secondly, the first person singular is used when the narrator is a character in the
story and talks in first person singular. His knowledge on the story will depend on
he being the main character or an internal observer. If he is the main or, at least, an
important participant in the story, he will tell the story from his own point of view
(main character). On the contrary, if the narrator (real or imaginary) recounts an
action of which he is an external observer, we shall talk about a narrator-observer.
c. Thirdly, although quite rare, the author can make the narrator speak in second
person singular when he wants to transmit the feeling of confession or internal
story facts.
d. Finally, the author can also invent a narrator so as to offer his point of view about
the story.
(3) Finally, we can talk about the mode of the story, which can be telling or showing
depending on the intention of the narrator. If the narrator reports actions from his own point
of view, we talk about telling; in contrast, if the narrator reports actions from an objective
point of view, we talk about showing.
3.2.2. Character vs. characterization.
Characters are necessary to maintain coherence and consistency in a story and they are defined as
the people (or animals) that perform actions in narrative texts. We can distinguish three main types:
11/ 26
(1) the main characters, who participate most in the plot, (2) secondary characters, who are actually
a support for the main characters and (3) juncture characters, who are not even introduced as
individuals (extras).
According to the way participants are characterized (or introduced in the plot), characters are
classified into (1) characters as individuals (round characters) and (2) characters and stereotypes
(flat characters). It must be borne in mind that there are two main ways of characterization: direct
and indirectly. In direct characterization, the narrator describes the persons physical appearance
and also accounts for his personality (attitudes, thoughts, behaviour) whereas in indirect
characterization, all we know about characters is drawn from actions, not from their personal
description.
Then, (1) regarding round characters, we may say that the plot is organized around them, their
feelings, thoughts, conflicts, and life in general. They are presented as individuals which have real
existence and they attract all the narrators attention. (2) On the other hand, flat characters are
presented as stereotypes, that is, representing conventional attitudes or ideas about human
behaviour. They represent stereotypes of personality, attitudes, thoughts, physical appearance, and
so on but they are not considered to be relevant in the plot.
3.2.3. Theme: the story central idea.
The theme is the central idea of the story which can be directly stated or through use of story
elements, namely characters. When we express the theme through use of the story, the aim is (1) to
make readers infere the ending of the story; sometimes (2) it involves a lesson to be learned from
the story; or (3) the author wants the readers to get the theme because of the way characterss
actions affect the story by means of a particular sentence or main topic.
3.2.4. Plot: sequence of events.
The plot of the story is defined as the story grammar, that is, the knowledge of how stories are
organized with the beginning of the story containing the setting, the characters, and the characters
12/ 26
problem(s). In fact, the plot is causally related to actions which, as single episodes, merely add up to
a loosely knit story. This story telling may be chronological or reverted (flashbacks or
foreshadowings). So, we can say that narrative texts are organized around a plot and that the user
guides the plot structures through character interactions. As a result, characters and the environment
influence the narrative.
Then the plot involves a problem or a conflict which is presented in the story in a specific order of
events and sets the action in motion. The plot includes a series of episodes that are written by the
author to hold our attention and build excitement as the story progresses. Included in these events
may be some roadblocks (setbacks) that the character encounters while attempting to solve the
problem. During these events the excitement of the story builds as the character goes about solving
the problem. The ending of the story contains the resolution (the solving of the proble m) and the
ending to the story.
Therefore the story grammar or structure of a narrative piece would contain these components:
(1) beginning, that is, an initiating event that starts the main character off on a series of events
to solve the problem and in a specific setting (time and place). We may say it is the open
beginning or exposition of the story.
(2) middle, that is, a series of subsequent events that the character encounters, called
roadblocks, which are setbacks for him when attempting to solve the problem. During these
events the excitement of the story builds as the character goes about trying to find a
solution.
(3) End, that is, the last sequence in which the author brings the story to a resolution (open
ending) and the problem is solved. Hence, the ending of the story and the ending to the
story. The main solutions to a problem are:
twist endings. In this type of endings, the writers (usually suspense and mystery
ones) often end the story in a way that the reader does not expect.
Flashback. The story begins with an event and then goes back in time allowing the
reader to understand previous events.
3.2.5. Setting: space, time and atmosphere.
The setting of a story is defined as the environment of the action as constituted by time, space and
atmosphere (Scholes and Kellogg, 1966). So, space, time reference and atmosphere refers
13/ 26
respectively to where or when the story takes place and the general effect produced by these two
concepts. Authors may tell the reader the exact time or place of the story, but often these must be
inferred by the reader. The time and place are usually important to the plot of the story when the
details of the setting have metaphorical significance (i.e. furnishment of a room, a house structure).
Actually, these details can help the reader answer questions about the plot or character actions in the
story.
With respect to space, some stories are set in faraway lands or imaginary places, others
are set in familiar places. It may also be a universal place (the Universe, South Africa, the
ocean) or a specific place (London, a little village on the highest mountain). Regarding
number, the action may take place in only one setting (inside a cabin during all the film) or
in more places (different cities like James Bonds films). Moreover, we may find indoor
scenes (a house, a palace, a castle) or outdoor (a meadow, a football pitch). Finally, the
place may have a symbolic meaning (love stories in Paris; ghost stories in English castles).
Regarding time reference, a story can be set in the present, past, or the future. The
relationship between the acting time and narrated time will give us four different
subclassifications of time: historical, internal, verbal and rhythmic. First, historical time is
set up in the time of the action (Viking Age, Victorian Age, XXth century); secondly,
internal time frames the story (one day in James Joyces Ulises, 100 Years War); third,
verbal time is usually presented in past tense although the simple present is used to give a
feeling of lively actions; finally, the narrative rhythm is independent from the chronological
setting the story has since the author may slow the pace (in the sense of a longer temporal
scope) by means of descriptions or, on the contrary, may summarise the pass of several
years in a few sentences.
Another important element in the setting of a story is the atmosphere, that is, the general
effect or feeling produced by the theme, the characters, the place, etc. of the story (i.e. the
atmosphere produced in Edgar Allan Poes stories by the strange doings of some characters,
mistery places, a dark and gloomy setting).
14/ 26
3.3. Narrative texts: structure.
The structure of narrative texts has been already presented when we examined the plot since it is
the order of events that are structured by time, rather than space, what marks a text as narrative. The
order is given by the focus on the story ending. Therefore, as stated, we may find three types of
narrative developments:
1. Firstly, in order to know the ending of the story, we shall find a linear development which
follows a chronological order from the beginning to the end of the story.
2. Secondly, if the focus is not on the ending but on the circumstances leading to the ending,
events may start at the end of the story and be described, then, in terms of flash-backs in
order to attract the readers attention.
3. Thirdly, if the focus is on both the beginning and the ending, the telling may start at an
intermediate point within the story for events to be described in terms of backwards and
forwards movements. This technique is to be called in medias res narration.
By studying the textual and lexical elements of text types, one can learn to regularly recognize the
overall structure of a text. For example, if one finds lexical signals that indicate situation-problem-
response-result, we can know with some certainty that we are dealing with a Problem-Solution test.
When one identifies vocabulary items that signal doubt or skepticism, (words such as appear,
suggests, speculation, etc.), we know we are dealing with a Claim-Counterclaim structure. In fact,
while the sequence of these structures may be varied, we should always find all the elements we are
looking for in a well-formed text. So, let us examine which textual and lexical elements there are in
narrative texts.
3.4. Narrative texts: main literary devices.
The main textual features in narrative texts are given by textual and lexical items, that is, literary
devices which are words used to enrich the understanding of the story (i.e. dynamic and static verbs,
common and concrete nouns, quantity and quality adjectives, time and place adverbs, etc). Yet,
these and other literary devices may be stated indirectly and reflect the authors style of writing
word choice. In addition, the author may use a wide range of word choice for different purposes,
thus to entertain, to inform and to persuade the reader about the telling.
15/ 26
The author uses vocabulary to enhance the readers understanding of characters and events in the
story. In addition, the authors choice of vocabulary produces the mood and tone of the story.
Readers must understand the meaning of vocabula ry as used in the story context, for instance, the
meaning a word has in the story (i.e. A ring in The Lord of the Rings), the clues that are given in
the text toward understanding of the word (i.e. the action around the ring), the synonyms that can be
used in place of that word (i.e. My treasure), and finally, what that word suggests (i.e. The power
and control of the reign).
So, let us analyse the basic language structures in narrative texts regarding the articulation of
written discourse devices where we shall approach literary devices in narrative texts from the
disciplines of syntax, pragmatics and namely semantics, together with a grammatical approach.
Hence we shall analyse cohesion, coherence and other literary devices. We shall start by offering
(1) an analysis of cohesion where we shall include the concepts of anaphora, cataphora, connectors
and deixis (following Halliday & Hassan, 1976); (2) a brief analysis of coherence; and finally , (3)
other literary devices (stream of consciousness and free indirect style).
3.4.1. Cohesion.
Dressler, 1988), that is, intra-text linking devices are connected to extra -textual reference. The notion
of cohesion is expressed through the stratal organization of language which can be explained as a
multiple coding system comprising three levels of coding: the semantic one (meanings), the
of narrative texts, all speakers make extensive use of them, for example in order to enhance
coherence, but also for reasons of economy (e.g. saving time and alleviating conceptual work load
by using anaphoric devices like generalisations and pro-forms).
16/ 26
Since cohesion is expressed partly through the grammar and partly through the vocabulary, we find
two main types of cohesive devices considered as general categories of cohesion: grammatical
cohesion (substitution, ellipsis, conjunction, reference) and lexical cohesion (reiteration,
collocation). Yet, we shall include in our study a third type that, although last is not the least. We
refer to graphological devices (orthography, punctuation, headings, foot notes, tables of contents
and indexes) since most of them deal with form and structure of narrative texts, and are part of the
semantic relations established in a text.
3.4.1.1. Grammatical cohesion.
Thus the concept of cohesion accounts for the essential semantic relations whereby any story is
enabled to function as text. It is within grammatical cohesion that we find different types of
relations: substitution, ellipsis, conjunction and reference. Note that the first two items are not
included in the title of this study, but the rest makes reference to the terms anaphora and cataphora,
connectors and deixis. It is relevant to mention first that anaphora and cataphora will be examined
under the heading of reference, connectors under the heading of conjunction and finally, deixis as a
subtype of reference and ellipsis.
relations are thought of as processes within the text: substitution as the replacement of one
item by another, and ellipsis as the omission of an item. Essentially the two are the same
process since ellipsis can be interpreted as that form of substitution in which the item is
replaced by nothing, that is, simply substitution by zero (Halliday & Hasan, 1976).
However, the mechanisms involved in the two are rather different, and also, at least in the
case of ellipsis, fairly complex, so we shall devote a section to each. Similarly,
substitution is different from reference in that the former is a grammatical relation
whereas the latter is a semantic one. We may find three different types of substitution which
are defined in grammatical terms rather than semantically: nominal (one, ones, same),
verbal (do), and clausal (so, not).
As stated above, the cohesive device of ellipsis is very similar to that of substitution and,
therefore, is considered as a process. It is defined as the omission of an item or that form
of substitution in which the item is replaced by nothing, that is, simply substitution by
17/ 26
zero (Halliday & Hasan, 1976). The structural mechanisms involved in ellipsis are fairly
complex and hence, it shows different patterns from those of substitution. The discussion of
ellipsis is related to the notion that it is something left unsaid where there is no
implication that what is unsaid is not understood; on the contrary, unsaid implies but
understood nevertheless, and another way of referring to ellipsis is in fact as something
understood meaning going without saying (i.e. She brought some biscuits, and Cristine
some fruit).
Like substitution, ellipsis is a relation within the text, and in the great majority of instances
the presupposed item is present in the preceding text, that is, in anaphoric relation. We may
distinguish two different structural possibilities in which ellipsis is a form of relation
between sentences by means of: first, nominal ellipsis, that is, ellipsis within the nominal
group (i.e. He ate four oysters and yet another four) where the modifying elements include
some which precede the head and some which follow it, as premodifier and postmodifier
respectively (i.e. How did you enjoy the show?-A lot (of the show); and econdly, verbal
ellipsis, that is ellipsis within the verbal group (i.e. Have you been running?-Yes, I have).
An elliptical verbal group presupposes one or more words from a previous verbal group. In
technical terms, it is defined as a verba l group whose structure does not fully express its
systemic features (finiteness: finite vs. non-finite, polarity: positive vs. negative, voice:
active vs. passive, tense: present vs. past vs. future).
The third type of grammatical cohesion is reference, which is another well researched area
within linguistics. It is defined by Halliday & Hasan (1976) as the case where the
information to be retrieved is the referential meaning, the identity of the particular thing or
class of things that is being referred to; and the cohesion lies in the continuity of reference,
whereby the same thing enters into the discourse a second time (i.e. See how they eat!
=where they may be three children, four horses, etc).
There is a logical continuity from naming through situational reference (referring to a thing
as identified in the context of situation) to textual reference (referring to a thing as
identified in the surrounding text) and hence a significant opposition in the system between
pointing back (anaphora) and pointing forwards (cataphora): thus the direction may be
anaphoric (with the presupposed element preceding) or cataphoric (with the presupposed
element following). The typical direction as we shall see later is the anaphoric one. It is
18/ 26
natural after all, to presuppose what has already gone rather than what is to follow. Hence,
in this case, situational reference would be the prior form.
Deixis is defined as the identifying function in the nominal group; and for cohesive
purposes the identification must be specific (Beaugrande & Dressler, 1988). Hence the set
of reference items includes all the specific deictics (pronouns and determiners) except the
interrogatives. The interrogatives (who, what, whose, which, what) cannot be cohesive
since they contain only a request for specification, not the specification itself.
Thus deixis is achieved by means of the following types of reference in nominal groups
(Beaugrande & Dressler, 1988): personal, demonstrative and comparative. First, personal
reference is reference by means of function in the speech situation, throught the category
of person (nouns, pronouns, determiners that refer to the speaker, the addressee, other
persons or objects, or an object or unit of text); secondly, demonstrative reference is
reference by means of location, on a scale of proximity (determiners or adverbs that refer
to locative or temporal proximity or distance, or that are neutral); and finally, comparative
reference which is indirect reference by means of identity or similarity (adjectives or
verbs expressing a general comparison based on identity, or difference, or express a
particular comparison).
Conjunction is a relationship which indicates how the subsequent sentence or clause should
be linked to the preceding or the following sentence or parts of sentence. This is usually
achieved by the use of conjunctions (included in the title of the unit). Frequently occurring
relationships are addition, causality and temporality. Subordination links works when the
status of one depends on that of the ot her, by means of a large number of conjunctive
expressions: because, since, as, thus, while , or therefore.
19/ 26
We may distinguish three varieties of presenting conjunctions in a text. First, conjunctive
expressions, second conjunctive relations and finally, other conjunctive items called
continuatives.
o First of all, conjunctive expressions involve the presence of a preposition which

governs the reference item (i.e. instead of, as a result of, in consequence). The
resulting prepositional group will then function as a cohesive adjunct and hence we
distinguish three types of conjunctive adjuncts: first, adverbs: simple adverbs (but,
so, then, next), compound adverbs (ending in ly: accordingly, actually) and
compound adverbs (there/where-: therefore, whereat); secondly, other compound
adverbs (furthermore, anyway, besides, instead) and prepositional phrases (on the
contrary, as a result, in addition to); and finally, prepositional expressions with
that or other reference item (as a result of that, instead of that, in addition to that).
o Secondly, conjunctive relations involve the phenomena we group under the
heading of conjunctions. There is no uniquely correct inventory of the different
types of conjunctive relations; on the contrary, different classifications are possible,
each of which would highlight different aspects of the facts grouped in four
categories: additive (i.e. And in all this time he said nothing), adversative (i.e. Yet
he was aware of his own mistake), causal (i.e. So he tried to apologize) and
temporal (i.e. Then, as he thought, she didnt forgive him) (Beaugrande & Dressler,
1988).
o Finally, there are other ways of expressing conjunctive relations called
continuatives. Although these items do not express any particular conjunctive
relation are nevertheless used with a cohesive force in the text. They are grouped
according to their particular external relation (adversative, temporal and so on) or
their internal relation (closely linked to the external one). We refer to items such as:
now, of course, well, anyway, surely, after all.
3.4.1.2. Lexical cohesion.
Lexical cohesion does not deal with grammatical or semantic connections but with connections
based on the words used. It is achieved by selection of vocabulary, using semantically close items.
20/ 26
Because lexical cohesion in itself carries no indication whether it is functioning cohesively or not, it
always requires reference to the text, to some other lexical item to be interpreted correctly. There
are two types of lexical cohesion: reiteration and collocation.
First of all, reiteration includes repetition, synonymy, hyponymy, metonymy (part vs. whole),
antonymy whereas collocation is any pair of lexical items that stand to each other in some
recognisable lexico-semantic relation, e.g. "sheep" and "wool", "congress" and "politician", and
"college" and "study".
reference to another item, but now the nature of relation is different: it is indirect, more difficult to
define and based on associations in the reader mind. The interpreter sometimes adds coherence to
the text by adding cohesion markers.
3.4.1.3. Graphological devices
With respect to graphological resources, we are mainly dealing with visual devices as we make
reference to orthography, punctuation, headings, foot notes, tables of contents and indexes. As most
of them deal with form and structure of different types of texts, and will be further developed as
part of a subsequent section, we sha ll primarily deal with orthography and punctuation in this
section.
Firstly, orthography is related to a correct spelling, and in relation to this term, Byrne (1979) states
that the mastery of the writing system includes the ability to spell. This device covers different word
categories, but mainly, rules of suffixation, prefixation, and addition of verbal markers as gerunds,
past tenses or third person singular in present tenses. Moreover, Byrne claims for the use of the
dictionary as the relationship between sound and symbol in English is a complex one, and spelling
becomes a problem for many users of the language, native and non-native speakers alike. The
importance of correct spelling is highlighted when Byrne says that most of us are obliged to consult
a dictionary from time to time so as not to be indifferent to misspelling. Therefore, students are
encouraged to acquire the habit of consulting a dictionary in order to ensure an adequate mastery of
spelling.
21/ 26
Secondly, according to Quirk et al (1972) punctuation serves two main functions. Firstly, the
secondly, the specification of language function (as when an apostrophe indicates that an inflection
is genitive). Moreover, punctuation is concerned with purely visual devices, such as capital letters,
full stops, commas, inverted commas, semicolons, hyphens, brackets and the use of interrogative
and exclamative marks. It is worth noting that punctuation has never been standardised to the same
extent as spelling, and as a result, learners tend to overlook the relevance of punctuation when
producing a text. Learners must be encouraged to pay attention to the few areas where conventions
governing the use of the visual devices as fairly well established, among which we may mention
letters and filling in forms as part of a sociocultural educational aim. Thus, students must try to
understand the relevance of the use of capital letters as a mark of sentence boundary, the use of
commas to enumerate a sequence of items, the use of question and exclamation marks to express
requests or attitudes, and the use of inverted commas to highlight a word or sentence.
3.4.3. Other literary devices.
Other two main literary devices are those of stream of consciousness and free indirect style by
means of which the narrator reports the characters thoughts or speech. Regarding the stream of
consciousness, we must say it is an ambiguous form of narration in which the characterss thoughts
are introduced in an immediate manner, literally as a copy of the thoughts itself, rather than a
reported thought. This way of reporting what the character was thinking is quite complex.
On the other hand, the free indirect style is used when the narrator reports the characterss
thoughts or speech directly, that is, with no accompanying reporting clause (i.e. He said) as in direct
speech. These two devices approach the mind of characters by getting fused with them and not by
standing outside the character. This choice in narrative texts makes the story lively and quite
dynamic (Bal, 1985).
4. NARRATIVE TEXTS AND LANGUAGE TEACHING.
But how do narrative texts tie in with the new curriculums? As we stated above, one of the
pleasures of teaching the written language is that it is so easy to provide good models of almost any
22/ 26
kind of writing. We may find models of texts and models of sentences created for different purposes.
Thus, according to Jenni Conn (1995), the model of narrative texts provides students the
opportunity to write narrative essays using appropriate linguistic elements and also, to connect real-
life experiences.
With so much writing in foreign language classes over so many years, one would expect to find
highly effective methods for teaching this skill and marked success in learning it. Unfortunately,
examination papers in composition the world over are, with few exceptions, disappointing. Many
college and university students with four, five, even six or more years of study of another language
behind them are still unable to express themselves in a clear, correct, and comprehensible manner in
writing.
Following van Ek & Trim (2001), the learners can perform, within the limits of the resources
available to them, those writing tasks which adult citizens in general may wish, or be called upon, to
carry out in their private capacity or as members of the general public when dealing with filling in
forms, writing letters (formal, informal), e-mails, taking notes at school, making summaries, and so
on. On the whole, the completion of those forms that the learners are most likely to have deals with
their personal or professional life: letters to authorities, companies, service departments, shops,
businesses, with enquiries, requests, complaints, proposals, confirmations, reports on accidents,
insurance claims, or simply telling a joke.
Moreover, nowadays new technologies may provide a new direction to language teaching as they
set more appropriate context for students to experience the targe t culture. Present-day approaches
deal with a communicative competence model in which first, there is an emphasis on significance
over form, and secondly, motivation and involvement are enhanced by means of new technologies.
life and foster acquisition, encouraging reading and writing, and within this latter one, to distinguish
text types and its main characteristics, and in particular, narrative texts.
The success partly lies in the way the language becomes real to the users, feeling themselves really
in the language. Some of this motivational force is brought about by intervening in authentic
communicative events. Otherwise, we have to recreate as much as possible the whole cultural
environment in the classroom. This is to be achieved within the framework of the European Council
(1998) and, in particular, the Spanish Educational System which establishes a common reference
23/ 26
framework for the teaching of foreign languages where students are intended to carry out several
communication tasks with specific communicative goals within specific contexts and registers.
professional and educational fields.
Writing skills are mentioned as one of the aims of our current educational system (B.O.E. 2002) and
in particular, for students of E.S.O. and Bachillerato about how to write a narration, argumentation
or description. Actually, Bachillerato students are asked to structure narrative texts into beginning,
middle and end by using narrative structure and textual features (lexical devices: conjunctions,
nouns, adjectives, etc). It is stated that students will make use of this competence in a natural and
systematic way in order to achieve the effectiveness of communication through the different
communication skills, thus, productive (oral and written communication), receptive (oral and
written comprehension within verbal and non-verbal codes), and interactional role of a foreign
and wherever necessary apply them in further examination. Interpreting a literary text thus calls for
a fundamental interest in making discoveries, and in asking questions. The main aims that our
currently educational system focuses on are mostly sociocultural, to facilitate the study of cultural
themes, as our students must be aware of their current social reality within the European
framework.
5. CONCLUSION.
In this study narrative texts have been approached in terms of elements, main textual features and
structure. We may observe that dealing with narrative style is not just a linguistic matte r to be
developed in the classroom setting; on the contrary, writing or reading stories enables us to carry
out everyday tasks which prove essential in our current society, for instance, a complaint letter,
reporting an accident to the police, taking notes or writing an essay.
24/ 26
Conn (1995) considers that stories offer us images to think with, other worlds to describe, and the
capacity to deal in images since the symbol is at the heart of being human. In a literary society, she
adds, books remain a major source of the history we can offer our children. In fact, telling stories
satisfies a psychological need since written work serves to provide the learners with some evidence
that they are making progress in the language.
The role of writing or telling storie s in present society is emphasized by the increasing necessity of
learning a foreign language as we are now members of the European Community, and as such, we
and understanding of the discourse patterns associated with a given event (narration: TV news, a
joke, a gossip) as well as the sociolinguistic factors that contribute to linguistic variation across
settings and contexts (the setting for a novel, in Spain vs. in London, that is, sunny vs. rainy).
language speakers find their confidence threatened through the diversity of registers, genres and text
types, in particular, narrative texts that make up the first language speakers day to day interaction.
Language represents the deepest manifestation of a culture, and peoples values systems, including
those taken over from the group of which they are part, play a substantial role in the way they use
not only their first language but also subsequently acquired ones.
25/ 26
6. BIBLIOGRAPHY.
Bal, M. 1985. Narratology: Introduction to the Theory of Narrative. University of Toronto Press.
Barthes, R. 1977. Introduction to the structural analysis of narratives. London, Fontana.

Murcia.


Richards and R. Sc hmidt (eds.). Language and Communication. London, Longman.
Conn, J. 1995. Choosing and Using Literature. Curriculum Corporation.
Hymes, D. 1972. On communicative competence. In J. B. Pride and J. Holmes (eds.),

Sociolinguistics, pp. 269-93. Harmondsworth: Penguin.

Genette,G. 1983. Noveau discours du rcit. Paris, Seuil.
Rimmon-Kenan, S. 1985. Narrative Fiction: Contemporary Poetics. London, Methuen.
Scholes, R. and R. Kellogg. 1966. The Nature of Narrative. New York. Oxford University Press.
Toolan, M.J. 1988. Narrative, A Critical Linguistic Introduction. London, Routledge.
Traugott, E. and M. L. Pratt. 1980. Linguistics for Students of Literature. New York, Harcourt
Brace Jovanovich.
London: Longman.
26/ 26
UNIT 33
DESCRIPTIVE TEXTS: STRUCTURE AND MAIN

FEATURES.
OUTLINE
1. INTRODUCTION.

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF DESCRIPTIVE TEXTS.

2.3.2. Text types: description.
3. DESCRIPTIVE TEXTS: STRUCTURE AND MAIN FEATURES.
3.1. On defining descriptive texts.
3.2. Descriptive texts: main types.

3.2.1. Objective description.
3.2.2. Subjective description.
3.2.3. Other types of description.
3.3. Descriptive texts: structure.
3.4. Descriptive texts: textual features.

3.4.1. A morphosyntactic approach.
3.4.2. Cohesion.
3.4.3. Coherence.
4. DESCRIPTIVE TEXTS AND LANGUAGE TEACHING.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/26
1. INTRODUCTION.
1.1.Aims of the unit.
The main aim of Unit 33 is to present the issue of descriptive texts in terms of structure and
main features. Our aim is to offer a broad account of what descriptive texts are and why
they are used for in both linguistic and pragmatic terms, that is, how language and textual
features are used to achieve the purpose of describing people, objects, places and events.
So, we shall divide our study in five main chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of descriptive texts
since the concepts of text and description are related to other key notions which prove
essential in the understanding of their analysis. So, in order to establish the relationship
between both concepts, we shall review (1) the notion of text linguistics since the analysis
of descriptive texts is discussed within the framework of Discourse Analysis. Accordingly,
we shall provide (2) a definition of text and hence we shall examine (a) its main textual
features (common to all text types) such as texture and ties and (b) the seven standards of
textuality in order to get to the notion of intertextuality. Then, we shall approach (3) the
notion of intertextuality as the linguistic source of text types regarding (a) the main criteria
for classifying text types and hence (b) the term descriptive.
Chapter 3 will offer then an insightful analysis of descriptive texts in terms of (1)
definition; (2) main types of description; (3) structure and (4) main textual devices within
descriptive text types: (a) morphosyntactic features, (b) cohesion, and (c) coherence.
Chapter 4 will be devoted to present the main educational implications in language

teaching regarding descriptive texts and Chapter 5 will offer a conclusion to broadly
overview our present study. Finally, Chapter 6 will include all the bibliographical
references used in this study.
2/26
1.2.Notes on bibliography.
An influential introduction to the analysis of texts is based on relevant works of Halliday

and Hasan, Cohesion in English (1976); van Dijk, Text and Context (1984); and
Beaugrande and Dressler, Introduction to Text Linguistics (1988). Classic works regarding
the term descriptive include Brooks and Warren, Modern Rethoric (1979), still
indispensable; Barthes, Introduction to the structural analysis of narratives (1977);
Traugott and Pratt, Linguistics for Students of Literature (1980); and Genette, Noveau
discours du rcit (1983).
The background for educational implications regarding descriptive texts is based on the
theory of communicative competence and communicative approaches to language teaching
are provided by Canale, From Communicative Competence to Communicative Language
Pedagogy (1983); Hymes, On communicative competence (1972). In addition, the most
complete record of current publications within the educational framework is provided by
Jenni Conn, Choosing and Using Literature (1995), the guidelines in B.O.E. (2002) and the
Council of Europe, Modern Languages: Learning, Teaching, Assessment. A Common
European Framework of reference (1998).
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF DESCRIPTIVE

TEXTS.
In Chapter 2 we shall offer a theoretical framework for the analysis of descriptive texts
since the concepts of text and description are related to other key notions which prove
essential in the understanding of their analysis. So, in order to establish the relationship
between both concepts, we shall review (1) the notion of text linguistics since the analysis
of descriptive texts is discussed within the framework of Discourse Analysis. Accordingly,
we shall provide (2) a definition of text and hence we shall examine (a) its main textual
3/26
features (common to all text types) such as texture and ties and (b) the seven standards of
textuality in order to get to the notion of intertextuality. Then, we shall approach (3) the
notion of intertextuality as the linguistic source of text types regarding (a) the main criteria
for classifying text types and hence (b) the term descriptive.
The notion of text linguistics designates any work in language science devoted to the text
as the primary object of inquiry (Beaugrande & Dressler, 1988). In fact, many fields have
approached the study of texts, and in particular, that of descriptive text: linguistics (from
grammar, morphology and phonology), anthropology (different speech acts in different
cultures), psychology (speaker and hearer behaviour) and stylistics (correctness, clarity,
elegance, appropriateness, style).
Yet, the oldest form of preoccupation with texts and the first foundation for the analysis of
texts and its articulation is drawn from the notion of text linguistics which has its historical
roots in rethoric, dating from Ancient Greece and Rome through the Middle Ages up to the
present under the name of text linguistics or discourse. Traditional rethoricians were
influenced by their major task of training public orators on the discovery of ideas
(invention), the arrangement of ideas (disposition), the discovery of appropriate expressions
for ideas (elocution), and memorization prior to delivery on the actual occasion of
speaking.
In the Middle Ages, rethoric was based on grammar (on the study of formal language
patterns in Greek and Latin) and logic (on the construction of arguments and proofs).
Rethoric still shares several concerns with the kind of text linguistics we know today, for
instance, the use of texts as vehicles of purposeful interaction (oral and written), the variety
of texts which express a given configuration of ideas, the arranging of ideas and its
disposition within the discourse and the judgement of texts which still depends on the
effects upon the audience.
4/26
The definition of text is quite relevant in our study since it will lead us straighforwardly to
the notion of descriptive text when reviewing the notion of intertextuality within text
types. Following Halliday & Hasan (1976), the word text is used in linguistics to refer to
any passage, spoken or written, of whatever length, that does form a unified whole. As a
general rule, we know whether an utterance or sequence of utterances constitute a text or
not though it may be spoken or written, prose or verse, dialogue or monologue, and also
anything from a single proverb to a whole play, from a momentary cry for help to an all-
day discussion on a committee.
In addition, a text is best regarded as a semantic unit and not a unit of form. Hence, we may
establish its relation to the term description since we may deal with the description of
people, things, animals, actions or thoughts in terms of describing a fact.
Textual features such as texture and ties give a text the status of being a text. First of all,
the concept of texture is defined as the textual resource that functions as a unity with
respect to its environment and secondly, ties are defined as the resources that English has
for creating texture so as to contribute to its total unity by means of cohesive relations
(reference, substitution, ellipsis, conjunction, and lexical cohesion). The concept of a tie
makes it possible to analyse a text in terms of its cohesive properties and give a systematic
account of its patterns of texture (Halliday & Hasan, 1976).
Perhaps the notion of textuality is the most relevant in our study since we reach the notion
of descriptive text through one of its seven standards: intertextuality. Actually, written texts
5/26
conform to rules that most successful writers unconsciously follow and native readers
unconsciously expect to find. It is relevant, then, to address the term textuality in written
and oral texts as it is involved in rules governing written discourse (hence its relationship to
descriptive texts).
In the approach to text linguistics by de Beaugrande & Dressler (1988), a text, oral or
printed, is established as a communicative occurrence, which has to meet seven standards
of textuality: cohesion, coherence, intentionality and acceptability, informativity,
situationality and finally, intertextuality. If any of these standards are not satisfied, the text
is considered not to have fulfilled its function and not to be communicative.
We shall briefly review the first six standards of textuality so as to analyse the seventh one
in next section:
(1) Cohesion is, as well as coherence, a text-centred notion which is related to the
function of syntax and the components of the surface text. It also deals with
cohesive ties as mentioned above (anaphora, cataphora, ellipsis, etc) and signalling
relations (tense and aspect, modality, uptdating, junction, conjunction, disjunction
and subordination).
(2) Coherence is the outcome of actualizing meanings in order to make sense
(Beaugrande & Dressler, 1988). It concerns a set of relations subsumed under
causality (cause, enablement, reason, purpose time) and global patterns responsible
for making a text be senseless or non-sensical (frames, schemas, plans, and
scripts). In other words, it gives sense to a text.
(3) Intentionality subsumes the intentions of text producers, that is, their attitude. In the
most immediate sense of the term, the producer intends the language
configuration under production to a cohesive and coherent text instrumental in
fulfilling the writer intentions. This standard deals with the pragmatic perspective of
discourse, that is, the conversational maxims of co-operation: quantity, quality,
relation and manner on saying be informative, be truthful, be relevant and be brief.
6/26
Here we meet the purpose of descriptive texts, that is, to represent people, animals,
objects, atmospheres, landscapes, actions or feelings by means of words.
(4) Acceptability, on the other hand, concerns the receiver attitude. Here a set of
occurrences should constitute a cohesive and coherent text having some use or
relevance for the receiver in an appropriate context of communication.
(5) Informativity concerns the extent to which the occurrences of the text are expected
vs. unexpected or known vs. unknown or uncertain by means of content words
(verbs, nouns, adjectives, adverbs). Hence we expect different types of texts (poetic,
scientific, literary, etc).
(6) Situationality concerns the factors which make a text relevant to a current or
recoverable situation of occurrence (Beaugrande & Dressler, 1988). The effects of
a situational setting are very rare when there is no mediation and therefore, the
extent to which one feeds ones own beliefs and goals into ones model of the
current communicative situation (i.e. in dramatic texts, as a subclass of literary
texts). There exist the prerogative of presenting alternative organizations for objects
and events in live presentations (prologue, unusual frequency of events, actions with
no reason, etc). Hence, objective and subjective descriptions.
therefore, the notion of descriptive texts in next sectio n.
Intertextuality concerns the factors which make the use of one text dependent upon
being classes of texts expected to have certain traits for certain purposes: oral conversation,
narrative, directive, predictive, expository, argumentative, literary and poetic (rethoric),
scientific, didactic and, for our purposes, descriptive.
7/26
For 2,400 years there have been two traditions of classifying texts. The first one, deriving
from Aristotles Rethoric, where the term rethoric refers to the uses of language. More
specific, it refers to modes of discourse realized through text types, thus narration,
description, directive, exposition and argumentation. Within the second tradition, rethoric
refers to communicative function as rethorical strategies in functional lines: descriptive: to
enrich knowledge spaces; narrative: to arrange actions and events; argumentative: to
promote the acceptance of certain beliefs; and so on.
In this section we shall approach the concept of text typology from two main perspectives:
(1) the main criteria for text typology by means of which we review basic principles for all
types of texts regarding literary devices, order and sequence elements and common text
structures; and (2) a text type classification and description.
There are three main criteria when establishing a typology for texts: literary devices, order
and sequence elements and common text structures for all types of texts.
(1) Regarding literary devices, we deal with literary texts which share specific
conditions of production, contradictory cultural discourses, and intercultural
processes. For such reasons, literary texts may be polysemous, having a range of
interpretive possibilities. The main basic principles are considered to be literary
elements and devices to evaluate how the form of a literary work and the use of
literary elements and devices which contribute to the works message and impact.
(2) Order and sequence. Moreover, basic to the concept of form is the notion of order
and sequence, which may vary depending on the type of text. For instance, logical,
chronological, or psypchological in narrative texts; from general to specific, upward
and downward direction, personality vs. physical appearance in descriptive texts;
introduction, development and conclusion in argumentative texts; and so on.
8/26
(3) Text structure. By studying the textual and lexical elements of text types, one can
learn to regularly recognize the overall structure of a text. Following a general
division of any kind of text we may sometimes begin with a brief heading or
descriptive title, with or without a byline, an epigraph or brief quotation, or a
salutation, such as we may find at the start of a letter. They may also conclude with
a brief trailer, byline, or signature. Elements which may appear in this way, either
at the start or at the end of a text division proper, are regarded as forming a class,
known as divtop or divbot respectively.
The following special purpose elements are provided to mark features which may
appear only at the start of a division: the head, an epigraph an argument and a
salutation. The conclusion will be characterized by a brief trailer of the subject
matter as a summary of facts. A byline or a signature may also conclude any piece
of writing.
2.3.2. Text types: description.
According to Trimble (1985) we may classify texts in two ways. Firstly, according to
purpose, and secondly, according to type or mode. According to purpose, in terms of
communicative functions, the discourse is intended to inform, express an attitude, persuade
and create a debate. According to type or mode, the classification distinguishes among
descriptive, narrative, expository, argumentative, and instrumental modes.
Hence, in this study we are dealing with descriptive texts which, on the one hand, are
intended to offer a description of something or somebody in terms of communicative
functions and, on the other hand, according to the category or text types it is included within
the type of description, that is, the fact of describing people, animals, objects, events, facts
and situations. Now let us examine descriptive texts more in depth regarding structure and
main features.
9/26
3. DESCRIPTION: STRUCTURE AND MAIN FEATURES.
The ana lysis of description will be carried out in terms of (1) definition; (2) main types of
description; (3) structure and (4) main textual devices within descriptive text types: (a)
morphosyntactic features, (b) cohesion, and (c) coherence.
3.1. On defining descriptive texts.
Before defining the term descriptive, it must be borne in mind that descriptive texts are
closely related to the category of narrative since both of them appeal to the readers
imagination through his senses (see, hear, feel, touch and smell). Yet, the key difference is
for descriptive texts to focus on image and for narrative texts to focus on actions.
Descriptions can enrich the text by offering a wide range of details (parts, qualities,
properties) or just select a minimum of them (face description, not whole body).
A descriptive text is usually defined as a type of discourse concerned with the

representation of people, animals, objects, atmospheres, landscapes, actions and feelings by
means of words (verbal or written representatio n). As stated above, the purpose of a
descriptive text is to create a mental image in the readers mind (in fiction or real life) by
answering the question What is it like? in order to describe something or someone
(Brooks & Warren, 1979).
When giving account of people, animals, objects and even facts, descriptive texts constitute
part of our daily life by means of giving information about your family, yourself, describing
buildings, a new friend, a house on sale, and so on. The genres that fit the descriptive text
structure are similar to those of narrative since the former are considered to be subordinated
to the textual structures of the latter (narration) and other text types (exposition or
instructions): folktales (wonder tales, fables, legends, myths, tall tales, and realistic tales);
contemporary fiction; mysteries, science fiction, realistic fiction, fantasy, and historical
10/26
fiction. In addition, although the descriptive type rarely appears by itself in texts, poetry is
the only literary type which can include whole descriptive texts.
3.2. Descriptive texts: main types.
We can distinguish three types of descriptive texts depending on the impression that the
world makes on the readers senses and, above all, on the speakers intention: first, a
subjective description (also called suggestive and persuasive ); second, an objective
description (also called technical and considered a form of exposition rather than
description); and finally, other types of description, regarding people, inanimate and
dynamic events. It must be borne in mind that in current society, description is always
present at all levels, that is, in the domains of literature (fiction) and in everyday life (non-
fiction).
3.2.1. Objective description.
Let us start with the objective-type description which is to be found in instructive, technical
and scientific texts since its main aim is to inform or instruct about the thing to be
described. So, it provides generalized information on facts, qualities and characteristics
about the object under consideration so as to get a systematic, accurate and almost
photographic description. This type of texts are just straight facts and do not give the reader
any ideas about the feelings or opinions of the author.
This type of description is less common than the subjective-type since we our perception of
the world cannot be always impartial. Therefore, this kind of description is more related to
expository texts because it is conceived as an account of something where no personal
reaction or assessment is refused, that is, it is not affected by internal or external factors.
11/26
Although descriptive texts are easily observable when related to technical and scientific
descriptio n (reports, essays, chronicles), we may also find non-technical texts that provide
mere information about an object by following a logic order, being enumerative and
containing many technical vocabulary items (official letters, school essays, a guidebook, a
history chapter, advertisement). For instance, descriptions in a field guide such as The
British book of Wildflowers or sale advertisements (i.e. House on sale: 4 bedrooms, semi-
detached, built in 1974, fenced gardens, gas fire, parking for 3 cars).
3.2.2. Subjective description.
On the other hand, we find the subjective description, also called suggestive or persuasive
since they tell us something about the writers feelings and opinions about the item to be
described. This type of description is based on the writer/speaker power of observation and
wealth of impressions as it possesses vividness (Traugott & Pratt, 1980). The notion of
vividness is full of life, strength and freshness and lets the reader feel all the sensual
impressions and vital energy conveyed by the words of the writer.
In fact, the main aim of subjective descriptions is to provoke emotions about the object to
be described rather tha n reflecting the item as it is for details to achieve affective values.
This type of description is namely found in literary texts (Composed upon Westminster
Bridge by William Wordsworth; Dracula by Bram Stoker; Wuthering Heights by Emily
Bronte; Portrait of the Artist by James Joyce; Gullivers Travels by Swift; The
Physician by Noah Gordon) and advertising (adverts to buy and sell things -a house, a car,
a motorbike-, rent a holiday cottage).
Thus compare the two following descriptions of a house to be sold, objective and
subjective-types respectively: A house situated in a cul-de-sac location withing the
Springside Development, near shops and schools (objective) vs. A good-sized modern
four bedroom detached house well situated in a cul-de-sac location within the popular
12/26
Springside Development. Easy pedestrian access to town centre and nearby good
schooling (subjective).
Note the use of adjectives to emphasize the vividness in the second text. Hence, we may
establish three main features of subjective texts: (1) an appeal to senses so as to obtain
lively effects through visual, auditory, olfactory, tactile and taste means; (2) the selection of
words so as to give a much more vivid and immediate effect by means of adjectives,
adverbs, nouns and verbs; and (3) a balanced use of figurative language devices such as
personification (the attribute human is applied to objects and animals), deshumanization
(humans are perceived as deprived of their human attributes), hyperboles (reality is
exaggerated), and images and metaphores (comparison between two unlike items or beings
by using like or as).
3.2.3. Other types of description.
Apart from objective and subjective descriptive texts, we may mention some other types of
description which are based on visual devices, that is, which are classified according to the
theme they visually represent. Hence we may find descriptions about people (characters),
which shall lead us to a subclassification into (i) static descriptions regarding inanimate
items (objects, landscapes, atmospheres) and (ii) dynamic descriptions regarding actions
(feelings, situations).
First of all, peoples description may be divided into four types: (a) prosopography, which
describes the physical appearance of a person (Portrait of the Artist by James Joyce), (b)
etopeia, which includes a moral or phychological description of a fictional or real character
(The Secret Agent by Joseph Conrad), (c) a portrait, which combines both physical
(prosopography) and psychological (etopeia) features (Wuthering Heights by Emily
Bronte); and (d) a caricature, which is associated with the idea of overloading or
exaggeration under the principle of dominant impression.
13/26
Caricatures exaggerate the dominant description of characters (Bleak House by Charles
Dickens) which, according to the technique we use, may be (i) static (inanimate objects) or
(ii) dinamic (an item/person is defined by his actions, proce ss or atmosphere). On the one
hand, static descriptions are defined as topographies, which represent an inanimate item (a
place, a house, a garden, a village, a mountain) displaying a spatial relatioship among
objects themselves with establish hierarchies); on the other hand, dynamic descriptions are
called chronologies since they represent an age or a period of time where important events
take place (a setting, an individual, setting atmosphere).
3.3. Descriptive texts: structure.
The structure of descriptive texts follows some principles of order regarding the way details
are grouped so as to present a descriptive sequence. This sequence is divided into four main
steps: item observation and therefore, selection of the most relevant aspects, order of
events, and expressive devices.
1. Firstly, observation may be described in different ways depending on the

communicative purpose and main features of the observer: (a) fixed observer, who
views the whole scene or object from a fixed position and reads off the items in a
systematic way (i.e. from left to right, from foreground to background, from general
to specific); (b) moving observer, who merely reports details as he comes to them so
they do not follow an order; and (c) the impressionistic observer, who give a
generalized impression as if he were a movie camera, swinging from side to side
(i.e. Main Street by Sinclair Lewis).
2. The selection of the most relevant aspects is the next step in this descriptive
sequence since, again, the same reality may be described in different ways
depending on the communicative purpose and main features of the receiver. In fact,
each type of text determines a specific type of selection, for instance, technical and
14/26
scientific texts are usually quite objective whereas non-technical texts are usually
subjective (i.e. job offers in press looking for a virtual candidate).
3. The order of description is related to the way in which the speaker/writer decides
how to group details in relation to the structure of the item described (from head to
toe, from physical to psychological description, outward vs. inwards direction, from
general to specific, and so on). Actually, a descriptive account has a theme (the
item to be described) and the new information about the item. So, the new
information is formed by the items qualities and properties and the new aspects
derived from it. Moreover, descriptions may be limited by a framework (i.e.
peoples description order: general overview well built, tall, plump); head: hair,
eyes, specific features; body, and so on).
4. Finally, the expressive devices in description deal with the communicative purpose
of the author and the receivers characteristics. We refer to textual devices, to be
examined in next section.
3.4. Descriptive texts: textual features.
The main textual features in descriptive texts are given by textual and lexical items, that is,
literary devices which are words used to enrich the understanding of the story (i.e. quantity
and quality adjectives, dynamic and static verbs, common and concrete nouns, time and
place adverbs, syntactic structures). Yet, these literary devices are quite similar to those of
narrative texts since the author may use a wide range of word choice for different purposes,
thus (a) to write objective and subjective descriptions and (b) to make writing vivid or
precise by using brief descriptive paragraphs.
So, let us analyse the basic language structures in descriptive texts regarding the disciplines
of syntax, pragmatics and namely semantics, together with a grammatical approach. Hence
we shall analyse cohesion, coherence and other literary devices. We shall start by offering
(1) a morphosyntactic approach regarding lexis and syntax; (2) an analysis of cohesion
15/26
where we shall include the concepts of anaphora, cataphora, connectors and deixis
(following Halliday & Hassan, 1976); and (3) a brief analysis of coherence.
3.4.1. A morphosyntactic approach.
From a lexical and syntactic perspective, that is, a morphosyntactic approach, descriptive
texts are namely characterized by the use of (1) adjectives, which bear the burden in
description. They are an essential part of the writers main devices to evoke an image in the
reader mind. They can be condensed (specific: the walking man) or expanded (general: a
fantas tic world). Adjectives usually perform in attributive position after their noun heads
(i.e. The silence, low and faint and whispering; James Joyces A Portrait of the Artist)
and also appear as ing forms (i.e. The breeding of an English gentleman). Adjectives
usually denote details on shape, colour, size, number among other features.
Moreover, the notion of vividness is also achieved by the use of (2) other grammatical
categories such as (a) nouns: concrete or abstract. The former being abundant because of
their great picturing and interpreting capacity, the latter being less abundant and whose
function is to heighten the vividness of the texts; (b) verbs, which may imply something
about the nature of the person or item to be described (i.e. shouted, whispered, screamed).
They are usually non-perfective verbs (present and past tense); and (c) adverbs, which
enable the writer/speaker to get an effect with great economy but fusing the quality of a
thing with its action (i.e. Mr Chadban moves softly and cumbrously (slowly), nout unlike a
bear who has been taught to walk upright; Charles Dickens).
But not only adjectives, nouns, verbs and adverbs contribute to achieve vividness in a
description. (3) Specific syntactic structures, such as subordinate clauses (relative, both
defining and non-defining), prepositional and adverbial clauses.
16/26
3.4.2. Cohesion.
Semantically speaking, the term cohesion concerns the ways in which the components of
the surface text (the actual words we hear or see) are mutually connected within a sequence
of utterances (Beaugrande & Dressler, 1988), that is, intra-text linking devices are connected
to extra-textual reference. The notion of cohesion is expressed through the stratal
organization of language which can be explained as a multiple coding system comprising
three levels of coding: the semantic one (meanings), the lexicogrammatical (forms:
grammar and vocabulary) and the phonological and orthographic one (expressions:
sounding and writing).
Cohesion has been a most popular target for research, and it is well known its relation to the
second of the textuality standards, coherence. Since cohesive markers are important for the
understanding of descriptive texts, all speakers make extensive use of them, for example in
order to enhance coherence, but also for reasons of economy (e.g. saving time and
alleviating conceptual work load by using anaphoric devices like generalisations and pro-
forms).
Since cohesion is expressed partly through the grammar and partly through the vocabulary,
we find two main types of cohesive devices considered as general categories of cohesion:
grammatical cohesion (substitution, ellipsis, conjunction, reference) and lexical cohesion
(reiteration, collocation). Yet, we shall include in our study a third type that, although last is
not the least. We refer to graphological devices (orthography, punctuation, headings, foot
notes, tables of contents and indexes) since most of them deal with form and structure of
descriptive texts, and are part of the semantic relations established in a text.
Thus the concept of cohesion accounts for the essential semantic relations whereby any
story is enabled to function as text. It is within grammatical cohesion that we find different
17/26
types of relations: substitution, ellipsis, conjunction and reference. Note that the first two
items are not included in the title of this study, but the rest makes reference to the terms
anaphora and cataphora, connectors and deixis. It is relevant to me ntion first that
anaphora and cataphora will be examined under the heading of reference, connectors under
the heading of conjunction and finally, deixis as a subtype of reference and ellipsis.
The cohesive device of substitution is very similar to that of ellipsis. These two
cohesive relations are thought of as processes within the text: substitution as the
replacement of one item by another (i.e. cumbrously vs. slowly), and ellipsis as the
omission of an item (i.e. Laughing girls vs. The girls that laugh). Essentially the two
are the same process since ellipsis can be interpreted as that form of substitution in
which the item is replaced by nothing, that is, simply substitution by zero
(Halliday & Hasan, 1976).
The reference type of grammatical cohesion is another well researched area within
linguistics. It is defined by Halliday & Hasan (1976) as the case where the
information to be retrieved is the referential meaning, the identity of the particular
thing or class of things that is being referred to; and the cohesion lies in the
continuity of reference, whereby the same thing enters into the discourse a second
time (i.e. The walking boy is the one who is walking).
Conjunction is a relationship which indicates how the subsequent sentence or clause

should be linked to the preceding or the following sentence or parts of sentence.
This is usually achieved by the use of conjunctions (included in the title of the unit).
Frequently occurring relationships are addition, causality and temporality.
Subordination links works when the status of one depends on that of the other, by
means of a large number of conjunctive expressions: because, since, as, thus, while,
or therefore.
18/26
Lexical cohesion does not deal with grammatical or semantic connections but with
connections based on the words used. It is achieved by selection of vocabulary, using
semantically close items. Because lexical cohesion in itself carries no indication whether it
is functioning cohesively or not, it always requires reference to the text, to some other
lexical item to be interpreted correctly.
We may find several types of lexical cohesion within a descriptive text. Thus (1) the
process of reification, whereby an adjective is turned into an abstract noun (i.e. black eyes
vs. the blackness of his eyes) in order to get a more impressive and communicative capacity
of description. This notion is closely related to that of (2) thematic preferences, which deal
with the communicative purpose of the author and the receivers characteristics
(preferences for adjectives of colours when describing a field at the sunset).
Moreover, we may mention (3) the semic loads, which refer to the fact that the author uses
several semic features in the same nominal group or sentences so as to obtain a special
effect (i.e. positive vs. negative, relaxed vs. tense, superiority vs. inferiority) as in With a
hoarse cry of pain and anger (noise, pain, anger). Also, (4) the articulator of experience,
which are words that are repeated over and over again throughout the text representing then
an axis (the sense of defeat, libertation, having won).
In addition, (5) the representation of experience deals with particular aspects of experience
that are used to quantify or characterize the items described, for instance, nouns preceded
by one or more adjective (i.e. That air of positive calm, a ludicrous injured air) as
introducing an image which evaluates the whole experience. Finally, we shall mention the
literary device of reiteration, which includes (6) repetition. This literary device is essential
for cohesion and coherence in discourse analysis. Stylistic repetition produces aesthetic
functions, such as the systematic presence of partial synonyms in Virginia Woolfs Mrs.
Dalloway so as to get the feeling of quietness (i.e. Calm, still, hush, silence, loneliness,
solemn).
19/26
When repetition is not systematic we talk about three different types of repetition: (a)
phonological (isophonic repetition) in her long slender bare legs (James Joyces A
Portrait of the Artist) producing symphonic, affective and iconic effects; (b) syntactic
(isotaxy repetition) by means of using aesthetic processes, common in ordinary newspapers
and journals); and (c) semantic repetition (isosemy), which may bring different effects
(ornamental, emotional, ironical).
reference to another item, but now the nature of relation is different: it is indirect, more
difficult to define and based on associations in the reader mind. The interpreter sometimes
adds coherence to the text by adding cohesion markers.
With respect to graphological resources, we are mainly dealing with visual devices as we
make reference to orthography, punctuation, headings, foot notes, tables of contents and
indexes. As most of them deal with form and structure of different types of texts, and will
be further developed as part of a subsequent section, we shall primarily deal with
orthography and punctuation in this section.
Firstly, orthography is related to a correct spelling, and in relation to this term, Byrne
(1979) states that the mastery of the writing system includes the ability to spell. This device
covers different word categories, but mainly, rules of suffixation, prefixation, and addition
of verbal markers as gerunds, past tenses or third person singular in present tenses.
Moreover, Byrne claims for the use of the dictionary as the relationship between sound and
symbol in English is a complex one, and spelling becomes a problem for many users of the
language, native and non-native speakers alike. The importance of correct spelling is
highlighted when Byrne says that most of us are obliged to consult a dictionary from time
to time so as not to be indifferent to misspelling. Therefore, students are encouraged to
20/26
acquire the habit of consulting a dictionary in order to ensure an adequate mastery of
spelling.
Secondly, according to Quirk et al (1972) punctuation serves two main functions. Firstly,
the separation of successive units (such as sentences by periods, or items in a list by
commas), and secondly, the specification of language function (as when an apostrophe
indicates that an inflection is genitive). Moreover, punctuation is concerned with purely
visual devices, such as capital letters, full stops, commas, inverted commas, semicolons,
hyphens, brackets and the use of interrogative and exclamative marks. It is worth noting
that punctuation has never been standardised to the same extent as spelling, and as a result,
learners tend to overlook the relevance of punctuation when producing a text.
Learners must be encouraged to pay attention to the few areas where conventions
governing the use of the visual devices as fairly well established, among which we may
mention letters and filling in forms as part of a sociocultural educational aim. Thus,
students must try to understand the relevance of the use of commas to enumerate a
sequence of items, the use of questio n and exclamation marks to express requests or
attitudes, and the use of inverted commas to highlight a word or sentence.
3.4.3. Coherence.
Coherence is a purely semantic property of discourse, while cohesion is mainly concerned

with morpho-syntactic devices in discourse. A coherent text is a semantically connected,
integrated whole, expressing relations of closeness, thus, causality, time, or location
between its concepts and sentences. A condition on this continuity of sense is that the
connected conc epts are also related in the real world, and that the reader identifies the
relations.
In a coherent text, there are direct and indirect semantic referential links between lexical
items in and between sentences, which the reader must interpret. A text must be coherent
21/26
enough for the interlocutor to be able to interpret. It seems probable that this coherence can
be achieved either through cohesion, for instance, markers and clues in the speakers text,
or through the employment of the user-centred textuality standards of intentionality,
acceptability, informativity, situationality and intertextuality.
These markers are defined as all the devices which are needed in writing in order to
produce a text in which the sentences are coherently organised so as to fulfil the writers
communicative purpose (to describe people, things, animals, situations and so on). Byrne
(1979) claims that they refer to words or phrases which indicate meaning relationships
between or within sentences, such as those of addition, contrast (antithesis), comparison
(similes), consequence, result, and condition expressed by the use of short utterances, and
exemplification (imagery and symbolism).
Within the context of textual analysis, we may mention from a wide range of rethorical
devices the use of imagery and symbolism; hyperbole, antithesis, similes and metaphors;
onomatopoeias, alliteration and the use of short utterances for rhythm and effect; repetition
and allusion to drawn the readers attention; and cacophony and slang to make the piece of
writing lively and dynamic when described.
4. DESCRIPTIVE TEXTS AND LANGUAGE TEACHING.
But how do descriptive texts tie in with the new curriculums? As we stated above, one of
the pleasures of teaching the written language is that it is so easy to provide good models of
almost any kind of writing. According to Jenni Conn (1995), the model of descriptive texts
provides students the opportunity to describe people, objects, animals, events and situations
using appropriate linguistic elements and also, to connect real- life experiences.
Following van Ek & Trim (2001), the learners can perform, within the limits of the
resources available to them, those writing tasks which adult citizens in general may wish, or
be called upon, to carry out in their private capacity or as members of the general public
22/26
when dealing with fictional and real descriptions On the whole, the completion of those
forms that the learners are most likely to have deals with their personal or professional life:
describing a car on sale, your best friend, your new house, a touristic place, and so on.
Moreover, nowadays new technologies may provide a new direction to language teaching
as they set more appropriate context for students to experience the target culture. Present-
day approaches deal with a communicative competence model in which first, there is an
emphasis on significance over form, and secondly, motivation and involvement are
enhanced by means of new technologies. Regarding writing skills, there is a need to create
classrooms conditions which match those in real life and foster acquisition, encouraging
reading and writing, and within this latter one, to distinguish text types and its main
characteristics, and in particular, descriptive texts.
The success partly lies in the way the language becomes real to the users, feeling
themselves really in the language. Some of this motivational force is brought about by
intervening in authentic communicative events. Otherwise, we have to recreate as much as
possible the whole cultural environment in the classroom. This is to be achieved within the
framework of the European Council (1998) and, in particular, the Spanish Educational
System which establishes a common reference framework for the teaching of foreign
languages where students are intended to carry out several communication tasks with
specific communicative goals within specific contexts and registers. Thus, foreign language
activities are provided within the framework of social interaction, personal, professional
and educational fields.
Writing skills are mentioned as one of the aims of our current educational system (B.O.E.
2002) and in particular, for students of E.S.O. and Bachillerato about how to describe
themselves, their best friend or an object, among others. Actually, Bachillerato students are
asked to structure descriptive texts into paragraphs (Your best friend: where he lives,
physical apperance, personality, hobbies, everyday routine) by using narrative structure and
textual features (lexical devices: conjunc tions, nouns, adjectives, etc).
23/26
It is stated that students will make use of this competence in a natural and systematic way
in order to achieve the effectiveness of communication through the different
communication skills, thus, productive (oral and written communication), receptive (oral
and written comprehension within verbal and non-verbal codes), and interactional role of a
foreign language as a multilingual and multicultural identity.
Analytic interpretation of texts in all genres should become part of every literary students
basic competence (B.O.E., 2002). There are hidden influences at work beneath the textual
surface: these may be sociocultural, inter and intratextual, or ecological. The literary
student has to discover these, and wherever necessary apply them in further examination.
The main aims that our currently educational system focuses on are mostly sociocultural, to
facilitate the study of cultural themes, as our students must be aware of their current social
reality within the Europea n framework.
5. CONCLUSION.
In this study descriptive texts have been approached in terms of main types, main textual
features and structure. We may observe that dealing with descriptive style is not just a
linguistic matter to be developed in the classroom setting; on the contrary, writing or
reading stories enables us to carry out everyday tasks which prove essential in our current
society, for instance, when describing a friend or the house of your dreams.
Conn (1995) considers that descriptions offer us images to think about, other worlds to
describe, and the capacity to deal with images since the symbol is at the heart of being
human. In a literary society, she adds, books remain a major source of the history we can
offer our children. In fact, telling stories include many descriptions of characters, places,
objects and actions which satisfies the psychological need of the reader or listener.
The role of describing in present society is emphasized by the increasing necessity of

learning a foreign language as we are now members of the European Community, and as
24/26
such, we need to communicate with other countries at oral and written levels. Written
patterns are given an important role when language learners face the monumental task of
acquiring not only new vocabulary, syntactic patterns, and phonology, but also discourse
competence, sociolinguistic competence, strategic competence, and interactional
competence.
language speakers find their confidence threatened through the diversity of registers, genres
and text types, in particular, descriptive texts that make up the first language speakers day
to day interaction. Language represents the deepest manifestation of a culture, and peoples
values systems, including those taken over from the group of which they are part, play a
substantial role in the way they use not only their first language but also subsequently
acquired ones.
25/26
6. BIBLIOGRAPHY.
Barthes, R. 1977. Introduction to the structural analysis of narratives. London, Fontana.

B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 112/2002, de 13 de septiembre. Currculo de la

Educacin Secundaria Obligatoria en la Comunidad Autnoma de la Regin de Murcia.
B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 113/2002, de 13 de septiembre. Currculo de

Bachillerato en la Comunidad Autnoma de la Regin de Murcia.
Brooks, J. and D. Warren. 1979. Modern Rethoric. Harcourt Braze.
Canale, M. 1983. From Communicative Competence to Communicative Language Pedagogy, in J. Richards

and R. Schmidt (eds.). Language and Communication. London, Longman.
Hymes, D. 1972. On communicative competence. In J. B. Pride and J. Holmes (eds.), Sociolinguistics, pp.
Council of Europe (1998) Modern Languages: Learning, Teaching, Assessment. A Common European
Traugott, E. and M. L. Pratt. 1980. Linguistics for Students of Literature. New York, Harcourt Brace
Jovanovich.
van Dijk, T. 1984. Text and Context: Explorations in the Semantics and Pragmatics of Discourse. London:
Longman.
26/26
UNIT 34
ARGUMENTATIVE TEXTS: STRUCTURE AND MAIN

FEATURES.
OUTLINE
1. INTRODUCTION.

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF ARGUMENTATIVE TEXTS.

2.3.2. Text types: argumentation.
3. ARGUMENTATIVE TEXTS: STRUCTURE AND MAIN FEATURES.
3.1. On defining argumentative texts.

3.2. Argumentative texts: main types.
3.2.1. Subjective.
3.2.2. Objective.
3.2.3. Other types.
3.3. Argumentative texts: structure.
3.3.1. Types of argumentative structure.
3.3.2. Main structural elements.
3.3.3. Sequence of steps.
3.4. Argumentative texts: textual features.
3.4.1. Cohesion.
3.4.2. Coherence.
4. ARGUMENTATIVE TEXTS AND LANGUAGE TEACHING.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/25
1. INTRODUCTION.
The main aim of Unit 34 is to present the issue of argumentative texts in terms of structure
and main features. Our aim is to offer a broad account of what argumentative texts are and
why they are used for in both linguistic and pragmatic terms, that is, how language and
textual features are used to achieve the purpose of persuading and convincing the audience
to whom a rethorical or dialectical argumentation is addressed. So, we shall divide our
study in five main chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of argumentative texts
since the concepts of text and argumentation are related to other key notions which
prove essential in the understanding of their analysis. So, in order to establish the
relationship between both concepts, we shall review (1) the notion of text linguistics since
the analysis of argumentative texts is discussed within the framework of Discourse
Analysis. Accordingly, we shall provide (2) a definition of text and hence we shall examine
(a) its main textual features (common to all text types) such as texture and ties and (b) the
seven standards of textuality in order to get to the notion of intertextuality. Then, we shall
approach (3) the notion of intertextuality as the linguistic source of text types regarding (a)
the main criteria for classifying text types and hence (b) the term argumentative.
Chapter 3 will offer then an insightful analysis of argumentative texts in terms of (1)
definition; (2) main types of description; (3) structure and (4) main textual devices within
descriptive text types: (a) cohesion, regarding (i) grammatical, (ii) lexical and (iii)
graphological devices, and (b) coherence.

teaching regarding argumentative texts and Chapter 5 will offer a conclusion to broadly
2/25

the term argumentative include Crystal and Davy, Investigating English Style (1969);
Brooks and Warren, Modern Rethoric (1979), Traugott and Pratt, Linguistics for Students
of Literature (1980); Genette, Noveau discours du rcit (1983); and Fowler, Linguistic
Criticism (1986).
The background for educational implications regarding argumentative texts is based on the
the guidelines in van Ek and Trim, Vantage (2001); B.O.E. (2002); and the Council of
Europe, Modern Languages: Learning, Teaching, Assessment. A Common European
Framework of reference (1998).
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF DESCRIPTIVE

TEXTS.
In Chapter 2 we shall offer a theoretical framework for the analysis of argumentative texts
since the concepts of text and argumentation are related to other key notions which
prove essential in the understanding of their analysis. So, in order to establish the
relationship between both concepts, we shall review (1) the notion of text linguistics since
the analysis of argumentative texts is discussed within the framework of Discourse
Analysis. Accordingly, we shall provide (2) a definition of text and hence we shall examine
(a) its main textual features (common to all text types) such as texture and ties and (b) the
seven standards of textuality in order to get to the notion of intertextuality. Then, we sha ll
3/25
approach (3) the notion of intertextuality as the linguistic source of text types regarding (a)
the main criteria for classifying text types and hence (b) the term argumentative.
approached the study of texts, and in particular, that of argumentative texts: linguistics
(from grammar, morphology and phonology), anthropology (different speech acts in
different cultures), psychology (speaker and hearer behaviour) and stylistics (correctness,
clarity, elegance, appropriateness, style).
(invention), the arrangement of ideas (disposition), the discovery of appropriate expressions
speaking.
patterns in Greek and Latin) and logic (on the construction of arguments and proofs), hence
its relevance within our study. Rethoric still shares several concerns with the kind of text
linguistics we know today, for instance, the use of texts as vehicles of purposeful
interaction (oral and written), the variety of texts which express a given configuration of
ideas, the arranging of ideas and its disposition within the discourse and the judgement of
texts which still depends on the effects upon the audience.
4/25
the notion of argumentative when reviewing the notion of intertextuality within text types.
Following Halliday & Hasan (1976), the word text is used in linguistics to refer to any
passage, spoken or written, of whatever length, that does form a unified whole. As a
establish its relation to the term argumentation since we may deal with supporting or
disagreeing with a statement whose validity is questionable or contentious.
for creating texture so as to contribute to its total unity by means of co hesive relations
account of its patterns of texture, as it is the case of argumentative texts (Halliday & Hasan,
1976).
of argumentative text through one of its seven standards: intertextuality. Actually, written
5/25
texts conform to rules that most successful writers unconsciously follow and native readers
argumentative texts).
We shall briefly review the first six standards of textuality in relation to argumentative texts
so as to analyse the seventh one in more depth in next section:
relations (tense and aspect, modality, updating, junction, conjunction, disjunction
and subordination) which prove essential in argumentative texts.
causality (cause, reason, purpose time) and global patterns responsible for making a
text be senseless or non-sensical (frames, plans). In other words, it gives sense to
a text.
fulfilling the writer intentions. This standard deals with the pragmatic perspective of
6/25
Here we meet the purpose of argumentative texts, that is, to convince the audience
about a universal truth which is presented briefly and clearly.
relevance for the receiver in an appropriate context of communication (agreement or
disagreement in argumentation).
(verbs, nouns, adjectives, adverbs). Hence specific lexical devices in argumentative
texts (adversative conjunctions, declarative verbs).
current communicative situation (i.e. in opinion essays). There exist the prerogative
of presenting alternative opinions about people, objects and events in live
presentations and hence, objective and subjective argumentations.
will be the basis for the notion of argumentative texts.
being classes of texts expected to have certain traits for certain purposes: narrative,
descriptive, expository, dialectic and, for our purposes, argumentative.
7/25
refers to communicative function as rethorical strategies in functional lines: argumentative:
to promote the acceptance of certain beliefs; descriptive: to enrich knowledge spaces;
narrative: to arrange actions and events; and so on.
types of texts regarding textual devices, order and sequence elements and common text
structures; and (2) a text type classification and argumentation.
There are three main criteria when establishing a typology for texts: textual devices, order
(1) Regarding textual devices, we deal with specific conditions of production,

contradictory cultural discourses, and intercultural processes. For such reasons,
texts may have a wide range of interpretative possibilities. The main basic
principles are considered to be literary elements and devices to evaluate how the
form and use of elements and devices which contribute to the works message and
impact.
and sequence, which may vary depending on the type of text. For instance,
introduction, development and conclusion in argumentative texts, logical,
chronological, or psypchological in narrative texts; from general to specific, upward
8/25
and so on.
division of any kind of text we may sometimes begin with a brief heading or title,
with or without a byline, an epigraph or brief quotation, or a salutation, such as we
may find at the start of a letter. They may also conclude with a brief trailer, byline,
or signature. Elements which may appear in this way, either at the start or at the
end of a text division proper, are regarded as forming a class, known as divtop or
divbot respectively.
2.3.2. Text types: argumentation..
We may classify texts in two ways. Firstly, according to purpose, and secondly, according
to type or mode. According to purpose, in terms of communicative functions, the discourse
is intended to inform, express an attitude, persuade and create a debate. According to type
or mode, the classification distinguishes among descriptive, narrative, expository,
instrumental, and argumentative modes.
Hence, in this study we are dealing with argumentative texts which, on the one hand, are
intended to persuade and convince the audience in terms of communicative functions and,
on the other hand, according to the category or text types it is included within the type of
argumentation, that is, the fact of supporting or disagreeing with a statement whose validity
is questionable or contentious. Now let us examine argumentative texts more in depth
regarding their structure and main features.
9/25
3. ARGUMENTATIVE TEXTS : STRUCTURE AND MAIN FEATURES.
Chapter 3 will offer then an insightful analysis of argumentative texts in terms of (1)
definition; (2) main types of argumentation; (3) structure and (4) main textual devices
within argumentative text types: (a) cohesion, regarding (i) grammatical, (ii) lexical and
(iii) graphological devices, and (b) coherence.
3.1. On defining argumentative texts.
An argumentative text is usually defined as a type of discourse concerned with the

presentation and evaluation of arguments, either rethorical or dialectical, which show the
cause-effect relationship established in an event or theory. So, the purpose of argumentative
texts is to persuade and convince the audience of the value of the theses for which the
argumentation seeks assent so as to obtain some effectiveness on the argumentative
discourse (Crystal & Davy, 1969).
Moreover, argumentative texts may vary depending on the type of audience they are
addressed to, for instance, non-specialized audience (appealing to common sense and
common principles, values and places) or to a specialized group (where the basis for
agreement is more specific). With this audience in mind, the argumentative discourse may
take the form of a discussion, an interview, a speech, an essay, an opinion letter, a letter or
a book on literary criticism among others.
3.2. Argumentative texts: main types.
Basically, we can distinguish three types of argumentative texts depending on the social
character or the rational character of argumentation: first, a subjective argumentation;
second, an objective argumentation (also called scientific); and finally, other types of
argumentation. It must be borne in mind that in current society, argumentation is always
10/ 25
present at all levels, that is, in the domains of literature (fiction) and in everyday life (non-
fiction).
3.2.1. Subjective.
On the one hand, we find the subjective argumentation, which presents the
author/speaker/encoders desire to communicate certain ideas or simply to provoke the
audience. Hence the orator starts by posing implicitly or explicitly the problem to be dealt
with so as to organise the arguments which will lead him to a relevant conclusion. Actually,
the speaker refers to a particular system of knowledge and his point of view is expressed
mainly by means of presuppositions and connotations, which produce informal, persuasive,
ironical, appreciative or pejorative arguments.
Due to the use of dialectics, this type of argumentation is especially frequent. Hence it is
namely found in oral and written discourse. Thus, in oral discourse we find it in political
speeches, debates, interviews, informal conversations, radio and TV reports whereas in
written discourse we namely find it in letters, press articles, opinion columns, business
letters, and so on..
3.2.2. Objective .
On the other hand, the objective-type (also called scientific type) is related to the cognitive
process of formally judging about a given problem. Similarly to the subjective type, the
orator starts by posing implicitly or explicitly the problem to be dealt with so as to organise
the arguments which will lead him to a relevant conclusion. However, alike the subjective-
type, scientific argumentation refers to the methods based on established facts and obeys to
well established laws.
11/ 25
In this type of argumentation the orator speaks from an objective perspective, basing
himself on the data given by (a) bibliographic references taken from relevant authorities
and authors on the issue , which are considered as arguments of authority; (b) examples
from the authors personal experience; and (c) by analogy, that is, by establishing
paralelisms and comparisons with other similar ideas or events expressing consequences
from similar propositions. Hence, we may find research documents, experiments, direct
observations, fieldwork reports, analysis which are reflected on statistics, tables, diagrams,
illustrations, photos, maps and so on.
In general, scientific argumentation has a mixture structure, where other text-types are
involved, such as expository, explanatory and argumentative sequences, and very seldom
do we find a scientific discourse exclusively. Hence scientific argumentation usually
appears in relation to expositions, explanations, definitions or interpretations of a given
issue.
3.2.3. Other types of argumentation.
Apart from objective and subjective argumentative texts, we may mention some other types
of argumentation which are based on the authors desire to present specific solutions or
insights as common problems, that is, to pass from the premises accepted by the audie nce
to the conclusions the author wants to establish. Hence we may find:
(1) A fortiori argumentation, that is, when arguing from an accepted conclusion to an
even more evident one. This technique is used in commentary texts, which may give
more informatio n on specific subjects or offer a different point of view on a subject
by holding to true values (newspaper complaint column, discussions, footnotes).
(2) A contrario argumentation, that is, when arguing from an accepted conclusion to
the rejection of its contrary. Hence, there is a clear dissociation between the given
arguments. This technique is namely used in scientific texts which tend to be more
12/ 25
specific as the main argument is supported by verifiable facts or statements (NASA
reports on Mars, formal letters, lectures, bibliographies).
3.3. Argumentative texts: structure.
The structure of argumentative texts, which seek to persuade and convince the audience,
cannot be a sequence of disordered arguments. Yet, it must follow some principles of order
regarding the way arguments are grouped so as to present an organized sequence of
selected and reasonable arguments which lead the author to be effective and persuasive.
There are, though, a common sequence of arguments for all types of humanistic discourse
(exposition and argumentation): issue selection and kind of work, seeking information,
work planning, writing down of the argument, and finally, presentation. Hence, we shall
focus on the first one (issue selection and kind of work) since it is from this notion that we
get three types of work depending on the theme (resume, research, argumentation) and in
particular, our current theme: argumentation and sequence structure.
The sequence of argumentation is quite frequent in essay writing since it is a dialectic form
(from classical dialectic and rethoric). It may be oral or written and is aimed to convince
the audience in a reasonable way of a universal truth, idea or thought, almost always
questionable. The fact of being questionable brings about the essence of argumentation: to
present a suggesting and polemic argument for the audience to accept and feel interested in
it.
3.3.1. Types of argumentative structure.
We may identify several types of argumentative structure: deductive, inductive, framed

structure, zig-zag patterns, one -sided arguments and the eclectic structure:
13/ 25
(1) On the one hand, the deductive structure deals with an analytic structure in which
the thesis is placed at the beginning of the argument. Here the encoder moves from
the context to the text, that is, the thesis is related to a general proposition (cause-
effect) which in turn is related to a particular one which serves as proof. The
conclusion then is a synthesis of the two propositions.
(2) The inductive structure deals with a synthetic structure in which the thesis is
developed progressively, as propositions that lead to a logical conclusion at the end
of the text. In fact, the structure is similar to the deductive type, but here the encoder
moves to particular facts to general abstractions as the basis of his/her conclusion.
(3) A framed structure is given when the thesis, already presented at the beginning, is
part of the conclusion at the end of the text again.
(4) The zig-zag pattern proposes an alternative development of the thesis based on
positive and negative propositions (pro-con-pro-con-pro-con) or the opposite (con-
pro-con-pro-con-pro) depending on the position of the author as a proponent or as
an opponent of the thesis respectively.
(5) One-sided arguments consist of (a) a presentation of the problem + refutation of the
oppositions arguments + solution or (b) presentation of the problem + no refutation
+ conclusion.
(6) Finally, the eclectic perspective, whereby the author may reject or accept some
points of view and even show the a combination of both.
3.3.2. Main structural elements.
Argumentative texts have two essential components: on the one hand, the thesis (the idea or
theory that the author presents as a universal truth in a relevant, brief and clear way) and the
body of argumentation (which forms the rest of the text with a sequence of arguments
which aim to validate the previous step (the thesis). Arguments then may be classified into
two: positive arguments, which are aimed to reinforce the truth of the thesis (based on
relevant authors; personal experiences; or analogy) and negative arguments (aimed to
refuse those arguments or ideas agains the main thesis to be developed).
14/ 25
According to classical guidelines, argumentative texts will develop then positive and
negative arguments (pros and cons) following six main steps: introduction, issue
explanation, outline of the argument, proof, refutation and conclusion1 .
1. Firstly, the introduction may present the authors main argument in two different
ways: (a) as a thesis, that is, as a problem to be solved and not as a universal truth
and (b) by means of a suggestive and entertaining introduction to the theme through
examples or references with the aim of attracting the reader/listener. The author
must use the beginning of his text not to write about the issue in general but to gain
the audience sympathy.
2. Secondly, the explanation of the issue under consideration sets up the beginning of
the body development whereby the author can modify the opinions of the audience
by making an effective discourse when introducing the different approaches to the
issue (historically, nowadays).
3. The outline of the argument. This third step establishes the difficult points of the
argument which must be presented in a concise, organized and coherent way so as
to establish the relationship between the different parts of the argument by means of
linguistic elements or discourse deixis. Moreover, at this point, the effectiveness of
the argument may be improved once the audience is better informed.
4. The fourth step deals with presenting proofs, which are extremely relevant within
the essay since they support the main argument with contributions of literary
authorities on the theme, bibliographic references and linguistic means (expressions
suc h as as a matter of fact, it cannot be forgotten, what is more). They invite
the audience to reflect on them and consider the given bibliographic references so as
to enhance the relevance of their arguments.
1
It must be borne in mind that expositive and argumentative texts belong to the same type of discourse and
hence, they share similar structures. This is the reason why students (E.S.O. and Bachillerato) are asked to
present their argumentative essays within the structure of expository texts (in three different parts):
introduction, development and conclusion whereas argumentative presentations originally had six steps: (1)
introduction, (2) issue explanation, (3) outline of the argument, (4) proof, (5) refutation, and (6)
conclusion(B.O.E., 2000).
15/ 25
5. Similarly, refutation may establish the main unacceptable ideas or opposite thoughts
to that of our main issue, and therefore, raise more interest on the part of our
audience.
6. Finally, it is very important to conclude with a good summary of the opposite
arguments, both positive and negative, which will reflect the authors position with
respect to the issue. This summary may be presented in two ways: as a universal
truth or as another contribution to the issue under consideration.
3.4. Argumentative texts: textual features.
The main textual features in argumentative texts are given by textual and lexical items, that
is, textual devices which are words used to enhance the effectiveness of the argument (i.e.
declarative verbs, adversative, summative, concluding connectors, syntactic structures).
Yet, these textual devices are quite similar to those of expository texts since the author may
use a wide range of word choice for different purposes, thus (a) to provide objective and
subjective argumentations and (b) to convince and persuade the audience about the truth of
the argument by using brief and clear statements.
So, let us analyse the basic language structures in argumentative texts regarding the
disciplines of syntax, pragmatics and namely semantics, together with a grammatical
approach. Hence we shall namely analyse two standars of textuality: cohesion and
coherence. We shall start by offering (1) an analysis of cohesion regarding (i) grammatical,
(ii) lexical and (iii) graphological devices, and (b) a brief analysis of coherence following
Halliday & Hassan (1976).
3.4.1. Cohesion.
16/ 25
three levels of coding: the semantic one (meanings), the lexicogrammatical (morphological
forms, grammar and vocabulary) and the phonological and orthographic one (expressions:
understanding of argumentative texts, all speakers make extensive use of them, for example
in order to enhance coherence, but also for reasons of economy (e.g. saving time, being
brief, relevant, and informative).
(reiteration, collocation). Yet, we shall include in our study a third type that, although last is
not the least. We refer to graphological devices (orthography, punctuation, headings, foot
argumentative texts, and are part of the semantic relations established in a text.
Thus the concept of cohesion accounts for the essential semantic relations whereby any
argument is enabled to function as text. It is within grammatical cohesion that we find
different types of relations: substitution, ellipsis, conjunction and reference. Note that the
two latter items make reference to the terms anaphora and cataphora, connectors and
deixis. It is relevant to mention first that anaphora and cataphora will be examined under
the heading of reference, connectors under the heading of conjunction and finally, deixis as
a subtype of reference and ellipsis.
17/ 25
replacement of one item by another (i.e. argument vs. discussion), and ellipsis as
the omission of an item (i.e. To finish with, ...). Essentially the two are the same
process since ellipsis can be interpreted as that form of substitution in which the
item is replaced by nothing, that is, simply substitution by zero (Halliday &
Hasan, 1976).
time.
Conjunction is a relevant relationship with respect to argumentative texts since

connector establish the necessary links between ideas and thoughts within the text
(Summative vs. adversative relations between paragraphs). They indicate how the
subsequent sentence or clause should be linked to the preceding or the following
sentence or parts of sentence (i.e. Subordination links works when the status of one
depends on that of the other, by means of a large number of conjunctive
expressions: because, since, as, thus, while, or therefore).
Connectors play an essential role in argumentative texts since they reflect cohesion
within the discourse and show a logical development of the discussion by
establishing different relationships between the presented ideas: summative (i.e. In
addition, moreover), restrictive (i.e. specially, in particular), opposition (i.e.
However, although, though), insistence (i.e. Furthermore, similarly), explanatory
(i.e. as we can see), previo us reference (anaphora: As stated before), and conclusive
(i.e. In conclusion, to sum up).
18/ 25
Lexical cohesion does not deal with grammatical or semantic connections but with
connections based on the words used. It is achieved by selection of vocabulary, using
semantically close items. Because lexical cohesion in itself carries no indication whether it
is functioning cohesively or not, it always requires reference to the text, to some other
lexical item to be interpreted correctly.
From a lexical approach, argumentative texts are namely characterized by the use of (1)
declarative verbs to introduce statements (i.e. say, claim, argue, believe, think, promise,
consider, acknowledge), which namely appear in present tense and indicative mood. They
are an essential part of the writers main devices to convince the reader of the truth of his
statements.
Moreover, effectiveness in the development of the argument is also achieved by the use of
(2) other grammatical categories such as (a) adjectives, which may qualify ing (outstanding
fact, relevant research) or neuter (real facts, current figures) so as to keep the authors
subjectivity aside; (b) abstract nouns so as to expose ideas, real facts or anecdotes (i.e.
Imagination, knowledge, opposition). So, there is a vast majority of noun prhases so as to
transmit the intellectual aim of the discussion; and (c) concrete nouns, technical definitions
so as to express once more the formality of the text. In addition, we find (d) adverbs, which
enable the writer/speaker to get an effect with great economy but fusing the quality of a
thing with its action (i.e. Clearly, briefly ).
But not only adjectives, nouns, verbs and adverbs contribute to achieve effectiveness in an
argument. (3) Specific syntactic structures, such as subordinate clauses (relative, both
defining and non-defining), prepositional and adverbial clauses, impersonal and passive
sentences (i.e. It is said that.../Pollution is said to be...) and causal and consequence
sentences (i.e. This is the reason why.../As a result).
19/ 25
With respect to graphological resources, we are mainly dealing with visual devices as we
make reference to orthography, punctuation, headings, foot notes, tables of contents and
indexes. As most of them deal with form and structure of different types of texts, and will
be further developed as part of a subsequent section, we shall primarily deal with
orthography and punctuation in this section.
Firstly, orthography is related to a correct spelling, and in relation to this term, Byrne
(1979) states that the mastery of the writing system includes the ability to spell. This device
covers different word categories, but mainly, rules of suffixation, prefixation, and addition
of verbal markers as gerunds, past tenses or third person singular in present tenses.
Moreover, Byrne claims for the use of the dictionary as the relationship between sound and
symbol in English is a complex one, and spelling becomes a problem for many users of the
language, native and non-native speakers alike. The importance of correct spelling is
highlighted when Byrne says that most of us are obliged to consult a dictionary from time
to time so as not to be indifferent to misspelling. Therefore, students are encouraged to
acquire the habit of consulting a dictionary in order to ensure an adequate mastery of
spelling.
Secondly, according to Quirk et al (1972) punctuation serves two main functions. Firstly,
hyphens, brackets and the use of interrogative and exclamative marks. It is worth noting
that punctuation has never been standardised to the same extent as spelling, and as a result,
learners tend to overlook the relevance of punctuation when producing a text.
20/ 25
sequence of items, the use of question and exclamation marks to express requests or
attitudes, and the use of inverted commas to highlight a word or sentence.
3.4.2. Coherence.

connected concepts are also related in the real world, and that the reader identifies the
relations.
communicative purpose (to persuade and convince people of the truth of the presented
statements)). Byrne (1979) claims that they refer to words or phrases which indicate
meaning relationships between or within sentences, such as those of addition, contrast
(antithesis), comparison (similes), consequence, result, and condition expressed by the use
of short utterances, and exemplification (imagery and symbolism).
21/ 25
4. ARGUMENTATIVE TEXTS AND LANGUAGE TEACHING.
But how do argumentative texts tie in with the new curriculum? As we stated above, one of
the pleasures of teaching the written language is that it is so easy to provide good models of
almost any kind of writing. Following van Ek & Trim (2001), the learners can perform,
within the limits of the resources available to them, those writing tasks which adult citizens
in general may wish, or be called upon, to carry out in their private capacity or as members
of the general public when dealing with arguments drawn from their personal opinion.
enhanced by means of new technologies. Argumentative texts prove frequent and relevant
within this environment for students to state different points of view with respect to the
same issue.
specific communicative goals within specific contexts and registers (i.e. Asking for
controversial current issues: terrorrism, pollution, travelling to Mars). Thus, foreign
language activities are provided within the framework of social interaction, personal,
professional and educational fields.
2002) and in particular, for students of E.S.O. and Bachillerato about how to convince a
22/ 25
friend of their point of view and how to defend their arguments with respect to opposite
ones. Actually, Bachillerato students are asked to structure argumentative texts into
paragraphs when asked for their personal opinion about advantages and disadvantages on a
given issue (i.e. Introduction development - conclusion) by using argumetative textual
features (lexical devices: connectors, declarative verbs, nouns, adjectives, etc).
reality within the European framework.
5. CONCLUSION.
In this study argumentative texts have been approached in terms of main types, main
textual features and structure. We may observe that dealing with argumentative style is not
just a linguistic matter to be developed in the classroom setting; on the contrary, defending
our personal point of view about a current issue enables us to carry out everyday
performances which prove essential in our current society, for instance, when discussing on
the relevance of recycling or not.
23/ 25
The role of discussing an argument in present society is emphasized by the increasing
necessity of learning a foreign language as we are now members of the European
Community, and as such, we need to communicate with other countries at oral and written
levels. Written patterns are given an important role when language learners face the
monumental task of acquiring not only new vocabulary, syntactic patterns, and phonology,
but also discourse competence, sociolinguistic competence, strategic competence, and
interactional competence.
and text types, in particular, argumentative texts that make up the first language speakers
day to day interaction. Language represents the deepest manifestation of a culture, and
peoples values systems, including those taken over from the group of which they are part,
play a substantial role in the way they use not only their first language but also
subsequently acquired ones.
24/ 25
6. BIBLIOGRAPHY.



Council of Europe. 1998. Modern Languages: Learning, Teaching, Assessment. A Common European
Crystal, D. and D. Davy. 1969. Investigating English Style. Longman, London.
Fowle r, R. 1986. Linguistic Criticism. Oxford University Press, Oxford.
Jovanovich.
Longman.
van Ek, J.A., and J.L.M. Trim, 2001. Vantage. Council of Europe. Cambridge University Press.
25/ 25
UNIT 35
EXPOSITORY TEXTS: STRUCTURE AND MAIN

FEATURES.
OUTLINE
1. INTRODUCTION.

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF EXPOSITORY TEXTS.

2.3.2. Text types: exposition.
3. EXPOSITORY TEXTS: STRUCTURE AND MAIN FEATURES.
3.1. On defining expository texts.
3.2. Expository texts: main types.

3.2.1. Regarding the audience.
3.2.2. Regarding the authors purpose.
3.3. Expository texts: structure.

3.3.1. Main types.
3.4. Expository texts: textual features.

3.4.1. Cohesion.
3.4.2. Coherence.
4. EXPOSITORY TEXTS AND LANGUAGE TEACHING.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/24
1. INTRODUCTION.
The main aim of Unit 35 is to present the issue of expository texts (also called explanatory
and explicative) in terms of structure and main features. Our aim is to offer a broad
account of what expository texts are and why they are used for in both linguistic and
pragmatic terms, that is, how language and textual features are used to achieve the purpose
of explaining a topic to an addresse in a clear and organised way. So, we shall divide our
study in five main chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of expository texts
since the concepts of text and exposition (or explanation) are related to other key
notions which prove essential in the understanding of their analysis. So, in order to
establish the relationship between both concepts, we shall review (1) the notion of text
linguistics since the analysis of expository texts is discussed within the framework of
Discourse Analysis. Accordingly, we shall provide (2) a definition of text and hence we
shall examine (a) its main textual features (common to all text types) such as texture and
ties and (b) the seven standards of textuality in order to get to the notion of intertextuality.
Then, we shall approach (3) the notion of intertextuality as the linguistic source of text
types regarding (a) the main criteria for classifying text types and hence (b) the term
expository.
Chapter 3 will offer then an insightful analysis of expository texts in terms of (1)
definition; (2) main types of expository texts (a) regarding the audience and (b) regarding
the authors purpose; (3) structure in terms of (a) types of structure (deductive and
inductive) and (b) sequence of steps; and (4) main textual devices within expository text
types: (a) cohesion, regarding (i) grammatical, (ii) lexical and (iii) graphological devices,
and (b) coherence.
2/24
teaching regarding expository texts and Chapter 5 will offer a conclusion to broadly

the term expository include Crystal and Davy, Investigating English Style (1969); Brooks
and Warren, Modern Rethoric (1979), Traugott and Pratt, Linguistics for Students of
Literature (1980); and Genette, Noveau discours du rcit (1983).
The background for educational implications regarding expository texts is based on the
the guidelines in van Ek and Trim, Vantage (2001); B.O.E. (2002); and the Council of
Europe, Modern Languages: Learning, Teaching, Assessment. A Common European
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF EXPOSITORY

TEXTS.
In Chapter 2 we shall offer a theoretical framework for the analysis of expository texts
since the concepts of text and exposition (or explanation) are related to other key
3/24
notions which prove essential in the understanding of their analysis. So, in order to
establish the relationship between both concepts, we shall review (1) the notion of text
linguistics since the analysis of expository texts is discussed within the framework of
Discourse Analysis. Accordingly, we shall provide (2) a definition of text and hence we
shall examine (a) its main textual features (common to all text types) such as texture and
ties and (b) the seven standards of textuality in order to get to the notion of intertextuality.
Then, we shall approach (3) the notion of intertextuality as the linguistic source of text
types regarding (a) the main criteria for classifying text types and hence (b) the term
expository.
approached the study of texts, and in particular, that of expository texts: linguistics (from
grammar, morphology and phonology), anthropology (different speech acts in different
cultures), psychology (speaker and hearer behaviour) and stylistics (correctness, clarity,
elegance, appropriateness, style).
(invention), the arrangement o f ideas (disposition), the discovery of appropriate expressions
speaking.
patterns in Greek and Latin) and logic (on the construction of arguments and proofs), hence
4/24
its relevance within our study. Rethoric still shares several concerns with the kind of text
linguistics we know today, for instance, the use of texts as vehicles of purposeful
interaction (oral and written), the variety of texts which express a given configuration of
ideas, the arranging of ideas and its disposition within the discourse and the judgement of
texts which still depends on the effects upon the audience.
the notion of expository when reviewing the notion of intertextuality within text types.
Following Halliday & Hasan (1976), the word text is used in linguistics to refer to any
passage, spoken or written, of whatever length, that does form a unified whole. As a
establish its relation to the term explanatory since we may deal with explaining a topic to
the audience in a clear, detailed and organised way.
for creating texture so as to contribute to its total unity by means of cohesive relations
5/24
account of its patterns of texture, as it is the case of explanatory texts (Halliday & Hasan,
1976).
of expository text through one of its seven standards: intertextuality. Actually, written texts
conform to rules that most successful writers unconsciously follow and native readers
expository texts).
We shall briefly review the first six standards of textuality in relation to expository texts so
as to analyse the seventh one in more depth in next section:
relations (tense and aspect, modality, updating, junction, conjunction, disjunction
and subordination) which prove essential in expository texts.
causality (cause, reason, purpose time present in expository texts-) and global
6/24
patterns responsible for making a text be senseless or non-sensical (frames,
plans). In other words, it gives sense to a text by means of organization.
fulfilling the writer intentions. This standard deals with the pra gmatic perspective of
Here we meet the purpose of expository texts, that is, to explain a topic briefly and
clearly.
relevance for the receiver in an appropriate context of communication (historical
analysis vs. empirical research).
(verbs, nouns, adjectives, adverbs). Hence specific lexical devices in expository
texts (declarative verbs regarding explanation, qualifying adjectives).
current communicative situation (i.e. in opinion essays). There exist the prerogative
of presenting alternative opinions about people, objects and events in live
presentations and hence, common and specific explanations.
will be the basis for the notion of expository texts.
7/24
being classes of texts expected to have certain traits for certain purposes: narrative,
descriptive, argumentative, dialectic and, for our purposes, expository (or explanatory).
refers to communicative function as rethorical strategies in functional lines: argumentative:
to promote the acceptance of certain beliefs; descriptive: to enrich knowledge spaces;
narrative: to arrange actions and events and, for our purposes, expository texts: to explain a
topic (ideas, operations, actions or utterances) to an audience in a clear, detailed and
organised way.
types of texts regarding textual devices, order and sequence elements and common text
structures; and (2) a text type classification and exposition.
There are three main criteria when establishing a typology for texts: textual devices, order
8/24
(1) Regarding textual devices, we deal with specific conditions of production,
texts may have a wide range of interpretative possibilities. The main basic
principles are considered to be literary elements and devices to evaluate how the
form and use of elements and devices which contribute to the works message and
impact.
and sequence, which may vary depending on the type of text. For instance,
introduction, development and conclusion in expository texts, logical,
chronological, or psypchological in narrative texts; from ge neral to specific, upward
and so on.
division of any kind of text we may sometimes begin with a brief heading or title,
continue with a detailed body development, and conclude with a brief trailer,
byline, or signature.
2.3.2. Text types: expository.
We may classify texts in two ways. Firstly, according to purpose, and secondly, according
to type or mode. According to purpose, in terms of communicative functions, the discourse
is intended to inform, explain, express an attitude, persuade and create a debate. According
to type or mode, the classification distinguishes among descriptive, narrative,
argumentative, instrumental, and expository modes.
Hence, in this study we are dealing with expository texts which, on the one hand, are
intended to explain a topic to the audience in terms of communicative functions and, on the
9/24
other hand, according to the category or text types it is included within the type of
exposition, that is, the fact of offering a detailed explanation and analysis of a subject in a
clear and organised way. Now let us examine expository texts more in depth regarding
their structure and main features.
3. EXPOSITORY TEXTS: STRUCTURE AND MAIN FEATURES.
Chapter 3 will offer then an insightful analysis of expository texts in terms of (1)
definition; (2) main types of expository texts (a) regarding the audience and (b) regarding
the authors purpose; (3) structure in terms of (a) types of structure (deductive and
inductive) and (b) sequence of steps; and (4) main textual devices within expository text
types: (a) cohesion, regarding (i) grammatical, (ii) lexical and (iii) graphological devices,
and (b) coherence.
3.1. On defining expository texts.
An expository text is usually defined as a type of discourse concerned with the explanation
and ana lysis of a subject in a clear, detailed and organised way for the listener/reader to
have relevant information about a topic. So, the purpose of expository texts is to explain an
issue to an addressee in a clear, detailed and organised way by showing relationships of
cause, consequence and final purpose.
It must be borne in mind that in current society, explanation is always present at all levels,
that is, in the domains of literature (fiction) and in everyday life (non- fiction). Therefore, it
is relevant to remember that expository texts are not clearly-cut types and they may
interrelate with other types such as argumentation, narration or description when explaining
ideas, operations, actions, utterances, a theory, a plan, an academic subject, concepts,
10/ 24
advertisements, definitions, lectures, articles, book of reference, touristic guides, and
political speeches among others.
The explanation of any issue is normally a long, detailed, often scholarly account of all the
salient points regarding the subject under consideration (argument, proposal, description,
theory), hence the emphasis on form and organization of this type of text. The author
usually makes a point-by-point discussion of a complex matter especially used in the
paraphrase and analysis of a literary text. This complex analysis implies a global
knowledge of the question one intends to explain and it also demands a progressive and
articulated development of the ideas which contribute to its content, usually written
assessments.
3.2. Expository texts: main types.
Basically, we can distinguish several types of expository texts depending on two main
parameters: first, the audience it is addressed to (general or specific) and second, the
authors purpose (define, classify, illustrate, instruct, ana lyse, compare and contrast, show
relationships of cause and effect).
Regarding the audience, the main types of expository texts may be objective and subjective
(also called general vs. specific, divulging vs. specialised).
1. The first type, defined as an objective, general and also divulging type is the
modality used by the author so as to inform about a subject of general interest in a
clear and objective way to a wide range of population. This modality is not complex
and therefore, easily understood by any ordinary addressee since both the order of
the content provided, and the accuracy of the terms aim at an effective
11/ 24
communication (i.e. TV, radio news, Internet news, personal e-mails, business and
personal notes).
2. The second type, defined as subjective, specific and also specialised modality,
requires the knowledge of a particular discipline or science (or part of it) on the part
of the speaker/writer since the topic must be developed in a technical way with
specific vocabulary. Hence this type of explanation is not likely to be understood by
all listeners or readers unless they are experts on the subject matter. This kind of
expository texts are related to scientific, technological, linguistic fields where the
written language is the vehicle that transmits and presents these specific contents.
Regarding the authors purpose, expository texts may aim at (1) defining, (2) classifying,
(3) illustrating (giving examples), (4) instructing, (5) analysing, (6) comparing and
contrasting, and finally (7) showing relationships of cause and effect.
1. By defining, the author states clearly what something is by locating the item in a
class and also by pointing out the specific characteristics that make the item differ
from other subjects in that class (a limited classification). Then we may find two
types of definitions which work together so as to offer reasonable explanations:
logical and rethorical. On the one hand, logical definitions can be reduced to a
single sentence whereas rethorical definitions are more elaborated (when defining
abstract items: sadness, friendship, jealousy) and show the personal point of view of
the author.
2. By classifying, the author helps the reader think in a clear and systematic way by
giving a logical structure to an item. Actually, he may locate the item within a
logical classification or a general division by means of immediate upward or
downward relations. Thus on the one hand, classification moves upwards from the
particular to the more general so as to state the general class to which a particular
12/ 24
instance belongs. On the other hand, the division process moves downwards, from
the general to the particular, dividing a general class into parts.
3. By illustrating or giving examples, the author cites a particular item (or items) so as
to clarify the nature of the class in which it is included. Examples serve to back up
what we want to explain or analyse for the addressee to understand the topic better.
In fact, the success of an expository text depends on the vividness and relevance of
the given examples, usually introduced by prepositional phrases like for example
and for instance. Both the concept and the example must have a relevant
connection so as to give the text a sense of effectiveness. Yet, unqualified
generalisations with no concrete examples will make the text non-coherent and
therefore, non effective.
4. By instructing the reader, the author presents information in a linear way where all
the information is given the same relevance and it is organised in a temporal
sequence (i.e. Travel guides, cooking recipes, rules of games, installing antivirus).
This kind of text is characterised by the use of imperatives, future and the use of
second and third person singular. Their aim is to guide and teach the reader/listener
how to successfully carry out the process described.
5. By analysing, the author treats the item as an individual subject and its relation to
its own parts (and not in relation to something more general or inclusive), that is, by
dividing the item into component parts (i.e. a person, an object, a flower). In
addition, this method deals directly with processes, that is, how to do things and
therefore, how to organise an exposition (i.e. scientific, literary, technical,
historical). In dealing with processes, we often provide the reader with a mere
account of the stages in time sequence (narration, historical event, anecdote, joke).
6. By comparing and contrasting, the author establishes similarities and differences. It
is relevant to say that comparison is more common than contrast because it is easier
to point out similarities between different items (people, animals, objects, events)
than differences. Within this method we distinguish formal and rhetorical
comparisons. On the one hand, formal comparison distinguishes between
comparison (between objects which belong to the same class: childhood vs.
adulthood) and analogy (between two different specific items: horse vs. bird). On
13/ 24
the other hand, rethorical comparison focuses on emphasis and originality (i.e. Life
is like a river).
7. Finally, by showing relationships of cause and effect , the author seeks an analysis of
the items from the simple to the complex, from the casual to the very formal.
Although many of these relationships are proved scientifically, some are mere
speculations (i.e. He swam in freezing water. As a result, he got a cold) and refer to
certain facts that provoke certain results (effects).
3.3. Expository texts: structure.
The structure of expository texts which seeks to clarify and explain a subject in a clear and
organised way cannot be a sequence of disordered arguments. In fact, the discourse
organization is essential, so both structure and content must be organized in a clear and
coherent way for the reader/listener to follow the issue development step by step. Even in
oral expository texts the discourse is fully planned and non-spontaneous.
3.3.1. Main types.
Since these texts have an open structure, they offer a lot of new informatio n which must be
logically organized. Actually, we may distinguish two main types of expository texts:
inductive and deductive.
1. The inductive structure develops the explanation in a progressive way going from
the particular to the general. Here the speaker/writer moves from particular
explanations to general conclusion as the basis of his/her exposition.
2. On the other hand, the deductive structure deals with the opposite direction: from
the general to the particular. This order is also respected in the organization of the
components, and of their possible relations in the case of the scientific expository
14/ 24
text. In addition, specific terminology and formulae are used with the aim of
clarifying the steps to follow.
According to classical guidelines, expository texts will follow three main steps:
introduction, development and conclusion, which will be structured in three different
paragraphs. Before the introduction, it is common to present an outline of the exposition for
the reader/listener to get acquainted with the concept, as a and then to begin with the
exposition itself of what is to be communicated; finally, it is usual to end up our exposition
with a conclusion, which summarises the previous steps.
The sequence of exposit ion may be oral or written although it is quite frequent in essay
writing since it is a dialectic form (from classical dialectic and rethoric). Yet, the structure
is not always the same, it may start from the end, to continue with the development of the
process which is meant to be explained. The election of the chronological and logical order
depends on the authors communicative intention.
1. Firstly, the introduction presents the concept to be explained. It may also inform
about the main objectives, temporal setting, spatial location and bibliographical
references of the text. Actually, this introductory paragraph is quite relevant since it
helps us to know about the previous knowledge the speaker has about the subject. In
some way, the speaker selects his audience through his use of vocabulary,
inferences or implicit references.
2. The development may involve several paragraphs whose number depends on the
theme. Hence every paragraph is a thematic unit which works as theme (new
information) and rheme (old information) at the same time. In addition, they
constantly recover information from previous paragraphs to make the information
15/ 24
develop in a logical way. This is achieved by means of conjunct clauses
(summative, adversative, temporal or causal).
3. Finally, we get to the conclusion, which is a summary of all the information given
about the subject. It usually reflects the authors position with respect to the issue.
3.4. Expository texts: textual features.
The main textual features in expository texts are given by textual and lexical items, that is,
textual devices which are words used to enhance the effectiveness of the exposition:
declarative verbs such as explain, clarify, define, classify and so on; adversative,
summative and causal connectors; and specific syntactic structures. Yet, these textual
devices are quite similar to those of argumentative texts since the author may use a wide
range of word choice for different purposes, thus (a) to provide objective and subjective
exposition and (b) to explain a fact by using brief and clear statements.
So, let us analyse the basic language structures in expository texts regarding the disciplines
of syntax, pragmatics and namely semantics, together with a grammatical approach. Hence
we shall namely analyse two standars of textuality: cohesion and coherence. We shall start
by offering (1) an analysis of cohesion regarding (i) grammatical, (ii) lexical and (iii)
graphological devices, and (b) a brief analysis of coherence following Halliday & Hassan
(1976).
3.4.1. Cohesion.
16/ 24
three levels of coding: the semantic one (meanings), the lexicogrammatical (morphological
forms, grammar and vocabulary) and the phonological and orthographic one (expressions:
understanding of expository texts, all speakers make extensive use of them, for example in
order to enhance coherence, but also for reasons of economy (e.g. a sequence of logical
steps to apply a new shampoo).
(reiteration, collocation) by means of grammatical categories such as adjectives, nouns,
process verbs, and so on. Yet, we shall include in our study a third type that, although last
is not the least. We refer to graphological devices (orthography, punctuation, headings, foot
expository texts, and are part of the semantic relations established in this text type.
Thus the concept of cohesion accounts for the essential semantic relations in an expository
text: substitution, ellipsis, conjunction and reference. Note that the two latter items make
reference to the terms anaphora and cataphora, connectors and deixis. It is relevant to
mention first that anaphora and cataphora will be examined under the heading of reference,
connectors under the heading of conjunction and finally, deixis as a subtype of reference
and ellipsis.
17/ 24
replacement of one item by another so as not to repeat similar vocabulary; and
ellipsis as the omission of an item (i.e. To finish with, ...).
time. As we stated before, paragraph ideas are linked and interrelated although they
are in different paragraphs, so theme and rheme (anaphora and cataphora) are
always present in expository texts.
Conjunction is a relevant relationship with respect to expository texts since

connectors establish the necessary links between ideas and thoughts within the text
(Summative vs. adversative relations between paragraphs). They indicate how the
subsequent sentence or clause should be linked to the preceding or the following
sentence or parts of sentence (i.e. because, since, as, thus, while, or therefore).
Connectors play an essential role in expository texts since they reflect cohesion
within the discourse and show a logical development of the discussion by
establishing different relationships between the presented ideas: summative (i.e. In
addition, moreover), restrictive (i.e. specially, in particular), causal (i.e. because,
because of, due to), explanatory (i.e. as we can see), illustrating (i.e. for example,
for instance), previous reference (anaphora: As stated before) and conclusive (i.e. In
conclusion, to sum up).
Other grammatical devices involve the use of specific syntactic structures, such as
subordinate clauses (causal, consequence, final), relative clauses (i.e. It is a person who
makes bread), impersonal structures (i.e. It must be switched off when installed),
18/ 24
coordination in terms of copulative and explanatory structures (i.e. It is used for cutting and
it is made of metal) and finally, specific adjectival structures (i.e. nuclear energy,
environmental disasters, acid rain)
From a lexical approach, expository texts are concerned with specific and technical
vocabulary so as not to be ambiguous and be objective. We must remember that the
intention of the author is not to creaty beauty by means of language (rethoric) but to expose
ideas accurately and logically (dialectic). So, the main linguistic function in these texts is
the referential one since pragmatic factors determine the specialised level of the text.
Hence this type of texts is namely characterized by the use of (1) declarative verbs to
introduce explanations (i.e. define, classify, illustrate, exemplify, instruct, analyse,
compare, contrast), which namely appear in present tense and indicative mood; (2) abstract
nouns as expository texts are frequently marked by a more or less level of abstraction,
depending on the frame where the author is placed (specialised or divulging; particular or
general); and (3) connectors, which establish a semantic link between paragraphs (i.e.
Moreover, although, in addition, but, eventually, etc).
With respect to graphological resources, we are mainly dealing with the most outstanding
visual device in expository texts: paragraphs. Yet, we can also make reference to
orthography, punctuation, headings, foot notes, tables of contents and indexes, since most
of them deal with form and structure of this type of texts.
Firstly, orthography for a correct spelling; secondly, according to Quirk et al (1972)

punctuation serves two main functions. Firstly, the separation of successive units (such as
sentences by periods, or items in a list by commas), and secondly, the specification of
19/ 24
language function (as when an apostrophe indicates that an inflection is genitive).
Moreover, punctuation is concerned with purely visual devices, such as capital letters, full
stops, commas, inverted commas, semicolons, hyphens, brackets and the use of
interrogative and exclamative marks. It is worth noting that punctuation has never been
standardised to the same extent as spelling, and as a result, learners tend to overlook the
relevance of punctuation when producing a text.
sequence of items, the use of question and exclamation marks to express requests or
attitudes, the use of inverted commas to highlight a word or sentence, and the use of
paragraphs to separate different explanations and ideas.
3.4.2. Coherence.

connected concepts are also related in the real world, and that the reader identifies the
relations.
20/ 24
communicative purpose (to explain a fact in a logical, clear and organised order). As
Byrne (1979) claims, they refer to words or phrases which indicate meaning relationships
between or within sentences: addition, comparison (similes), consequence, result, and
condition expressed by the use of short utterances, and exemplification (imagery and
symbolism).
4. EXPOSITORY TEXTS AND LANGUAGE TEACHING.
But how do expository texts tie in with the new curriculum? As we stated above, one of the
pleasures of teaching the written language is that it is so easy to provide good models of
almost any kind of writing. Following van Ek & Trim (2001), the learners can perform,
within the limits of the resources available to them, those writing tasks which adult citizens
in general may wish, or be called upon, to carry out in their private capacity or as members
of the general public when dealing with explanations drawn from their personal opinion.
enhanced by means of new technologies. Expository texts prove frequent and relevant
within the students environment (i.e. installing a new computer program, instructions for a
pad game, mums instructions when she is out, comparing two friends, etc).
21/ 24
specific communicative goals within specific contexts and registers (i.e. school, home,
friends, office, tutorial meeting, at the doctors). Thus, foreign language activities are
provided within the framework of social interaction, personal, professional and educational
fields.
2002) and in particular, for students of E.S.O. and Bachillerato about how to explain a fact
in a clear, organised and logical order (i.e. how to make a coffee, what you did yesterday
giving details-, events in a History exam). Actually, Bachillerato students are asked to
explain facts or give their own opinion about a fact by structuring expository texts into
paragraphs (i.e. Introduction development - conclusion) by using expository textual
features (lexical devices: connectors, declarative verbs, nouns, adjectives, etc).
reality within the European framework.
22/ 24
5. CONCLUSION.
In this study expository texts have been approached in terms of main types, main textual
features and structure. We may observe that dealing with expository style is not just a
linguistic matter to be developed in the classroom setting; on the contrary, defending our
personal point of view about a current issue enables us to carry out everyday performances
which prove essential in our current society, for instance, when discussing on the relevance
of recycling or not.
In present society, giving account of a fact from different perspectives (explaining,

comparing, illustrating) is emphasized by the increasing necessity of learning a foreign
language. As we are now members of the European Community, we need to communicate
with other countries at oral and written levels. Written patterns are given an important role
when language learners face the monumental task of acquiring not only new vocabulary,
syntactic patterns, and phonology, but also discourse competence, sociolinguistic
and text types, in particular, expository texts that make up the first language speakers day
to day interaction. Language represents the deepest manifestation of a culture, and peoples
values systems, including those taken over from the group of which they are part, play a
substantial role in the way they use not only their first language but also subsequently
acquired ones.
23/ 24
6. BIBLIOGRAPHY.
Schmidt (eds.). Language and Communication. London, Longman.
Council of Europe. 1998. Modern Languages: Learning, Teaching, Assessment. A Common European Framework of
reference.
Hymes, D. 1972. On communicative competence. In J. B. Pride and J. Holmes (eds.), Sociolinguistics, pp. 269-93.
Harmondsworth: Penguin.
Traugott, E. and M. L. Pratt. 1980. Linguistics for Students of Literature. New York, Harcourt Brace Jovanovich.
24/ 24
UNIT 36
DIALOGIC TEXTS: STRUCTURE AND MAIN FEATURES.
OUTLINE
1. INTRODUCTION.

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF DIALOGIC TEXTS.

2.3.2. Text types: dialogic .
3. DIALOGIC TEXTS: STRUCTURE AND MAIN FEATURES.
3.1. On defining dialogic texts.

3.1.1. The dialogic nature of discourse.
3.1.2. The orality of dialogic texts.
3.1.3. Oral discourse and speech acts.
3.2. Dialogic texts: main elements.
3.2.1. Participants.
3.2.2. Purposes.
3.3. Dialogic texts: structure.
3.3.1. Openings.
3.3.2. Body.
3.3.3. Endings.
3.4. Dialogic texts: main features.
3.4.1. Linguistic devices.
3.4.1.1. Cohesion.
3.4.1.2. Coherence.
3.4.2. Extralinguistic devices.
3.4.3. Paralinguistic devices.
4. DIALOGIC TEXTS AND LANGUAGE TEACHING.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/29
1. INTRODUCTION.
The main aim of Unit 36 is to present the issue of dialogic texts (also called conversational) in terms
of structure and main features. Our aim is to offer a broad account of what dialogic texts are and
why they are used for in both linguistic and pragmatic terms, that is, how language and textual
features are used to achieve the purpose of establishing a successful exchange of information
between two or more participants. So, we shall divide our study in five main chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of dialogic texts since the
concepts of text and dialogue (or conversation) are closely related to other key notions which
prove essential in the understanding of their analysis. So, in order to establish the relationship
between both concepts, we shall review (1) the notion of text linguistics since the analysis of
dialogic texts is discussed within the framework of Discourse Analysis. Accordingly, we shall
provide (2) a definition of text and hence we shall examine (a) its main textual features (common to
all text types) such as texture and ties and (b) the seven standards of te xtuality in order to get to the
notion of intertextuality. Then, we shall approach (3) the notion of intertextuality as the linguistic
source of text types regarding (a) the main criteria for classifying text types and hence (b) the term
dialogic.
Chapter 3 will analyse the basic textual features in dialogic texts regarding the linguistic disciplines
of syntax, pragmatics and namely semantics, together with a grammatical approach within the
framework of two standars of textuality: cohesion and coherence. Then we shall start by offering (1)
an analysis of linguistic features regarding (a) cohesion in terms of (i) grammatical, (ii) lexical and
(iii) graphological devices; and (b) a brief analysis of coherence concerning Grices cooperative
principles and the notions of turn-taking and adjacency pairs. In addition, we shall analyse the main
(2) extralinguistic devices as well as (3) paralinguistic ones.
Chapter 4 will be devoted to present the main educational implications in language teaching
regarding dialogic texts and Chapter 5 will offer a conclusion to broadly overview our present
study. Finally, Chapter 6 will include all the bibliographical references used in this study.
2/29
An influential introduction to the analysis of texts is based on relevant works of Halliday and
Hasan, Cohesion in English (1976); van Dijk, Text and Context (1984); and Beaugrande and
Dressler, Introduction to Text Linguistics (1988). Classic works regarding the term dialogic include
Crystal and Davy, Investigating English Style (1969); Brooks and Warren, Modern Rethoric (1979),
Traugott and Pratt, Linguistics for Students of Literature (1980); and Genette, Noveau discours du
rcit (1983).
The background for educational implications regarding dialogic texts is based on the theory of
communicative competence and communicative approaches to language teaching are provided by
Canale, From Communicative Competence to Communicative Language Pedagogy (1983); Hymes,
On communicative competence (1972). In addition, the most complete record of current
publications within the educational framework is provided by the guidelines in van Ek and Trim,
Vantage (2001); B.O.E. (2002); and the Council of Europe, Modern Languages: Learning,
Teaching, Assessment. A Common European Framework of reference (1998).
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF DIALOGIC TEXTS.
In Chapter 2 we shall offer a theoretical framework for the analysis of dialogic texts since the
concepts of text and dialogue (or conversation) are closely related to other key notions which
prove essential in the understanding of their analysis. So, in order to establish the relationship
between both concepts, we shall review (1) the notion of text linguistics since the analysis of
dialogic texts is discussed within the framework of Discourse Analysis. Accordingly, we shall
provide (2) a definition of text and hence we shall examine (a) its main textual features (common to
all text types) such as texture and ties and (b) the seven standards of textuality in order to get to the
notion of intertextuality. Then, we shall approach (3) the notion of intertextuality as the linguistic
source of text types regarding (a) the main criteria for classifying text types and hence (b) the term
dialogic.
3/29
study of texts, and in particular, that of dialogic texts: linguistics (from grammar, morphology and
phonology), anthropology (different speech acts in different cultures), psychology (speaker and
hearer behaviour) and stylistics (correctness, clarity, elegance, appropriateness, style).
Greek and Latin) and logic (on the construction of arguments and proofs), hence its relevance
within our study. Rethoric still shares several concerns with the kind of text linguistics we know
today, for instance, the use of texts as vehicles of purposeful interaction (oral and written), the
variety of texts which express a given configuration of ideas, the arranging of ideas and its
disposition within the discourse and the judgement of texts which still depends on the effects upon
the audience.
The definition of text is quite relevant in our study since it will lead us straighforwardly to the
notion of dialogic when reviewing the notion of intertextuality within text types. Following
Halliday & Hasan (1976), the word text is used in linguistics to refer to any passage, spoken or
written, of whatever length, that does form a unified whole. As a general rule, we know whether an
utterance or sequence of utterances constitute a text or not though it may be spoken or written,
prose or verse, dialogue or monologue, and also anything from a single proverb to a whole play,
from a momentary cry for help to an all-day discussion on a committee.
4/29
establish its relation to the term dialogic since we deal with an oral or written discourse which
involves an exchange of information on the part of a speaker and a listener, although it may involve
more than two participants and it is usually related to spoken interactions.
Textual features such as texture and ties give a text the status of being a text. First of all, the
concept of texture is defined as the textual resource that functions as a unity with respect to its
environment and secondly, ties are defined as the resources that English has for creating texture so
as to contribute to its total unity by means of cohesive relations (reference, substitution, ellipsis,
conjunction, and lexical cohesion). The concept of a tie makes it possible to analyse a text in terms
of its cohesive properties and give a systematic account of its patterns of texture, as it is the case of
dialogic texts (Halliday & Hasan, 1976).
Perhaps the notion of textuality is the most relevant in our study since we reach the notion of
dialogic text through one of its seven standards: intertextuality . Actually, written and oral texts
conform to rules that most successful writers/speakers unconsciously follow and native
readers/listeners unconsciously expect to find. It is relevant, then, to address the term textuality in
written and oral texts as it is involved in rules governing written and oral discourse (hence its
relationship to dialogic texts).
In the approach to text linguistics by de Beaugrande & Dressler (1988), a text, oral or printed, is
established as a communicative occurrence, which has to meet seven standards of textuality :
its function and not to be communicative.
We shall briefly review the first six standards of textuality in relation to dialogic texts so as to
analyse the seventh one in more depth in next section:
5/29
(1) Cohesion is, as well as coherence, a text-centred notion which is related to the function of
syntax and the components of the surface text. It also deals with cohesive ties as mentioned
above (anaphora, cataphora, ellipsis, etc) and signalling relations (tense and aspect,
modality, updating, junction, conjunction, disjunction and subordination) which prove
essential in dialogic texts to maintain a conversation.
(2) Coherence is needed for this conversation to make sense by means of organization since it
is concerned with a set of relations subsumed under subordination, coordination and global
patterns responsible for making a text be senseless or non-sensical (frames, plans).
(3) Intentionality subsumes the intentions of text producers, that is, their attitude. In the most
immediate sense of the term, the producer intends the language configuration under
production to a cohesive and coherent text instrumental in fulfilling the receivers
intentions. This standard deals with the pragmatic perspective of discourse, that is, Grices
conversational maxims of co-operation (1975): quantity, quality, relation and manner on
saying be informative, be truthful, be relevant and be brief. Here we meet the purpose of
dialogic texts, that is, to explain a topic briefly and clearly.
in an appropriate context of communication.
unexpected or known vs. unknown or uncertain by means of content words (verbs, nouns,
adjectives, adverbs). Hence specific lexical devices in dialogic texts (deictic pronouns,
affirmative and negative adverbs in answers, interrogative and exclamative sentences,
ellipsis, etc).
own beliefs and goals into ones model of the current communicative situation (i.e. the
setting).
(7) And finally, intertextuality which will be reviewed in connection to text types and, will be
the basis for the notion of dialogic texts.
6/29
certain traits for certain purposes: narrative, descriptive, argumentative, expository and, for our
purposes, dialectic (also called directive and conversational).
to modes of discourse realized through text types, thus narration, description, , exposition,
argumentation and dialogic. Within the second tradition, rethoric refers to communicative function
as rethorical strategies in functional lines: argumentative: to promote the acceptance of certain
beliefs; descriptive: to enrich knowledge spaces; narrative: to arrange actions and events; expository
texts: to explain a topic to an audience in a clear, detailed and organised way; and, for our purposes,
dialogic texts as a means to establish an oral or written exchange of information between two or
more participants.
In this section we shall approach the concept of text typology from two main perspectives: (1) the
main criteria for text typology by means of which we review basic principles for all types of texts
regarding textual devices, order and sequence elements and common text structures; and (2) a text
type classification whereby we shall locate dialogic texts.
There are three main criteria when establishing a typology for texts: main textual principles, text
structure (order and sequence) and main textual features common for all types of texts.
(1) Regarding textual principles, we deal with specific conditions of production, contradictory
cultural discourses, and intercultural processes. For such reasons, texts may have a wide
range of interpretative possibilities. The main basic principles are considered to be literary
elements and devices to evaluate how the form and use of elements and devices which
7/29
contribute to the works message and impact. For instance, oral discourse share the same
cooperative principles (Grices four maxims) as other types of texts (i.e. be truthful, be
relevant, be brief, be informative).
(2) Text structure. Here the notions of order and sequence come into force when approaching
the form of a text. For instance, in dialogic texts we find the overall structure of
introduction, development and conclusion; in narrative texts logical, chronological, or
psypchological sequence of events; in descriptive texts, from general to specific, upward
and downward direction, personality vs. physical appearance.
(3) Main textual features. By studying the textual features and lexical elements of text types,
one can learn to regularly recognize a text. For instance, dialogic texts are characterized by
the presence of idiomatic expressions (i.ee. greetings, farewells, apologies); linguistic,
extralinguistic and paralinguistic elements (i.e. interrogative sentences, gestures and laugh,
respectively) that are not found in other types of texts because they do not enjoy an open
structure as dialogic texts do.
2.3.2. Text types: dialogic.
We may classify texts in two ways. Firstly, according to purpose, and secondly, according to type
or mode. According to purpose, in terms of communicative functions, the discourse is intended to
inform, explain, express an attitude, persuade and create a debate. According to type or mode, the
classification distinguishes among descriptive, narrative, argumentative, expository and
conversational modes.
Hence, in this study we are dealing with conversational or dialogic texts which, on the one hand, are
intended to establish an exchange of information in terms of communicative functions and, on the
other hand, according to the category or text types it is included within the type of dialogic, that is,
the fact of offering a structured oral interaction between two or more participants. Now let us
examine dialogic texts more in depth regarding their textual structure and main features.
8/29
3. DIALOGIC TEXTS: STRUCTURE AND MAIN FEATURES.
Chapter 3 will offer then an insightful analysis of dialogic texts in terms of (1) definition where we
shall establish the relationship between discourse, speech acts and dialogic texts by examining (a)
the dialogic nature of discourse, (b) the orality of dialogic texts and (c) oral discourse and speech
acts; (2) main textual elements with respect to (a) participants and (b) the participants purposes; (3)
textual structure in terms of order and sequence regarding (a) openings, (b) body and (c) endings in
an exchange; and (4) main textual devices within dialogic text types. So we shall start by offering
(1) an analysis of linguistic features regarding (a) cohesion in terms of (i) grammatical, (ii) lexical
and (iii) graphologic al devices; and (b) a brief analysis of coherence concerning Grices cooperative
3.1. On defining dialogic texts.
A dialogic text is usually defined as a type of discourse concerned with a text, oral or written, which
is established as a communicative occurrence, which has to meet seven standards of textuality:
its function and not to be communicative. So, the purpose of dialogic texts is to establish an oral or
written interaction between one or more participants so as to exchange information in a successful
way1.
Main contributions on describing communication purposes are given by the anthropologist

Malinowsky who claimed in the early twentieth century for two main purposes, thus a pragmatic
purpose related to the practical use of language both oral and written, and also, a ritual purpose
associated to ceremonies and ancient chants. More recently, another definition comes from Halliday
(1973) who defines language as an instrument of social interaction with a clear communicative
purpose. Moreover, Brown and Yule (1973) established a useful distinction between two basic
1
It must be borne in mind that in current society, dialogues are always present at all levels, that is, in the domains of
literature (fiction) and in everyday life (non-fiction). Therefore, it is relevant to remember that dialogic texts are not
clearly -cut types and they may interrelate with other types such as argumentation, narration or description when
explaining ideas, giving a conference, a political speech, a debate, a sermon, a lecture or just maintaining a conversation at
public places (a shop, a bank, cinema, school, etc).
9/29
language functions, thus transactional and interactional, whose communication purpose was mainly
to maintain social relationships through speech acts.
3.1.1. The dialogic nature of discourse.
In the historical development of human societies, the propensity for establishing communication
played a critical role since it had an ideational function, that is, it provided participants a means of
representing objects, ideas and events among each other as a way to improve the relationship
between them. In fact, the notion of maintaining a dialogue (oral or written) is drawn from the Latin
term conversari (which means to cohabit or live together) and which states the main function
of dialogic texts: to establish social relationships between human beings.
Traditionally, linguistic research has emphasized the role of written discourse as a means for
mediating intellectual activity since it gives a permanent representation to meaning. Written texts
can be read and re-read, silently or aloud, and they can also be critically interrogated and revised.
Yet, whether in the oral or the written mode, discourse is essentially social in nature and, because it
is constituted of a series of contributions that are sequentially inserted into the ongoing flow of
activity, it is also inherently dialogic.
With this premise in mind, it is relevant to remember at this point that research in cultural
anthropology has shown quite clearly that the origins of communication are to be found in the very
early stages of life when there was a need for animals and humans to communicate so as to carry
out basic activities of everyday life, such as hunting, eating, or breeding among others. However,
even the most primitive cultures had a constant need to express their feelings and ideas by other
means than gutural sounds and body movements as animals did and a constant preoccupation on
how to turn thoughts into words.
3.1.2. The orality of dialogic texts.
So, in order to get a firm grasp on the relationship between oral and written texts and the
outstanding orality of dialogic texts, we must briefly examine our historical knowledge of both.
According to Goytisolo (2001), the first evidence of writing is from 3500 B.C., the date of the
Sumerian inscriptions in Mesopotamia and early Egyptian inscriptions whereas the appearance of
10/ 29
language can be traced back some forty or fifty thousand years. The period which encompasses
primary orality, then, is consequently ten times the length of the era of writing although we may
observe an overwhelming influence of the written on the oral component as an attempt to preserve
and memorise for the future the narratives of the past, by means of literature productions, printing
and modern audiovisual and computing media.
Yet, the orality of discourse pervades social life since it is still the principal vehicle for the
transmission of cultural knowledge, and the primary means by which we gain access to the contents
of others minds. Lately, it has been involved in most of the phenomena that lie at the core of social
psychology, thus attitude change, social perception, personal identit y, social interaction, and
stereotyping among others. Moreover, for social psychologists, language typically is the medium by
which subjects responses are elicited, and in which they respond. For instance, in social
psychological research, more often than not, oral language plays a role in both stimulus and
response (Krauss & Chiu 1993).
Just as language use is present in social life, the elements of social life constitute an intrinsic part or
the way language is used. Linguists regard language as an abstract structure that exists
independently of specific instances of usage. However, any communicative exchange is situated in
a social context that constrains the linguistic forms participants use. How these participants define
the social situation, their perceptions of what others know, think and believe, and the claims they
make about their own and others identities will affect the form and content or their acts of
speaking.
3.1.3. Oral discourse and speech acts.
At another level of analysis, these acts of speaking can be regarded as actions intended to
accomplish a specific purposes by verbal means. Looked at this way, according to Austin (1962)
and Searle (1969), utterances can be thought of as speech acts that can be identified in terms of their
intended purposes, thus assertions, questions, requests among others. However, we must bear in
mind that the grammatical form does not determine the speech act an utterance represents. For
instance, an utterance like You shouted at him? may constitute quite different speech acts, for
instance, a question in form but a statement in meaning.
11/ 29
Considerations on this sort require a distinction be drawn between the semantic or literal meaning
of an utterance and its intended meaning. Acts of speaking are imbedded in a discourse made up of
a coherently related sequence of such acts. Thus, conversation and narratives are two types of
discourse, and each has a formal structure that constrains participants acts of speaking.
Nowadays, the interest on language in use has increased the number of linguistic studies on oral
discourse. It is a fact that oral speech is much more innovative than the written type since we may
appreciate dialectal and affective features on the former one. We believe that a clearer
understanding of the social nature of the situations in which language is used will deepen our
general understanding of the principles and mechanisms that underlie language use, and in
particular, oral discourse or dialogic texts.Yet, our present study shall namely focus on the oral type
and the following sections will draw upon this issue.
3.2. Dialogic texts: main elements.
Linguists often say that language and communication are not the same thing, and certainly this is
true. People and many species that do not use language seem able to communicate adequately for
their purposes, with and without language. If language were nothing more than a tool for
communication, it would warrant social psychologists interest (Krauss & Chiu 1993). However,
there are common features to the notions of language and communication which must be applied to
the analysis of dialogic texts such as the main elements of a dialogic text in terms of (1) participants
and (2) the participants main purposes to establish an exchange.
3.2.1. Participants.
With respect to both codes of discourse (oral and written) it is worth noting that one of their
differences relies on the notion of participants and different skills, thus productive and receptive, to
be carried out in a one -way process or two-way process. Hence, regarding written communication,
we refer to writer and reader, when they are involved in the productive skill of writing and the
receptive skill of reading. Similarly, we refer to speaker and listener, when they are involved in the
productive skill of speaking and the receptive skill of listening.
12/ 29
Regarding participants, according to Johnson (1981), oral communication is depicted as an activity
involving two (or more) people in which the participants are both hearers and speakers having to
react to what they hear and making their contributions at high speed. In the interaction process, he
adds, each participant has to be able to interpret what is said to him and reply to what has just been
said reflecting their own intentions. We are talking, then, about an interactive situation directly
related and dependent on the communicative function and the speech situation involving speaker
and hearer. As seen before, the way participants interact in a communicative event has much to do
with social psychology as social life constitute an intrinsic part of the way language is used (to
make questions, to state, to command, etc).
Then, regarding elements in the communication process of dialogic texts, we will follow the
Russian linguist Roman Jakobson and his productive model on language theory which explains how
all acts of communication, be they written or oral, are based on six constituent elements (1960): the
addresser, addresse, message, context, code and channel2 .
3.2.2. Purposes.
As previously mentioned, the acts of speaking can be regarded as actions intended to accomplish a
specific purpose by verbal means (assertion, question, exclamation). We must bear in mind that the
starting point for these purposes are encouraged by elements working at the level of (a) formality
(formal vs. informal language) and (b) theme or topic, which determines the participant role in the
exchange (i.e. father vs. son, lawyer vs. witness, customer vs. assistant, etc).
The different types of speech acts were established by the British philosopher J.L. Austin (1962) and
John Searle (1969) as an attempt to show how to do things with words in terms of meaning,
language use, and extralinguistic functions. The theory of speech acts aims to do justice to the fact
that even though words (and therefore, phrases and sentences) encode information, people do more
things with words than convey information, and that when people do convey information, they often
convey more than their words encode. Although the focus of speech act theory has been on
2
The addresser/encoder (sp eaker) sends a message (oral utterance) to the addressee/ decoder (listener). Messages are
embedded in or refer to contexts which the addressee must be able to grasp and perhaps even verbalize. The addresser and
addressee need to partially share a code (language as verbal, and symbols as non-verbal devices) between them, that is, the
rules governing the relationship between the message and its context; and the message is sent through a physical channel
(air) and contact (a psychological connection) is established between Addresser and Addressee so that they may enter and
stay in communication.
13/ 29
utterances, especially those made in conversational and other face-to-face situations, the phrase
speech act should be taken as a generic term for any sort of language use, oral or otherwise.
Searle (1969) summarized Austins speech acts into five main categories: representatives,
directives, commissives, expressives, and declarations. Hence, their main purposes are respectively:
(1) firstly, representatives (also assertives), whose main aim isto refer to some state of affairs
by means of assertions, claims and descriptions, that is, to tell people how things are by
stating;
(2) secondly, directives, whose intention is to get the addressee to carry out some action by
means of commands, requests, dares or entreaties;
(3) thirdly, commissives, which are speech acts that commit the speaker to some future course
of action by means of promises, threats and vows;
(4) fourthly, expressives, which are speech acts that indicate the speaker's psychological state
or mental attitude by means of greeting, congratulating, thanking or apologising in order to
express the speaker's feelings and attitudes by thinking, forgiving, or blaming;
(5) and finally, declaratives, which are speech acts that themselves bring about a state of affairs
by means of marrying, naming, blessing or arresting. For instance, they bring about changes
through our utterances by means of bringing about correspondence between the
propositional content and reality, through baptizing, naming, appointing or sacking.
3.3. Dialogic texts: structure.
The structure of dialogic texts is defined as a sequence of ordered verbal interactions where the
minimum structure is based on a binary exchange of addresser and addressee on a specific topic.
However, it is worth noting that this type of discourse organization is quite flexible and open, so
both structure and content are spontaneous and not previously planned as other types of texts
(except for specific cases as a love declaration, testimony of witnesses at court, etc).
Oral interaction is made up by the participants encounters, in which several linguistic or non-
linguistic exchanges are performed with respect to a certain theme or topic. Hence participants
usually start a conversation, develop it and finally, bring it to an end. Traditionally, the logical
14/ 29
development of a dialogic text is presented into three different phases: opening, body and ending. In
this section, we shall briefly review the content of these phases since this is the issue for the next
chapter: textual devices of dialogic texts.
3.3.1. Openings.
Openings are considered as the starting point of a conversation since they state the main topic of the
encounter between two or more participants, for instance, saying hello or asking a question (i.e. Hi,
John! I have to talk to you/H i, John! Can you help me?/ Hi, John! Have you heard the last news?).
We may distinguish three main types of expressions that can be used as openers: expressions
directed to the other participant (i.e. Had a nice weekend?), self-oriented expressions (i.e. Before I
go, Ill tell you something) and neutral remarks (i.e. on the weather, about animal facts, jobs).
Therefore, since dialogic texts have an open structure, they offer a lot of new information which
must be classified according to the participants purpose: greetings, questions and exclamations
among others.
1. Greetings. This is the most characteristic way of opening a conversation since participants
address each other with salutations which may vary on the degree of formality and length of
the opening. For instance, How do you do? (formal, long form) vs. Hello/Hi! (informal,
short form); How are you?, How is it going?, and so on. In addition, greetings may be
accompanied of extralinguistic features such as kisses, shaking hands, holding each other,
etc.
2. Questions. They are closely related to greetings since they are part of them (i.e. How are
you?/How do you do?/How is it going?).
3. Exclamations. An exclamation may arise a conversation depending on the setting. For
instance, saying What an awful day! in a lift may help people start a dialogue on the
weather.
3.3.2. Body.
On the other hand, the body structure deals with the development of the conversation between one
or more participants. This is a continuous process which consists of a series of turn-taking
15/ 29
mechanisms carried out by the speakers on various aspects of their immediate environment. This
sequence of turn-taking exchanges serve to frame the topic, and to see if the receiver is interested or
not.
Hence the specific terminology and formulae regarding the length of the body and its formality vs.
informality (i.e. idiomatic turn-taking dialogues: Hi, Mary! How are you? Fine, thanks, and you?
Im very well, thank you). Note that the first moves serve to establish the social roles that
participants are going to play during the conversational encounter. These moves are known as
adjacency pairs and refer to the binary utterances which are successively produced by the speakers
in a fixed order, where the answer to the former question is a predictable one (i.e. How are you? +
Im fine thanks; How do you do? + How do you do?).
Although the linguistic signals are primary in getting and passing turns, often, the first contact is
usually nonlinguistic and is made before a single word is said (i.e. a smile, shaking hands, tapping
on the shoulder). Also, we may find participants increase their volume, bodily tension and a deep
intake of breath among others.
3.3.3. Endings.
The ending of a conversation is drawn from the feeling of both participants to have successfully
fulfilled their initial purpose although sometimes we find an unsuccessful ending. We are dealing
here with negotiation strategies, which are developed in four phases on the part of the participants:
the ending offer (i.e. Well, its been nice to talk to you. I must go), the ending acceptance (i.e. Me,
too. Hope to see you again), farewell (i.e. Then, see you! Well keep in contact) and the ending of
the conversation (i.e. Goodbye!).
3.4. Dialogic texts: main features.
We shall approach the analysis of the main features of dialogic texts from linguistic, extralinguistic
(or non-linguistic) and paralinguistic devices. Dialogic texts are formed by linguistic rules, that is,
an abstract set of principles that specify the relations between a sequence of sounds and a sequence
of meanings. In this first level of analysis, we find that languages are made up of four systems, the
16/ 29
phonological, the morphological, the syntactic , and the semantic which, taken together, constitute
its grammar. Then these linguistic principles are constrained by cooperative principles ruled by
usage patterns which may be supported by extralinguistic and paralinguistic devices.
So, let us analyse the basic textual features in dialogic texts regarding the linguistic disciplines of
syntax, pragmatics and namely semantics, together with a grammatical approach within the
framework of two standars of textuality: cohesion and coherence. Then we shall start by offering (1)
an analysis of linguistic features regarding (a) cohesion in terms of (i) grammatical, (ii) lexical and
(iii) graphological devices; and (b) a brief analysis of coherence concerning Grices cooperative
Thus, when revising dialogic texts, we may find common features to all text types and specific
features for dialogic texts (short turn-takings, false starts, register changes between formal and
informal, irony or jokes) which will be reviewed under the linguistic parameters of cohesion and
coherence. For present purposes, we will think about dialogic texts as a set of complex, organized
systems that operate in concert with linguistic devices when any particular act of speaking is under
revision for social behaviour.
3.4.1.1. Cohesion.
Semantically speaking, the term cohesion concerns the ways in which the components of the
surface text (the actual words we hear or see) are mutually connected within a sequence of
utterances (Beaugrande & Dressler, 1988), that is, intra-text linking devices are connected to extra-
textual reference. The notion of cohesion is expressed through the stratal organization of language
which can be explained as a multiple coding system comprising three levels of coding common for
all text types: the semantic one (meanings), the lexicogrammatical (morphological forms, grammar
and vocabulary) and the phonological and orthographic one (expressions: sounding and writing).
17/ 29
of dialogic texts, all speakers make extensive use of them, for example in order to enhance
coherence, but also for reasons of economy (e.g. a sequence of greetings). Since cohesion is
expressed partly through the grammar and partly through the vocabulary, we find two main types of
cohesive devices considered as general categories of cohesion: grammatical cohesion (substitution,
ellipsis, conjunction, reference) and lexical cohesion (reiteration, collocation) by means of
grammatical categories such as adjectives, nouns, process verbs, and so on.
1. Grammatical cohesion.
Thus the concept of cohesion accounts for the essential semantic relations in a dialogic text:
substitution, ellipsis, conjunction and reference. Note that these items make reference to the
terms anaphora and cataphora, connectors and deixis, quite frequent in dialogic texts. It is
relevant to mention first that anaphora, cataphora and deixis will be examined under the
heading of reference, and connectors under the heading of conjunction.
item by another so as not to repeat similar vocabulary (i.e. Would you like a coffee? No,
thanks. Ive just had one). This cohesive device can also function under morphological
shape with synonyms (i.e. a drink, a hot drink, a beverage); and ellipsis as the omission of
an item (i.e. Would you like a coffee? Yes, I would).
The reference type of grammatical cohesion is another well researched area within dialogic
texts. It is defined by Halliday & Hasan (1976) as the case where the information to be
retrieved is the referential meaning, the identity of the particular thing or class of things that
is being referred to; and the cohesion lies in the continuity of reference, whereby the same
thing enters into the discourse a second time. As we stated before, paragraph ideas are
linked and interrelated although they are in different paragraphs, so theme and rheme
(anaphora and cataphora) are always present in dialogic texts (i.e. Have you seen my new
mobile? I think so. Is it the one you were using yesterday?).
18/ 29
Conjunction is a relevant relationship with respect to dialogic texts since connectors
establish the necessary links between ideas and thoughts within the text (coordination: and,
but, although, however, in addition). They indicate how the subsequent sentence or clause
should be linked to the preceding or the following sentence or parts of sentence.
Connectors play an essential role in dialogic texts since they reflect cohesion within the
discourse and show a logical development of the discussion by establishing different
relationships between the presented ideas: summative (i.e. In addition, moreover),
restrictive (i.e. specially, in particular), causal (i.e. because, because of, due to), explanatory
(i.e. I see; yes, I know), previous reference (anaphora: As I said before) and conclusive (i.e.
To end up this conversation...).
Other grammatical devices involve the use of specific syntactic structures, such as (1)
interrogative and exclamative sentence structures; (2) finite clauses in past and present
tense as a way of switching reference (i.e. Was he sleeping? Yes, he always does); (3)
subordination (subordinate clauses, relative clauses); (4) coordination (copulative,
adversative) and finally, (5) specific formulae (greetings, farewells).
2. Lexical cohesion.
From a lexical approach, we cannot determine specific or technical vocabulary within dialogic
texts since they are spontaneous interactions and have open structures (except specific cases).
Hence this type of texts is namely characterized by the use of (1) affirmative and negative
adverbs in answers (i.e. Yes/No); (2) a wide range of deictic pronouns (i.e. you, this, here); and
(3) connectors, which establish a semantic link between paragraphs (i.e. Moreover, although, in
addition, but, eventually, etc).
3. Graphological devices.
With respect to graphological devices, we are mainly dealing with the most outstanding visual
device in dialogic texts since they establish the limits between the units of information uttered
by every speaker: indexes and hyphens (to mark the participants speech), orthography
19/ 29
(participants names in capital letters), punctuation (interrogative and exclamative marks) since
most of them deal with form and structure of this type of texts.
Note that in oral interactions we face another type of cohesive features since written devices are
substituted by general conventions of pauses and stress to mark each participant intervention.
We may establish a classification of specific features in oral dialogic texts:
False starts, which are unnecessary repetitions of words at the beginning of the sentence
whose result is an ungrammatical sequence of words (i.e. At four oclock?, Er, I...,
Its..., And then..., Weve got to..., etc). They are typical signals of active listening on
the part of the listener which express a number of emotional items including agreement,
disagreement, acceptance, etc. (i.e. Er, I..., Its..., Hmm, Uhum, Aha, Ah, Uh,
No!, No way!, Really?, etc).
Syntactic anomalies. We speakers often fail to keep control of the syntax of what we are
saying and produce anomalous constructions. This specific constructions are orally
accepted but regarded as awkward and unacceptable in a written composition since they are
grammatically incorrect (i.e. Weve bitten him up vs. Weve bit m up).
Prosody expressions to complete sentences when we do not know what to say and enable us
to dispense with words that would be necessary for clarity in a written version of the same
text (i.e. Well, .../Actually, .../then...).
Pauses which are used to introduce significant information units, as the end of what may be
a prosodic paragraph. These pauses are marked by giving a special long curve of intonation
nucleus (usually falling intonation). A pause may be also introduced immediately before a
lexical item which the speaker may feel be especially important, or unfamiliar, which
he/she wishes to be heard clearly (i.e. a specific word: He said I was...quite informal).
Often, pauses are signs of hesitation.
3.4.1.2. Coherence.
whole, expressing relations of closeness, time or location between its concepts and sentences. A
20/ 29
condition on this continuity of sense is that the connected concepts are also related in the real world
and that the speakers identify these relations.
in which the sentences are coherently organised so as to fulfil the writers communicative purpose
(to establish a conversational interaction in a successful way). Hence we may establish two main
coherent devices in oral interaction: the interlocutors cooperative principles under the form of four
conversational maxims, and the notions of turn-taking and adjacency pairs in conversational
analysis.
1. Grices cooperative principles.
The English language philosopher H. Paul Grice (1969) was not the first to recognize
that non-literal meanings posed a problem for theories of language use, but he was
among the first to explain the processes that allow speakers to convey, and addressees
to identify, communicative intentions that are expressed non-literally, as for him,
meaning is seen as a kind of intending, and the hearers or readers recognition that the
speaker or writer means something by x is part of the meaning of x.
His insight that the communicative use of language rests on a set of implicit
understandings among language users has had an important influence in both linguistics
and social psychology. In a set of influential papers, Grice (1957, 1969, 1975) argued
that conversation is an intrinsically cooperative endeavor. To communicate
participants will implicitly adhere to a set of conventions, collectively termed the
Cooperative Principle or Conversational Maxims, by making their messages conform
to four general rules or maxims where speakers shape their utterances to be understood
by hearers. Thus, the maxims are quality, quantity, relation and manner: first, quality
envisages messages to be truthful; quantity, by means of which messages should be as
21/ 29
informative as is required, but not more informative; relation, for messages to be
relevant; and manner, where messages should be clear, brie f and orderly.
2. Conversational Analysis and Turn-Taking.
A main feature of conversations is that they tend to follow the convention of turn
taking. Simply, this is where one person waits for the other to finish his/her utterance
before contributing their own. This is as much a utilitarian convention as mere manners
- a conversation, given the aforementioned definition, would logically cease to take
place if the agents involved insisted on speaking even when it was plain that the other
was trying to contrib ute.
It is, additionally, comforting to know that the other person respects your opinions
enough not to continually interrupt you. The best example of this occurs in the Houses
of Parliament - a supposed debating chamber which is often anything but, due to the
failure of the members to observe the turn-taking code. Note, however, that a person
rarely explicitly states that they have finished their utterance and are now awaiting
yours. Intriguing exceptions to this are in two-way radios, where many social and
psychological cues are lacking, and thus it is more difficult for speakers to follow turn-
taking.
The potential for one to reply can be missed, deliberately or not, so that the first person
may contribute once more. Failure to realise this can result in an awkward pause or a
cacophany of competing voices in a large crowd.
3. Conversational Analysis and Adjacency Pairs.
Another fundamental feature of conversation is the idea of adjacency pairs. Posited by

Goffman (1976), an example would be found in a question -answer session. Both
conversing parties are aware that a response is required to a question; moreover, a
particular response to a given question. I might invite a friend into my house and ask:
Would you like a biscuit? To which the adjacency pair response is expected to be
either Yes or No. My friend may be allergic to chocolate, however, and place an
insertion sequence into the response: Do you have any ginger snaps? the reply to
which would cause him to modify his answer accordingly.
22/ 29
In the above consideration of turn-taking, such observations may be used in our social
interactions when the second agent did not take their opportunity to respond to the first,
and the implication is that they have nothing to say about the topic. But perhaps the
transition relevance place was one in which the second agent was in fact selected, but
failed to respond, or responded in an inappropriate manner.
This infinity of responses is what makes language so entertaining, and in the above
cases the speakers might make inferences about the reasons for incorrect responses.
These may be not to have responded because he did not understand the question, or not
to agree with the interlocutor. As Goffman notes, a silence often reveals an
unwillingness to answer. Dispreferred responses tend to be preceded by a pause, and
feature a declination component which is the non-acceptance of the first part of the
adjacency pair. Not responding at all to the above question is one such - and has been
dubbed an attributable silence, thus, a silence which in fact communicates certain
information about the non-speaker.
It has been noted that various physical cues, such as gestures or expressions, are in play
during orthodox face-to-face exchanges, and these are obviously lacking in a telephone
conversation. Since humans are so adept at speaking over the phone, it is easy to
conclude that the cues are not as important as once imagined - we manage without them
so well, after all. However, this argument does not take into account the cues one picks
up from the voice - it is quite easy to detect if somebody is confident, or nervous on the
phone, from the words they use, the pauses, the tone and pronunciations of the words.
In short, we may be able to substitute these auditory cues for more conventional
physical cues, and then empathise with the other person. This way, we could be
visualising, or at least imagining with a fair degree of accuracy, how the person is
feeling, and gaining cues that way.
As people speak, people often gesture, nod their heads, change their postures and facial expressions,
and redirect the focus of their gaze. Although these behaviors are not linguistic by a strict definition
of that term, their close coordination with the speech they accompany suggests that they are relevant
23/ 29
to an account of language use, and also, can occur apart from the context of speech, spontaneous or
voluntarily.
Conversational speech is often accompanied by gesture, and the relation of these hand movements
to the speech are usually regarded as communicative devices whose function is to amplify or
underscore information conveyed in the accompanying speech. According to one of the icons of
American linguists, Edward Sapir, people respond to gesture with extreme alertness, in accordance
with an elaborate and secret code that is written nowhere, known to none, and understood by all
(Sapir , 1921).
Gestures are then, to be classified in different types, such as emblems or symbolic gestures as
essentially hand signs with well established meanings (thumbs -up and V for victory, pointing,
denial, and refusing). In contrast, we may find simple and repetitive rhythmic hand movements
coordinated with sentence prosody, called batons, as using head and shoulders. Also, unpla nned
gestures that accompany spontaneour speech, called gesticulations, representational gestures, or
lexical movements, related to semantic content of speech in order to describe things like size,
strength or speed.
Concerning facial expression, it deals with an automatic response to an internal state although they
can be controlled voluntarily to a considerable extent, and are used in social situations to convey a
variety of kinds of information (smiling and happiness). Changes in addressees facial expressions
allows the addressee to express understanding concern, agreement, or confirmation where
expressions such as smiles and head nods as considered as back-channels.
In relation to gaze direction, a variety of kinds of significance has been attributed to both the
amount of time participants spend looking at each other, and to the points in the speech stream at
which those glances occur, such as staring, watching, peering or looking among others. As
proximity, body-orientation or touching, gazing may express the communicators social distance, by
means of looking up to or looking down to.
The primary medium by which language is expressed, speech, also contains a good deal of
information that can be considered nonverbal. These non-verbal communicative uses of the vocal
24/ 29
tract are possible by means of paralanguage, such as whistling or musical effects. Thus, a speakers
voice transmits individuating information concerning his or her age, gender, region of origin, social
class, and so on. In addition to this relatively static information, transient changes in vocal quality
provide information about changes in the speakers internal state, such as hesitation or interjections.
Changes in a speakers affective states usually are accompanied by changes in the acoustic
properties of his or her voice (Krauss and Chiu 1993), and listeners seem capable of interpreting
these changes, even when the quality of the speech is badly degraded, or the language is one the
listener does not understand.
When we refer to non-verbal or paralinguistic communication, visual and tactile modes are also
concerned. They may be used for a variety of linguistic purposes such as the use of sign languages.
For instance, the receiver may get the message by sound (as in speech and birdsong), by sight (as in
written language, reading, morse or traffic signs) or by touch (as in the Braille alphabet of the blind
or secret codes).
4. DIALOGIC TEXTS AND LANGUAGE TEACHING.
Discourse is undoubtely the most salient aspect of educational activity. In classrooms of all kinds,
some form of discourse, either spoken or written, is going on for most of the time. Yet, discourse is
not an end in itself, but a means of achieving the goals of the larger activities that constitute the
object of education. Furthermore, it is not the only means since non-verbal actions of various kinds,
such as experimenting, observing, drawing and so on, are also important ways of making meaning.
Together with talking, writing and reading, participants master these elements to achieve and
develop the goals of the activity in which they are engaged. Therefore, all these mediational means
are dialogic.
Currently, action research groups attempt to bring about change in classroom learning and teaching
through a focus on discourse and activity under two premises. First, because they believe learning is
an integral aspect of any form of activity and second, because education at all levels must be
conceived in terms of dialogue. The basis for these assumptions is to be found in an attempt,
through the use of various modes of discourse, to develop understanding of students shared but
diverse social and physical environment.
25/ 29
Particularly important are the contributions, in this latter respect, of ideas stemming from the work
of Dewey (1938) in the United States and Vygotsky (1978, 1987) in Russia, that is currently
referred to as social constructivism. Both believed that human beings learn in the course of
participating in purposeful joint activity as, with assistance from teachers, they master the material
and intellectual tools to achieve the desired outcomes. So, learning is seen as an integral and
inseparable aspect of social practice (Lave and Wenger, 1991).
Therefore, learning involves a process of transformation of participation itself which has far
reaching implications on the role of the teacher in the teaching-learning relationship. This means
that for teachers, there must be a continuing transformation of their practice that is shaped by the
developing understanding of students. With this transformation of practice, the major focus of the
present research has been on classroom activities that provide frequent opportunities for students,
for them to be transformative through collaborative participation in productive activities by means
of discourse competence, an essential tool for collaborative activity.
But how do dialogic texts tie in with the new curriculum? As we stated above, one of the pleasures
of teaching the written language is that it is so easy to provide good models of almost any kind of
writing. Following van Ek & Trim (2001), the learners can perform, within the limits of the
resources available to them, those writing (and oral) tasks which adult citizens in general may wish,
or be called upon, to carry out in their private capacity or as members of the general public when
dealing with explanations drawn from their personal opinion.
set more appropriate context for students to experience the target culture. Present-day approaches
Dialogic texts prove frequent and relevant within the students environment (i.e. talking to
classmates, family or teachers, chatting on the Internet, conversation at shops, restaurants, offices,
etc).
26/ 29
communication tasks with specific communicative goals within specific contexts and registers (i.e.
school, home, friends, office, tutorial meeting, at the doctors). Thus, foreign language activities are
provided within the framework of social interaction, personal, professional and educational fields.
Writing and oral skills are mentioned as one of the aims of our current educational system (B.O.E.
2002) and in particular, for students of E.S.O. and Bachillerato about how to maintain a
conversation either oral (talking) or written (chatting on the Internet). Actually, Bachillerato
students are asked to perform oral and written dialogic texts by simulating dialogues in the street
(asking for directions), in shops (buying items), in restaurants (ordering meals), at home (asking for
advice) and so on. They are asked to use dialogic textual features (lexical choice between formal
and informal syntactic structures; phonological devices such as false starts, turn-taking, intonation,
rhythm; or paralinguistic devices such as gestures and interjections).
It is stated that students will make use of this competence in a natural and systematic way in order
to achieve the effectiveness of communication through the different communication skills, thus,
productive (oral and written communication), receptive (oral and written comprehension within
verbal and non-verbal codes), and interactional role of a foreign language as a multilingual and
multicultural identity.
and wherever necessary apply them in further examination. The main aims that our currently
educational system focuses on are mostly sociocultural, to facilitate the study of cultural themes, as
our students must be aware of the ir current social reality within the European framework.
5. CONCLUSION.
In this study dialogic texts have been approached in terms of main types, main textual features and
structure. We may observe that dealing with dialogic style is not just a linguistic matter to be
developed in the classroom setting; on the contrary, defending our personal point of view about a
27/ 29
current issue enables us to carry out everyday performances which prove essential in our current
society, for instance, when talking to other people (parents, friends, teachers).
In present society, establishing interactional exchanges is emphasized by the increasing necessity of

learning a foreign language. As we are now members of the European Community, we need to
communicate with other countries at oral and written levels. Written patterns are given an important
role when language learners face the monumental task of acquiring not only new vocabulary,
syntactic patterns, and phonology, but also discourse competence, sociolinguistic competence,
strategic competence, and interactional competence.
types, in particular, dialogic texts that make up the first language speakers day to day interaction.
28/ 29
6. BIBLIOGRAPHY.

Murcia.


Richards and R. Schmidt (eds.). Language and Communication. London, Longman.
Council of Europe. 1998. Modern Languages: Learning, Teaching, Assessment. A Common

Hymes, D. 1972. On communicative competence. In J. B. Pride and J. Holmes (eds.),

Sociolinguistics, pp. 269-93. Harmondsworth: Penguin.
Traugott, E. and M. L. Pratt. 1980. Linguistics for Students of Literature. New York, Harcourt
Brace Jovanovich.
London: Longman.
29/ 29
UNIT 37
LITERARY LANGUAGE. LITERARY GENRES. LITERARY

CRITICISM.
OUTLINE
1. INTRODUCTION.
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF LITERARY LANGUAGE.

2.1. Communication and language.
2.2. Language communicative purposes.
2.3. Jakobsons model: the poetic function.
3. ON LITERARY LANGUAGE.
3.1. The historical origin of literature.
3.2. Literary vs. ordinary language.
3.3. Literary language and Rethoric.
3.4. Text linguistics and discourse analysis.
3.5. Text types: literary texts.
4. ON LITERARY GENRES.
4.1. The context of situation and genre.
4.2. On defining genre and literary genre.
4.3. On classifying genres: main criteria.
4.4. On classifying genres: main types.
4.5. Main characteristics of genre types.
5. ON LITERARY CRITICISM.
5.1. On defining literary criticism.
5.2. The origins and development of literary criticism.
5.2.1. Ancient times.
5.2.2. The Middle Ages and the Renaissance.
5.2.3. The seventeenth and eighteenth centuries.
5.2.4. The nineteenth century.
5.2.5. The twentieth and twenty-first century.
5.2.5.1. Structuralism.
5.2.5.2. Russian Formalism.
5.2.5.3. New Criticism.
5.2.5.4. Post-Structuralism.
5.2.5.5. Marxist Literary Theories.
5.2.5.6. Other types of literary criticism.
6. LITERARY LANGUAGE, GENRES AND CRITICISM AND LANGUAGE TEACHING .

7. CONCLUSION.
8. BIBLIOGRAPHY.
1/32
1. INTRODUCTION.
The main aim of Unit 37 is to present the issue of literary language, literary genres and literary
criticism. Our aim is to offer a broad account of what literary texts are and why they are used for in
both linguistic, pragmatic and educational terms, that is, how language and textual features are used
to achieve the purpose of using the aesthetic element in ordinary language, handling different types
of text in everyday life and being able to trace back the history of literature in terms of its main
weakness and strengths (criticism). So, we shall divide our study in seven main chapters.
In Chapter 2 we shall offer a theoretical framework for the analysis of literary language (to be
examined in next chapter) by reviewing the concept of language in relation to the concept of
literature, which prove essential in the understanding of the present study. So, we shall review the
origins and nature of (1) communication in relation to language and (2) the main language
communicative purposes as a means to establish the basis for (3) Jakobsons model on language
functions. Here this model shall lead us directly to the notion of poetic function so as to establish
the distinction between ordinary language and poetic (or literary) language.
Chapter 3 will analyse the issue of literary language by locating (1) the historical origin of literature
so as to (2) define literary language in opposition to the notion of ordinary language. Then, we
shall examine the linguistic field where it comes into force, that is, in the late antiquity (3) under the
field of Rethoric and currently, under (4) the notion of text linguistics and discourse analysis. Then
we shall approach (5) the classification of text types, by means of which we get the concept of
literary texts. This review will be the basis on the next two chapters: literary genres and literary
criticism.
Chapter 4 will offer then an insightful analysis of literary genres in terms of providing a (1)
linguistic framework for genre; (2) a definition of genre and literary genre; (3) an account of the
main criteria for the cla ssification of genres; and (4) main types; and finally, (5) main features of
genres according to structural features (form, technique and content).
Chapter 5 is developed by (1) defining literary criticism; (2) providing an account of the origins and
development of literary criticism throughtout history from (a) ancient times, (b) the Middle Ages
2/32
and the Renaissance, (c) the seventeenth and eighteenth centuries, (d) the nineteenth century and (e)
the twentieth and twenty-first century. Within the latter part we shall examine the main ways of
criticism such as (i) Structuralism, (ii) Russian Formalism, (iii) New Criticism, (iv) Post-
Structuralism, (v) Marxist Literary Theories, (vi) Feminist Literary Criticism, and also (vii) other
secondary types of literary criticism.
regarding literary language and Chapter 7 will offer a conclusion to broadly overview our present
study. Finally, Chapter 8 will include all the bibliographical references used in this study.
An influential introduction to literary language regarding its origins is drawn from Crystal,
Linguistics (1985) and Goytisolo, Proclamation of Masterpieces of the Oral and Intangible heritage
of Humanity (2001). General contributions to literary theory are based on relevant works of
Eagleton, Literary Theory. An Introduction (1983); and Jefferson and Robey, Modern Literary
Theory. A Comparative Introduction (1986). Classic works regarding the term literary texts and
text-types include Crystal and Davy, Investigating English Style (1969); Beaugrande and Dressler,
Introduction to Text Linguistics (1988); and Esser, Text-Type as a Linguistic Unit (1991). Other
views on literature and discourse modes include Conn, Choosing and Using Literature (1995);
Fludernik, Towards a Natural Narratology (1996); Kinneavy, A Theory of Discourse. The Aims of
Discourse (1971).
The background for educational implications regarding literary language is based on the theory of
communicative competence and communicative approaches to language teaching are provided by
Canale, From Communicative Competence to Communicative Language Pedagogy (1983); Hymes,
On communicative competence (1972). In addition, the most complete record of current
Vantage (2001); B.O.E. (2002); and the Council of Europe, Modern Languages: Learning,
Teaching, Assessment. A Common European Framework of reference (1998).
3/32
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF LITERARY LANGUAGE.
In this section, a relevant background for literary language is to be found at the core of the
communication process, which sheds light on the key concepts of language and literature. So,
we shall approach the human need of communicating, the way of presenting reality through
messages (oral or written) and the main functions of language. An insightful analysis of the latter
aspect (language functions) is based on the theory of the Russian linguist Roman Jakobson which
will show us how these concepts are interrelated.
So, we shall review the origins and nature of (1) communication in relation to language and (2) the
main language communicative purposes as a means to establish the basis for (3) Jakobsons model
on language functions . Here this model shall lead us directly to the notion of poetic function so as
to establish the distinction between ordinary language and poetic (or literary) language.
2.1. Communication and language.
There is more to communication than just one person speaking and another one listening. Human
communication processes are quite complex since we may differentiate between verbal and non-
verbal, oral and written, formal and informal, and intentional and unintentional communication. In
addition, there is human and animal communication, and nowadays we may also refer to human-
computer communication.
Research in cultural anthropology has shown quite clearly that the origins of communication are to
be found in the very early stages of life when there was a need for animals and humans to
communicate so as to carry out basic activities of everyday life (i.e. hunting, eating, fighting,
establishing social structures). However, even the most primitive cultures had a constant need to
express their feelings and ideas by other means than gutural sounds and body movements as
animals did. Human beings constant preoccupation was how to turn thoughts into words.
It is worth, at this point, establishin g a distinction between human and animal systems of
communication whose features differ in the way they produce and express their intentions. So far,
the most important feature of human language is the auditory-vocal channel which, in ancient
times, allowed human beings to produce messages and, therefore to help language develop. Among
4/32
other main features, we may mention the possibility of exchanging messages among individuals; a
sense of displacement in an oral interaction in space and time ; the arbitrariness of signs where
words and meanings have no a priori connection; and finally, the possibility of a traditional
transmission as language is handed down from one generation to another by a process of teaching
and learning.
The human curiosity concerning language is no modern phenomenon. Language has been examined
by linguists and philosophers for several millennia. Therefore, we can look back on a respectable
stock of literature on the topic originating from the times of Ancient Greece until the present day.
The result is a compendium of linguistic disciplines such as philosophy, psychology, neurology, and
even computer science more recently.
2.2. Language communicative purposes.
The concept of language has been approached by many linguists, but the most outstanding
definition comes from Halliday (1973) who defines it as an instrument of social interaction with a
clear communicative purpose. Following Crystal (1985), one of the main characteristics of language
is that it is an essential tool of communication. Hence the importance of studying ways and means
of improving communication techniques through history with a highly elaborated signaling system,
both spoken and written, which has had an immense impact on our everyday life. Thus, instances of
verbal communication by means of language are everyday situations: writing a letter, having a
conversation, watching a play, or reading a magazine.
For our purposes in this study, we shall approach the main features of the communication process (a
form of social interaction, unpredictable, creative, uncertain on behalf of the participants and verbal
and non-verbal) among which we shall focus on the main purpose of language, that is, to
communicate in a successful way by means of linguistic, extralinguistic or paralinguistic devices.
One of the most productive schematic models of a communication system emerged from the
speculations of the Russian linguist Roman Jakobson (1896-1982) 1 .
1
Jakobsons model of language functions is not the only one. We may find other linguists models such as Bhlers
tripartite system and Bronislaw Malinowskis theory.
5/32
2.3. Jakobsons model: the poetic function.
Following Jakobson (1960), his model can be used for a number of different purposes in the study
of language and communication and, in fact, it proves essential in the study of literary language so
as to establish a typology of literary genres. Jakobson states that all acts of communication, be the y
written or oral, are based on six constituent elements which every use of language must have
(sender, receiver, message, context, code and channel) , and which are primarily associated with one
of the six functions of language he proposed, thus, emotive, conative, poetic, referential,
metalingual and phatic, respectively. But what does this model have to do with literary language?
The key answer is to be drawn from Jakobsons proposition on the six components, that is, a user
and a receiver of language, and between them four channels of communication: code, channel,
context and message. The relationship between them shows that the code is the language used
(Spanish, English); the contact is the physical channel of communication (speech or writing); the
context is the world of ideas, or discourse, in which the communication takes place (politics,
business, sport, chemistry); and the message is the exact form in which the communication occurs
(its wording in literature for example).
In fact, Jakobson states (1960) that in literature, because of its interest in style, the primary
emphasis is on the message, which deals with the wording or lexical choice. Therefore, we shall
focus on the main language function linked to the message: the poetic one (showing the exact form
of the message in the communication process). He explains that in poetry the wording of the
language itself can have a predominance beyond what it has in other uses of language.
It is relevant to say that all six components of language use are present in poetry as in any other area
of language but concern for the wording (with style) has more dominance than usual. Therefore we
come to a distinction between the use of vocabulary in poetic diction and the usage of vocabulary in
ordinary speech. At this point, once we have analysed the main features of language regarding
communication, we are ready to approach the distinction between ordinary language and literary
language.
6/32
3. ON LITERARY LANGUAGE.
On approaching the issue of literary langua ge, we shall start by locating (1) the historical origin of
literature so as to (2) define literary language in opposition to the notion of ordinary language.
Then, we shall examine the linguistic field where it comes into force, that is, in the late antiquity (3)
under the field of Rethoric and currently, under (4) the notion of text linguistics and discourse
analysis. Then we shall approach (5) the classification of text types, by means of which we get the
concept of literary texts. This review will be the basis on the next two chapters: literary genres and
literary criticism.
3.1. The historical origin of literature.
We may say that literature holds timeless universal human truths which can be read or listened to
without regard to historical context of its production, and without regard to particular historical
moment in which we read, listen and make meaning of it. As seen before, we may differenciate
between literary and ordinary language, but when did this distinction come into force? The answer
lies at the core of the use of ordinary language from ancient times up to the present and behind a
definition of literature, so let us examine both aspects.
For Malinowsky, a relevant anthropology figure, language had only two main purposes: pragmatic
and ritual. The former refers to the practical use of language, either active (by means of speech) or
narrative (by means of written texts) and the latter is concerned with the use of language associated
to ceremonies, and also referred to as magic. As seen, we can already mark a distinction here
between ordinary and literary language since both had different purposes.
As we may perceive, language pervades social life since it is the principal vehicle for the
of others minds. Hence language is involved in most of the phenomena that lie at the core of social
psychology (i.e. attitude change, social perception, personal identity, social interaction,
stereotyping) as well as at the core of social life which constitute an intrinsic part or the way
language is used.
7/32
Linguists regard language as an abstract structure that exists independently of specific instances of
usage. However, any communicative exchange is situated in a social context that constrains the
linguistic forms participants use. How these participants define the social situation, their
perceptions of what others know, think and believe, and the claims they make about their own and
others identities will affect the form and content or their acts of speaking. So, this means that social
behaviour determines the language function and therefore, the way they use language.
As Juan Goytisolo (2001) stated in his speech at the Proclamation of Masterpieces of the Oral and
Intangible heritage of Humanity, we must first examine our historical knowledge of both oral and
written cultures so as to provide ourselves a cultural identity in society. Since ancient times, tribal
chiefs, chamans, bards and story-tellers have been in charge of preserving and memorising for the
future the narratives of the past and Goytisolo mentions a growing disequilibrium when observing
that only seventy-eight of the three thousand languages now spoken in the world possess a living
literature based on one of the hundred and six alphabets created throughout history. In other words,
hundreds and hundreds of languages used today on our planet have no written form and their
communication is exclusively oral.
Goytisolo further points out that acquiring knowledge of this primary orality is an anthropological
task in the field of literature and oral narrative. If all cultures are based on language, that is, a
combination of spoken and heard sounds, this oral communication which involves numerous kinetic
and corporal elements, has undergone over the centuries a series of changes as the existence of
writing and awareness of the latter have gradually changed the mentality of bards, chamans, tribal
chiefs and narrators.The usual forms of popular and tradit ional expression were oral literature,
music, dance , games, mythology, rituals, marketplaces, festivals and even architecture.
This performing in public is to be linked to a considerable body of religious tradition and myth in
many cultures concerning the nature and origins of language (Crystal 1985). That transitional period
between sounds and speech was to be characterized by a connectio n between divinity and language,
which is the first evidence of a different use of ordinary language with magic purposes rather than
pragmatic. Therefore, words were regarded as having a separate existence in reality, and as to have
embodied the nature of things to be used deliberately to control and influence events. As we can
see, it was believed that if words controlled things by saying them over and over again in magic
formulae, incantations, rhythmical listing of proper names, and many other rites.
8/32
3.2. Literary vs. ordinary language.
As seen before, it was this power of words which leads us to the first attempts of literary language
under the form of the language of worship. In fact, the poetic function of language and therefore,
the wording of a message in the communication process determines the use of vocabulary in poetic
diction (magic power of words) and the usage of vocabulary in ordinary speech. There is no variety
of language peculiar to literature, nor any that is prohibited in literature.
Among the arts, literature is unique in that it uses ordinary language to carry out specific purposes
of communication (to write a poem, read a novel, write a play script) and still, most of us feel that
there is something distinctive about the kind of language which is used. For instance, in ordinary
language we may say The sun is shining again this morning whereas to make it sound literary we
might say the roseate dawn. Definitely, this might be called for convenience literary language.
At the start of the twentieth century, under the intellectual movement of Structuralism, there have
been more serious attempts to define literary language based on the reasons for its use rather than
what kind of vocabulary it has. For instance, the most influential definition states that ordinary
language disappears once it has been undertood whereas literary language can be defined as
language which does not disappear in that way (non-casual vs. casual language).
For instance, for Russian Formalists a sentence like What time is it? in ordinary language may be
satisfactorily answered 4 p.m and no further reflection is made after the statement. On the
contrary, the use of the same question in Shakespeare (Hamlet: I.iv.3-5) changes within the context:
Hamlet: What hour now? Horatio: I think it lacks of twelve. Marcellus: No, it is struck
Horatio: Indeed? I heard it not. The difference lies in that asking the time in Hamlet has a great
literary significance since it is indicating whether or not the ghost is due.
In fact, there is a kind of language that we are more likely to encounter in literature than in ordinary
conversation, and to encounter more frequently. Poetry is the most obvious case, imposing upon
itself strange constraints such as the need of rhyme, or to have ten syllables in a line. When
Jakobson stated the emphasis on the poetic function in literature, he had a concern on the wording.
We can say that all ordinary language may be literary, but some language uses are more literary
than others. We call those places where such uses are dominant literature. What we mean by
literary language is the usage where the wordin g is primary, taking precedence over all other
considerations. Jakobson demonstrates with his model that the language of literature is really
different, even if it is a rearrangement of the same lexis that all language uses work with.
9/32
3.3. Literary language and Rethoric.
Then, this lexis is examined in a wide variety of texts whose analysis is carried out within the field
of text linguistics and, in particular, discourse analysis at present and in late antiquity by Rethoric.
In fact, the oldest form of preoccupation with texts and the first foundation for the analysis of texts
and its articulation is drawn from the notion of text linguistics which has its historical roots in
Rethoric, dating from Ancient Greece and Rome through the Middle Ages up to the present under
the name of text linguistics or discourse.
Traditional rethoricians were influenced by their major task of training public orators on the
discovery of ideas (invention), the arrangement of ideas (disposition), the discovery of appropriate
expressions for ideas (elocution), and memorization prior to delivery on the actual occasion of
speaking. In the Middle Ages, rethoric was based on grammar (on the study of formal language
patterns in Greek and Latin) and logic (on the construction of arguments and proofs), hence its
relevance within our study.
Rethoric still shares several concerns with the kind of text linguistics and, in particular, with literary
works since the art of Rethoric (Lat. ars bene dicendi) deals with the use of texts as vehicles of
purposeful interaction (oral and written), the expression and arranging of a given configuration of
ideas, and its disposition within the discourse which still depends on the effects upon the audience.
In late antiquity, early literary texts were considered as communicative discourse acts which
focused on the message. A rethoric corpus was formed by five elements: inventio, dispositio and
elocutio which dealt with the discourse construction and memoria and actio , which dealt with the
discourse act in itself.
3.4. Text linguistics and discourse analysis.
Moreover, this lexis is examined nowadays in a wide variety of texts whose analysis is carried out
within the field of text linguistics and, in particular, discourse analysis In fact, the notion of text
linguistics designates any work in language science devoted to the text as the primary object of
inquiry (Beaugrande & Dressler, 1988). Many fields have approached the study of texts: linguistics
(from grammar, morphology and phonology), anthropology (different speech acts in different
10/ 32
cultures), psychology (speaker and hearer behaviour) and stylistics (correctness, clarity, elegance,
appropriateness, style).
The term discourse comes into force when we deal with the highest grammatical level of analysis
in the rank scale, that is, paragraphs and texts, which are considered to be larger stretches of
language higher than the sentence (Aarts, 1988). Then we shall deal with a wide range of texts in
order to establish relations of social interaction either in spoken or written language in
communicative events.
communicative contexts which account for the functions of utterances with underlying textual
structures (van Dijk, 1981). The origins of the term are to be found within the fields of
sociolinguistics and pragmatics, which had a rapid growth in the 1970s: the former confronting with
data and problems of actual language use, the latter introducing the notions of speech acts, felicity
conditions and context.
3.5. Text types: literary texts.
Theories were developed around the debate of literary language and insisted that the best and,
indeed the only, way to study literature was to study the text itself in close detail, and to disregard
anything outside the text itself. So, the literary text contains its own meaning within itself. The texts
will, then, reveal constants, universal truths, about human nature, because human nature itself is
constant and unchanging. It must be borne in mind that the purpose of literature is the enhancement
of life and the propagation of human values.
Hence, the word text in literature is used to refer to any passage, spoken or written, of whatever
length, that does form a unified whole. In addition, two textual devices will give literary texts the
distinctive form and style: texture to give the text coherence with respect to its environment and
secondly, ties so as to contribute to its total unity by means of cohesive relations. But in fact it is
one of the seven standards2 inter textuality that makes a text be literary.
2
Cohesion, coherence, intentionality and acceptability, informativity, situationality and intertextuality (Beaugrande &
Dressler, 1988).
11/ 32
certain traits for certain purposes: to narrate, describe , argue, expose and instruct (conversational).
So where are literary texts to be located?
Since text linguists had to develop generic distinctions (from classical lyric, epic and drama) in non-
literary corpora, Kinneavy (1971) distinguishes four aims of discourse modelled on Jakobsons
communicative functions, thus the expressive, the referential, the persuasive and the literary text
type. Among those categories, the literary aims of discourse focus on Jakobsons poetic function
and include text types such as the joke, the film, the TV show besides drama, ballads, the lyric, the
short story, and the like 3 . We must bear in mind that the relationship between text types and genres
is not straightforward since genres reflect differences in external format and text types may be
defined on the basis of cognitive categories (Smith 1985). But what are the main criteria to classify
texts and get to the notion of literary texts?
3.6. On classifying literary texts: main criteria.
to modes of discourse realized through text types (narration, description, exposition, argumentation
and dialogic) and to communicative function as rethorical strategies in functional lines (narrative,
descriptive, expository and so on).
By means of this typology, Kinneavy (1971) attempts to establish a number of textual categories
with a common purpose, despite its obvious merits fails to see that most texts of a given genre are
referential as well as persuasive or expressive. Hence we realize that the category of literary texts is
not a clear-cut one and that, narration, description, exposition, argumentation and dialogic types
may be present in literary discourse modes.
3
Kinneavy (1971) splits the expressive category into two types: individual (conversation, journals, prayers) and social
(manifestos, contracts, myths, religious credos); the referential aim of discourse encompasses exploratory texts (seminars,
dialogues), scientific texts (proving a point by arguing from accepted premises, by generalizing from particular) and
12/ 32
Since text linguistics, unlike literary scholarship, does not focus primarily on literary texts, linguists
have had to develop a certain number of concepts (fictional vs. non-fictional, factual vs.
imaginative, literary vs. instrumental language, general vs. specific , polysemic vs. monosemic ) to
account for variety in language use (instrumental language) or for the usage of language in specific
situations (literary language ). Then it is relevant to mention those basic principles (or main criteria)
by which all text types are interrelated as literary productions (Esser, 1991):
1. External level.
Here we find informative vs. imaginative writing, where the intention of the
participant is essential to distinguish text types. On the one hand, informative texts
include the field of sciences, arts, commerce and finance, belief and thought,
leisure, antural and pure science, social science and world affairs. On the other
hand, imaginative writing refers to literary and creative works. These types are
further categorised according to other criteria, such as medium, date of publication,
topic and so on. We must point out, though, that the category factual is far wider
thatn informative but often the two seem to be merged. The distinction between
fact and fiction is relevant, but it is a distinction that cuts across others, and
concerns the relation of the utterances to objective reality, and not in the first
instance to their purposes.
2. Internal level.
Since language varies with situation (context), we can identify particular
specialised texts through the specification of certain internal linguistic criteria, that
is, the frequency of lexico-grammatical features (Halliday & Martin, 1993). Often,
this classification begins with external criteria and subsequently focuses on internal
linguistic criteria. For instance, scientific texts are associated with passive
structures, short sentences in form of commands and nominalisations of ing forms
among other features.
In addition, specific scientific and technical vocabulary also determines a kind of
text namely through the distinction polysemic vs. monosemic, that is to say, by
admitting more than one meaning (literary language) or carrying a single meaning
(instrumental language). Literary texts are formed from constituents that are not
always immediately recognizable, such as specific conditions of production,
informative texts (news, articles, textbooks). Finally, the persuasive category includes religious sermons, editorials, and
political or legal oratory.
13/ 32
literary texts may be polysemous, having a range of interpretive possibilities.
However, there are some basic principles of literature which have common
characteristics that make it possible for them to be classified into genres or sub-
types.
Therefore, this classification of texts into genres is purely based on both internal and external
criteria (linguistic and non-linguistic criteria, respectively) by giving prominence to the sociological
environment of the text. Actually, Atkins et al. (1992) believe that a corpus selected entirely on
internal criteria would yield no information about the relation between language and its context of
situation. Then, let us examine what literary genres are and their main features.
4. ON LITERARY GENRES.
Chapter 4 will offer then an insightful analysis of literary genres in terms of providing a (1)
linguistic framework for genre; (2) a definition of genre and literary genre; (3) an account of the
main criteria for the classification of genres; and (4) main types; and finally, (5) main features of
genres according to structural features (form, technique and content).
4.1. The context of situation and genre .
As seen above, the terms context and situation are closely related to that of language and literary
texts and therefore, to genre. On the one hand, context means literally accompanying text and it is
defined as the state of affairs of a communicative situation in which communicative events take
place (van Dijk, 1981). A context must have a linguistically relevant set of characteristics for the
formulation, conditions and rules for the adequate use of utterances, for instance, it must be
appropriate andsatisfactory for the given utterance in a literary text. Moreover, the notion of
context is rather static when it is merely used to refer to a state of affairs. Hence we may introduce
the term communicative so that an event may be successful if a given context changes into a
specific new context (i.e. speaking face to face vs. speaking on the phone).
14/ 32
On the other hand, the term situation means the context of situation in which a text is embedded,
refers to all those extra-linguistic factors which have some bearing on the text itself. These external
factors affect the linguistic choices that the speaker or the writer makes on the basis of the nature of
the audience, the medium, the purpose of the communication and so on. The concept of context of
situation was formulated by Malinowski in 1923 4 and further on, Hymes (1969) categorized the
speech situation in terms of eight components: form and content of text, setting, participants, ends
(intent and effect), key, medium, interactional norms and genre. So, this is the linguistic context
where the concept of genre is located and now, we may follow on defining it.
4.2. On defining genre and literary genre.
The term genre means literally kind of or sort of and comes from the same Latin root as the
word genus. Some other definitions for the term genre are (a) a kind of literary or artistic work;
(b) a style of expressing yourself in writing; and (c) a class of artistic endeavor having a
characteristic from or technique.
Therefore, the concept of literary genre refers to a style of expressing yourself in writing. So,
what do we mean when we talk about literary genres? Literary genres are said to be divisions of
literature into categories or classes which group works by different criteria (form, technique and
content). Among literary genres we may find writing styles such as biographies, fiction or poetry,
essays, drama rather than classifications made by movements such as naturalism, realism,
romanticism or by theme as in legends, myths, short-stories and so on.
Discussions on genre probably began in ancient Greece with Aristotle , and the practice of
distinguishing kinds of texts from each other on the basis of genres has continued uninterrupted
since then. As seen above, dividing literary works into genres is a way of classifying them into
particular categories and many specific text genres have been recognized since Aristotles day:
fiction, essays, newspaper stories, biography, academic writing, advertising and computer writing,
among others.
In fact, nowadays, the concept of genre has to cope not only with new types of docume nts (Internet,
virtual reality, DVDs) abut also with new ways of searching for, retrieving and conveying
4
It was published in a supplement called The Meaning of Meaning which further developed into a paper called Personality and
15/ 32
electronic documents. Therefore, the concept of genre is a dynamic issue to help deal with the novel
circumstances and with the proliferation of new products and techniques that support them. Hence,
we may consider the concept of genre as an analytic tool for those new text types not included
under the heading of narrative, description, exposition, instruction and conversation.
4.3. On classifying genres: main criteria.
But what are the main criteria for this classification? Following classical guidelines, literary genres
are strictly determined by the Aristotelian classical typology of lyric (ode, elegy) , epic (novel, tale)
and drama (tragedy, come dy, satire). Still nowadays, this typology establishes the general
characterization of the three main literary genres: lyric, narrative and drama and even, the concept
of genre has also been extended beyond langua ge-based texts, so that we customarily speak of
genres in relation to art, music, dance and other non-verbal methods of human communication.
According to Fludernik (1996), there are three levels on which we may establish a functional
approach to genres. First, the level of macro-genre, which is constituted by the functions of
communication (it corresponds to the external criteria for text types). Secondly, the level of genre,
where traditional genre expectations are operative (it corresponds to the internal criteria for text
types on lexico-grammatical features). Finally, she distinguishes a third level where the discourse
mode works on the surface level of texts. On this level, the function of a descriptive passage, for
instance, enter the schema of the specific genre as a sub-genre (i.e. the genre of art has different
sub-genres painting, drawing, sculpture, engraving- which in turn is divided into further types of
genres. For instance, painting has sub-genres such as landscape, portraiture, still life, non-
representional works, caricature).
However, the most relevant criteria lies at the diversity of genres which arises from the multiplicity
of their contexts of use. At the highest level we classify genres in the same way literature is
classified: either fictional or non-fictional types5, but we may add another type: hybrid texts. On the
one hand, fiction types refer to things, events and characters which are not true, and which are
classified according to three guidelines: on the form of the work, technique and content (or theme);
language in society (1950).

5
This initial subdivision of all texts into fiction and non-fiction comes from C.A. Cutters Rules for a Dictionary Catalog
(1904). According to Cutter, one of the functions of the catalog is to allow the user to choose between literary and
16/ 32
on the other hand, non-fictional types refer to things, events and characters which are based on
facts; and finally, hybrid texts refer to those texts which are a mutation of different kinds (non-
fiction novel, prose poem).
4.4. On classifying genres: main types.
In general, we may find among the fiction types drama, fable, fairy tale, fantasy, fiction, fiction in
verse, folklore, historical fiction, horror, humor, legend, mystery, mythology, poetry, realistic
fiction, science fiction, short story and tall tale, among others. On the other hand, non-fictional
types of genres include biography, autobiography, essay, narrative non-fiction, non-fiction and
speech, among others. And finally, hybrid types include mixed genres such as non-fiction novel,
infomercial, prose poem and docudrama.
Yet, it must be borne in mind that this classification is quite flexible since the concept of genre is a
dynamic issue which deals with the novel circumstances and with the proliferation of new products
and techniques (letter: love letter, business letter, penfriend letter, e-mail). Actually, the necessity of
adding new classes (in particular with hybrid texts) dynamically undermines the stability of the
typology and confounds reader expectations for the contents and structures of the genres. For
instance, we mayhave a crime or mystery story set in the future (science fiction) or in the past
(historical fiction) and still being defined as fantasy.
4.4. Main characteristics of genre types.
Yet, under these premises we shall explore this flexible typology on the basis of main
characteristics and uses of genres regarding individual definitions, contexts, and potential
applications.
topical works, that is, between works without topics (i.e. literary works) and works with topics or subjects (i.e. non-
literary, non-fiction).
17/ 32
1. Fiction genre. Within this type some genres tell us something about
a. the form of the work:
Poetry, which is defined as verse and rhythmic writing with imagery that creates
emotional responses in the reader (Wordsworth, Lord Byron).
Drama (or also called plays), is defined as stories composed in verse or prose, usually
for theatrical perfomance, where conflicts and emotion are expressed through dialogue
and action (Shakespeare, Plato).
Prose (also called ordinary writing) may deal with narrative literary works whose
content is produced by the imagination and is not necessarily based on fact.
Fiction in verse, defined as full-length novels with plot, subplot, theme, major and
minor characters, in which the narrative is presented in (usually blank) verse form.
Folklore, in which the songs, stories, myths, and proverbs of people or folk are
handed down by word of mouth.
b. the technique (layout) and style used:
Picture books, which contains words and pictures.
Game books, which require the reader to problem-solve and actively engage in an
activity while reading.
Novellas or short novels.
Short story, which is much shorter than a novella.
c. and also we find genres which are classified by content and theme:
Adventure stories, whose main theme presents a story full of dynamic and continuous
events around an interesting plot so as to involve the reader in an adventure.
Science fiction, which is a story based on impact of actual, imagined, or potential
science, usually set in the future or on other planets.
Fantasy, which deals with fiction with strange or otherworldy settings or characters. It
is a kind of fiction that invites suspensio of reality.
Crime and mystery is a kind of genre in which fiction deals with the solution of a crime
or the unraveling of secrets (Emily Brontes Wuthering Heights, Jane Austens
Northanger Abbey).
Horror genres are a kind of fiction in which events evoke a feeling of dread in both the
characters and the reader.
Romance types deal with events that evoke peaceful and romantic feelings on the part
of the reader and on the part of the characters.
18/ 32
Human relations is a kind of fiction in whic h human stereotypes come into force with a
moral message (i.e. Charles Dickens Great Expectations).
Historical fiction, which is a story with fictional characters and events in a historical
setting.
Fable, which is a narration showing a useful truth, especially in which animals speak as
humans. Also, a legendary and supernatural tale.
A fairy tale, which is a story about fairies or other magical creatures, usually for
children.
Humor, as a fiction full of fun, fancy, and excitement, meant to entertain. It can be
contained in all genres.
A tall tale, which is a humorous story with blatant exaggerations, swaggering heroes
who do the impossible with nonchalance.
Legend, which is a story, sometimes of a national or folk hero, which as a basis in fact
but also includes imaginative material.
Mythology, which is related to legend or traditional narrative, is often based in part on
historical events, that reveals human behavior and natural pehnomena by its symbolism.
It often pertains to the actions of gods.
Realistic fiction is a story that can actually happen and is true to life.
2. Non-fiction genre. Within this type some genres tell us something about
Biography/autobiography, where we find a narrative of a persons life, a true story
about a real person.
Essay, which is a short literary composition that reflects the authors outlook or point.
Non fiction narrrative, where non factual information is presented in a format which
tells the story.
Non fiction genres refer to informational texts dealing with an actual, real-life subject
objective types: news, reports).
Speech, as the public address form of discourse.
3. Hybrid genres. Finally, this type of genre reflects the instability and slipperiness of genres
which change constantly depending on the technological, socia l, political and economic
situation. In this type, the ideal of mutual exclusivity is sacrificed in order to ensure joint
exhaustivity of the classes. This tension between continuity and change is a common one for
information organization and retrieval analysis and systems. So, we may distinguish: non-
19/ 32
fiction novel, infomercial, prose poem, docudrama, marketing plans, mission statements and
outcome analyses, among others.
5. LITERARY CRITICISM.
Chapter 5 is developed by (1) defining literary criticism; (2) providing an account of the origins and
development of literary criticism throughtout history from (a) ancient times, (b) the Middle Ages
and the Renaissance, (c) the seventeenth and eighteenth centuries, (d) the nineteenth century and (e)
the twentieth and twenty-first century. Within the latter part we shall examine the main ways of
criticism such as (i) Structuralism, (ii) Russian Formalism, (iii) New Criticism, (iv) Post-
Structuralism, (v) Marxist Literary Theories, (vi) Feminist Literary Criticism, and also (vii) other
secondary types of literary criticism.
5.1. On defining literary criticism.
As stated above, aesthetics is concerned with literature from a philosophical point of view, in
relation to the general concepts of art, beauty and value. Hence, literary criticism is in charge of the
objective analysis, interpretation and evaluation of works so as to states their weaknesses and
strengths. One of the main functions of literary criticism is to express the shifts in sensibility that
make such analysis possible and bring literary works to the publics attention. Its relevance has thus
been rather limited, although criticism has drawn on literary works from ancient times up to now.
5.2. On the origins and development of literary criticism.
5.2.1. Ancient times.
Thus, this exhaustive analysis of texts traces back to the ancient Greeks, which were keen on
discussing literary works that focused on the experience of reading.Hence, literary works were
evaluated, described and interpreted according to the meaning and effect they had on the reader.
20/ 32
Examples of this criticism are first found in Platos Republic and Aristotles Poetics. On the one
hand, Plato depicted the physical world as an imperfect copy of intrascendent ideas and, therefore,
poetry was seen as a mere copy and as an imitation of an imitation and thus thrice removed from
the truth. On the other hand, Aristotle argued that the poet is motivated by a need to imitate and
that such imitation had a civilizing value. He discussed the harmonious disposition of any text under
the power of six elements (plot, thought, diction, character, spectacle and song) which, still
nowadays, have proved adaptable to present genres. Actually, Plato and Aristotles theories of
literature were in disagreement although they both maintained that poetry was mimetic and that it
had a great influence on language.
Further on, the Roman work of Horace (Ars Poetica) and the rethorical works of Cicero and
Quintilian (Institutiones Oratoriae) were reasoned considerations on literary works dealt with every
literary textual device (style, author, sources, setting, characters). They are considered to be the
earliest contributions to literary criticism since they renewed the Platonic argument against poetry
in favour of a theological explanation of the universe. Yet, the first relevant essay on literary
criticism was On the Sublime, written by Caius Cassius Longinus, a Greek philosopher and rhetoric
author (213-273 B.C) which headed the neoplatonic school and stated the first evaluation and
judgement on the art of poetics.
5.2.2. The Middle Ages and the Renaissance.
Later on, another relevant critic was Dante who, in the early fourteenth century, wrote his De
Vulgari Eloquentia (1303) regarding the problems of aesthetic , that is, the appropriate language to
be used in poetry. In this way, the Renaissance criticism witnessed the recovery of classical texts
when the principles of Aristotles Poetics were translated into Latin by Giorgio Valla (1498).
Aristotles tradition then developed into an imposing presence behind literary theory and critics
looked to ancient poems and plays so as to keep the laws on art. Other two instances of early
criticism were Puttenhams The Art of English Poesie (1589) and Sidneys Defence of Poesie
(1595).
21/ 32
5.2.3. The seventeenth and eighteenth centuries.
Further on, for a nearly hundred years, the major critical works showed a tempered enthusiasm and
a sense of propiety and balance since there were attempts to imitate the laws of nature (Popes An
Essay on Criticism, 1711). Literary criticism throughout the 17th and 18th centuries was dominated
by a strict orthodoxy regarding the dramatic unities and genres of Horatian norms. This strict rules
were soon to disappear under the increasing interest in literatures from Greece and Rome and there
was a surprising decline of Neoclassicism.
A new genre was born in the late eighteenth century, the novel. Most of its readers belonged to a
bourgeoisie that had no little use for aristocratic dicta. Emphasis soon shifted from concern,
proportion and moderation to the subjective state of the reader and the author himself. The new kind
of literature was based on non-Aristotelian factors and followed the spirit of the age where the taste
for mysty, sublimit y, graveyard sentiments, medievalism, norse epics and oriental tales aroused in
favour of a new movement: Romanticism.
5.2.4. The nineteenth century.
Romantic writers regarded the writing of poetry as a trascendentally important activity which was
closely related to the creative perception of meaning in the world. Individual passion and an
emphasis on inspiration were key features of this movement that coincided with the emergence of
aesthetics as a separate branch of philosophy. Romantic literary theory was characterized by a great
coherence and intensity and a defence of aesthetic language, as it is shown by Wordsworths Lyrical
Ballads (1800), Coleridges Biographia Literaria (1817), Shelleys Defence of Poetry (1820) and
Poes The Poetic Principle (1850), among others.
Yet, by the late nineteenth century, the Romantic movement became weaker due to the opposite,
realistic and naturalistic view of literature as an exact record of social truth. Scientific positivism
encouraged a neglection of feelings, romanticism and subjectivity towards a criticism based on
facts: logical positivism, first formulated in the work of the French philosopher Auguste Comte,
who published between 1830 and 1842 a monumental Cours de philosophie positive. The aim of
this work was to extend to the arts subjects the methods and principles of the natural sciences.
22/ 32
What positivism means in literary scholarship is summed up in its most extreme form in the
introductory chapter of the history of English literature by the French scholar Hippolyte Taine,
published in 1863, where Taine stated his famous three-term formula la race, le milieu et le
moment as the causal explanation of texts. His assumptions guided the greater part of European
and American scholarship in the late nineteenth and early twentieth centuries, and have been and
still are an important influence on the British academic world as well. In its pure form, positivists
studied literature alomost exclusively in reltion to its factual causes or genesis: the authors life, his
recorded intentions in writing, his immediate social and cultural environment and his sources
(Jefferson & Robey, 1986).
5.2.5. The twentieth and twenty-first century.
5.2.5.1. Structuralism.
Structuralism is a way of thinking about the world which is predominantly concerned with the
perceptions and description of structures. At its simplest, structuralism claims that the nature of
every element in any given situation has no significance by itself, and in fact is determined by all
the other ele ments involved in that situation. The full significance of any entity cannot be perceived
unless and until it is integrated into the structure of which it forms a part. The reason why
linguistics had such importance for literary theory is not just a change of direction in the
development of the discipline. It is also to be found in the contributions to a theory of language of
the Swiss philologist and professor of linguistics Ferdinand de Saussure (1857-1913).
The implications of this theory are so powerful that the impact of modern linguistics on literary
studies has not been limited to the problems of literary language alone, but has produced new
theories of the nature and organization of literature as a whole and indeed of all social and cultural
life. This theory states that all forms of social and cultural life are seen to be governed by systems of
signs which are either linguistic or analogous to those of language.
In his posthumously work Cours de linguistique gnrale (1911), Saussure proposed that languages
are systems, constituted by signs that are arbitrary and differential. A second postulate proposed an
essential disjunction between the world of reality and the world of language : the signifier and the
signified. He made a crucial distinction be tween langue (the language system) and parole (the
23/ 32
individual act of communication which the system produces and conditions under literary
productions.
5.2.5.2. Russian Formalism.
The earliest beginnings of Russian Formalism emerged from the meetings, discussions and
publications of two small groups of students (the Opojaz group from Petersburg and the Moscow
Linguistic Circle) in 1914 (with the appearance of Viktor Shklovskys essay on Futurist poetry,
The resurrection of the word). A firm critique to this formalist movement emerged under a name:
Trotsky and his work Literature and Revolution (1923). Then in the 1930s this linguistic
movement was finally suppressed by the Soviets and their intellectual endeavour came to an end.
However, the ideas of Russian Formalism survived in the work of some members of the Prague
Linguistic Circle: Roman Jakobson, Jan Mukrarovsky, and Ren Wellek (they all left Moscow for
Czechoslovakia). The Prague Linguistic Circle viewed literature as a special class of la nguage, and
rested on the assumption that there is a fundamental opposition between literary (or poetical)
language and ordinary language.
Formalism views the primary function of ordinary language as communicating a message or

information by references to the world existing outside of language. In contrast, it views literary
language as self-focused: its function is not to make extrinsic references, but to draw attention to its
own formal features among the linguistic signs. Literature is then subjected to critical analysis by
the sciences of linguistics but also by a type of linguistics different from that adapted to ordinary
discourse because its lawa produce the distinctive features of literariness. An important contribution
was made by Victor Schklovsky (of the Leningrad group) who explained how language tends to
become smooth, unconscious or transparent whereas the work of literature is to defamiliarize
language by a process of making strange the ordinary language.
5.2.5. 3. New Criticism
The twentieth century also saw the appearance of a new literary movement that started in the late
1920s and 1930s and originated with the work of I.A. Richards (Principles of Literary Criticism,
24/ 32
1924) which had an enormous impact on British criticism. His work, together with that of Eliot, in
reaction to traditional criticism that new critics saw as largely concerned with matters extraneous to
the text (with the biography or psychology of the author, the works relationship to literary history).
In his work (1924), Richards proposed two things that critics did not habitually possess: a theory of
communication and a theory of valuation.
Without these criticism lacks rigour and is unable to justify itself adequately in a world in which the
personal and social utility of the arts is increasingly called into question. So in The Meaning of
Meaning, he pointed out another distinction between two functions of language: the referential and
the emotive one. The referential or symbolic function addresses the use of words to talk about the
objective world (scientific prose)whereas the emotive function uses words to evoke subjective
feelings or attitudes (poetry). Therefore, with this distinction he stressed the difference between
poetry and ordinary discourse.
New Criticism proposed that a work of literary art should be regarded as autonomous, and should
not be judged by reference to considerations beyond itself. For instance, a poem consists less of a
series of referential and verifiable statements about the real world beyond it, than of the
presentation and sophisticated organization of a set of complex experiences in a verbal form
(Jefferson & Robey, 1986).
5.2.5.4. Post-Structuralism.
Post-Structuralism is a reaction to structuralism and works against seeing language as a stable,

closed system. It is a shift from seeing the poem or novel as a close entity, equipped with definite
meanings which it is the critics task to decipher, to seeing literature as irreducibly plural, an
endless play or signifiers which can never be finally summed up to its essence and meaning.
Jacques Derridas paper on Structure, Sign, and Play in the Discourse of the Human Sciences
(1966) proved particularly influential in the creation of post-structuralism since he argued against a
structure that could organize the differential play of language. His critique of structuralism heralded
the advent of deconstruction which also critiques the notion of origin since nothing in literature
has any real meaning or truth.
25/ 32
5.2.5.5. Marxist Literary Theories.
Marxist approaches to literature occupy a wide field. Marxism is a theory of economics, history,
society and revolution before it had much to do with literary theory. Marxism is a living body of
thought and a set of real political practices. Despite their diversity, all Marxist theories of literature
have a simple premise in common: that literature can only be properly understood within a larger
framework of social reality. It treats literature in isolation, divorcing it from society and history.
It is considered to be a sociological approach to literature that viewed works of literature or art as

the products of historical forces that can be analyzed by looking at the materrial conditions in which
they were formed. In Marxis ideology, what we often classify as a world view (such as the
Victorian Age) is actually the articulations of the dominant class. Marxism generally focuses on the
clash between the dominant and repressed classes in any given age and also may encourage art to
imitate what is often termed an objective reality.
5.2.5.6. Feminist Literary Criticism.
The words feminist or feminism are political labels indicating support for the aims of the new
womens movement which emerged in the late 1960s. Feminist Criticism then is a specific kind
of political discourse: a critical and theoretical practice committed to the struggle agains patriarchy
and sexism, not simply a concern for gender in literature, at least not if the latter is presented as no
more than another interesting critical approach on a line with a concern for sea -imagery or
metaphors of war in medieval poetry (Jefferson & Robey, 1986).
Since the 1960s the writings of many women have been rediscovered since early projects in
feminist theory included resurrecting wome ns literature which was never considered or had been
erased over time. These writings were then recollected in large anthologies such as The Norton
Anthology of Literature by Women. However, womens literature did no ensure its prominence: in
order to assess womens writings the amount of preconceptions inherent in a literary canon
dominated by male beliefs and male writers needed to be re-evaluated.
The following works ar just a handful of the many critiques that questioned cultural, sexual,
intellectual and/or psychological stereotypes about women: Betty Friedans The Feminist Mystique
26/ 32
(1963), Kate Millets Sexual Politics (1970), Teresa de Lauretiss Alice Doesnt: Feminism,
Semiotics, Cinema (1984), Annette Kolodnys The Lay of the Land (1975), Judith Fetterlys The
Resisting Reader (1978) or Elaine Showalters A Literature of Their Own (1977).
5.2.5.7. Other types of literary criticism.
Other types of literary criticism are not considered so relevant as the mentioned above although
they are not less important. So, we shall mention some of them. For instance,
Myth Criticism, which views the genres and individual plot patterns of literature, including
highly sophisticated and realistic works, as recurrences of certain archetypes and essential
mythic formulae.
Psychoanalytic Criticism. This refers to the application of modern psychological principles
(particularly those of Sigmund Freud and Jacques Lacan) to the study of literature.
Pshychoanalytic criticism may focus on the writers psyche, the study of the creative
process, the study of psychological types and principles within works of literature, and the
effects of literature upon its readers.
Existentialism. This is a philosophy promoted especially by Jean-Paul Sartre and Albert
Camus that views each person as an isolated being who is cast into an alien universe, and
conceives the world as possessing no inherent human truth, value, or meaning. Other major
figures include Friedrich Nietzsche, Martin Heidegger, Simone de Beauvoir and Karl
Jaspers.
Avant-Garde. It means the most forwardly placed troops. This movement sought to
eliminate the distinction between art and life often by introducing elements of mass culture
so as to shock the sensibilities of its audience.
Surrealism was initiated by Andr Breton as a movement with adherence to the
imagination, dreams, the fantastic, and the irrational. It emphasizes absurdity and reflects a
spirit of nihilism by celebrating the function of chance.
Finally, genre criticism is the study of different forms or types of literature. Genre studies
often focus on the characteristics, structures, and conventions attributed to different forms
of literature (novel, short story, poem, drama, film). More recent inquiry in genre criticism
centres on the bias often inherent in genre criticism such as its latent (or overt) racism and
sexism.
27/ 32
6. LITERARY LANGUAGE, GENRES AND CRITICISM AND LANGUAGE TEACHING.
Literary language is one of the most salient aspect of educational activity. In classrooms all kinds of
literary language , either spoken or written, is going on for most of the time. Yet, handling literary
text types is not an end in itself, but a means of achieving the goals of the larger activities that
constitute the object of education. Together with talking, writing and reading, participants should
master these elements to achieve and develop the goals of the activity in which they are engaged: to
write a letter, a short story, a historical account of their city, and so on.
through a focus on literary production under two premises. First, because they believe learning is an
integral aspect of any form of activity and second, because education at all levels must be conceived
in terms of literature. The basis for these assumptions is to be found in an attempt, through the use
of various modes of literary text types and genres, to develop understanding of students shared but
Learning involves a process of transformation of participation itself which has far reaching
implications on the role of the teacher in the teaching-learning relationship. This means that literary
genres are an analytic tool and that teachers need to identify the potential contributions and
potential limitations of them before we can make good use of the genre analysis techniques. We
must bear in mind that most students will continue their studies at university and there, they will
have to handle successfully all kind of genres, especially the non-fiction ones such as objective
reports, language for specific purposes (humanistic studies, scientific, technological, etc).
But how do literary texts tie in with the new curriculum? As we stated above, one of the objectives
of teaching the English language is to provide good models of almost any kind of literary writing
for future studies. Following van Ek & Trim (2001), the learners can perform, within the limits of
the resources available to them, those writing (and oral) tasks which adult citizens in general may
wish, or be called upon, to carry out in their private capacity or as members of the general public
when dealing with their future regarding personal and professional life.
deal with a communicative competence model in which first, there is an emphasis on significanc e
28/ 32
Literary language and a wide range of genres prove frequent and relevant within the students
environment (i.e. Writing a complaint letter, a report, chatting on the Internet, administrative work
in offices, etc).
write a letter to a friend, office, business enterprise asking for job, etc). Thus, foreign language
educational fields.
Literary language and the production of literary genres are mentioned as one of the aims of our
current educational system (B.O.E. 2002) and in particular, for students of E.S.O. and Bachillerato
about how to produce a literary text (oral or written): writing a short story, a ghost story, a
biography of their favourite singer, etc). Actually, students are asked to use literary textual features
(lexical choice between formal and informal syntactic structures) when writing fiction and non-
fictional texts.
29/ 32
educational system focuses on are mos tly sociocultural, to facilitate the study of cultural themes, as
our students must be aware of their current social reality within the European framework.
7. CONCLUSION.
In this study literary texts, genres and criticism have been approached in terms of main types, main
textual features and structure. We may observe that dealing with literary style is not just a linguistic
matter to be developed in the classroom setting; on the contrary, defending our personal point of
view about a current issue enables us to carry out everyday performances which prove essential in
our current society, for instance, from a personal, social, political, professional life, among others.
In present society, establishing interactional exchanges is emphasized by the increasing necessity of

learning a foreign language. As we are now members of the European Community, we need to
communicate with other countries at oral and written levels and we need to use potential methods of
analysis in information contexts as a way to interpret texts, events, ideas, decisions and any human
activity in that domain. Written patterns are given an important role when language learners face the
monumental task of acquiring not only new vocabulary, syntactic patterns, and phonology, but also
discourse competence, sociolinguistic competence, strategic competence, and interactional
competence.
To sum up, we may say that literary language is where culture impinges on form and where second
types, in particular, literary texts that make up the first language speakers day to day interaction.
The issues of readerss expectations, classification and culture raised here overlap with each other
and with many other broad literatures (i.e. sociology, linguistics, political science, feminism,
racism, psychology). In recognizing the multifaceted characteristics and problems of genres, we
need to emphasize the variations in genres because that approach will increase the refinement with
30/ 32
which we can identify genres. The continuity or discontinuity of patterns will help professionals do
their work efficiently and effectively.
31/ 32
8. BIBLIOGRAPHY.
Aarts, F., and J. Aarts. 1988. English Syntactic Structures. Functions & Categories in Sentence Analysis.
Prentice Hall Europe.



Crystal, D. 1985. Linguistics. Penguin Books.
Eagleton, T. 1983. Literary Theory. An Introduction. Oxford.
Esser, Jurgen. 1991. Text-Type as a Linguistic Unit. Tubingen: Niemeyer.
Fludernik, Monika. 1996. Towards a Natural Narratology. London: Routledge.
Goytisolo, J. 2001. Proclamation of Masterpieces of the Oral and Intangible heritage of Humanity 18 May
2001. Speech delivered at the opening of the meeting of the Jury (15 May 2001)
Halliday, M. A. K. 1973. Explorations in the Functions of La nguage. London: Edward Arnold.
Jefferson, A. and D. Robey. 1986. Modern Literary Theory. A Comparative Introduction. B.T. Batsford Ltd:
London.
Kinneavy, J. 1971. A Theory of Discourse. The Aims of Discourse. Prentice-Hall.
Jovanovich.
32/ 32
UNIT 38
ENGLISH FOR SCIENCE AND TECHNOLOGY, BUSINESS
AND ECONOMICS.
OUTLINE
1. INTRODUCTION.
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF SCIENTIFIC, TECHNOLOGICAL,

BUSINESS AND ADMINISTRATIVE ENGLISH.
2.1. On defining the term text.
2.2. Textuality: text types.
2.2.2. Intertextuality: text types and genres.
2.3. English for Specific Purposes (ESP).
2.3.1. Definition.
2.3.1.1. Main characteristics.
2.3.1.2. Main types.
2.3.2. Historical background.
2.3.3. Current trends and future directions.
2.4. English for Science and Technology (EST), and English for Business and Economics (EBE).
3. ENGLISH FOR SCIENCE AND TECHNOLOGY (EST).

3.1. On defining EST.
3.1.1. Scientific and Technical Writing.
3.1.2. EST: main constraints.
3.2. EST texts: main types.
3.3. EST: textual features.
3.3.1.1. Cohesion.
3.3.1.2. Coherence.
4. ENGLISH FOR BUSINESS AND ECONOMICS (EBE).

4.1.1. Business and Administrative Writing.
4.1.2. EST: main constraints.
4.2. EBE texts: main types.
4.3. EBE: textual features.
4.3.1.1. Cohesion.
4.3.1.2. Coherence.
6. CONCLUSION.
7. BIBLIOGRAPHY.
1/36
1. INTRODUCTION.
The main aim of Unit 38 is to present the issue of English for science, techonology, business and
administration, that is, scientific, technological, business and administrative English texts in terms
of structure and main features. Our aim is to offer a broad account of what these types of texts are
and why they are used for in both linguistic and pragmatic terms, that is, how language and textual
features are used to achieve the purpose of educating students to retain listening, reading, speaking,
writing, and translation skills for furture professions in the fields of science (medicine), technology,
business and economics. So, we shall divide our study in six main chapters.
In Chapter 2 we shall offer a theoretical framework for these types of texts since the concepts of
text and the fields of science, technology, business and administration are related to other key
notions which prove essential in the understanding of their analysis. So, in order to establish the
relationship between both notions, we shall review (1) a definition of text within the notion of text
linguistics and Discourse Analysis; then we shall approach (2) the notion of textuality regarding (a)
the seven standards of textuality and (b) the standard of intertextuality as the source for text
typology. At this point we shall relate the fields of science, technology, business and administration
to the notion of genre as an extensional definition of text type regarding the use of language for
specific purposes; and finally we shall locate (3) scientific, technological, business and
administrative English texts within the study of English for Specific Purposes (ESP). Here we shall
offer (a) a definition of the term, (b) historical background and (c) current trends and future
directions so as to prepare the ground for the analysis of English for Science and Technology and
English for Business and Administration.
Chapter 3 will offer then an insightful analysis of English for Science and Technology (EST) in
terms of form, function and main uses, namely following morphological, phonological, syntactic,
semantic and pragmatic guidelines so as to get an overall view of its textual structure regarding
format, technique and content. In order to do so, we shall offer (1) a definition of EST regarding (a)
Scientific and Technical Writing and (b) main constraints. Then we shall analyse the writing style
of scientific and technological texts taking into account how their main constraints affect their
textual structure in terms of (2) types of EST texts from a pragmatic approach (a) regarding the
audience and (b) main purposes; and (3) textual features regarding (a) linguistic devices (content or
mechanics) so as to examine the style of EST texts (grammar, vocabulary), (b) nonlinguistic devices
(punctuation, layouts, indexes), and (c) the paralinguistic devices of English for Science and
Technology (illustrations, images, pictures, power point presentations).
Chapter 4 on English for Business and Economics (EBE) will be introduced in the same way as the
previous chapter on EST. Chapter 5 is devoted to present the main educational implications in
language teaching regarding argumentative texts and Chapter 6 will offer a conclusion to broadly
overview our present study. Finally, Chapter 7 will include all the bibliographical references used
in this study.
2/36
An influential introduction to the analysis of texts is based on relevant works of Werlich, Typologie
der Texte: Entwurf eines textlinguistischen Modells zur Grundlegung einer Textgrammatik (1975);
Halliday and Hasan, Cohesion in English (1976); van Dijk, Text and Context (1984); Beaugrande
and Dressler, Introduction to Text Linguistics (1988); and Esser, Text-Type as a Linguistic Unit
(1991); and Virtanen, Issues of Text Typology: Narrative, a Basic Type of Text? (1992). Classic
works regarding English for Specific Purposes and therefore, EST and EBE, include Mackay &
Mountford, English for Specific Purposes: A case study approach (1978); Hutchinson &
WatersEnglish for Specific Purposes: A learner-centered approach (1987); Strevens, ESP after
twenty years: A re-appraisal (1988); Carter, Some propositions about ESP (1983); Alley, The Craft
of Scientific Writing (1996); and Dudley-Evans, Developments in English for Specific Purposes: A
multi-disciplinary approach . (1998).
The background for educational implications regarding argumentative texts is based on the theory
of communicative competence and communicative approaches to language teaching are provided
by Canale, From Communicative Competence to Communicative Language Pedagogy (1983);
Hymes, On communicative competence (1972). In addition, the most complete record of current
Vantage (2001); B.O.E. (2002); the Council of Europe, Modern Languages: Learning, Teaching,
Assessment. A Common European Framework of reference (1998); and Hedge, Teaching and
Learning in the Language Classroom (2000).
2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS OF SCIENTIFIC,

TECHNOLOGICAL, BUSINESS AND ADMINISTRATIVE ENGLISH.
In Chapter 2 we shall offer a theoretical framework for these types of texts since the concepts of
text and the fields of science, technology, business and administration are related to other key
notions which prove essential in the understanding of their analysis. So, in order to establish the
relationship between both notions, we shall review (1) a definition of text within the notion of text
linguistics and Discourse Analysis; then we shall approach (2) the notion of textuality regarding (a)
the seven standards of textuality and (b) the standard of intertextuality as the source for text
typology. At this point we shall relate the fields of science, technology, business and administration
to the notion of genre as an extensional definition of text type regarding the use of language for
specific purposes; and finally we shall locate (3) scientific, technological, business and
administrative English texts within the study of English for Specific Purposes (ESP). Here we shall
offer (a) a definition of the term, (b) historical background and (c) current trends and future
directions so as to prepare the ground for the analysis of English for Science and Technology and
English for Business and Administration.
3/36
2.1. On defining the term text.
The definition of text is quite relevant in our study since it will be related to the fields of science,
technology, business and administration when reviewing the notion of intertextuality and text types.
Following Halliday & Hasan (1976), the word text is used in linguistics to refer to any passage,
spoken or written, of whatever length, that does form a unified whole. As a general rule, we know
whether an utterance or sequence of utterances constitute a text or not though it may be spoken or
written, prose or verse, fiction and non-fiction, and also anything from a joke to a biography.
its articulation is drawn from the notion of text linguistics1 which has its historical roots in rethoric ,
of text linguistics or discourse (and later on, discourse analysis). Traditional rethoricians were
influenced by their major task of training public orators on the discovery of ideas (invention), the
arrangement of ideas (disposition), the discovery of appropriate expressions for ideas (elocution),
and memorization prior to delivery on the actual occasion of speaking.
Greek and Latin) and logic (on the construction of arguments and proofs), hence its relevance
within our study. Rethoric still shares several concerns with the kind of text linguistics we know
today, for instance, the use of texts as vehicles of purposeful interaction (oral and written), the
variety of texts which express a given configuration of ideas, the arranging of ideas and its
disposition within the discourse and the judgement of texts which still depends on the effects upon
the audience.
2.2. Textuality: text types.
As stated above, in the approach to text linguistics by de Beaugrande & Dressler (1988), a text, oral
or printed, is defined as a purposeful interaction, that is, a communicative occurrence in which
writers consciously follow a given configuration, arranging and disposition of ideas which native
readers unconsciously expect to find. This specific textual configuration has to meet seven standards
of textuality (cohesion, coherence, intentionality and acceptability, informativity, situationality,
intertextuality) which will shed light on the text typology under study. Hence we shall review (1)
the seven standards of textuality and (2) the standard of intertextuality as the source for the text
types under study.
1
The notion of text linguistics, then, designates any work in language science devoted to the text as the
primary object of inquiry (Beaugrande & Dressler, 1988). In fact, many disciplines have approached the
study of texts, for instance, linguistics (from grammar, morphology and phonology), anthropology (different
speech acts in different cultures), psychology (speaker and hearer behaviour), sociology (the speaker and
listeners environment), stylistics (correctness, clarity, elegance, appropriateness, style), and for our purposes,
the fields of science, technology, business and administration so as to cope with the constant proliferation of
new products and techniques nowadays.
4/36
We shall deal with the seven standards of textuality when analysing scientific, technological,
business and administrative text types for different reasons. For instance,
(1) Cohesion and coherence, which are text-centred notions, will be responsible for the final
outcome of the text. Thus cohesion deals with the function of syntax, the components of the
surface text (grammar, vocabulary), cohesive ties (anaphora, cataphora, ellipsis) and
signalling relations (tense and aspect, modality, updating, junction, conjunction, disjunction
and subordination) whereas coherence is the outcome of actualizing meanings in order to
make sense (Beaugrande & Dressler, 1988) by means of a set of relations subsumed under
causality (cause, reason, purpose time) and global patterns responsible for making a text be
senseless or non-sensical (format, frames, plans).
(2) Intentionality subsumes the intentions of text producers, that is, their purpose of writing
specific texts. In the most immediate sense of the term, the producer intends the language
configuration under production to a cohesive and coherent text instrumental in fulfilling the
writer intentions. Here we meet the purpose of our type of texts, that is, to educate students
to retain receptive and productive skills for future professions in the fields of science
(namely medicine), technology, business and administration.
in an appropriate context of communication (a letter: love vs. business, personal and
informal vs. formulaic documents). The reader expectations have to remain somewhat
flexible because of the instability and slipperiness of discourse modes.
unexpected, known vs. unknown, formal vs. informal by means of form (content words:
verbs, nouns, adjectives, adverbs) and function (business vs. personal affairs). Hence
specific lexical devices in the different types of texts (specific vocabulary for scientific,
technological, business, administrative English).
own beliefs and goals into ones model of the current communicative situation (i.e. again a
letter in business vs. personal environment).
(6) And finally, intertextuality which will be reviewed in connection to text types and, in
particular, to scientific, technological, business and administrative texts.
2.2.2. Intertextuality: text types and genres.
Actually, intertextuality concerns the factors which make the use of one text dependent upon
knowledge of one or more previously encountered texts, that is, the ways in which the production
and reception of a given text depends upon the participants knowledge of other texts (i.e. scientific
vs. literary = objective vs. rethoric language). The usual mediation is achieved by means of the
5/36
development and use of text types, being classes of texts expected to have certain traits for certain
purposes.
Since text linguistics does not focus on literary texts only, linguists had to develop a great number
of concepts to account for variety in language use or for the use of language in specific situations
(i.e. laboratories, N.A.S.A., business meeting, banks). In fact, Esser (1991) defines text type as
language variation according to the use as opposed to variation according to user. Yet, traditional
guidelines distinguish, according to Werlich (1975), five main types: description, narration,
exposition, argumentation, and instruction.
These five types are conceived as an idealized norm of distinctive text structuring which serves as
a deep structural matrix of rules and elements for the encoder (Werlich, 1975). Werlichs ideal
types exist only as an abstract matrix in language users minds and are recognized because of three
features: the ideal type (prototypical nature of the text which exist only in the users mind), the text
form (the specific text type: the self-help manual, prescription comments), and the real manifest text
as language (format: sentences, paragraphs, chapters).
However, we find very often that large numbers of readers share the same names for a particular
type of text (narrative: novel, short story, tale). Hence they have a shared understanding of the
general purpose of a certain kind of text and a shared awareness of some of the formal text features
that one associates with certain kinds of texts. So, it is the vocabulary and text forms (format) of one
field which are used to rationalize and legitimize changes in another, so text types are subdivided in
accordance with multiple parameters (i.e. length, oral vs. written, fictional vs. non-fictional). It is
here that we find the concept of genre as a sub-category of text types.
Then, the concept of genre refers to a specific style of expressing yourself in writing when the
ideal types (narrative, argumentation, description, exposition, instruction and conversation) cannot
account for a given type of text (scientific, business letter). So, the term genre is often defined as
an analytic tool for those sub-categories or sub-classes which work by different criteria (form,
technique and content). In fact, nowadays, the concept of genre has to cope not only with new types
of documents but also with new ways of searching for, retrieving and conveying electronic
documents. Therefore, it is a dynamic issue to help deal with the novel circumstances and with the
development in the fields of science, technology, business and administration.
2.3. English for Specific Purposes (ESP).
In fact, the concept of genre accounts for those types of text which are not included in the ideal
classification and which are classified as language standards (Council of Europe, 1998). Standards
have been developed for a continuum of reasons ranging broadly from professional development
and teaching guidance (pedagogical purposes) to curriculum direction and accountability (scientific,
technological, business and administrative purposes)
6/36
Hence, these sub-types of texts (known as genres) show differences with respect to the former
typology regarding, technique, content (or theme) and the form of the work. Thus, (1) techniques
refer to the functions of communication in a specific field (i.e. telephone conversation in business,
conversations between doctor-patient, a letter in administrative affairs, computer manuals); (2)
content refers to internal criteria on lexico-grammatical features (specific vocabulary, syntactic
structures, idiomatic expressions); and finally, (3) the form of the work refers to the surface level of
texts (format).
It is within this multiplicity of contexts in use and the specific features of a text regarding form and
function that the notion of English for Specific Purposes (ESP) comes into force. Then, we shall
approach this specific use of language from different time perspectives in a time line (past, present
and future) so as to prepare the ground for the analysis of English for Science and Technology and
English for Business and Administration. So, we shall offer (1) a definition of the term, (2) a brief
historical background and (3) current trends and future directions on ESP.
2.3.1. Definition.
On defining English for Specific Purposes (ESP), we must clarify first the exact meaning of the
word specific and distinguish between its use regarding language and purposes since special
language and specialized aims are two entirely different notions. On the one hand, the only
practical way in which we can understand the notion of special language is as a restricted repertoire
of words and expressions selected from the whole language because that restricted repertoire covers
every requirement within a well-defined context, task or vocation (Mackay & Mountford, 1978).
On the other hand, a specialized aim refers to the purpose for which learners learn a language, not
the nature of the language they learn (1978). Therefore, the focus of the word specific in ESP
ought to be on the purpose for which learners learn and not on the specific jargon or registers they
learn.
And now, what is ESP? Some people described it as simply being the the teaching of English for
any purpose that could be specified. Others, however, were more precise, describing it as the
teaching of English used in academic studies or the teaching of English for vocational or
professional purposes. Tony Dudley-Evans, co-editor of the ESP Journal2 , defined ESP as an
attitude of mind since it is not necessarily concerned with a specific discipline nor does it have to
be aimed at a certain age group or ability range.
2
The ESP Journal is now a well-established international journal dedicated to ESP discussion called English
for Specific Purposes: An international journal whose development is reflected in the increasing number of
universities offering an MA in ESP (i.e. The University of Birmingham, Aston University in the UK, Aizu
University in Japan). In fact, English for Specific Purposes (ESP) has grown to become one of the most
prominent areas of English Foreign Language teaching today.
7/36
However, What is the difference between ESP and General English approach in language teaching
then? Hutchinson et al. (1987) answered again on saying that in theory nothing, in practice a great
deal, that is, it depends on the learners needs and purposes: educational or professional. Yet this
doesnt mean that ESP is useless with young students in secondary school settings. On the contrary,
it is, nowadays, the most required method to meet both the learners and the labor market needs.
Thus, in ESP teachers are expected to conduct interviews with specialists in the field, analyse the
language that is required in the profession or even conduct students needs analysis by using
General English approaches. Actually, they are interrelated since ma ny General English teachers
use the ESP approach on basing their syllabi on a learner needs analysis and their own specialist
knowledge of using English for real communication.
2.3.1.1. Main characteristics.
On defining ESP, Dudley-Evans (1998) set out an extended view of ESP in terms of absolute and
variable characteristics as it is considered as an approach to teaching. We must take into account
that the division Dudley-Evans offers is clearly influenced by that of Strevens3 (1988). This division
is very helpful in resolving arguments about what ESP is and is not, so the revised definition that he
postulates is as follows:
1. Absolute characteristics:
ESP is defined to meet specific needs of the learner;
ESP makes use of the underlying methodology and activities of the discipline it
serves (medicine, computering);
ESP is centred on the language (grammar, lexis, register), skills, discourse and
genres appropriate to these activities.
2. Variable characteristics:
ESP may be related to or designed for specific disciplines;
ESP may use, in specific teaching situations, a different methodology from that of
general English;
ESP is likely to be designed for adult learners, either at a tertiary level institution or
in a professional work situation. It could, however, be for learners at secondary
school level;
ESP is generally designed for intermediate or advanced students;
And finally, most ESP courses assume some basic knowledge of the language
system, but it can be used with beginners (1998: 4-5).
It must be borne in mind that, originally, Strevens postulated a fourth absolute characteristic: ESP
in contrast with General English that is removed in Dudley-Evans version. Instead, the latter has
3
Strevens (1988) originally identified four absolute and two variable characteristics. In contrast, Dudley-
Evans (1998) has improved this division substantially by removing the absolute characteristics that ESP has in
contrast with those of General English.
8/36
added more variable characteristics which assert that ESP is not necessarily related to a specific
discipline and that is likely to be used with adult learners although it could be used with young
adults in a secondary school setting.
2.3.1.2. Main types.
In addition, David Carter (1983) identifies three main types of ESP: English as a restricted
language, English for Academic and Occupational Purposes and finally, English with specific
topics.
1. English as a restricted language.
Mackay & Mountford (1978) illustrated the difference between English as a restricted
language and language as such by saying that knowing a restricted language would not
allow the speaker to communicate effectively in novel situations, or in contexts outside the
vocational environment as normal language does. Yet, restricted language (or also called
special in the sense that the repertoire required is strictly limited) can be accurately
determined situationally, as might be the linguistic needs of a dining-room waiter or an air-
hostess at the international air-traffic control.
2. English for Academic and Occupational Purposes.
The second type identified by Carter (1983) is English for Academic and Occupational
Purposes. In the Tree of ELT (Hutchinson & Waters, 1987), ESP is broken down into
three main branches: (1) English for Science and Technology (EST), (2) English for
Business and Economics (EBE), and (3) English for Social Studies (ESS) where we shall
include two sub-types: (a) English for Art and Design (EAD) and (b) English for Legal
Purposes (ELP).
Each of these subject areas is further divided into two branches: English for Academic
Purposes (EAP) and English for Occupational Purposes (EOP). An example of EOP for the
EST branch is English for Technicians whereas an example of EAP for the EST branch is
English for Medical Studies.
Hutchinson & Waters (1987) do note that there is not a clear-cut distinction between
English for Academic Purposes (EAP) and English for Occupational Purposes (EOP) on
saying that people can work and study simultaneously; it is also likely that in many cases
the language learnt for immediate use in a study environment will be used later when the
students take up, or return to, a job. Perhaps this explains why Carter categorizes EAP and
EOP under the same type of ESP. It seems that Carter implies that the end purpose of both
types are one in the same: employment. Yet, despite the end purpose being identical, the
9/36
means taken to achieve the end is very different indeed in terms of cognitive academic
proficiency vs. basic interpersonal skills.
3. English with specific topics.
4. Finally, in this type of ESP the emphasis shifts from purpose to topic. English with specific
topics is uniquely concerned with anticipated future English needs of, for instance,
scientists requiring English for postgraduate reading studies, attending conferences or
working in foreign institutions. It is in fact an integral component of ESP courses or
programs which focus on situational language which is determined by the interpretation of
results from needs analysis of authentic language used in target workplace settings (i.e.
Language Preparation for Employment in the Health Sciences: students simulation of a
conference, preparation of papers, reading, notetaking, writing; presentation of a business:
market research, pamphlets, creation of logos, websites, power point presentations, etc).
Certainly, a great deal about the origins of English for Specific Purposes could be written, but we
will follow Grices principles so as to introduce a general notion of the historical background which
prepares the ground for next comments on ESP. This specific use of language has long been an
international movement with great strengths in research and teaching in many parts of the world,
including developing countrie s as a commitment to its international responsabilities.
Notably, according to Hutchinson & Waters (1987), there are three main reasons common to the
emergence of all ESP: the demands of a Brave New World, a revolution in linguistics, and a focus
on the learner. They pointed out two key historical periods in ESP: First, the end of the Second
World War, which brought with it an age of enormous and unprecedented expansion in scientific,
technical and economic activity on an international scale for various reasons, most notably the
economic power of the United States in the post-war world (1987:6), so the role of international
language fell to English. Second, the Oil Crisis of the early 1970s resulted in Western money and
knowledge flowing into the oil-ric h countries and, as a result, the language of this knowledge
became English.
1. First, regarding the demands of a Brave New World, we shall point out that the general
effect of all this development was to exert pressure on the language teaching profession to
deliver the required goods. Whereas English had previously decided its own destiny, it now
became subject to the wishes, needs and demands of people other than language teachers
(1987:7).
2. The second key reason cited as having a tremendous impact on the emergence of ESP was a
revolution in linguistics. Whereas traditional linguists set out to describe the features of
language, revolutionary pioneers in linguistics began to focus on the ways in which
10/ 36
language is used in real communication. Hutchinson & Wate rs (1987) point out that one
significant discovery was in the ways that spoken and written English vary. In other words,
given the particular context in which English is used, the variant of English will change, but
this idea was taken one step further. If language in different situation varies, then tailoring
language instruction to meet the needs of learners in specific contexts is also possible.
Hence, in the late 1960s and the early 1970s there were many attempts to describe English
for Science and Technology (EST) on the part of relevant figures such as Ewer and Latorre,
Swales, Selinker and Trimble who were defined as a few of the prominent descriptive EST
pioneers.
3. Finally, the focus on the learner also influenced the emergence of ESP although it is said to
have less to do with linguistics and everything to do with psychology. Rather than simply
focus on the method of language delivery, more attention was given to the ways in which
learners acquire langauge and the differences in the ways language is acquired. Learners
were seen to employ different learning strategies, use different skills, enter with different
learning schemata, and be motivated by different needs and interests. Therefore, focus on
the learners needs became equally paramount as the methods employed to disseminate
linguistic knowledge. Designing specific courses to better meet these individual needs was
a natural extension of this thinking.
2.3.3. Current trends and future directions.
As we have seen, to this day, the catchword in English for Specific Purposes (ESP) circles is
learner-centered or learning-centered since language teaching still relies on cognitive approaches
regarding the learners strategies in language learning. With this background in mind, the ESP
community hopes to grow and flourish in the future since it is vital that the community as a whole
understands what ESP actually represents. Only then, can new members join with confidence, and
existing members carry on the practices which have brought ESP to the position it has in EFL
teaching today.
Perhaps this can stem from the Dudley-Evans definition (1998) given in this study previously but a
more rigorous version is likely to be coming soon. Of course, interested parties are also strongly
urged to attend future conferences on SPE in different universities around the world, which will
certainly focus again on this topic and will provide us with new perspectives and theories on
English for Specific Purposes.
2.4. English for Science and Technology, and English for Business and Administration.
As stated above, when reviewing the main types of English for Specific Purposes, David Carter
(1983) identified three main types of ESP: English as a restricted language, English for Academic
and Occupational Purposes and finally, English with specific topics. Within the second type,
11/ 36
English for Academic and Occupational Purposes, Hutchinson & Waters (1987) identified three
main branches in their Tree of ELT (English for Language Teaching): (1) English for Science and
Technology (EST), (2) English for Business and Economics (EBE), and (3) English for Social
Studies (ESS) where we shall include two sub-types: (a) English for Art and Design (EAD) and (b)
English for Legal Purposes (ELP).
For our purposes, we shall focus on the two first items: English for Science and Technology (EST)
and English for Business and Economics (EBE). As we may observe, the former accounts for the
fields of science and technology whereas the latter accounts for the fields of business and
admin istration (or economics), as it is expressed in the title. So, let us carry out an analysis of each
type of ESP in terms of form, function and main uses.
3. ENGLISH FOR SCIENCE AND TECHNOLOGY (EST).
Chapter 3 will offer then an insightful analysis of English for Science and Technology (EST) in
terms of form, function and main uses, namely following morphological, phonological, syntactic,
semantic and pragmatic guidelines so as to get an overall view of its textual structure regarding
format, technique and content. In order to do so, we shall offer (1) a definition of EST regarding (a)
Scientific and Technical Writing and (b) main constraints. Then we shall analyse the writing style
of scientific and technological texts taking into account how their main constraints affect their
textual structure in terms of (2) types of EST texts from a pragmatic approach (a) regarding the
audience and (b) main purposes; and (3) textual features regarding (a) linguistic devices (content,
mechanics, format: punctuation, la youts, indexes) so as to examine the style of EST texts (grammar,
vocabulary), (b) nonlinguistic devices (gestures and body movements), and (c) the paralinguistic
devices of English for Science and Technology (sounds, illustrations, images, pictures, power point
presentations).
English for Science and Technology (EST) is defined in terms of its main purposes since this
specific use of English aims, in general terms, at communicating specific information about a
scientific or technical subject to a specific audience for a specific purpose as well as resolving a
specified problem or problems. Similarly, in educational terms, it aims at educating students to
retain listening, reading, speaking, writing, and translation skills for future professions in the fields
of Sciences (medicine) and Technology.
3.1.1. Scientific and Technical writing.
12/ 36
In addition, EST is defined as the scientific and technical writing which introduces the reader or
listener (student, professor, manager, engineer, scientist or technician) to the kinds of writing skills
you need in practically any technically oriented professional job. The study of scientific and
technical writing communications is not writing about a specific technical topic such as computers,
electronics, space or medicines, but about any scientific or technical topic. The term technical
refers to knowledge that is not widespread, that is more the territory of experts and specialists in a
particular scientific or technical area. Moreover, whe never you try to write or say anything about
these fields, you are engaged in scientific technical communications.
Hence, its relationship to Science and Technical Writing since writing is an essential skill for the
successful engineer and scientist. As an engineer or scientist, you cannot treat your writing in the
same way that you treat fluid mechanics or organic chemistry. Scientific writing is not a science;
rather, it is a craft. So, before you commit words to paper in an engineering or scientific document,
you must understand the subject matter that you are trying to communicate. Yet, even after you
have a general understanding of your subject, you still should not begin writing until you analyze
your writing constraints, which are those aspects of the writing that you do not control.
3.1.2. EST: main constraints
The notion of constraints is another key element of the definition of scientific and technical
communications and has much to do with style. We may identify three main constraints which
includes the audience, mechanics and the format vs. the style.
1. First of all, the audience refers to the receiver of the information and is the most important
constraint. The writer must decide who his readers are when assessing the writing situation:
scientists or technicians. This consideration is often referred to as the purpose of the document,
either to inform or convince the audience.
2. Secondly, mechanics which comprises grammar, punctuation and usage of English for Science
and Technology and which is closely related to the notion of style (structure, language and
illustration). In other words, mechanics deals with those linguistic, non-linguistic and
paralinguistic resources in a piece of text, that is, textual features (grammar structures,
vocabulary) and graphological devices (punctuation, paragraphs) and style devices (images,
pictures, power point presentations) . Regarding usage, mechanics deals with the pragmatic
field which surveys the purpose of texts.
3. Finally, the format of the document refers to the way you place the type upon the page (the
visual outcome the receiver gets) whereas the style makes reference to the way you express
although in words and images (structure, language and illustration); this section is to be
examined in detail when reviewing the structure of technological and scientific texts in next
chapters.
13/ 36
So, in next sections we shall analyse the writing style of scientific and technological texts taking
into account their main constraints. First, we shall approach EST texts in terms of types (regarding
the audience and main purposes from a pragmatic approach) and secondly, regarding their textual
structure in terms of content: grammar (linguistic approach), body movements (nonlinguistic
approach) and sounds and images (paralinguistic usage of English for Science and Technology).
3.2. EST texts: main types.
Basically, we can distinguish two types of scientific and technological style depending on two main
parameters: first, the audience it is addressed to (technical vs. scientific) and second, the authors
purpose (deductive vs. inductive).
Regarding the audience, the main types of EST texts may be technical vs. scientific. As stated
before, the writer must decide who his readers are when assessing the writing situation: managers,
engineers, scientists or technicians. This consideration is often referred to as the purpose of the
document, either to inform or convince the audience. Then we may refer then two types of audience
depending on this duality, for instance, if an engineer designs an implantable electronics device to
deliver insulin to the human body, the engineer may have two distinct audiences: electrical
engineers (familiar with the electronics but not with diabetes) and on the other hand, medical
doctors (familiar with diabetes, but not with electronics of this device).
Not only were the audiences different in what they knew about the subject, but they also had
different purposes for reading about the design. The electronics engineers would be, for the most
part, curious about the electronics design of the mentioned device whereas the medical doctors
would be interested in whether they could safely use it into patients. For that reason, the engineers
report documenting the design had to be not only informative, but also convincing.
The structure of EST texts, which seek to persuade and convince the audience, cannot be a sequence
of disordered arguments. Yet, it must follow some principles of order regarding the way arguments
are grouped so as to present an organized sequence of selected and reasonable statements which
lead the author to be effective and persuasive. The sequence of argumentation is quite frequent in
essay writing since it is a dialectic form (from classical dialectic and rethoric).
14/ 36
It may be oral or written and is aimed to convince the audience in a reasonable way of a universal
truth, idea or thesis, almost always questionable. The fact of being questionable brings about the
essence of description 4 : to present a number of data and concepts in a logical and progressive order
by showing cohesion between the different aspects of the theme (linking ideas between each
paragraph) for the audience to accept and feel interested in it. We namely identify two types of
structure: deductive and inductive.
(1) On the one hand, the deductive structure deals with an analytic structure in which the thesis
is placed at the beginning of the text. Here the encoder moves from the context to the text,
that is, the thesis is related to a general proposition (cause-effect) which in turn is related to
a particular one which serves as proof. The conclusion then is a logical number of
reasonings.
(2) The inductive structure deals with a synthetic structure in which the thesis is developed
progressively, as propositions that lead to a logical conclusion at the end of the text. In fact,
the structure is similar to the deductive type, but here the encoder moves to particular facts
to general abstractions as the basis of his/her conclusion.
3.3. EST: textual features.
We shall approach the analysis of the main features of EST texts from linguistic, extralinguistic (or
nonlinguistic) and paralinguistic devices which correspond to the constraints of mechanics (content)
and format and style (non-linguistic and paralinguistic devices). EST texts are formed by linguistic
rules, that is, an abstract set of principles that specify the relations between a sequence of sounds
and a sequence of meanings. In this first level of analysis, we find that languages are made up of
four systems, the phonological, the morphological, the syntactic , and the semantic which, taken
together, constitute its grammar, together with lexicon (or specialized vocabulary). Then these
linguistic principles are constrained by cooperative principles ruled by usage patterns which may be
supported by nonlinguistic (format and style) and paralinguistic devices (images, sounds, taste,
tactile).
So, let us analyse the basic textual features in EST texts regarding the linguistic disciplines of
syntax, pragmatics and namely semantics, together with a grammatical approach within the
framework of two standards of textuality: cohesion and coherence. Then we shall start by offering
(1) an analysis of linguistic features (content or mechanics) regarding (a) cohesion in terms of (i)
grammatical, (ii) lexical and (iii) graphological devices; and (b) a brief analysis of coherence
concerning Grices cooperative principles and the notions of turn-taking and adjacency pairs. In
addition, we shall analyse the main (2) nonlinguistic devices (layouts, indexes), as well as (3)
4
Regarding the authors purpose, EST texts namely aim at classifying, illustrating (giving examples),
instructing, analysing and describing.
15/ 36
paralinguistic ones (illustrations, images, pictures, power point presentations, music, mobile phone
melodies).
We may find common features to all text types and specific features for EST texts which will be
reviewed under the linguistic parameters of cohesion and coherence. For present purposes, we will
think about EST texts as a set of complex, organized systems that operate in concert with non-
linguistic and paralinguistic devices so as to present a scientific or technical outcome (a new mobile
phone, computer, medicine, report).
3.4.1.1. Cohesion.
Semantically speaking, the term cohesion concerns the ways in whic h the components of the
of EST texts, all speakers make extensive use of them, for example in order to enhance coherence,
but also for reasons of economy (e.g. articles, object pronouns). Since cohesion is expressed partly
through the grammar and partly through the vocabulary, we find two main types of cohesive
devices considered as general categories of cohesion: grammatical cohesion (substitution, ellipsis,
conjunction, reference) and lexical cohesion (reiteration, collocation) by means of grammatical
categories such as adjectives, nouns, process verbs, connectors and so on.
Thus the concept of cohesion accounts for the essential semantic relations in EST texts:
substitution, ellipsis, conjunction and reference. Note that these items make reference to the
terms anaphora and cataphora, connectors and deixis, quite frequent in this type of texts. It is
relevant to mention first that anaphora, cataphora and deixis will be examined under the
heading of reference, and connectors under the heading of conjunction.
16/ 36
item by another so as not to repeat similar vocabulary (i.e. We are going to launch a new
mobile phone with different functions. Which ones?). This cohesive device can also
function under morphological shape with synonyms (i.e. a brand name, a product, a
invention, a virus); and ellipsis as the omission of an item (i.e. Do think it will be
successful? Yes, I do).
The reference type of grammatical cohesion is another well researched area within EST
texts. It is defined by Halliday & Hasan (1976) as the case where the information to be
(anaphora and cataphora) are always present in ESt texts (i.e. Have you seen my new
mobile? I think so. Is it the one you were using yesterday?). In addition, we must highlight
the universal use of the definite article the (i.e. the atom, the electronic machine).
Conjunction is a relevant relationship with respect to EST texts since connectors establish
the necessary links between ideas and thoughts within the text and, in particular, between
paragraphs (coordination: and, but, although, however, in addition). They indicate how the
subsequent sentence or clause should be linked to the preceding or the following sentence
or parts of sentence.
Connectors play an essential role in EST texts since they reflect cohesion within the
discourse and show a logical and progressive development of the discussion by establishing
different relationships between the presented ideas: summative (i.e. In addition, moreover),
restrictive (i.e. specially, in particular), causal (i.e. because, because of, due to), explanatory
(i.e. I see; yes, I know), previous reference (anaphora: As I said before), consequence (i.e.
Therefore, so, thus), condition (i.e. If, as long as, provided that), and conclusive (i.e. To end
up with, to conclude).
Other grammatical devices involve the use of
(1) specific morphology, as for (a) the use of indicative mood, (b) present tense for
permanent facts, and (c) the use of third person singular as a means of expressing
impersonal facts. We also find the first person plural when it has a collective
meaning.
(2) On the other hand, we find syntactic structures, such as (a) coordinate simple and
complex sentences; (b) enumerative compound sentences; (c) adverbial and
prepositional clauses so as to locate the conditions under which phenomena take
place; (d) conditional sentences, generally in finite and non-finite types (infinitive,
gerund, participle) so as to examine the hypothesis stated; (e) consecutive sentences
so as to establish the consequences or conclusions of a reasoning; (f) impersonal
17/ 36
sentences (i.e. It is said that); (g) passive sentences (i.e. The product was launched
last month); (h) and impersonal passive (i.e. The new mobile phone is said to be a
successful invention); and finally, (i) the use of nominal sentences with infinitives
(i.e. Having an operation is a difficult task); and finally, (j) specific formulae
(apositions: that is, that is to say, in other words).
From a lexical approach, we can determine specific and technical vocabulary which make EST
texts be so clear and precise. Hence this type of texts is namely characterized by
(1) the abundant use of technical vocabulary to refer to scientific and technological
concepts since there is a lexical-associative field closely related to the main
elements, concepts, laws and processes in science and technology. In fact, technical
writing is incorporated to EST by different means:
Greek and Latin etimology (cardiology, photography, cefalopodus, etc).

Loanwords taken from other languages, in particular English (i.e. bites,
container, travelling).
Derivational processes, by adding suffixes and prefixes (i.e. nightology)
and composition (i.e. cristalization, recycle, fluorescence).
By adapting common terms (i.e. cristal, function).
By means of acronyms (i.e. S.I.D.A., U.V.I., U.V.A., N.A.S.A., w.w.w.).
(2) Abstract terms which refer to principles, laws, concepts and processes related to
science (function, equation, derivation) and also, less concrete nouns which
represent elements from the referred reality (human body parts).
(3) The use of verbs which refer to transformation sources, states or processes (i.e. be,
exist, turn into, become). Note that the use of emotive verbs is forbidden (i.e. love,
like, hate).
(4) Abundant specifying adjectives, also called neuters, which aim at qualifying and
delimiting the mentioned nouns (direct, material, sinthetic). Note that we never use
emotive adjectives (i.e. horrible, great, disgusting, beautiful).
(5) A great number of connectors are used in order to link paragraphs (i.e. explicative,
summative, restrictive, opposition, conclusive, etc).
With respect to graphological resources, we are mainly dealing with format and therefore, the
way you place the type upon the page (the visual outcome the receiver gets) as we make
18/ 36
reference to orthography and punctuation, as well as with headings, foot notes, tables of
contents and indexes. The arrangement of type upon the page is the choice of typeface, the
placement of headings, the method of citing references or the arrangement of information into
sections for longer documents (reports), among others. In engineering and science, there is no
universal format although there exist a great variety of them. These are much more detailed
than common ones (double spaced and front side of the paper only) so as to make the reading
process efficient. For instance, in a laboratory report, having all the information follow a
specific sequence makes it easier for readers to locate specific information such as the results.
Rather, companies, journals, and courses select formats to serve their particular audiences,
purposes and occasions. Thus, we may find formats for correspondence (letters and memos),
formal reports (laboratory reports, design reports, progress reports), and other documents
(proposals, instructions, journal articles, and presentations visuals). Moreover, there are general
guidelines for the typography, layouts, and reference citations of documents. But why are
formats in engineering and science so varied?
One reason is identity as a way to distinguish the look of one journal from other scientific
journals. This is achieved by means of using different types of typeface, writing the descriptive
summary in italics on the articles first page and writing the four columns for the articles text,
among others. These visual devices are a signature that helps readers identify the magazine
even when they dont see the masthead. To a lesser extent, companies and laboratories often
want their own look as well.
Some common differences are the hierarchy of headings and the listing of references in
the text. One reason that a format specifies a hierarchy for headings is so that readers
can understand what information in the document is primary and what information is
subordinate. The actual ways to represent these hierarchies vary considerably. Common
ways are different type sizes for the headings, different amounts of white space
surrounding the headings, different typestyles for the headings, and numbering schemes
for different order headings. In still other cases, such as the option of word processors,
the formats call for combinations of these variables.
Given the wide variety of format issues and the even wider variety of options for those
issues, these format guidelines cannot possibly present every format option that we may
encounter in engineering and science. Such a collection would be cumbersome and, in
the end, not particularly helpful. What is important is not that we learn every format
which exists, but that you realize a specified formats exist and that we may choose the
appropriate professional format we need for our situation.
On the other hand, orthography is related to a correct spelling, and in relation to this
term, Byrne (1979) states that the mastery of the writing system includes the ability to
spell. This device covers different word categories, but mainly, rules of suffixation,
prefixation, and addition of verbal markers as gerunds, past tenses or third person
singular in present tenses. The importance of correct spelling is highlighted when Byrne
19/ 36
says that most of us are obliged to consult a dictionary from time to time so as not to be
indifferent to misspelling. Therefore, students are encouraged to acquire the habit of
consulting a dictionary in order to ensure an adequate mastery of spelling.
Finally, according to Quirk et al (1972) punctuation serves two main functions. Firstly,
hyphens, brackets and the use of interrogative and exclamative marks. It is worth
noting that punctuation has never been standardised to the same extent as spelling, and
as a result, learners tend to overlook the relevance of punctuation when producing a
text.
In fact, as people speak, oral devices such as nodding, gestures, facial expressions or the way of
looking become essential in the communicative exchange since the physical outcome is very
important to establish communication. For instance, if we are to describe a new kind of prehistoric
animal, our sight will get an overall description just by looking at it. Yet, when writing a scientific
report, all this visual information must be substituted by a given enumeration of statements which
describe the finding in detail. Then when writing, we must present the physical outcome in an
appropriate format for our readers, where the format becomes essential in our presentation
(punctuation, layouts, indexes).
4. Phonological devices.
Finally, we shall also mention the role of phonology. Note that in oral interactions we face
another type of cohesive features since written devices are substituted by, first, a falling
intonation in statements so as to highlight the discourse referential function and, second, the
absence of exclamative and persuasive intonation.
3.4.1.2. Coherence.
whole, expressing relations of closeness, time or location between its concepts and sentences. A
condition on this continuity of sense is that the connected concepts are also related in the real world
and that the speakers identify these relations through the structure, language and illustrations of the
text, that is, the style (Alley, 1996).
20/ 36
and between sentences, which the reader must interpret. These markers are defined as all the
devices which are needed in writing in order to produce a text in which the sentences are coherently
organised so as to fulfil the writers communicative purpose: to ommunicate specific information
about a scientific or technical subject to a specific audience for a specific purpose (educational or
professional).
Hence we find a relevant coherent device in EST texts: the Griceans cooperative principles under
the form of four conversational maxims. The English language philosopher H. Paul Grice (1969)
termed the Cooperative Principle by making their messages conform to four general rules or
maxims where speakers/writers shape their utterances to be understood by readers/hearers. Thus,
the maxims are quality, quantity, relation and manner: first, quality envisages messages to be
truthful; quantity, by means of which messages should be as informative as is required, but not
more informative; relation, for messages to be relevant; and manner, where messages should be
clear, brief and orderly. These four maxims apply perfectly to scientific and technical reports which
must be clear, organized, informative and objective.
voluntarily. For instance, when we are to buy a mobile phone, instructions are usually given face-to-
face together with a set of body movements so as to show its functions.
As we can see, conversational speech is often accompanied by gesture, and the relation of these
hand movements to the speech are usually regarded as communicative devices whose function is to
amplify or underscore information conveyed in the accompanying speech, for our purposes,
scientific or technological. Gestures are then, to be classified in different types: hand signs (press
here), batons (repetitive rhythmic hand movements coordinated with sentence prosody by using
head and shoulders), gesticulations, representational gestures, or lexical movements in order to
describe things like size, strength or speed.
We may also find facial expressions which deal with an automatic response to an internal state
although they can be controlled voluntarily to a considerable extent, and are used in social situations
to convey a variety of kinds of information (Internet icons: smiling and happiness; Sciences at
school: body parts face smile vs. laugh vs. grice). In relation to gaze direction, a variety of kinds
of significance has been attributed to both the amount of time participants spend looking at each
other at conferences, meetings or in classroom settings as a way to express the communicators
social distance.
21/ 36
tract are possible by means of paralanguage, such as whistling or musical effects. When we refer to
non-verbal or paralinguistic communication, visual and tactile modes are concerned. They may be
used for a variety of linguistic purposes such as the use of sign languages. For instance, the receiver
may get the message by sound (i.e. the last trends in mobile phones with incorporated melodies,
personal voice), by sight (morse, space signals, images, photos) or by touch (the Braille alphabet of
the blind, secret codes, tactile computer screens).
4. ENGLISH FOR BUSINESS AND ECONOMICS.
Similarly to the previous chapter, Chapter 4 will offer an insightful analysis of English for Business
and Economics (EBE) in terms of form, function and main uses. In order to do so, we shall follow
the same structure as the previous one. So, we shall offer (1) a definition of EBE regarding (a)
Business and Administrative Writing and (b) main constraints. (2) types of EBE texts from a
pragmatic approach and (3) textual features regarding (a) linguistic devices (content, mechanics,
format: punctuation, layouts, indexes) so as to examine the style of EBE texts, (b) nonlinguistic
devices (gestures and body movements), and (c) the paralinguistic devices of English for Business
and Economic s (sounds, images).
4.1. On defining EBE.
English for Business and Economics (EBE) is defined in terms of its main purposes since this
specific use of English aims, in general terms, at communicating specific information about a
business or administrative subject to a specific audience for a specific purpose. Similarly, in
educational terms, it aims at educating students to retain listening, reading, speaking, writing, and
translation skills for future professions in the fields of Business and Administration (Economics).
On the one hand, Business English is aimed at the non-native speakers of English for them to
communicate successfully in English in their daily business life. Learners will be introduced to
business practices and situations they commonly encounter at work (i.e. phone conversations,
meetings, sales presentations and writing business letters). Business English subjects will be
presented by means of language skills for learning English (such as conversation or writing), and
the different areas of language (such as vocabulary and grammar) in a business context. In addition,
learners will learn the correct vocabulary and expressions you need for different business situations
22/ 36
(marketing, general secretarial skills, practical commercial English, computer science, international
business representative, journalism, tourism, international interpreter, etc). Thus, business language
will be integrated into general English conversation and hence, its relationship with dialogic and
written texts rega rding format (i.e. letters, faxes, reports).
On the other hand, Administrative English (or more techically defined English for Economics) is
quite similar to Business English since they share the same purposes. Yet, English for
Administrative purposes is aimed at improving the competence in speaking and writing English in a
professional and social context for administrative and management purposes in different fields (i.e.
language (linguistics), trade, services, professional, educational and health). These different fields
provide participants with the opportunity to actively work on everyday language for international
contacts, writing letters, faxes, e-mails and reports, for taking part in meetings, and making
presentations. Written and oral language feedback is given as and when necessary.
4.1.1. Business and Economics Writing.
In addition, EBE (as EST) is defined as the technical writing which introduces the reader or listener
(student, professor, manager) to the kinds of writing and speaking skills we need in practically any
technically oriented occupational field. Hence, its relationship to Business and Administrative
Writing since writing and speaking are presented as essential skills for the successful businessman
or office assistant. Yet, even after you have a general understanding of the subject (audio and video
studio lab multimedia Internet classroom, phonetic interactive software, translation, business letters
vs. friends letters), you still should not begin writing until you analyze your wr iting constraints,
which are the same as for EST.
4.1.2. EBE: main constraints.
As stated before, the notion of constraints is another key element of the definition of scientific and
technical communications and has much to do with style, by means of which we may identify three:
the audience, mechanics and the format vs. the style.
1. First of all, the audience refers to the receiver of the information and is the most important
constraint. The writer must decide who his readers are when assessing the writing situation:
tour guide, translator, flight attendant, secretary. This consideration is often referred to as
the purpose of the document: accountability, reporting, program evaluations, administrative
decisions which affect the future of individuals.
2. Secondly, mechanics which comprises grammar, punctuation and usage of EBE and which
is closely related to the notion of style (structure, language and illustration). In other words,
mechanics deals with language purposes (to apply for a job, order a bank account, program
a computer, translate a text) which are to be developed thanks to grammar structures and
23/ 36
specific lexis (complaints, administrative English: letter, envelope, index, layout, etc). In
addition, we find non-linguistic (body movements) and paralinguistic resources (sound,
images) which prove essential in business and administrative affairs (shaking hands as a
sign of agreement and power point presentations with an advert budget, respectively).
3. Finally, the format of the document refers to the way you place the type upon the page
(the visual outcome the receiver gets) which proves crucial to write letters or present reports
in business affairs.
So, in next sections we shall analyse the writing style of scientific and technological texts taking
into account their main constraints. First, we shall approach EBE texts in terms of types (regarding
the audience and main purposes from a pragmatic approach) and secondly, regarding their textual
structure in terms of content: grammar (linguistic approach), body movements (nonlinguistic
approach) and sounds and images (paralinguistic usage of English for Business and Economics).
4.2. EBE texts: main types.
Basically, we can distinguish two types of business and administrative texts depending on two main
parameters: first, the audience it is addressed to and second, the authors purpose.
Regarding the audience, the main types of EBE texts are namely aimed at Advanced Study such as
Technical University, Technical College, or Graduate School, and Study abroad. Then EBE texts
may be framed within (1) the language field (Applied Linguistic courses): journalism English,
tourism English, English teaching studies, translator, international meeting oral interpreter, etc; (2)
trade field: secretary, international business representative; (3) service field: tour guide, flight
attendant, travel industry services, shipping industry representative, hotel and restaurant
management; (4) Professional Courses (i.e. Economics, Computer Science, Information
Management, and General Secretarial Skills; (5) education field: kindergarten and elementary
English teacher; and finally, (6) in hospital technology field: medical office assistant.
The structure of EBE texts seeks to enhance the students active learning in listening, reading,
speaking, writing and translating skills so as to apply this learning to their own work and monitor
their own progress. The active learning is usually connected with any of the fields mentioned above.
24/ 36
4.3. EBE: textual features.
As we did with EST text, we shall approach the analysis of the main features of EBE texts from a
written and oral perspective following linguistic, extralinguistic (or nonlinguistic) and paralin guistic
guidelines, which correspond to the constraints of mechanics (content) and format and style. It must
be borne in mind the relevance of format within written texts (letters, reports) as well as
conversational studies in oral interactions. So, let us analyse the basic textual features in EBE texts
regarding the linguistic disciplines of syntax, pragmatics and namely semantics, together with a
grammatical approach within the framework of two standards of textuality: cohesion and coherence.
We shall start by offering (1) an analysis of linguistic features regarding (a) cohesion in terms of (i)
grammatical, (ii) lexical and (iii) graphological devices (format); and (b) a brief analysis of
coherence concerning Grices cooperative principles and the notions of turn-taking and adjacency
pairs regarding dialogic texts. In addition, we shall analyse the main (2) nonlinguistic devices as
well as (3) paralinguistic ones.
EBE texts which will be reviewed under the linguistic parameters of cohesion and coherence in oral
and written texts. For present purposes, we will think about EBE texts as a set of complex,
organized systems that operate in concert with non-linguistic and paralinguistic devices so as to
present a business or administrative outcome (letter, report, business meeting, sales conversation).
4.4.1.1. Cohesion.
textual reference: the semantic one (meanings), the lexicogrammatical (morphological forms,
grammar and vocabulary) , the graphological (format, orthography and punctuation) and the
phonological (intonation, rhythm).
1. Grammatical devices.
Thus the concept of cohesion accounts for the essential semantic relations in EBE texts (the
same as for EST texts): substitution, ellipsis, conjunction and reference (see previous notes on
it) in both oral and written texts. Yet, other grammatical devices involve the use of
a. specific morphology, as for the use of third person singular when addressing
individuals and also, f irst person plural when it has a collective meaning.
25/ 36
b. On the other hand, we find syntactic structures, such as (a) brief sentences, (b) the
use of active voice rather than passive voice, (c) the use of nominal sentences with
infinitives (i.e. Having considered your proposition,...); and (d) specific formulae
(letters, bank accounts, translators, computers).
c. Combination of sentences in a brief way. Word order plays an important role in
readability. It is generally desirable to keep subject and verb together, and to make
sentences relatively brief.
d. Linking and punctuation are crucial for the reader to be able to establish the
relationships between ideas and structures of the text.
From a lexical approach, we can determine specific and technical vocabulary which make EBE
texts be so clear, simple, concise and positive . Hence this type of texts is namely characterized
by
a. the abundant use of positive vocabulary (where possible) so as to avoid negative

associations (i.e. blame, wrong, complaint, never, impossible, fault). Abstract terms
which refer to principles, laws, concepts and processes related to science (function,
equation, derivation) and also, less concrete nouns which represent elements from
the referred reality (human body parts).
b. The use of simple and concise words.
c. Specific formulae in letters, when writing headings, salutation, body, farewell and
signature.
With respect to graphological devices, we are mainly dealing with format, which is crucial in
writing letters or reports. It is the arrangement of type upon the page that makes us recognize
the business and administrative letters (in formal or informal style ): (1) the placing of address
on the top right-hand corner; (2) the date is immediately below the address; (3) the recipents
name and address on the left-hand side of the page, just below the date (in formal letters only);
(4) use Dear Sir/Madam only when you dont know the persons name in salutations; (5) begin
the letter on the left-hand side, next to the margin; (6) in a handw ritten letter each paragraph
must be indented (by starting a little way inside the margin); (7) the body must include the
purpose of the letter and information about it (complaint, greetings, acknowledgements,
appointment), for instance, Im writing to express my deep concern about... or I must draw
your attention to the fact that...; (8) a short final sentence must be written on a separate line
before the ending (i.e. Im looking forward to hearing from you); (9) the subscription, nearly
the end of the letter, must be Yours faithfully if you began with Dear Sir (unknown
addressee) or Yours sincerely is you began with Dear Mr X (formal letters). Yet, in informal
26/ 36
letters, we use Yours, Best wishes or Love depending on how well we know the other
person; finally, (10) the signature must introduce the name of the writer and his full position in
the company should appear below the signature (i.e. Manager, Headmaster, Secretary).
On the other hand, orthography is related to a correct spelling, and in relation to this term,
Byrne (1979) states that the mastery of the writing system includes the ability to spell. This
device covers different word categories, but mainly, rules of suffixation, prefixation, and
addition of verbal markers as gerunds, past tenses or third person singular in present tenses. The
importance of correct spelling is highlighted when Byrne says that most of us are obliged to
consult a dictionary from time to time so as not to be indifferent to misspelling. Therefore,
students are encouraged to acquire the habit of consulting a dictionary in order to ensure an
adequate mastery of spelling .
Finally, according to Quirk et al (1972) punctuation serves two main functions. Firstly, the
secondly, the specification of language function (as when an apostrophe indicates that an
inflection is genitive). Moreover, punctuation is concerned with purely visual devices, such as
capital letters, full stops, commas, inverted commas, semicolons, hyphens, brackets and the use
of interrogative and exclamative marks. It is worth noting that punctuation has never been
standardised to the same extent as spelling, and as a result, learners tend to overlook the
Regarding the linguistic level in oral discourse, the phonological system is involved and is
concerned with the analysis of acoustic signals into a sequence of speech sounds, thus
consonants, vowels, and syllables. At the this level, we find certain prosodic elements which
provide us with information about the oral interaction. Thus, stress, rhythm and intonation.
Regarding stress, it is present in an oral interaction when we give more emphasis to

some parts of the utterance than to other segments. It is a signalling to make a syllable
stand out with respect to its neighbouring syllables in a word or to the rest of words in a
longer utterance. We may establish a distinction between two types of stress markers,
thus primary stress and secondary stress within the same word. Primary stress is the
main marker within the word and secondary stress is a less important marker.
Foreign language learners must be concerned with the relevant role of primary stress, as
a change of stress within a word may change the whole meaning of it. For instance, a
word like record may change its meaning from verb to noun if a student does not apply
27/ 36
the righ primary stress on it.The concept of emphasis is closely related, then, to stress.
Emphasis is essential in an oral exchange of information as it gives the message a non-
literal meaning, providing foreign language students with a choice to highlight the
information they may consider important at the speaking act.
Another important element which characterizes oral interaction is rhythm, which is

determined by the succession of prominent and non-prominent syllables in an utterance.
We will observe a quick and monotonous rhythm if prominent and non prominent
syllables take place in short equal units of time, though not easy to find in authentic
speech. On the contrary, rhythm will be inexistent and chaotic if longer and irregular
units of time take place in an utterance or speech act.
Then, we may observe that the term establishes a relationship between accents and
pauses, which, used properly, contribute to keeping attention by allowing voice
inflection, change of intonation and change of meaning. Pauses may be characterized
by being predictable or not with a rhythm group. Thus, they coincide the boundaries of
the rhythm groups by fitting in naturally, or break them as it happens in spontaneous
speech. Predictable pauses are, then, those required for the speakers to take breath
between sentences or to separate grammatical units, and unpredictable pauses are those
brought about by false starts or hesitation.
The third prosodic element is intonation which is characterized in general terms by the
rising and falling of voice during speech, depending on the type of utterance we may
produce. In case of statements, we will use falling intonation whereas in questions we
use rising intonation. As we will see, intonation and rhythm play an important role
when expressing attitudes and emotions.As a general rule, speakers use a normal
intonation when taking part in an oral interaction, but depending on the meaning the
speakers may convey, they will use a different tone within the utterance. The tone is
responsible for changes of meaning or for expressing special attitudes in the speaker,
such as enthusiasm, sadness, anger, or exasperation. Three types of intonation are
involved in a real situation. Thus, falling and rising tones, upper and lower range tones,
and wide and narrow range of tones. Respectively, they refer first, to certainty,
determination or confidence when we use falling tones in order to be conclusive
whereas indecision, doubt and uncertainty is expressed by means of rising tones to be
inconclusive. Secondly, excitement and animation on the part of the speaker is
expressed by upper range tones whereas an unanimated attitude corresponds to lower
ranges. Finally, in order to express emotional attitudes, we use a wide range of tone
whereas in order to be unemotive, we rather use a narrow range tone.
28/ 36
4.4.1.2. Coherence.
Coherent markers are defined as all the devices which are needed in writing or speaking in order to
communicative purpose (to do business, to complain, to convince consumers to buy a product). Yet,
since business and administrative affairs are often face-to-face or phone conversations, we shall
concentrate on the devices that work in oral interaction rather than in writing. Hence we may
establish three main coherent devices: the interlocutors cooperative principles under the form of
four conversational maxims, and the notions of turn-taking and adjacency pairs in conversational
analysis.

relevant; and manner, where messages should be clear, brief and orderly.

was trying to contribute.
enough not to continually interrupt you. The best example of this occurs in the Hous es
29/ 36
taking.
cacophany of competing voices in a large crowd.

This infinity of responses is what makes language so entertaining, and in the above
conclude that the cues are not as important as once imagined - we manage without the m
30/ 36
Yet, we cannot forget that speaking on the phone is an essential part of business life and may brind
advantages as well as disadvantages. On the one hand, we can see face -to-face the other interlocutor
and therefore establish an immediate and personal contact, which guarantees the possibility of
creating a positive (or negative) impression of efficiency, reliability and professionalism. On the
other hand, when we use the phone we do not handle nonlinguistic and paralinguistic parameters
which help face-to-face interaction (gestures, body movement, physical appearance, interjections ).
Actually, we may obtain the opposite effect when using the phone badly.
In terms of functional language, we may establish a sequence of functions inherent to a phone call,
such as greeting, identifying oneself, asking to speak to someone, explaining the purpose of the call,
sharing understanding (by means of paralinguistic signals), thanking or ending the call. We may
also distinguish between formal, informal and friendly registers and highlight the relevance of
maintaining clarity and politeness at all times so as to avoid misunderstandings (interrupting the
other person, imposing your ideas, etc). We must, however, realize how important these functions
are for students in their future professional and personal lives.
As we have just mentioned, when we speak, we often nod our heads, change our body postures and
make gestures and facial expressions, as well as redirecting the focus of gaze. Although these
behaviors are not linguistic by a strict definition of that term, their close coordination with the
speech they accompany suggests that they are relevant to an account of language use, and also, can
occur apart from the context of speech, spontaneous or voluntarily.
1. Gestures are usually regarded as communicative devices in conversational speech whose

function is to amplify or underscore information conveyed in the accompanying speech.
According to one of the icons of American linguists, Edward Sapir, people respond to
gesture with extreme alertness, in accordance with an elaborate and secret code that is
written nowhere, known to none, and understood by all (Sapir, 1921). Gestures are then, to
be classified in different types, such as
emblems or symbolic gestures as essentially hand signs with well established

meanings (thumbs-up and V for victory, pointing, denial, and refusing).
simple and repetitive rhythmic hand movements coordinated with sentence
prosody, called batons , as using head and shoulders.
31/ 36
Also, unplanned gestures that accompany spontaneour speech, called
gesticulations, representational gestures, or lexical movements, related to semantic
content of speech in order to describe things like size, strength or speed.
2. Concerning facial expression , it deals with an automatic response to an internal state

although they can be controlled voluntarily to a considerable extent, and are used in social
situations to convey a variety of kinds of information (smiling and happiness). Changes in
addressees facial expressions allows the addressee to express understanding concern,
agreement, or confirmation where expressions such as smiles and head nods as considered
as back-channels (i.e. agreement, disagreement).
3. In relation to gaze direction, a variety of kinds of significance has been attributed to both
the amount of time participants spend looking at each other, and to the points in the speech
stream at which those glances occur, such as staring, watching, peering or looking among
others. As proximity, body-orientation or touching, gazing may express the communicators
social distance, by means of looking up to or looking down to.
And finally, paralinguistic devices (sounds, images, vocal quality) are also closely related to EBE
texts since it is the primary medium by which language is expressed although it is considered
nonverbal. It must be borne in mind that speech contains a good deal of information that can be
non-verbal and that is possible by means of paralanguage , such as whistling, musical effects or
images. Also, the speakers voice may transmit so much self-assurance that it may be a tool for
marketing (i.e. convincing the audience to buy as a marketing campaign).
1. Transient changes in vocal quality provide information about changes in the speakers
internal state, such as hesitation or interjections. Changes in a speakers affective states
usually are accompanied by changes in the acoustic properties of his or her voice (Krauss
and Chiu 1993), and listeners seem capable of interpreting these changes, even when the
quality of the speech is badly degraded, or the language is one the listener does not
understand.
2. When we refer to non-verbal or paralinguistic communication, visual and tactile modes are
also concerned. They may be used for a variety of linguistic purposes such as the use of
sign languages. For instance, the receiver may get the message by sound (a specific song in
a new advertisement: positive effects), by sight (appealing colours for food products,
attractive people for sport clothes in advertisements) or by touch (smooth velvet, computer
keyboard for blind people ).
32/ 36
According to Hedge (2000), since the introduction of communicative approaches, the ability to
communicate effectively in English has become one of the main goals in European Language
Teaching. The Council of Europe (1998), in response to the need for international co-operation and
professional mobility among European countries, has recently published a document, Modern
languages: Learning, Teaching, Assessment. A Common European Framework of reference, in
which the acquisition of communicative and pragmatic competence in a second language is
emphasised. Both contributed strongly to the development of the communicative classroom,
increasing the emphasis on teaching the spoken and written language.
Similarly, the Spanish Educational System states (B.O.E. 2002) that there is a need for learning a
foreign language in order to communicate with other European countries, and a need for
emphasizing the role of a foreign language which gets relevance as a multilingual and multicultural
identity. Within scientific, technological, business and administrative contexts, getting a proficiency
level in a foreign language implies educational and professional reasons which justify the presence
of foreign languages in the curricula at different educational levels (i.e. Technical University,
Technical College, Graduate School).
It means to have access to other cultures and customs as well as to foster interpersonal relationships
which help individuals develop a due respect towards other countries, their native speakers and their
culture. This sociocultural framework allows learners to better understand their own language, and
therefore, their own culture. The European Council (1998) and, in particular, the Spanish
Educational System within the framework of the Educational Reform, establishes a common
reference framework for the teaching of foreign languages, and claims for a progressive
development of communicative competence in a specific language. Students, then, are intended to
be able to carry out several communication tasks with specific communicative goals within specific
contexts. For our purposes, the learning of how to write and speak in scientific, technological,
business and administrative contexts is provided within the framework of social interaction,
personal, professional or educational fields.
Therefore, in order to develop the above mentioned communication tasks in our present educational
system, a communicative competence theory includes the following subcompetences. Firstly, the
linguistic competence (semantic, morphosyntactic and phonological). Secondly, the discourse
competence (language functions, speech acts, and conversations). Thirdly, the sociolinguistic
competence (social conventions, routines and formulaic speech, communicative intentions, and
registers among others). Fourthly, the strategic competence will be included as a subcompetence of
communicative competence within this educational framework. So far, students will make use of
this competence in a natural and systematic way in order to achieve the effectiveness of
communication through the different communication skills, thus, productive (oral and written
communication), receptive (oral and written comprehension within verbal and non-verbal codes),
and interactional.
33/ 36
Although students recognize the importance of developing communicative skills in the target
language, they often have a passive attitude towards speaking in the classroom. Students generally
have fewer problems in taking short turns, since they are required to give minimal responses to
participate in a conversation with the teacher or classmates based on simple exchanges. They tend
to be reluctant, however, to expose themselves in the classroom, making it very difficult to get them
to speak at any length. The main concern derives from the problem of how to actually get learners
use (by speakin g and writing) English for Science, Technology, Business and Economics in a
meaningful way in the classroom.
But how? In class, we can do composition, technical writing ans science report sections. Thus
teaching skills are mainly based on a knowledge-building method used in discussing the reading
material (reading for gist or details, reading comprehension error checking), grammar (grammatical
structures, grammar exercises and error checking, brainstorming team discussion), vocabulary
(reviews, vocabulary buiding exercise and error checking); and listening through listening
comprehension exercises and error checking.
6. CONCLUSION.
This study has presented some of the most important aspects of writing and speaking in the world of
science, technology, business and administration, in other words, the kind of writing that scientists,
doctors, computer specialists, goverment officials, engineers, and other such people do as a part of
their regular work. To learn how to write effectively for the world of work, we have examined
common types of texts (EST and EBE) in terms of main types, main textual features and structure
and some techniques for producing professional business letters so as to learn how to write a
resume, informational abstracts and technical or science reports.
Moreover, to produce this type of discourse, students are expected to handle specific discourse,
syntax and structural devices. Thus discourse is the formal treatment of a subject in speech or
writing. Syntax is the application of words or phrases in developing sciences, and structural
structures are methods of organizing ideas and concepts in speech and writing.
There are hidden influences at work beneath the textual surface: these may be sociocultural, inter
and intratextual, or ecological. Our students are expected to discover these, and wherever necessary
apply them in further examination. The main aims that our currently educational system focuses on
are mostly sociocultural, to facilitate the study of cultural themes, as our students must be aware of
their current social reality within the European framework.
We may observe that dealing with EST and EBE texts is not just a linguistic matter to be developed
in the classroom setting; on the contrary, defending our personal point of view about a current issue
enables us to carry out everyday performances which prove essential in our current society, for
34/ 36
instance, when writing formal and informal letters, complaints, advertising issues, conversation in
shops (seller-customer), and so on.
The role of EST and EBE texts in present society is emphasized by the increasing necessity of
learning a foreign language as we are now members of the European Community, and as such, we
need to communicate with other countries at oral and written levels by means of phone
conversations, business meetings, sales and writing business letters. Written patterns are given an
language speakers find their confidence threatened through the diversity of registers and text types,
in particular, scientific, technological, business and administrative texts that make up the first
language speakers day to day interaction. Language represents the deepest manifestation of a
culture, and peoples values systems, including those taken over from the group of which they are
part, play a substantial role in the way they use not only their first language but also subsequently
acquired ones.
35/ 36
7. BIBLIOGRAPHY.
Alley, M. 1996. The Craft of Scientific Writing. Harmondsworth: Penguin.


Carter, David. 1983. Some propositions about ESP. The ESP Journal, 2, 131-137.
Dudley-Evans, Tony. 1998. Developments in English for Specific Purposes: A multi-disciplinary approach.
Esser, J. 1991. Text-Type as a Linguistic Unit. Anglistentag, Marburg.

Hedge Tricia (2000) Teaching and Learning in the La nguage Classroom (OUP).
Hutchinson, Tom & Waters, Alan. 1987. English for Specific Purposes: A learner-centered approach.
Mackay, R., & Mountford, A. 1978. English for Specific Purposes: A case study approach. London:
Longman.
Strevens, P. 1988. ESP after twenty years: A re-appraisal. In M. Tickoo (Ed.), ESP: State of the art.
Longman.
Virtanen, T. 1992. Issues of Text Typology: Narrative, a Basic Type of Text? Text 12.2; 293-310.
Werlich, Egon. 1975. Typologie der Texte: Entwurf eines textlinguistischen Modells zur Grundlegung einer
Textgrammatik. Heidelberg: Quelle & Meyer.
36/ 36
UNIT 39
DISCOURSE ANALYSIS STRATEGIES.

OUTLINE
1. INTRODUCTION.
2. A THEORETICAL FRAMEWORK FOR DISCOURSE ANALYSIS STRATEGIES.
2.1. The concept of discourse.

2.1.1. On defining discourse .
2.1.2. Main types.
2.1.2.1. Oral vs. written.
2.1.2.2. Formal vs. informal.
2.1.3. Discourse and communicative context.
2.2. The concept of discourse analysis.
2.2.1. On defining discourse analysis.
2.2.2. Main types.
2.2.3. Related notions.
2.2.3.1. The notion of cohesion.
2.2.3.2. The notion of coherence.
2.2.3.3. Pragmatics, discourse analysis and language teaching.
2.3. The concept of strategies.
2.3.1. On defining communicative strategies.
2.3.2. A typology of language learning strategies.
3. DISCOURSE ANALYSIS STRATEGIES.
3.1. On defining discourse analysis strategies.

3.2. Discourse and strategic competence.
3.3. A typology of strategies on discourse analysis.
3.4. The analysis and articulation of discourse.
3.4.1.1. Cohesion: formal links.
3.4.1.2. Coherence: contextual links.
3.4.2. Nonlinguistic devices.

5. CONCLUSION.
6. BIBLIOGRAPHY.
1/38
1. INTRODUCTION.
The main aim of Unit 39 is to examine discourse analysis strategies, that is, the main strategies that
come into force in discourse analysis. Our aim then is to link the notions of discourse, discourse
analysis and communicative strategies to its importance in society, and especially, in the language
teaching community, from its origins to present-day studies. So we shall offer a broad account in
descriptive terms of how communication events occur in both spoken and written forms, and how
listeners and reader interpret the messages they receive in a social, cognitive and linguistic context.
This presentation will start by offering the most relevant bibliography in this field as a reference for
the reader, and by presenting our study in five main chapters.
Chapter 2 will be divided then into three main sections which correspond to the three mentioned
concepts. Therefore, the first one will offer an approach to (1) the term discourse by offering (a) a
definition, (b) main types: (i) oral vs. written discourse and (ii) formal vs. informal discourse, and
(c) its relationship with the communicative context in pragmatic terms; then, we shall examine (2)
discourse analysis by offering (a) a definition and (b) related notions such as (i) cohesion, (ii)
coherence and (iii) the relationship between pragmatics, discourse analysis and language teaching..
Finally, we shall examine (3) the notion of strategies within the educational field and again we
shall offer (a) a definition of the term strategies in relation to language teaching and its (b) main
types, from which we shall get the concept of discourse analysis strategies.
Chapter 3 shall approach the analysis of discourse strategies by (1) defining discourse analysis
strategies, analysing (2) discourse and strategies in terms of competences, by offering (3) a
typology of strategies on discourse analysis and approaching (4) the analysis and articulation of
discourse by offering (a) an analysis of linguistic features regarding (i) cohesion (formal links) in
terms of grammatical, lexical, phonological and graphological devices; and (ii) an analysis of
coherence (contextual links) concerning language functions, Grices cooperative principles and the
notions of turn-taking and adjacency pairs, among others. In addition, we shall analyse the main (b)
nonlinguistic devices as well as (c) paralinguistic ones.
2/38
regarding the main strategies to analyse discourse. So, we shall examine the model for a
Communicative Approach which is considered to be a basis for discourse analysis and new
directions in this respect. Chapter 5 will offer a conclusion to broadly overview our present study,
and Chapter 6 will include all the bibliographical references used to develop this account of
discourse analysis strategies.
An influential introduction to the analysis of discourse is based on relevant works of Cook,

Discourse (1989); van Dijk, Text and Context (1984) and Studies in the Pragmatics of Discourse
(1981); Brown and Yule, Discourse Analysis (1983); and Olshtain & Celce-Murcia , Discourse and
Context in Language Teaching (2001). Moreover, notes on the analysis and articulation of discourse
are namely taken from Beaugrande and Dressler, Introduction to Text Linguistics (1988); still
indispensable, Halliday and Hasan, Cohesion in English (1976); Leech & Short, Style in Fiction
(1987); Moody, Literary Appreciation (1987) and Cook, Discourse (1989).
Classic works on the influence of semantics, pragmatics and sociolinguistic on discourse analysis,
include van Dijk, Studies in the Pragmatics of Discourse (1981); Hymes, Communicative
Competence (1972) and Foundations in Sociolinguistics: An Ethnographic Approach (1974);
Halliday, Explorations in the Functions of Language (1975) and Spoken and Written Language
(1985); and Searle, Speech Act (1969). The contributions on strategies in discourse analysis is
namely drawn from Faerch & Kasper, Strategies in Interlanguage Communication (1983); Ellis,
Understanding Second Language Acquisition (1985); Wenden & Rubin, Learner Strategies in
Language Learning (1987); Richards & Platt, Longman Dictionary of Language Teaching and
Applied Linguistics (1992); Hismanoglu, Language Learning Strategies in Foreign Language
Learning and Teaching (2000); and Murphy, On Teaching Communicative Strategies in the
Classroom (2003).
3/38
communicative competence (1972); Hedge Tricia, Teaching and Learning in the Language
Classroom (2000); Widdowson, Teaching Language as Communication (1978); and Rivers,
Teaching Foreign-Language Skills (1981).
In addition, the most complete record of current publications within the educational framework is
provided by the guidelines in B.O.E. (2002); the Council of Europe, Modern Languages: Learning,
Teaching, Assessment. A Common European Framework of reference (1998); Hedge Tricia,
Teaching and Learning in the Language Classroom (2000); and Olshtain & Celce-Murcia,
Discourse and context in language teaching (2001).
2. A THEORETICAL FRAMEWORK FOR DISCOURSE ANALYSIS STRATEGIES.
Before analysing discourse analysis strategies, it is essential to conceptualize the three concepts
involved in this notion, that is, discourse, discourse analysis and its relationship with the term
strategie s. So, we shall offer a theoretical framework so as to define these notions and examine
several key concepts involved in their definition.
Chapter 2 will be divided then into three main sections which correspond to the three mentioned
concepts. Therefore, the first one will offer an approach to (1) the term discourse by offering (a) a
definition, (b) main types: (i) oral vs. written discourse and (ii) formal vs. informal discourse, and
(c) its relationship with the communicative context in pragmatic terms ; then, we shall examine (2)
the concept of discourse analysis by offering (a) a definition, (b) main types and (c) related notions
such as (i) cohesion, (ii) coherence and (iii) the relationship between pragmatics, discourse analysis
and language teaching. Finally, we shall examine (3) the notion of strategies by offering (a) a
definition of the term strategies in relationto language teaching and (b) a typology of language
learning strategies.
4/38
2.1. The concept of discourse.
2.1.1. On defining discourse.
The term discourse comes into force when we deal with the highest grammatical level of analysis in
the rank scale, that is, paragraphs and texts in oral or written texts. Cook (1989:6) defines
discourse as language in use, for communication and Crystal (1992:25) as a continuous stretch
of language larger than a sentence, often constituting a coherent unit. In both definitions, language
does not occur in solitary words or sentences (simple, complex and compound) in grammatical
terms, but in sequences of sentences, that is, utterances in terms of meaning and use in connected
discourse which go beyond the sentence into the level of paragraphs and texts.
The term discourse traces back to Latin discursus which means a conversation. In general, it refers
to a talk, conversation, dialogue, lecture, sermon, or treatise whereas in linguistics, it is related to a
unit or piece of connected speech or writing that is longer than a conventional sentence. In 1960s,
the term discourse is related to the analysis of connected speech and writing, and their relationship
to the contexts in which they are used. Discourse analysts studied, then, written texts, conversation,
institutionalized forms of talk, and communicative events in general.
Early researchers as Zellig Harris 1 in the US in the 1950s, were interested in the distribution of
elements in extended texts and the relationship between a text and its social situation. In the 1960s,
the American linguistic anthropologist Dell Hymes studied speech in its social setting as a form of
addres). The work of British linguistic philosophers such as J. L. Austin, J. R. Searle, and H. P.
Grice was influential in the study of language as social action, through speech-act theory,
conversational maxims, and pragmatics (the study of meaning in context) in general.
In the 1970s, research in the United Kingdom was influenced by the functional approach to
language of M. A. K. Halliday, in turn influenced by the Prague School. His systemic linguistics
emphasizes the social functions of language and the thematic and informational structure of speech
and writing. Halliday related grammar at the clause and sentence level to situational constraints,
1
In fact, it was the linguist Zellig Harris which coined the term Discourse Analysis in 1952. The term
appeared for the first time in an article entitled Discourse Analysis in which he analysed an advertisement
for hair tonic from which he coyly omitted the brand name - and set abo ut searching for grammatical rles to
explain why one sentence followed another.
5/38
referred to as field (purpose of communication), tenor (relationships among participants), and mode
(channels of communication).
Parallel studies were taking place in America by relevant figures in this field, such as John
Gumperz and Dell Hymes. Their research included the examination of forms of talk such as
storytelling, greeting, and verba l duels in different cultural and social settings. Alongside the
conversation analysts, in the sociolinguistic tradition, William Labov's studies of oral narrative have
contributed to a more general knowledge of narrative structure. Such work has generated a variety
of descriptions of discourse organization as well as studies of social constraints on politeness and
face-preserving phenomena. These overlap with British work in pragmatics.
2.1.2. Main types.
Within discourse typology, we distinguish two ma in types of discourse or texts which are
represented by spoken and written language and other two further typology based on formal and
informal style. The main reason for this duality is to be found some forty or fifty thousand years ago
with the appearance of language. However, language, primary oral, changed into writing around
3500 B.C. (the date of the Sumerian inscriptions in Mesopotamia and early Egyptian inscriptions)
and revolutioned the way of viewing history since it was an attempt to preserve and memorise for
the future the narratives of the past, by means of literature productions, printing and modern
audiovisual and computing media.
2.1.2.1. Oral vs. written.
With respect to both codes of communication (Widdowson 1978), oral and written, it is worth
noting that one of their differences relies on the notion of participants and different skills, thus
productive and receptive, to be carried out in a one-way process or two-way process. Hence,
regarding written communication, we refer to writer and reader, when they are involved in the
productive skill of writing and the receptive skill of reading. Similarly, we refer to speaker and
listener, when they are involved in the productive skill of speaking and the receptive skill of
listening.
6/38
Furthermore, within a traditional division of language into the two major categories of speech and
writing, Cook (1989) establishes two main differences. The first difference is described in terms of
time factor, that is, a here-and-now production; and the second difference is depicted in terms of
degree of reciprocity , that is, one-way speech or two-way speech. There are certain features
regarding these differences that are likely to happen within each category depending on the nature
of the activity.
1. Concerning the time factor, we may find features such as time limitations, and the
associated problems of planning, memory, and of production.
First, regarding time limitations, spoken language happens in time, and must therefore
be produced and processed on line. In writing, however, we have time to pause and
think, and while we are reading or writing, we can stand back and view the discourse in
spatial or diagrammatic terms.
Secondly, in relation to planning, the speaker has no time to plan and organize the
message as there is no going back and changing or restructuring our words, whereas the
writer may plan his writing under no time pressure, and the message is economically
organized.
Thirdly, regarding memory, on spoken interaction we may forget things we intended to
say whereas on writing we may note our ideas and organize the development of our
writing.
Finally, concerning production, on speaking we often take short cuts to avoid
unnecessary effort in producing individual utterances, and therefore we make syntactic
mistakes because we lose the wording. On the contrary, on writing, the words are
planned and organized while producing a text, allowing the writer to control the
language being used. Hence, sentences may be long or complex as the writer has more
time to plan. Moreover, mistakes are less likely to happen as we are aware of the
grammar of our utterances.
2. The second feature to be mentioned is a reciprocal activity, in terms of one-way speech or

two-way speech. This crucially affects the sorts of reactions at a communicative level that
are likely to take place in an interaction.
Thus, in speaking, the person we are speaking to is in front of us and able to put us right
if we make a mistake; on the contrary, the writer has to anticipate the readers
7/38
understanding and predict potential problems. If the writer gets this wrong, the reader
may give up the book in disgust before getting far.
Moreover, regarding reactions, both speakers may show agreement and understanding,
or incomprehension and disagreement to each other whereas readers have no way of
signalling this to the writer. Therefore, readers have to put in some compensatory work
in order to make their reading successful, either skip, or else work very carefully. Both
readers and writers need patience and imagination at a communicative level.
2.1.2.2. Formal vs. informal.
This traditional division of language into the spoken and the written is clearly and sensibly based on
a difference in production and reception. Yet as far as discourse structure is concerned, we have to
take into account a more fundamental distinction between formal, planned discourse, which may be
either written or spoken, and less formal, unplanned discourse which (either spoken or written) is
usually associated with speech. According to Cook (1989:50), Informal spoken discourse is
something in which the modern foreign language learner, with opportunities for travel and social
contact, is most likely to wish to succeed, but also the discourse type he or she is likely to find
hardest, precisely because it is so informal and unpredictable.
2.1.3. Discourse and communicative context.
communicative contexts which account for the func tions of utterances with underlying textual
structures (van Dijk, 1981). This sequence of utterances usually takes place in a communicative
context. The term context is defined as the state of affairs of a communicative situation in which
communicative events take place (van Dijk, 1981) and must have a linguistically relevant set of
characteristics for the formulation, conditions and rules for the adequate use of utterances, for
instance, it must be appropriate andsatisfactory for the given utterance.
8/38
The notion of context is rather static when it is merely used to refer to a state of affairs. Hence we
may introduce the term communicative so that an event may be successful if a given context
changes into a specific new context (i.e. speaking face to face vs. speaking on the phone). Generally
speaking, we may say that conditions for morphonological, syntactic and sematic well-formed
utterances may change from oral contexts to written ones. Thus utterances which are formally
appropriate with respect to their contexts, may not be actually acceptable in concrete
communicative situations, and conversely.
As we can see, its overriding focus is on context and on the behavioural patterns that structure the
social functions of language, above and beyond the construction of structural models. So
discourse consists of meaningful combinations of language units which serve various
communicative purposes and perform various acts in various contexts. Hence, the discipline that
studies the relationship between language and the contexts in which discourse is used is Discourse
Analysis (DA).
2.2. The concept of discourse analysis .
2.2.1. On defining discourse analysis.
The term discourse analysis can be defined as the study of the relationship between language and
the contexts in which it is used (also called the study of conversation). Whereas discourse as
such is defined as language in use, for communication, discourse analysis is defined as the
search for what gives discourse coherence (Cook, 1989:6). So, what gives coherence to a text? For
students to know how to communicate and interact in their own language, formal skills
(pronunciation, vocabulary, grammar) as well as nonlinguistic (face, body) and paralinguistic
devices (sounds, images, vocal quality) are not enough.
It is the field of pragmatics which provides us with the rest of skills (time, world - social and
physical-, language, and thought knowledge and reasoning-) as a means of relating stretches of
language to the physical, socia l, and psychological world in which they take place. Discourse then
is the place where all these elements, formal and pragmatic, interact to give meaning and unity to a
text. Hence, discourse analysis main aim is to search for these formal and pragmatic links which
9/38
give cohesion (meaning) and coherence (sense and unity) to a text so as to present a meaningful
stretch of language.
Therefore, we may define discourse analysis as both a process and a product. The process is
realized by the main language functions, that is, the purpose of communication following pragmatic
guidelines (coherence links) whereas the product is realized by the content involved in that process
(cohesive links). At this point it is crucial to relate discourse analysis to these key concepts
(function and form, coherence and cohesion) since they will help us understand the main core of
this study. In fact, the main strategies which are used to analyse discourse are based on the notions
of cohesion and coherence (to be fully developed further on).
So, let us briefly examine, first, the main types of discourse analysis and secondly, three related
notions: cohesion, coherence and finally, the relationship between pragmatics, discourse analysis
and language teaching , which shall lead us directly to the concept of strategies in learning a foreign
language.
2.2.2. Main types.
Among the most relevant types of discourse analysis we may highlight :
(1) Content Analysis, which examines how a text repeats thematic patterns of formations. This
type of discourse analysis focuses on form and, therefore, on linguistic and nonlinguistic
devices such as grammar, voculary and pronunciation which represent the fields of
morphology, phonology, lexis, syntax and semantics.
(2) Speech Act Analysis, which focuses not on the form but rather on the function. In other
words, an analysis of speech acts highlights the main functions of language depending on
the purpose of the speaker/writer rather than the content (vocabulary, grammar). So, it
emphasizes Griceans cooperative principles and the notions of adjacency pairs and turn-
taking.
(3) Frame Analysis, which focuses on the type of activity that the speaker is engaged with
when he or she utters a sentence. This type of analysis points out the choice the author
10/ 38
makes when producing a text : drama, news, story-telling, poetry (i.e. Orson Wells War of
the Worlds, news frame or drama frame?
(4) Finally, Critical Discourse Analysis gives prominence to the dynamics of power and
discourse, that is, it studies the way social forces are enacted, reproduced and resisted by
text and talk in the social context.
2.2.3. Related notions.
2.2.3.1. The notion of cohesion.
Dressler, 1988), that is, intra-text linking devices which are connected to extra-textual reference. This
notion consists of a series of formal links (Cook, 1989:14), known as cohesive links, which
organise the text through the stratal organization of language which can be explained as a multiple
coding system comprising three levels of coding: the semantic one (meanings), the
Moreover, Halliday and Hasan, in their ground-breaking work Cohesion in English (1976),
described cohesion as a semantic concept that refers to relations of meaning that exist within a
text. In other words, it is a semantic relation between an element in the text and some other element
that is crucial to the interpretation of it. These two elements are defined as the presupposing and
the presupposed. Both of them may be structurally related to each other or may be not. The first
elements may be found in the text but its location in the text is in no way determined by the second
element.
It must be borne in mind that in spoken English certain types of grammatical cohesion are in their
turn expressed through the intonation system (i.e. Did she hurt your feelings? She didnt mean to).
In this example, the second sentence not only shows the cohesive device of ellipsis with She didnt
mean to but also with by the ellipsis of conjunction since the adversative meaning of but is
expressed by the rising-falling tone.
11/ 38
2.2.3.2. The notion of coherence.
The term cohesion is often confused or conflated with coherence. But it is necessary, both from a
theoretical and a practical point of view to retain this distinction between surface (coherence) and
content (cohesion). The term coherence concerns the ways in which the components of the textual
world, thus the concepts and relations which underlie the surface text, are mutually accessible and
relevant (Beaugrande & Dressler, 1988).
whole, expressing rela tions of closeness, thus, causality, time, or location between its concepts and
sentences. A condition on this continuity of sense is that the connected concepts are also related in
the real world, and that the reader identifies the relations.
in which the sentences are coherently organised so as to fulfil the writers communicative purpose.
Byrne (1979) claims that they refer to words or phrases which indicate meaning relationships
between or within sentences, such as those of addition, contrast (antithesis), comparison (similes),
consequence, result, and condition expressed by the use of short utterances, and exemplification
(imagery and symbolism).
Within the context of textual analysis, we may mention from a wide range of rethorical devices the
use of imagery and symbolism; hyperbole, antithesis, similes and metaphors; onomatopoeias,
alliteration and the use of short utterances for rhythm and effect; repetition and allusion to drawn
the readers attention; and cacophony and slang to make the piece of writing lively and dynamic.
12/ 38
2.2.3.3. Pragmatics, discourse analysis, and language teaching.
As stated above, the nature of discourse is not only approached from the fields of syntax and
semantics but also from the field of pragmatics which, together, prove essential in Discourse
Analysis (DA). Nowadays, the questions of use (pragmatics) are freely treated in syntax and
semantics and the notions of cohesion and coherence, usually related to semantics, can be also
helpful when studying a text only if they deal with how connections and relations are actually set up
among communicative contexts.
Then, pragmatics explores the attitudes of producers by means of the seven standards of textuality:
(inmmediate feedback), and informativity (the choice of contributions to conversation). In
how to frame your text in regard to other peoples texts in the same dis course).
Moreover, semantics explores the relationship between syntactic structures (and therefore
between them in a text by means of coherence (process) and cohesion (product) having as a result
the whole text under the shape of a pragmatic coherent discourse. But how do we relate pragmatics
and discourse analysis to language teaching?
The theory of the pragmatic interpretation of language focuses on how people create meaning and
make sense of what is said in specific circumstances. The fact that meaning is not constructed from
the formal language of the message alone is crucial for the successful teaching and learning of
foreign languages. The relevance of pragmatic theories in language learning is really twofold.
(1) Firstly, according to Cook (1989:41), the divergence of function and form means that we
cannot rely upon teaching only form since in production, learners need to choose the
words which most suitably realize their intention, not always entailing the most closely
related form. On the other hand, in reception of language, they also need to be albe to move
from the form to the function. Therefore, there are times when making language function
effective ly is more important than producing perfectly pronounced, grammatically correct
sentences.
13/ 38
(2) Secondly, the linking of form to function may help learners to orientate themselves within
a discourse. All learners of a foreign language are familiar with the disturbing sensation of
understanding every word, and the literal meaning, but somehow missing the point. The
underlying structure of the discourse may be a progression of functional units, and a
breakdown in pragmatic interpretation may easily lead to a learner losing his or her way
(1989:42).
Such attention to function, structure, form and organization is characteristic of virtually all
contemporary approaches to discourse analysis. Some of these approaches are said to be very
sophisticated and detailed, and may be very technical, as is the case of much work on the
grammatical structures of sentences and sequences of sentences in discourse. Note that such a
structural analysis (based on form and function) need not be limited to fixed or abstract structures,
but may also focus on the more dynamic aspects of discourse organization, such as the mental,
interactional or social strategies participants engage in.
Thus, we may analyse the abstract structures of a story (content, product) but also moves (process,
functional elements, the activation of knowledge ) and strategies so as to characterise the discourse
as a whole. So, discourse analysis is an explicit, systematic account of analysis of structures
(content, cohesive ties), processes of text (theoretical notions) and strategies (activation of
knowledge) developed in any branch of the field.
Discourse analysis and pragmatics are relevant to language teaching and language learning since
they represent two related discourse worlds that characterize human communication. The first
represents intended meaning transmitted within context and is, therefore, concerned with sequential
relationships in production; and the other explains the interpreted meaning resulting from linguistic
processing and social interaction, all the while taking into account a variety of contextual factors, at
the receptive end.
So language teaching needs to focus on both (1) strategies of message construction to facilitate
learner production of the communicative intent and (2) strategies of interpretation, in order to
ensure some ability on the learners part to process inferentially the speaker or writers intent.
Actually, this will be the issue of next section, that is, to analyse the main strategies that take place
in discourse analysis under the framework of language teaching and, therefore, prepare the ground
14/ 38
for the core of this study: discourse analysis strategies within our current communicative approach
in educational terms.
2.3. The concept of strategies.
This section aims at emphasizing the relevance of language learning strategies in foreign language
learning and teaching (so as to apply it later to the description of discourse analysis strategies) and
provides (1) a definition of the concept language learning strategy within a language learning
background. It also outlines (2) the typology of language learning strategies by means of which we
shall focus on the type of (3) discourse analysis strategies.
2.3.1. On defining communicative strategies .
The description of the term strategies must be linked to that of the communicative approach and
communicative strategies in the classroom setting. Communicative Language Teaching theory
holds that negotiating meaning is a key element in learning a foreign language. Yet, the ability to
negotiate meaning is dependent upon ones ability to use communicative strategies effectively, but
what are communicative strategies?
According to Ellis (1985:164), communicative strategies are related to the cognitive component of
procedural knowledge, which comprises the various mental processes involved in internalizing and
automatizing new L2 knowledge (second language learning) and in using this knowledge in
conjunction with other knowledge sources to communicate in the L2. Communication strategies,
then, are the result of an initial failure to implement a production plan. Language use, therefore, is
characterized by both production and reception strategies, which operate when the learner utilizes
available resources easily and subconsciously (1985:165).
Also, they have been defined by other researchers as strategies employed when people encounter a
communication problem during conversation (Murphy, 200 3); any sets of operations, steps, plans,
routines used by the learner to facilitate the obtaining sotrage, retrieval, and use of information
(Wenden & Rubin, 1987:19); intentional behavior and thoughts used by learners during learning so
as to better help them understand, learn, or remember new information (Richards & Platt,
15/ 38
1992:209); and an attempt to develop linguistic and sociolinguistic competence in the target
language (Faerch & Kasper, 1983:67) , among others.
Hence all language learners use language learning strategies either consciously or unconsciously
when processing new information and performing tasks in the language classroom. Since language
classroom is like a problem-solving environment in which language learners are likely to face new
input and difficult tasks given by their instructors, learners attempts to find the quickest or easiest
way to do what is required that is, using language learning strategies is inescapable (Hismanoglu,
2000).
2.3.2. A typology of language learning strategies.
In order to get to the notion of strategies in discourse analys is, we must overview the typology of
language learning strategies so as to get the one entitled discourse strategies. These strategies go
into the details of how discourse analyses relate to the different areas (grammar, vocabulary,
phonology) and to the pragmatic perspective of spoken and written language (the purpose of
language interaction).
Research into language learning strategies began in the 1960s as important developments in
cognitive psychology were taking place. The primary concern was on identifying what good
language learners reported they did to learn a second or foreign language (Rubin & Wenden, 1987).
Many attempts followed to classify strategies in successful learners (Wenden & Rubin, 1987;
OMalley et al., 1985; Oxford, 1990; Stern, 1992; Ellis, 1994; etc) but still, there is no generally
agreed typology to follow.
Yet, it was Selinker who coined the term communication strategy in 1972 in his account of the
processes responsible for interlanguage and Joan Rubin who, in 1975, classified the strategies of
language learning into direct and indirect (the former contribute directly to learning whereas the
latter contribute indirectly to the learning process). Then, according to Rubin, there are three types
of strategies used by learners that contribute directly or indirectly to language learning: learning
strategies, communication strategies and social strategies.
16/ 38
Of course, this classification is not the only one and others followed. Thus, OMalley (1985)
divided learning strategies into three main categories: metacognitive, cognitive and socioaffective;
Oxford (1990) distinguished two main classes, direct and indirect, which were subdivided into six
groups: direct (memory, cognitive, compensation strategies) and indirect (metacognitive, affective
and social strategies); Stern (1992) also introduced his own classification (management and
planning, cognitive, communicative, interpersonal and affective strategies).
3. DISCOURSE ANALYSIS STRATEGIES.
In this section, then, we shall approach the analysis of discourse strategies by (1) defining discourse
analysis strategies, analysing (2) discourse and strategies in terms of competences, by offering (3) a
typology of strategies on discourse analysis and approaching (4) the analysis and articulation of
discourse by offering (a) an analysis of linguistic features regarding (i) cohesion (formal links) in
terms of grammatical, lexical, phonological and graphological devices; and (ii) an analysis of
coherence (contextual links) concerning language functions, Grices cooperative principles and the
notions of turn-taking and adjacency pairs, among others. In addition, we shall analyse the main (b)
nonlinguistic devices as well as (c) paralinguistic ones.
3.1. On defining discourse analysis strategies.
As stated before, a mention to discourse analysis strategies in our educational curricula is to be

found within the framework of the communicative approach to language teaching. Following
Olshtain and Celce-Murcia (2001), it would be ill-advised to teach language via the
communicative approach without relying heavily on discourse analysis. In fact discourse analysis
should provide the main frame of reference for decision-making in language teaching and learning.
In this way, it creates suitable contexts for students and provides them with opportunities to process
language within a variety of situations.
This natural interaction would be accompanied by a set of sociolinguistic features and the real or
imaginary participants would represent real-life interaction. Then, age, social status, and other
personal characteristics of the interactants cannot be ignored, and learners are expected to develop
17/ 38
awareness of the linguistic choices which are related to such features (Olshtain & Celce-Murcia,
2001). Therefore, these abilities seem to be quite transferable in the language classroom for students
to use such strategies when analysing a text in the second language and examine how discourse
analysis relates to the different areas with formal and nonformal links (cohesion and coherence).
So in next chapter, we shall examine how the structure of discourse is analysed by means of a set of
strategies which comprise the various mental processes involved in internalizing and automatizing
new L2 knowledge. So this analysis will be carried out in terms of competences as an attempt to
develop linguistic and sociolinguistic competence in the target language.
3.2. Discourse and strategic competence.
During the past 25 years, communicative language teaching has been the dominant approach to the
teaching of foreign and second languages. Much of this ascendancy is due to the sociolinguist Dell
Hymes (1967, 1972) who in a series of articles developed the notion of communicative competence.
Hymes was convinced that Chomskys notion of competence (1965), defined as a speaker-hearers
underlying mental representation of grammatical rules, was far too narrow. Instead communicative
competence takes us one step further than purely grammatical competence, into the area of
pragmatics which deals with the use of language in everyday communicative situations.
Communicative Competence is therefore concerned not only with what is grammatical but also
what is appropriate in a given social situation.
The most important study on developing the notion of Communicative Competence from Dell
Hymes work has been done by Canale and Swain (1980). There is also a useful discussion of this in
Swain (1980) which is especially useful for those approaching communicative competence from a
second language acquisition point of view. Here the notion of Communicative Competence is
divided up into four subcomponents: grammatical, discourse, sociolinguistic, and strategic
competence, which are glossed below.
1. Grammatical competence.
Grammatical competence subsumes all knowledge of lexical items and of rules of

morphology, syntax, sentence-grammar semantics and phonology (Canale and Swain
1980). It therefore refers to having control over the purely linguistic aspects of the
18/ 38
language code itself, regarding verbal and non-verbal codes. This corresponds to
Hymes grammatical aspect and includes knowledge of the lexicon, syntax,
morphology, phonology and semantics. Thus, it involves rules of formulations and
constraints for students to match sound and meaning; to form words and sentences
using vocabulary; to use language through spelling and pronunciation; and to handle
linguistic semantics.
2. Sociolinguistic competence.
Sociolinguistic competence refers to the knowledge which the learner has to acquire of
the sociocultural rules of language. This type of knowledge requires an understanding
of the social context in which language is used: the roles of the participants, the
information they share, and the function of the interaction (Savignon 1983). Other
relevant figures in this field, such as Canale and Swain (1980) defined this competence
in terms of sociocultural rules of use, and rules of discourse. Regarding the rules of
discourse, it is defined in terms of the mastery of how to combine grammatical forms
and meanings (1980). When we deal with appropriateness of form, we refer to the
extent to which a given meaning is represented in both verbal and non-verbal form that
is proper in a given sociolinguistic context.
3. Discourse competence.
For our purposes, discourse analysis is primarily concerned with the ways in which
individual sentences connect together to form a communicative message. One of its
main figures, Widdowson (1978) proposed a distinction between the concepts of use
and usage, where usage refers to the ma nifestation of the knowledge of a language
system and use means the realization of the language system as meaningful
communicative behavior. This competence addresses directly to the mastery of how to
combine grammatical forms and meanings to achieve a unified spoken or written text in
different genres (Canale and Swain 1980). By genre is meant the type of text to be
unified, thus, a scientific paper, an argumentative essay, and oral and written narrative
among others. For them, the unity of a text is achieved through cohesion in form and
coherence in meaning.
19/ 38
4. Strategic competence.
Finally we come to the fourth area of Communicative Competence. In the words of

Canale (1983), strategic competence is the verbal and nonverbal communication
strategies that may be called into action to compensate for breakdowns in
communication due to performance variables or due to insufficient competence.This is
quite a complex area but in a simplified way we can describe it as the type of
knowledge which we need to sustain communication with someone. This may be
achieved by paraphrase, circumlocution, repetition, hesistation, avoidance, guessing as
well as shifts in register and style. According to Canale and Swain (1980), strategic
competence is useful in various circumstances as for instance, the early stages of
second language learning where communicative competence can be present with just
strategic and socio-linguistic competence.
3.3. A typology of strategies on discourse analysis.
Hence, we shall present how cognitive strategies (strategic competence) can provide a whole
account of how to analyse a text (discourse competence) by means of verbal and nonverbal
devices2 . It is relevant to point out that learners are expected to develop awareness of the linguistic
choices which are related to such features (Olhstain & Celce-Murcia, 2001) because they need to
gain experience in decision-making depending on the linguistic and pragmatic features of the given
situation.
The analysis and articulation of discourse was virtually limited to relations within the sentence up to
the third quarter of this century. It was thought that relations beyond the sentence involved a
complex interplay of linguistics with other concerns such as rhethoric, aesthetics, and pragmatics.
However, literary critics and social anthropologists began to shed light on this issue from the
constructs evolved by de Saussure, the Prague School, and other linguists whose work extended and
embraced stylistics and other aspects of textual studies.
We must emphasize the fact that, even today, there is no agreement on the set of strategies to use on
discourse analysis. In fact, we shall present a typology of strategies proposed by four relevant
20/ 38
figures in the field: Halliday (1973, 1976), Leech (1987), Moody (1987) and Cook (1989) since
each of them examine different aspects of discourse analysis. So, we shall take the main
contributions and establish a common description method based on the current educational
guidelines established in B.O.E. (2002).
Hallidays contributions (1973, 1976) emerge from the study of any situationally
distinctive use of the language and the choices made by individuals and social groups,
and also from the use of style in literary and nonliterary texts. He distinguishes between
two types of texts (literary and nonliterary) and poses that there are few linguistic
categories that will appear in the description of literary texts which may also be found
in the analysis of other nonliterary texts.
The analysis of both texts showed no difference in treatment since the categories and
methods were the same, although few literary texts depend for their impact on some
norms of the language in which they are composed. So, Halliday established a strategy
(common to both texts) based on the analysis of the seven standards of textuality, from
which cohesion and coherence will be dealt with for our purposes.
Whereas cohesion examines how utterances are linked structurally and facilitates
interpretation of a text by means of cohesion devices, such as pronouns, synonyms,
ellipsis, conjunctions and parallel structures to relate individual utterances and to
indicate how a group of utterances is to be understood as a text, coherence refers to the
relationships among the different meanings in a text, where these meanings may be
literal meanings, communicative functions, and attitudes.
Similarly Leech (1987) examines in depth the apparatus of linguistic description by

means of a set of linguistic categories within literary and nonliterary texts. The writers
choice of language is underlined as a significant feature of discourse analysis on the
basis of four main linguistic categories: lexical, grammatical, figures of speech and
cohesion and context (semantic categories are included in each of them).
So, lexical categories involve general vocabulary under different perspectives: simple
vs. complex, formal vs. informal, dialect vs. register, polite vs. familiar, spoken vs.
21/ 38
written, specific vs. ordinary language; nouns in terms of abstract vs. concrete, proper
vs. collective nouns, among others; adjectives; verbs and adverbs. Secondly, under the
heading of grammatical categories, he outlines sentence types, sentence structures
(simple, complex, compound), phrase structures (noun, adjective, verb, etc), open vs.
closed grammatical categories; thirdly, figures of speech, such as lexical schemes
(anaphora, paralelism), phonological schemes (stress, rhythm, intonation) and tropes,
such as metaphor, metonymy, synecdoche and so on. Finally, under the heading of
cohesion and context, he reviews the ways sentences are connected and the elements of
interaction (character, thought, direct vs. indirect speech, etc) respectively.
In a similar way, but with different terminology again, Moody (1987) establishes a
difference between ordinary language (the language of prose) and rethoric language
(the language of poetry). His strategy for text analysis is based on three main steps:
comprehension, technique and judgement. First, comprehension deals with the
understanding of various general features, such as situation (context), development
(thoughts and reflections on the passage) and intention (the writers main intention or
purpose when writing the passage); secondly, technique deals with the understanding of
the means by which the writers effect is conveyed: logical structure, choice of words,
sounds of words, word order, rhythm and rhyme; finally, judgement deals with the final
opinion the writer express on the particular passage.
Finally, Cook (1989) states that formal skills (pronunciation, vocabulary, grammar) as
well as nonlinguistic (face, body) and paralinguistic devices (sounds, images, vocal
quality) are not enough in discourse analysis. He argues that the field of pragmatics
provides us with the rest of skills (time, world - social and physical-, language, and
thought knowledge and reasoning-) as a means of relating stretches of language to the
physical, social, and psychological world in which they take place.
As we stated before, discourse then is the place where all these elements, formal and
pragmatic, interact to give meaning and unity to a text. Hence, discourse analysis main
aim is to search for these formal and pragmatic links which give cohesion (meaning)
and coherence (sense and unity) to a text so as to present a meaningful stretch of
language.
22/ 38
Hence, as we can see, these four representative figures comment on the strategies to follow on
discourse analysis in a similar way but with different terminology and classification. So, for the
sake of clarity and economy, we shall follow the structure of Cook and Hallidays method taking
into account the other three figures contributions since they all help configurate our study.
3.4. The analysis and articulation of discourse.
In this section, then, we shall approach the analysis and articulation of discourse from the
disciplines of syntax, pragmatics and namely semantics, together with a grammatical approach
when necessary on morphological and phonological features. So we shall two of the seven
standards of textuality: cohesion and coherence. We shall start by offering (1) an analysis of
linguistic features regarding (a) cohesion (formal links) in terms of (i) grammatical, (ii) lexical, (iii)
phonological and (iii) graphological devices; and (b) an analysis of coherence (contextual links)
concerning language functions, Grices cooperative principles and the notions of turn-taking and
adjacency pairs, among others. In addition, we shall analyse the main (2) nonlinguistic devices as
well as (3) paralinguistic ones.
Thus, when analysing discourse, we may find common features to all text types which will be
reviewed under the linguistic parameters of cohesion and coherence (Halliday, 1976) or formal
links and contextual links (following Cook, 1989). For present purposes, we will think about texts
as a set of complex, organized systems that operate in concert with linguistic, nonlinguistic and
paralinguistic devices when any particular act of communication is under revision for social
behaviour.
3.4.1.1. Cohesion: formal links.
23/ 38
utterances (Beaugrande & Dress ler, 1988), that is, intra-text linking devices are connected to extra-
of dialogic texts, all speakers make extensive use of them, for example in order to enhance
coherence, but also for reasons of economy (e.g. a sequence of greetings). Since cohesion is
expressed partly through the grammar and partly through the vocabulary, we find two main types of
cohesive devices considered as general categories of cohesion: grammatical cohesion (substitution,
ellipsis, conjunction, reference) and lexical cohesion (reiteration, collocation) by means of
grammatical categories such as adjectives, nouns, process verbs, and so on.
Thus the concept of cohesion accounts for the essential semantic relations in a text: substitution,
ellipsis, conjunction and reference. Note that these items make reference to the terms anaphora
and cataphora, connectors and deixis, quite frequent in written and oral texts. It is relevant to
mention first that anaphora, cataphora and deixis will be examined under the heading of
reference, and connectors under the heading of conjunction.
item by another so as not to repeat similar vocabulary (i.e. Would you like a coffee? No,
thanks. Ive just had one). This cohesive device can also function under morphological
shape with synonyms (i.e. a drink, a hot drink, a beverage); and ellipsis as the omission of
an item (i.e. Would you like a coffee? Yes, I would).
The reference type of grammatical cohesion is another well researched area within any type
of text. It is defined by Halliday & Hasan (1976) as the case where the information to be
24/ 38
(anaphora and cataphora) are always present (i.e. Have you seen my new mobile? I think
so. Is it the one you were using yesterday?).
Conjunction is a relevant relationship since connectors establish the necessary links

between ideas and thoughts within the text (coordination: and, but, although, however, in
addition). They indicate how the subsequent sentence or clause should be linked to the
preceding or the following sentence or parts of sentence. They play an essential role in oral
texts since they reflect cohesion within the discourse and show a logical development of the
discussion by establishing different relationships between the presented ideas: summative
(i.e. In addition, moreover), restrictive (i.e. specially, in particular), causal (i.e. because,
because of, due to), explanatory (i.e. I see; yes, I know), previous reference (anaphora: As I
said before) and conclusive (i.e. To end up this conversation...).
Other grammatical devices involve the use of specific syntactic structures, such as (1)
interrogative and exclamative sentence structures; (2) finite clauses in past and present
tense as a way of switching reference (i.e. Was he sleeping? Yes, he always does); (3)
subordination (subordinate clauses, relative clauses); (4) coordination (copulative,
adversative) and finally, (5) specific formulae for both oral (a dialogue between shop
assistants and customers) and written texts (letters, wrting a prescription, report or
newspaper article ).
From a lexical approach, we cannot determine specific or technical vocabulary within common
types of texts since they are spontaneous interactions and have open structures (except specific
cases) although we do with literary texts. Hence common texts are namely characterized by the
use of a wide range of any grammatical category (i.e. noun, adjective, verb, adverb, connectors,
) which establish a semantic link and a unity between paragraphs.
25/ 38
With respect to graphological resources, we are mainly dealing with format and therefore, the
way you place the type upon the page (the visual outcome the receiver gets) as we make
reference to orthography and punctuation, as well as with headings, foot notes, tables of
contents and indexes. The arrangement of type upon the page is the choice of typeface, the
placement of headings, the method of citing references or the arrangement of information into
sections for longer documents (reports), among others.
Some common differences are the hierarchy of headings and the listing of
references in the text. One reason that a format specifies a hierarchy for headings is
so that readers can understand what information in the document is primary and
what information is subordinate. The actual ways to represent these hierarchies
vary considerably. Common ways are different type sizes for the headings,
different amounts of white space surrounding the headings, different typestyles for
the headings, and numbering schemes for different order headings. In still other
cases, such as the option of word processors, the formats call for combinations of
these variables.
Given the wide variety of format issues and the even wider variety of options for
those issues, these format guidelines cannot possibly present every format option
that we may encounter in any text, either literary or nonliterary . What is important
is not that we learn every format which exists, but that you realize a specified
formats exist and that we may choose the appropriate professional format we need
for our situation.
On the other hand, orthography is related to a correct spelling, and in relation to
this term, Byrne (1979) states that the mastery of the writing system includes the
ability to spell. This device covers different word categories, but mainly, rules of
suffixation, prefixation, and addition of verbal markers as gerunds, past tenses or
third person singular in present tenses. The importance of correct spelling is
highlighted when Byrne says that most of us are obliged to consult a dictionary
from time to time so as not to be indifferent to misspelling. Therefore, students are
encouraged to acquire the habit of consulting a dictionary in order to ensure an
adequate mastery of spelling.
26/ 38
Finally, according to Quirk et al (1972) punctuation serves two main functions.
Firstly, the separation of successive units (such as sentences by periods, or items in
a list by commas), and secondly, the specification of language function (as when an
apostrophe indicates that an inflection is genitive). Moreover, punctuation is
concerned with purely visual devices, such as capital letters, full stops, commas,
inverted commas, semicolons, hyphens, brackets and the use of interrogative and
exclamative marks. It is worth noting that punctuation has never been standardised
to the same extent as spelling, and as a result, learners tend to overlook the
Finally, we shall also mention the role of phonology. Note that in oral interactions we face
another type of cohesive features since written devices are substituted by, first, a falling
intonation in statements so as to highlight the discourse referential function and, second, the
absence of exclamative and persuasive intonation. In fact, as people speak, nonlinguistic
devices such as nodding, gestures, facial expressions or the way of looking become essential in
the communicative exchange since the physical outcome is very important to establish
communication.
Note that in oral texts we face another type of cohesive features since written devices are
substituted by general conventions of pauses and stress to mark each participant intervention.
We may establish a classification of specific features in oral texts:
False starts, which are unnecessary repetitions of words at the beginning of the sentence
whose result is an ungrammatic al sequence of words (i.e. At four oclock?, Er, I...,
Its..., And then..., Weve got to..., etc). They are typical signals of active listening on
the part of the listener which express a number of emotional items including agreement,
disagreement, acceptance, etc. (i.e. Er, I..., Its..., Hmm, Uhum, Aha, Ah, Uh,
No!, No way!, Really?, etc).
Syntactic anomalies. We speakers often fail to keep control of the syntax of what we are
saying and produce anomalous constructions. This specific constructions are orally
accepted but regarded as awkward and unacceptable in a written composition since they are
grammatically incorrect (i.e. Weve bitten him up vs. Weve bit m up).
27/ 38
Prosody expressions to complete sentences when we do not know what to say and enable us
to dispense with words that would be necessary for clarity in a written version of the same
text (i.e. Well, .../Actually, .../then...).
Pauses which are used to introduce significant information units, as the end of what may be
a prosodic paragraph. These pauses are marked by giving a special long curve of intonation
nucleus (usually falling intonation). A pause may be also introduced immediately before a
lexical item which the speaker may feel be especially important, or unfamiliar, which
he/she wishes to be heard clearly (i.e. a specific word: He said I was...quite informal).
Often, pauses are signs of hesitation.
3.4.1.2. Coherence: contextual links.
Coherence is a purely semantic property of discourse which gives sense and unity to any text, while
cohesion is mainly concerned with morpho-syntactic devices in discourse. A coherent text is a
semantically connected, integrated whole, expressing relations of closeness, time or location
between its concepts and sentences. A condition on this continuity of sense is that the connected
concepts are also related in the real world and that the speakers identify these relations.
in which the sentences are coherently organised so as to fulfil the writers communicative purpose
(to establish a conversational interaction in a successful way). Hence we may establish two main
coherent devices in oral interaction: the interlocutors cooperative principles under the form of four
conversational maxims, and the notions of turn-taking and adjacency pairs in conversational
analysis.
28/ 38
relevant; and manner, where messages should be clear, brief and orderly.
was trying to contribute.
enough not to continually interrupt you. The best example of this occurs in the Houses
29/ 38
taking.
cacophony of competing voices in a large crowd.

This infinity of responses is what makes language so entertain ing, and in the above
30/ 38
conclude that the cues are not as important as once imagined - we manage without them
3.4.2. Nonlinguistic devices.
voluntarily.
Conversational speech is often accompanied by gesture, and the relation of these hand movements
to the speech are usually regarded as communicative devices whose function is to amplify or
underscore information conveyed in the accompanying speech. According to one of the icons of
American linguists, Edward Sapir, people respond to gesture with extreme alertness, in accordance
with an elaborate and secret code that is written nowhere, known to none, and understood by all
(Sapir, 1921).
Gestures are then, to be classified in different types, such as emblems or symbolic gestures as
essentially hand signs with well established meanings (thumbs -up and V for victory, pointing,
denial, and refusing). In contrast, we may find simple and repetitive rhythmic hand movements
coordinated with sentence prosody, called batons, as using head and shoulders. Also, unplanned
gestures that accompany spontaneour speech, called gesticulations, representational gestures, or
lexical movements, related to semantic content of speech in order to describe things like size,
strength or speed.
31/ 38
Concerning facial expression, it deals with an automatic response to an internal state although they
can be controlled voluntarily to a considerable extent, and are used in social situations to convey a
variety of kinds of information (smiling and happiness). Changes in addressees facial expressions
allows the addressee to express understanding concern, agreement, or confirmation where
expressions such as smiles and head nods as considered as back-channels.
In relation to gaze direction, a variety of kinds of significance has been attributed to both the
amount of time participants spend looking at each other, and to the points in the speech stream at
which those glances occur, such as staring, watching, peering or looking among others. As
proximity, body-orientation or touching, gazing may express the communicators social distance, by
means of looking up to or looking down to.
tract are possible by means of paralanguage, such as whistling or musical effects. Thus, a speakers
voice transmits individuating information concerning his or her age, gender, region of origin, social
class, and so on. In addition to this relatively static information, transient changes in vocal quality
provide information about changes in the speakers internal state, such as hesitation or interjections.
Changes in a speakers affective states usually are accompanied by changes in the acoustic
properties of his or her voice (Krauss and Chiu 1993), and listeners seem capable of interpreting
these changes, even when the quality of the speech is badly degraded, or the al nguage is one the
listener does not understand.
When we refer to non-verbal or paralinguistic communication, visual and tactile modes are also
concerned. They may be used for a variety of linguistic purposes such as the use of sign languages.
For instanc e, the receiver may get the message by sound (as in speech and birdsong), by sight (as in
written language, reading, morse or traffic signs) or by touch (as in the Braille alphabet of the blind
or secret codes).
32/ 38
Discourse analysis proves effective in communicative language teachinng at both the theoretical
and practical levels by providing language teaching and other teaching professionals with proper
grounding in discourse analysis. In fact, the Communicative Approach or simply Communicative
Language Teaching was the key to consider language as social behaviour, seeing the primary goal
of language teaching as the development of the learners communicative competence. Hence
learners were considered to need both rules of use to produce language appropriate to particular
situations, and strategies for effective communication.
Scholars such as Hymes (1972), Halliday (1970), Canale and Swain (1980) or Chomsky (1957)
levelled their contributions and criticisms at structural linguistic theories claiming for more
communicative approaches on language teaching, where interactive processes of communication
received priority. Upon this basis, the introduction of cultural studies is an important aspect of
communicative competence as communicating with people from other cultures involves not only
linguistic appropriateness but also pragmatic appropriateness in the use of verbal and non-verbal
behavior.
The verbal part of communicative competence, and therefore, the analysis of discourse, comprises
all the so-called four skills: listening, reading, speaking and writing. It is important to highlight that
language is both productive and receptive. Hymes stated the four competences at work regarding
the elements and rules of oral and written discourse are as follows: linguistic competence,
pragmatic competence, discourse competence, strategic competence, and fluency (Hedge 2000).
First, the linguistic competence, as it deals with linguistic and non-linguistic devices in the oral and
written interaction involving all knowledge of lexical items and of rules of morphology, syntax,
sentence-grammar semantics and phonology (Canale and Swain, 1980).
Secondly, the pragmatic competence as it also deals with the knowledge the learner has to acquire
the sociocultural rules of language. Regarding the rules of discourse, it is defined in terms of the
mastery of how to combine grammatical forms and meanings (Canale and Swain 1980). When we
deal with appropriateness of form, we refer to the extent to which a given meaning is represented in
both verbal and non-verbal form that is proper in a given sociolinguistic context. This competence
33/ 38
enables a speaker to be contextually appropriate or in Hymess words (1972), to know when to
speak, when not, what to talk about with whom, when, where and in what manner.
Thirdly, the rules of use and usage, proposed by Widdowson (1978) have to do with the discourse
competence . Here, usage refers to the manifestation of the knowledge of a language system and use
means the realization of the language system as meaningful communicative behavior. Discourse
analysis is primarily concerned with the ways in which individual sentences connect toge ther to
form a communicative message. This competence addresses directly to the mastery of how to
combine grammatical forms and meanings to achieve a unified spoken or written text in different
genres (Canale and Swain 1980) by means of cohesion in form and coherence in meaning.
Finally, we come to the fourth competence at work, the strategic competence. (Canale 1983) where
verbal and nonverbal communication strategies may be called into action to compensate for
breakdowns in communication due to performance variables or due to insufficient competence. This
may be achieved by paraphrase, circumlocution, repetition, hesistation, avoidance, guessing as
well as shifts in register and style. Hedge (2000) points out that strategic competence consists of
using communication strategies which are used by learners to compensate for their limited
linguistic competence in expressing what they want to say.
classroom materials in teaching language. However, nowadays new technologies may provide a
first, there is an emphasis on significance over form regarding how to deal with discourse types, and
secondly, motivation and involvement are enhanced by means of new technologies.
life and foster acquisition, encouring reading and writing (letters, advert isements, filling forms,
official papers). The success partly lies in the way the language becomes real to the users, feeling
themselves really in the language. Some of this motivational force is brought about by intervening
34/ 38
in authentic communicative events. Otherwise, we have to recreate as much as possible the whole
cultural environment in the classroom for us to make the articulation of discourse fluent and
effective.
This is to be achieved within the framework of the European Union educational guidelines through
the European Council (1998) and, in particular, the Spanish Educational System which establish a
common reference framework for the teaching of foreign languages where students are intended to
carry out several communication tasks with specific communicative goals within specific contexts.
professional or educational fields.
Writing and oral skills in discourse articulation are mentioned as one of the aims of our current
educational system (B.O.E. 2002). It is stated that students will make use of this competence in a
natural and systematic way in order to achieve the effectiveness of communication through the
different communication skills, thus, productive (oral and written communication), receptive (oral
and written comprehension within verbal and non-verbal codes), and interactional role of a foreign
5. CONCLUSION.
The role of writing and oral skills in our present society is emphasized by the increasing necessity
of learning a foreign language as we are now members of the European Union, and as such, we
35/ 38
especially at the highest level of written and oral discourse by applying different cognitive strategies
for their analysis. Without knowledge and experience within the discourse and sociocultural
patterns of the target language, second language learners are likely to rely on the strategies and
expectations acquired as part of their first language development, which may be inappropriate for
the second language setting and may lead to communication difficulties and misunderstandings.
make them discourse analysts (Olshtain & Celce-Murcia, 2001) by learning in context.
application, address patterns, opening and closings of museums, or other aspects of speech events.
deepest manifestation of a culture, and peoples values systems, including those taken over from the
but also subsequently acquired ones.
The assumptions of discourse analysis strategies we have reviewed in this study are then important
not only for understanding written and oral discourse patterns and the conditions of their
production, but also for a critical assessment of our own cultural situation.
36/ 38
6. BIBLIOGRAPHY.
Brown, G.and G. Yule. 1983. Teaching the Spoken Language. Cambridge: Cambridge University Press.
reference.
Ellis, R. 1985. Understanding Second Language Acquisition. Oxford University Press.
Faerch, Claus and G. Kasper.1983. Strategies in Interlanguage Communication. London: Longman.
Hismanoglu, M. 2000. Language Learning Strategies in Foreign Language Learning and Teaching. Hacettepe University,
Turkey.
Hymes, D. 1974. Foundations in Sociolinguistics: An Ethnographic Approach. Philadelphia: University of Pennsylvania

Press.
Leech, G and M. Short. 1987. Style in Fiction. Longman, New York.
Moody, H. 1987. Literary Appreciation. Longman, Singapore.
Murphy, R. 2003. On Teaching Communicative Strategies in the Classroom. Paper for the Association for Language
Teaching. Matsuyama JALT Chapter.
Olshtain, E. and M. Celce-Murcia. 2001. Discourse and Context in Language Teaching. A Guide for Language Teachers.
CUP: Cambridge University Press.
Richards, J. And John Platt. 1992. Longman Dictionary of Language Teaching and Applied Linguistics. Essex: Longman.
Rivers, W. 1981. Teaching Foreign-Language Skills. Chicago: The University of Chicago Press.
Searle, J. R. (1969). Speech Acts: An essay in the philosophy of language. Cambridge: Cambridge University Press.
37/ 38
Wenden, A. and J. Rubin.1987. Learner Strategies in Language Learning. New Jersey: Prentice Hall.
Widdowson, H. G. 1978. Teaching Language as Communication. Oxford: Oxford University Press.
38/ 38
UNIT 40
COMMUNICATION STRATEGIES. DEFINITION AND

TYPOLOGY.
OUTLINE
1. INTRODUCTION.
2. A THEORETICAL FRAMEWORK FOR COMMUNICATION STRA

2.1. The origins and nature of the communication process.
2.2. Communication and language teaching.
2.3. A theory of communicative competence.
3. COMMUNICATION STRATEGIES: DEFINITION AND TYPOLOGY.

3.1. The concept of strategy.
3.2. Language learning strategies.
3.2.1. Definition.
3.2.2. Main factors on the choice of L2 learning strategies.
3.2.3. Main problems in classifying strategie s.
3.2.4. Typology.
3.3. Communication strategies.
3.3.1. Definition.
3.3.2. Typology.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/21
1. INTRODUCTION.
The main aim of Unit 40 is to define and establish a typology of communication strategies, that is,
the main strategies that come into force in the communication process. Our aim then is to link the
notions of strategies and communication and show their importance in society, and especially, in
the language teaching community within the framework of the Communicative Approach from its
origins to present-day studies. So, we shall divide our presentation in five main chapters.
Chapter 2 will offer a theoretical background for the notions of communication and strategies
and in order to do so, we shall trace back to (1) the origins of the communication process and (2) its
relationship with language teaching, which will establish a basis for (3) a theory of communicative
competence. It is at this point that we shall introduce the concept of communicative strategies since
they are included in the concept of language learning strategies as part of the notion of
communicative competence in foreign language learning and teaching.
With this background in mind, Chapter 3 is divided into three main sections so as to analyse first,
the concept of strategy, then the concept of language learning strategies and finally, the concept
of communication strategies in terms of definition and typology. So, this section provides (1) a
definit ion of the term strategy in terms of origins within a language learning background; (2) an
approach to language learning strategies in terms of (a) definition, by means of which we shall
review (i) the main factors influencing the choice of L2 learning strategies; and (ii) the main
problems in classifying strategies and (b) typology, based on the contributions of the most relevant
researchers in the field. Next, it is at this point that we shall meet (3) the concept of communication
strategies and we shall examine it in terms of (a) definition and (b) a typology, following again the
main figures in this field.
regarding communicative strategies, and Chapter 5 will offer a conclusion to broadly overview our
present study. Finally, Chapter 6 will include all the bibliographical references used to develop this
account of communicative strategies.
2/21
An influential introduction to the notion of communication is based on relevant works of Crystal,

Linguistics (1985) and Halliday, Explorations in the Functions of Language (1975). Moreover,
notes on the relationship between communication and language teaching are namely taken from
Howatt, A history of English Language teaching (1984); Widdowson, Teaching Language as
Communication (1978); and Larsen-Freeman & Long, An introduction to second language
acquisition research (1991). Comments on a theory of communicative competence so as to introduce
communicative strategies are namely drawn from Ellis, Understanding Second Language Acquisition
(1985); Richards, J., & Rodgers, Approaches and Methods in Language Teaching (1992): and
Hymes, On communicative competence (1972).
Classic works on communicative strategies definition and typology, include Lessard-Clouston,

Michael, Language Learning Strategies: An Overview for L2 Teachers (1997); Hismanoglu,
Language Learning Strategies in Foreign Language Learning and Teaching (2000); Faerch &
Kasper, Strategies in Interlanguage Communication (1983); Fedderholdt, Using Diaries to Develop
Language Learning Strategies (1997); Murphy, On Teaching Communicative Strategies in the
Classroom (2003); OMalley & Chamot , Learning strategies in second language acquisition
(1990); Oxford, Language Learning Strategies: What Every Teacher Should Know (1990); Wenden
& Rubin, Learner Strategies in Language Learning (1987); and still indispensable on this issue,
Tarone, Conscious Communication Strategies in Interlanguage: a Progress Report (1977) and
Tarone, Some thoughts on the notion of communication strategy (1983).
communicative competence (1972); Hedge Tricia, Teaching and Learning in the Language
Classroom (2000); Bachman, Fundamental Considerations in Language Testing (1990); Krashen,
Second Language Acquisition and Second Language Learning (1981); Krashen & Terrell, The
Natural Approach: Language Acquisition in the Classroom (1983); Richards & Platt, Longman
3/21
Dictionary of Language Teaching and Applied Linguistics (1992); and Stern, Issues and Options in
Language Teaching (1992).
provided by the guidelines in B.O.E. (2002); the Council of Europe, Modern Languages: Learning,
Teaching, Assessment. A Common European Framework of reference (1998); Hedge Tricia,
Teaching and Learning in the Language Classroom (2000); and Stern, Issues and Options in
Language Teaching (1992). Moreover, we can find more information on The Internet TESL
Journal, Vol. VI, No. 8, August 2000.
2. A THEORETICAL FRAMEWORK FOR COMMUNICATION STRATEGIES.
Chapter 2 will offer a theoretical background for the notions of communication and strategies
and in order to do so, we shall trace back to (1) the origins of the communication process and (2) its
relationship with language teaching, which will establish a basis for (3) a theory of communicative
competence. It is at this point that we shall introduce the concept of communicative strategies since
they are included in the concept of language learning strategies as are part of the notion of
communicative competence in foreign language learning and teaching.
2.1. The origins and nature of the communication process.
From an anthropological perspective, the origins of communication are to be found in the very early
stages of life when there was a need for animals and humans to communicate basic structures of the
world and everyday life. Before language was developed, non-verbal codes were used by humans to
convey information by means of symbols, body gestures, and sounds, as it is represented in pictorial
art and burial sites. However, since prehistoric times the way of improving communication
preoccupied human beings as they had a need to express their thoughts with words. This non-verbal
code was to be developed into a highly elaborated signaling system, both spoken and written, which
became an essential tool of communication for human beings (Crystal, 1985).
4/21
Historically speaking, various attempts have been made to conceptualize the nature of
communication and to explore its relationship to human language regarding types, elements and
purposes. For several millennia many linguists and philosophers have approached the concept of
language from different domains of knowledge, such as philosophy, psychology, anthropology, and
sociology among others, in order to offer an account of the prominent features of human language
in opposition to other systems of communication.
According to Halliday (1975), language may be defined as an instrument of social interaction with a
clear communicative purpose. Among the most prominent design features of human language, an
auditory-vocal channel is to be highlighted in opposition to tactile, visual or other means of
communication. This feature allows human beings to be able to reproduce and produce an infinite
number of messages in any context of space and time thanks to the arbitrariness of language (to
combine sounds with no intrinsic meaning so as to form elements with meaning). Moreover, due to
a traditional transmission, language is transmitted from one generation to the next by a process of
teaching and learning. This feature is the aim of our next section which links communication and
language teaching in order to provide a meaningful framework to the notion of communicative
competence.
2.2. Communication and language teaching.
From a historical perspective, Howatt (1984) has demonstrated that many current issues in language
teaching are not particularly new. For instance, in the seventeenth century, the theologian Jan Amos
Komensky (1592-1670), Comenius, who was said to be the founder of didactics (the art of
teaching), already stated the reasons for learning a foreign language. He claims that through
language, we come to a closer understanding of the world since language refers to things in the
world . Upon this basis, he claims that for men to retrieve something of their old collective
wisdom, it is necessary for them to learn each others languages.
In the words of Widdowson (1978), these opportunities Comenius mentions to communicate with
others, have to do with the ability to communicate in a foreign language and the ability to interpret
and produce meaning. This is an important goal for language learners, especially for those who
need to fulfill roles as family members, community members, students, teachers, employers or
employees in an foreign language speaking environment. While there are many influential factors in
5/21
second language learning, as the learner characteristics such as age, personality, and intelligence,
the critical dimension in language learning is interaction with other speakers.
Similarly, in the words of Larsen-Freeman (1991), one learns to do by doing, since people learn to
walk by walking and they learn to drive by driving. Therefore, it makes sense, then, that people
learn to communicate by communicating, and similarly, those learners who engage in the regular
use of their second language and receive the greater quantity of input will most likely demonstrate a
greater ability to use their second language. Learners must actively work and practice extensively
on communicating to develop skills in communication.
It follows, then, that learners should be provided with as much speaking time as possible, both in
and out of the classroom. However, we should not forget that communicating successfully implies
not only a correct use of structure and form, but also to communicate intelligibly and appropriately
for students to achieve a successful interaction. This ability to communicate is the aim of our next
section where we will provide an approach to the notion of communicative competence within the
framework of language teaching.
2.3. A theory of communicative competence.
In this section, it is relevant to conceptualize first some key issues related to the concept of
communicative competence in order to fully understand the term and its relevance in foreign
langua ge teaching. Therefore, the concepts of proficiency, competence and performance will
be under revision as follows.
Within a language teaching theory, many approaches and theories stem from a fundamental
question which addresses the way of help ing students who are learning a second language in a
classroom setting, become proficient in that language. Another question arises, then, in relation to
what it means to be proficient in a language, and to what a learner has to know in terms of
grammar, vocabulary, sociolinguistic appropriateness, conventions of discourse, and cultural
understanding in order to use a language well enough for real world purpose.
Following Ellis (1985), we may define proficiency as the learners knowledge of the target language
viewed as linguistic competence or communicative competence. Common synonyms for the term
are expertise, ability, or competence within implications at a high level of skill, well-developed
6/21
knowledge, and polished performance. As we have seen, the term proficiency brings about the
notions of competence and performance which must be also reviewed.
These two notions of competence and performance are one of the main tenets in Chomskys theory
of transformational grammar (Richards & Rodgers, 2001). This distinc tion addresses competence as
the idealized native speakers underlying competence, referring to ones implicit or explicit
knowledge of the system of the language whereas performance addresses to an individual
performance, referring to ones actual production and comprehension of language in specific
instances of language use.
This fundamental distinction has been at the centre of discussions of many other researchers, and in
fact, it has been reviewed and evaluated since then from various theoretical perspectives. However,
in his work On communicative competence (1972), the American anthropologist Dell Hymes felt
that there are rules of language use that are neglected in Chomskys approach, as native speakers
know more than just grammatical competence. Hymes, with a tradition on sociolinguistics, had a
broader view of the term which included not only grammatical competence, but also sociolinguistic
and contextual competence.
For Hymes, the notion of communicative competence is the underlying knowledge a speaker has of
the rules of grammar including phonology, orthography, syntax, lexicon, and semantics, and the
rules for their use in socially appropriate circumstances. Therefore, we understand competence as
the knowledge of rules of grammar, and performance, they way the rules are used.
The verbal part of communicative competence comprises all the so-called four skills: listening,
reading, speaking and writing. It is important to highlight this, since there is a very common
misunderstanding that communicative competence only refers to the ability to speak. It is both
productive and receptive. All of us have developed communicative competence in our native
language, oral proficiency and later, possibly, written proficiency, since the acquisition of
communicative competence in a foreign or second language takes place on the basis of the fact that
we already have a native language. So we are dealing with the development of two systems that
interact.
The question of how learners process new information and what kind of strategies they employ to
understand, learn or remember the information has be en the primary concern in research for over
the last twenty years, with greater emphasis being put on learners and learning rather than on
teachers and teaching. Research has repeatedly shown that the conscious, tailored use of such
strategies is related to language achievement and proficiency. These strategies are called language
7/21
learning strategies whose typology will shed light on the concept of communication strategies,
since it is one of the three main types of language learning strategies.
3. COMMUNICATION STRATEGIES: DEFINITION AND TYPOLOGY.
With this background in mind, Chapter 3 aims at emphasizing the relevance of language learning
strategies in foreign language learning and teaching and, in particular, of communication strategies.
Then this section is divided into three sections so as to analyse first, the concept of strategy, then
the concept of language learning strategies and finally, the concept of communication strategies
in terms of definition and typology.
So, this section provides (1) a definition of the term strategy in terms of origins within a language
learning background; (2) an approach to language learning strategies in terms of (a) definition, by
means of which we shall review (i) the main factors influencing the choice of L2 learning strategies;
and (ii) the main problems in classifying strategies and (b) typology, based on the contributions of
the most relevant researchers in the field. Next, it is at this point that we shall meet (3) the concept
of communication strategies and we shall examine it in terms of (a) definition and (b) a typology,
following again the main figures in this field.
3.1. The concept of strategy.
As stated above, the interest, and therefore research, into the concept of strategies began in the
1960s when developments in cognitive pshychology stressed the importance of communication
strategies for foreign language learning and the teachers role in strategy training. The primary
concern was on identifying what good language learners report they do to learn a second or foreign
language, or, in some cases, are observed doing while learning a second or foreign language
(Rubin & Wenden, 1987:19).
In his study The Method of Inference in Foreign Language Study (1966), Aaron Carton made the
first attempt on learner strategies. After Carton, in 1971, other linguists such as Rubin (1975) started
doing research focussing on the strategies of successful learners and stated that, once identified,
such strategies could be made available to less successful learners. Rubin (1975) classified
strategies in terms of processes contributing directly or indirectly to language learning. Yet, how do
we define the concept of strategies?
8/21
Actually, the description of the term strategies must be linked to that of the communicative
approach and language learning strategies in the classroom setting. Communicative Language
Teaching theory holds that negotiating meaning is a key element in learning a foreign language and
hence, the ability to negotiate meaning is dependent upon ones ability to use communicative
strategies effectively.
In fact learning strategies are defined as specific actions, behaviors, steps, or techniques students
use, often consciously, to improve their progress in apprehending, internalizing, and using the
foreign or second language (L2). They may refer to conversation patterns, the use of gestures to
communicate when the words do not come to mind, the learning of words by breaking them down
into their components, using guesses when reading, and so on. So, strategies prove essential as the
tools for active, self-directed involvement needed for developing L2 communicative ability
(OMalley & Chamot, 1990). Here we are some other definitions of the term.
3.2. Language learning strategies.
3.2.1. Definition.
The term language learning strategy has been also defined as any sets of operations, steps, plans,
routines used by the learner to facilitate the obtaining sotrage, retrieval, and use of information
(Wenden & Rubin, 1987:19); intentional behavior and thoughts used by learners during learning so
as to better help them understand, learn, or remember new information (Richards & Platt,
1992:209); and a lso as an attempt to develop linguistic and sociolinguistic competence in the target
language (Faerch & Kasper, 1983:67).
According to Stern (1992:261), the concept of learning strategy is dependent on the assumption
that learners consciously engage in activities to achieve certain goals and learning strategies can be
regarded as broadly conceived intentional directions and learning techniques. Moreover, according
to Hismanoglu (2000), a ll language learners use language learning strategies either consciously or
unconsciously when processing new information and performing tasks in the language classroom.
9/21
3.2.2. Main factors on the choice of L2 learning strategies.
According to Oxford (1990), the choice of strategies used among students learning a second
language is influenced by several factors, such as motivation, gender, cultural background, attitudes
and beliefs, type of task, age and stage, learning style and finally, tolerance of ambiguity.
Regarding motivation, those students who are more motivated tend to use more strategies
than less motivated students. Also, the particular reason for studying, such as the
motivational orientation related to career field, is important in the choice of strategies.
Regarding gender, females are reported to use greater overall strategies than males in many
studies although sometimes surpassed females in the use of a particular strategy.
Regarding cultural background, certain cultures use special forms of memorization which
seem to be more prevalent among other cultures.
Attitudes and beliefs are reported to have a profound effect on the strategies learners
choose, with negative attitudes and beliefs often causing poor strategy use of lack of
strategies.
Regarding the type of task , their nature help determine the strategies naturally employed to
carry out the task.
With respect to age and stage , students of different ages and stages of L2 learning are said
to use different strategies, with some of them often being employed by older or more
advanced students.
Concerning the learning style , that is, the general approach to language learning, it often
determines the choice of L2 learning strategies. For instance, analytic -style students prefer
strategies such as contrastive analysis, rule-learning, and separating words and phrases,
while global students tend to use strategies to find meaning (guessing, scanning, predicting)
and to converse without knowing all the words (paraphrasing, gesturing).
Finally, regarding tolerance of ambiguity, students who are more tolerant are said to use
significantly different learning strategies in some instances than did students who are less
tolerant.
3.2.3. Main problems in classifying strategies.
10/ 21
Before offering a typology of language learning strategies, it is crucial to take into account the main
problems in classifying strategies since there are a wide range of typologies, almost two dozens
strategy classification systems. The existence of these distinct strategy typologies indicates a major
problem in the research area and therefore, a lack of a coherent, well accepted system for describing
these strategies. So, these systems have been divided into five main groups depending the variables
they are related to:
(1) successful language learners (Rubin, 1975);

(2) psychological functions (OMalley & Chamot, 1990);
(3) linguistically based systems dealing with guessing, language monitoring, formal and
functional practice or with communication strategies like paraphrasing or borrowing
(Tarone, 1983);
(4) separate language skills (Cohen, 1990);
(5) and finally, different styles or types of learners (Ellis, 198 5).
3.2.4. Typology.
Since language classroom is like a problem-solving environment in which language learners are
likely to face new input and difficult tasks given by their instructors, learners attempts to find que
quickest or easiest way to do what is required, that is, using language learning strategies is
inescapable. Language learning strategies language learners use during the act of processing the
new information and performing tasks have been identified and described by researchers, but still,
there is no generally agreed typology to follow.
The classification of Language Learning Strategies goes back to the figure of Selinker, who coined
the term communication strategy in 1972 in his account of the processes responsible for
interlanguage. Shortly after, in 1975 and later on in 1987, Joan Rubin classified the strategies of
language learning into direct and indirect (the former contribute directly to learning whereas the
latter contribute indirectly to the learning process).
Of course, this classification is not the only one and others followed. Thus, OMalley (1985)
divided learning strategies into three main categories: metacognitive, cognitive and socioaffective;
Oxford (1990) distinguished two main classes, direct and indirect, which were subdivided into six
11/ 21
groups: direct (memory, cognitive, compensation strategies) and indirect (metacognitive, affective
and social strategies); Stern (1992) also introduced his own classification (management and
planning, cognitive, communicative, interpersonal and affective strategies) but in the end, they all
reflect the same categorization of language learning strategies.
In fact, most of the attempts to classify language learning strategies reflect more or less the same
categorizations of language learning strategies without any radical changes. In what follows, we
shall shortly summarize how various researchers have categorized language learning strategies, thus
Rubin (1987), Oxford (1990), OMalley (1985) and Stern (1992). So, for our purposes, we shall
establish Rubins classification since he pionered much of the work in this field and also makes
direct reference to the concept of communication strategies.
Then, according to him (1987), there are three main types of strategies used by learners that
contribute directly or indirectly to language learning: learning strategies, social strategies and
communication strategies.
(1) Regarding learning strategies, there are two main types: cognitive le arning strategies and
metacognitive learning strategies.
The former refer to the the steps or operations used in learning or problem-solving that
require direct analysis, transformation, or synthesis of learning materials. Rubin
identified six main cognitive learning strategies contributing directly to language
learning (clarification, guessing, deductive reasoning, practice, memorization and
monitoring).
The latter are used to oversee, regulate or self-direct language learning and involve
various processes as planning, prioritising, setting goals, and self-management.
(2) Social strategies are those activities learners engage in which afford them opportunities to
be exposed to and practise their knowledge. Although this kind of strategies provide
exposure to the target language, they contribute indirectly to learning since they do no lead
directly to the obtaining storing, retrieving, and using of language (Rubin & Wenden,
1987: 23-27).
12/ 21
(3) Finally, communication strategies are less directly related to language learning sin ce they
focus on the process of participating in a conversation and getting meaning across what the
speaker intends to say. Communication strategies are used by speakers when faced with
some difficulty due to the fact that their communication ends outrun, their communication
means or when confronted with misunderstanding by a co-speaker (Rubin & Wenden,
1987). But how do other relevant figures define and classify communication strategies?
3.3. Communication strategie s.
3.3.1. Definition.
As seen, communication strategies have been defined as strategies employed when people
encounter a communication problem during conversation (Murphy, 2003). In addition, according
to Ellis (1985:164), communicative strategies are related to the cognitive component of procedural
knowledge, which comprises the various mental processes involved in internalizing and
automatizing new L2 knowledge (second language learning) and in using this knowledge in
conjunction with other knowledge sources to communicate in the L2. Communication strategies,
then, are the result of an initial failure to implement a production plan. Language use, therefore, is
characterized by both production and reception strategies, which operate when the learner utilizes
available resources easily and subconsciously (Ellis, 1985).
A mention to language learning strategies in our educational curricula is to be found within the
framework of the communicative approach to language teaching. So, since communication
strategies are components of communicative competence, it is necessary to define what
communicative competence is. The most well-known definition is Canale and Swains (1980) and
later Canales (1983) definition. According to these scholars, four different components make up
communicative competence: grammatical, discourse, sociolinguistic and strategic competence.
1. Grammatical competence.
Grammatical competence subsumes all knowledge of lexical items and of rules of

morphology, syntax, sentence-grammar semantics and phonology (Canale and
13/ 21
Swain,1980). It therefore refers to having control over the purely linguistic aspects of
the language code itself, regarding verbal and non-verbal codes. This corresponds to
Hymes grammatical aspect and includes knowledge of the lexicon, syntax,
morphology, phonology and semantics. Thus, it involves rules of formulations and
constraints for students to match sound and meaning; to form words and sentences
using vocabulary; to use language through spelling and pronunciation; and to handle
linguistic semantics.
2. Discourse competence.
For our purposes, discourse analysis is primarily concerned with the ways in which
individual sentences connect together to form a communicative message. One of its
main figures, Widdowson (1978) proposed a distinction between the concepts of use
and usage, where usage refers to the manifestation of the knowledge of a language
system and use means the realization of the language system as meaningful
communicative behavior. This competence addresses directly to the mastery of how to
combine grammatical forms and meanings to achieve a unified spoken or written text in
different genres (Canale and Swain 1980). By genre is meant the type of text to be
unified, thus, a scientific paper, an argumentative essay, and oral and written narrative
among others. For them, the unity of a text is achieved through cohesion in form and
coherence in meaning.
3. Sociolinguistic competence.
Sociolinguistic competence refers to the knowledge which the learner has to acquire of
the sociocultural rules of language. This type of knowledge requires an understanding
of the social context in which language is used: the roles of the participants, the
information they share, and the function of the interaction (Savignon 1983). Other
relevant figures in this field, such as Canale and Swain (1980) defined this competence
in terms of sociocultural rules of use, and rules of discourse. Regarding the rules of
discourse, it is defined in terms of the mastery of how to combine grammatical forms
and meanings (1980). When we deal with appropriateness of form, we refer to the
extent to which a given meaning is represented in both verbal and non-verbal form that
is proper in a given sociolinguistic context.
4. Strategic competence.
14/ 21
Finally we come to the fourth area of Communicative Competence. In the words of
Canale (1983), strategic competence is the verbal and nonverbal communication
strategies that may be called into action to compensate for breakdowns in
communication due to performance variables or due to insuffic ient competence.This is
quite a complex area but in a simplified way we can describe it as the type of
knowledge which we need to sustain communication with someone. This may be
achieved by paraphrase, circumlocution, repetition, hesistation, avoidance, guessing as
well as shifts in register and style. According to Canale and Swain (1980), strategic
competence is useful in various circumstances as for instance, the early stages of
second language learning where communicative competence can be present with uj st
strategic and socio-linguistic competence.
As we can see, the first two components reflect the use of the linguistic system whereas the last two
define the functional aspects of communication. Focusing on communication strategies, and
therefore, the strategic competence, this is seen as the capacity that relates language competence,
or knowledge of language, to the language users knowledge structures and the features of context
in which communication takes place. Strategic competence performs assessment, planning, and
execution functions in determining the most effective means of achieving a communicative goal
(Bachman, 1990).
So, as speakers compensate for breakdowns in communication using strategic competence, we shall
offer a typology of these communication strategies following that of Tarone (1977) and later on,
Tarone (1983).
3.3.2. Typology.
We may establish a common typology half-way between the contributions of Tarone (1983) and
Celce-Murcia et al. (1995:28). So the classification of communication strategies would be done into
five main subtypes: (1) achievement or compensatory strategies, (2) stalling or time-gaining
strategies, (3) avoidance, (4) self -monitoring strategies, and (5) interactional strategies. Thus:
1. Achivement or compensatory strategies, paraphrasing according to Tarone (1983), are

subdivided into
15/ 21
Approximation, as the use of a single target language vocabulary item or structure,
which the learners knows is not correct, but which shares enough semantic features
in common with the desired item to satisfy the speaker (i.e. scarf for a piece of
clothing you wear around your neck in winter, fish for carp).
Circumlocution, where the learner describes the characteristics or elemtns of the

objects or action instead of using the appropriate target language item or structure
(i.e. She is smoking something. I dont know what its name is).
Word coinage, where the learner makes up a new word in order to communicate a
desired concept (i.e. airball for balloon, vegetarianist).
Literal translation, by means of which the learner translates word for word from the
native language (i.e. I have eight years old).
Language switch, by means of which the learner uses the native language term
without bothering to translate (i.e. He sent the ball from the corner in the last
minute).
Appeal for assistance, by means of which the learnerasks for the correct form (i.e.
The bus was very ... -What is it? What called?).
Finally, mime, by means of which the learner uses non-verbal strategies in place of
a lexical item or action (i.e. frowning = angry).
2. Avoidance is subdivided into
Topic avoidance, in which the learner simply tries not to talk about concepts for
which the target language item or structure is not known.
Message abandonment, in which the learner begins to talk about a concept but is
unable to continue and stops in mid-utterance.
3. Time-gaining strategies are subdivided into
Fillers, hesitation devices and gambits (i.e. Well, actually, er, where was I?)
Self and other-repetition.
4. Self -monitoring strategies:
16/ 21
Self-initiated repair (i.e. Well, I mean...; that is, ...; that is to say...).
Self-rephrasing with over-elaboration (i.e. This is for students and pupils when you
are free at school).
5. Interactional strategies, which are subdivided into
Appeal for help, which can be direct (i.e. What do you call this?) or indirect (i.e. I
dont know the word in English).
Meaning negotiation strategies.
Indicators of misunderstanding requests, indicating repetition (i.e. Pardon? Or

Could you say that again, please?), clarification (i.e. What do you mean by...?),
confirmation (i.e. Did you say...?).
Expressions of non-understanding, such as verbal ones (i.e. Sorry, Im not sure I

understand) or non-verbal (i.e. raised eyebrows, blank look).
Interpretive summary (i.e. You mean this? / So what you are saying is this?).
Reponses (i.e. repetition, rephrasing, expansion, reduction, confirmation, rejection,

repair).
Comprehension check whether the interlocutor can follow you (i.e. Am I making
sense?), what you said was correct or grammatical (i.e. I said that?), the interlocutor
is listening (i.e. on the phone: Are you still there?) or whether the interlocutor can
hear you (i.e. Are you listening to me?/Can you hear me?).
According to Hismanoglu (2000), since the amount of information to be processed by language

learners is high in language classroom, learners use different language learning strategies in
performing the tasks and processing the new input they face. Language learning strategies are good
indicators of how learners approach tasks or problems encountered during the process of language
learning. In other words, language learning strategies, while nonobservable or unconsciously used
in some cases, give language teachers valuable clues about how their students assess the situation,
17/ 21
plan, select appropriate skills so as to understand, learn, or remember new input presented in the
language classroom.
In addition, according to Fedderholdt (1997), the language learner capable of using a wide variety
of language learning strategies appropriately can improve his language skills in a better way.
Metacognitive strategies improve organization of learning time, self -monitoring, and self-
evaluation. Cognitive strategies include using previous knowledge to help solve new problems.
Socioaffective strategies include asking native speakers to correct their pronunciation, or asking a
classmate to work together on a particular language problem. So, as we can see, developing skills
in these three areas, such as metacognitive, cognitive, and socioaffective can help the language
learner build up learner independence and autonomy whereby he can take control of his own
learning.
It is a fact that language learning strategie s contribute to the development of the communicative
competence of the students. In this study, we have seen how, being a broad concept, language
learning strategies are used to refer to all strategies foreign language learners use in learning the
target language and communication strategies are one type of language learning strategies. It
follows from this that language teachers aiming at developing the communicative competence of
the students and language learning should be familiar with language learning strategies. As Oxford
(1990) states, language learning strategies are especially important for language learning because
they are tools for active, self-directed movement, which is essential for developing communicative
competence.
Besides, adds Himanoglu (2000), developing the communicative competence of the students,
teachers who train students to use language learning strategies can help them become better
language learners. Helping students understand good language learning strategies and training them
to develop and use such good language learning strategies can be considered to be the appreciated
characteris tics of a good language teacher.
Research into the good language learning strategies revealed a number of positive strategies so that
such strategies could also be used by bad language learners trying to become more successful in
language learning. However, there is always the possibility that bad language learners can also use
the same good language learning strategies while becoming unsuccessful owing to some other
reasons. At this point, it should be strongly stressed that using the same good language learning
18/ 21
strategies does not guarantee that bad learners will also become successful in language learning
since other factors may also play role in success (Hismanoglu, 2000).
5. CONCLUSION.
As Hismanoglu (2000), claims language learning strategies, being specific actions, behaviors,
tactics, or techniques, facilitate the learning of the target language by the language learner. All
language learners, needless to say, use language learning strategies in the learning process. Since
the factors like age, gender, personality, motivation, self-concept, life-experience, learning style,
excitement, and anxiety, among others, affect the way in which language learners learn the target
language, it is not reasonable to support the idea that all language learners use the same good
language learning strategies or should be trained in using and developing the same strategies to
become successful learners.
As Lessard-Clouston (1997) mentions, studies to be done on language learning strategies and

strategy training should move beyond descriptive taxonomies of language learning strategies and
attempt to seek for answers to a wide range of questions, such as: What types of language learning
strategies appear to work best with what learners in which contexts? Does language learning
strategies or language learning strategies training transfer easily between L2 and FL contexts? What
is the role of language proficiency in language learning strategies use and training? How long does
it take to train specific learners in certain language learning strategies? How can one best assess and
measure success in language learning strategies use or training? Are certa in language learning
strategies learned more easily in classroom and non-classroom contexts? What language learning
strategies should be taught at different proficiency levels?
It can be expected that answers to the above mentioned and many other questions from research in a
variety of settings will pave the way for building the theory that seems necessary for more language
learning strategies work to be relevant to current L2 / FL teaching practice.
19/ 21
6. BIBLIOGRAPHY.
Bachman, L.F. 1990. Fundamental Considerations in Language Testing. New York: Oxford University Press.
reference.
Crystal, D. 1985. Linguistics. Harmondsworth, England. Penguin Books.
Ellis, R. 1985. Understanding Second Language Acquisition. Oxford University Press.
Faerch, C. and G. Kasper.1983. Strategies in Interlanguage Communication. London: Longman.
Fedderholdt, Karen. 1997. Using Diaries to Develop Language Learning Strategies. On The Internet TESL Journal,
Vol. VI, No. 8, August 2000.
Hismanoglu, M. 2000. Language Learning Strategies in Foreign Language Learning and Teaching. Hacettepe University,
Turkey.
Howatt, A. 1984. A history of English Language teaching. Oxford: Oxford University Press.
Krashen, S. D. 1981. Second Language Acquisition and Second Language Learning. Oxford: Pergamon.
Krashen, S. D., and T. D., Terrell. 1983. The Natural Approach: Language Acquisition in the Classroom. Oxford:
Pergamon.
Larsen-Freeman, D. and M.H. Long. 1991. An introduction to second language acquisition research. New York:
Longman.
Lessard-Clouston, Michael. 1997. Language Learning Strategies: An Overview for L2 Teachers on The Internet TESL
Journal, 2000.
Murphy, R. 2003. On Teaching Communicative Strategies in the Classroom. Paper for the Association for Language
Teaching. Matsuyama JALT Chapter.
OMalley, J.M., and A.U. Chamot. 1990. Learning strategies in second language acquisition. Cambridge: Cambridge
University Press.
20/ 21
Oxford, R. 1990. Language Learning Strategies: What Every Teacher Should Know. New York: Newbury House
Publishers.
Richards, J. and J. Platt. 1992. Longman Dictionary of Language Teaching and Applied Linguistics. Essex: Longman.
Richards, J., & Rodgers, T. 1992. Approaches and Methods in Language Teaching. Cambridge: Cambridge University
Press.
Stern, H.H. 1992. Issues and Options in Language Teaching. Oxford: OUP.
Tarone, E. 1977. Conscious Communication Strategies in Interlanguage: a Progress Report in H.D. Brown, A. Yorio,
and R.C. Crymes (eds.). in TESOL 77, Teaching and Learning ESL. Washington D.C.: TESOL, 194-203.
Tarone, E. 1983. Some thoughts on the notion of communication strategy in C. Faerch, and G. Kasper (eds.). Strategies
in Interlanguage Communication. New York: Longman.
Wenden, A. and J. Rubin.1987. Learner Strategies in Language Learning. New Jersey: Prentice Hall.
Widdowson, H. G. 1978. Teaching Language as Communication. Oxford: Oxford University Press.
21/ 21
UNIT 41
ROMANISATION OF BRITAIN.
LATIN INFLUENCE ON THE ENGLISH LANGUAGE.
LOANWORDS AND CALQUES.
OUTLINE
1. INTRODUCTION.
2. A HISTORICAL BACKGROUND FOR THE ROMAN CONQUEST: BEGINNING AND

END OF ROMANO BRITAIN.
2.1. Before the Romans.
2.1.1. Prehistoric Britain.
2.1.2. The arrival of the Celts.
2.2. The beginning of the Roman Conquest.
2.2.1. Early Roman expeditions.
2.2.2. The Roman Conquest.
2.2.2.1. The conquest of southern Britain.
2.2.2.2. The conquest of northern Britain.
2.2.2.3. The two Roman provinces.
2.3. The end of Romano Britain.
2.3.1. The decline of Roman influence.
2.3.2. The arrival of the Germanic people.
3. LATIN INFLUENCE ON THE ENGLISH LANGUAGE. LOANWORDS AND CALQUES.

3.1. Loanwords and calques.
3.1.1. On defining the concept of borrowing.
3.1.2. On defining loanwords and calques.
3.2. The impact of romanisation.
3.3. Latin influence on the English language.
3.3.1. Latin influence in Old English.
3.3.1.1. On the continent.
3.3.1.2. In Britain.
3.3.1.3. The Christianizing of Britain.
3.3.2. Latin influence in Middle English.
3.3.3. Latin influence in Modern English.
3.3.4. Latin influence up to now.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/32
1. INTRODUCTION.
The present unit, Unit 41, aims to provide a detailed account of the process of romanisation in
Britain and examine to what extent we can talk about an influence of Latin on the English language
on the basis of loanwords and calques, that is, the process of borrowing. So this study will deal
with the cultural characteristics of the British Isles before and after the Romans. It is therefore an
introductory review of the history of Romano Britain and the events which would condition the
earliest development of the English language. Then this presentation will start by offering the most
relevant bibliography in this field as a reference for the reader, and by presenting our study in five
chapters, among which there are two central ones: the beginning and end of Roman Britain and its
influence on the English language.
Chapter 2 introduces a historical and cultural background for the Roman conquest namely by
reviewing all the events related to the beginning and end of Romano Britain. It is therefore an
introductory review of the history of the romanisation of British culture and society and the events
which would condition the earliest development of the English langua ge. So we shall approach the
situation of Britain (1) before the arrival of the Romans, where we shall start by reviewing (a)
prehistoric Britain and (b) the arrival of the Celts; (2) the beginnings of the Roman Conquest, where
we shall review (a) early Roman expeditions to Britain and (b) the Roman Conquest as such, in
three stages: (i) the conquest of southern Britain, (ii) the conquest of northern Britain, and (iii) the
division of Britain into two province; and finally, (3) we shall comment on what happened towards
the end of Romano Britain, by reviewing (a) the decline of Roman influence and (b) the arrival of
the Germanic people in Britain.
Chapter 3 will focus on the influence of Latin on the English language on the basis of loanwords
and calques. In this chapter, we shall analyse the impact of romanisation in Britain so as to get,
more particularly, to which extent Latin influenced the development of English language in the
following years and how this influence is present in the language, that is, the means of this
transmission: (1) loanwords and calques under the label of borrowings. So we shall start by defining
(a) the concept of borrowing, from which we get the definitions of (b) loanwords and calques
as a result of languages in contact. Then, with these concepts in mind, we shall analyse (2) the
impact of romanisation in Britain so as to get, more particularly, to which extent (3) Latin
2/32
influenced the development of English language in different periods up to now, thus (a) Old English
regarding (i) its influence on the continent, (ii) in Britain and (iii) during the Christianization of
Britain; (b) Middle English (c) Modern English and (d) up to now.
Chapter 4 will be devoted to the main educational implications in language teaching regarding the
introduction of this issue in the classroom setting. Chapter 5 will offer a conclusion to broadly
overview our present study, and Chapter 6 will include all the bibliographical references used to
develop this account of discourse analysis strategies.
An influential introduction to the historical background of romanisation in Britain is based on

relevant works of Asimov, La formacin de Inglaterra (1990); Baugh & Cable , A History of the
English Language (1993); Conde & Snchez, An Introduction to the History of the English
language-I: Old English (1996); and Leith, A Social History of English (1997).
Classic works on the influence of Latin on the English language regarding the process of borrowing,
that is, by means of loanwords and calques, include, still indispensable, Haugen, The analysis of
linguistic borrowing (1972); Nelson, The English language (1974); Algeo, Problems in the origins
and development of the English language (1982); Algeo & Pyles, The origins and development of
the English language (1982); Bauer, English Word-Formation (1983); and Read, Assessing
Vocabulary . (2000).
competence (1972); Tricia Hedge, Teaching and Learning in the Language Classroom (2000); and
Rivers, Teaching Foreign-Language Skills (1981).
provided by the guidelines in B.O.E. (2002); and the Council of Europe, Modern Languages:
Learning, Teaching, Assessment. A Common European Framework of reference (1998).
3/32
2. A HISTORICAL BACKGROUND FOR THE ROMAN CONQUEST: BEGINNING AND
END OF ROMANO BRITAIN.
This chapter introduces a historical and cultural background for the Roman conquest namely by
reviewing all the events related to the beginnin g and end of Romano Britain. It is therefore an
introductory review of the history of the romanisation of British culture and society and the events
which would condition the earliest development of the English language. So we shall approach the
situation of Britain (1) before the arrival of the Romans, where we shall start by reviewing (a)
prehistoric Britain and (b) the arrival of the Celts; (2) the beginnings of the Roman Conquest, where
we shall review (a) early Roman expeditions to Britain and (b) the Roman Conquest as such, in
three stages: (i) the conquest of southern Britain, (ii) the conquest of northern Britain, and (iii) the
division of Britain into two province; and finally, (3) we shall comment on what happened towards
the end of Romano Britain, by reviewing (a) the decline of Roman influence and (b) the arrival of
the Germanic people in Britain.
2.1. Before the Romans.
The formation of Britain dates back to 8.000 B.C. when the North Sea broke through the channel
and made an island of the original British peninsula. Archaelogy confirms that the earliest
inhabitants of Britain might have come from the continent by c. 5000-4000 B.C.. Waves of
immigrants from Europe must have kept crossing the Channel until 1500 B.C., when the Stone Age
came to an end. All these earlier inhabitants of Britain may not have been Indoeuropean. (Conde &
Snchez, 1996).
We know of the islands early inhabitants from what they left behind on archaelogical findings
(Clancton-on-Sea in Essex, Swanscombe in Kent). This thriving culture existed around 8.000 years
ago in the misty, westwards islands the Romans were to call Britannia. As the climate improved,
more people moved into Britain from the Continent, attracted by its forests, wild game, abundant
rivers and fertile southern plains. Yet, one of the most important reasons was the relative isolation
the island offered to its inhabitants: protection agains the fierce nomadic tribesmen that kept
appearing out of the east.
4/32
The new age of settle ment took place around 4.500 B.C. in what we term the Neolithic Age. Very
early on, farming began to shape the landscape of Britain from virgin forests to ploughed
fields.These people already developed sophisticated designs such as stone-axes, windmills and
above all, megalithic monuments for burial purposes1. The Bronze Age brought about the
manufacture of products made from metals (iron, bronze, gold) to make cauldrons and bowls,
shields and helmets, weapons of war and farming tools. It was at this time that the Celtic peoples
arrived in the islands we now call Britain.
2.1.2. The arrival of the Celts.
Shortly after 1200 B.C., a culture known as Urnfield developed and prospered in Central Europe,
and soon adapted the iron-working culture known as Hallstatt, after a site in Austria. The Hallstatt
people, who were skilled craftsmen (using iron, gold and bronze and producing fine burnished
pottery), reached at some time the British Isles and their culture began to infiltrate those foggy, wet,
but mineral-rich islands off the Continent.
This culture advanced their technology from their contact with Mediterraneans and developed into
the culture of La Tene, which produced beautiful, handsomely-made and decorated articles, in
addition to their beautifully wrought and highly superb mirrors, toilet articles, drinking vessels and
personal jewellery of exquisite form and decoration. They became known around the middle of the
fifth century B.C.. In fact, it was produced by the Celts, the first people in the islands of Britain
whose culture and language still survive in many forms today. They were called Keltoi by the
Greeks, Celtai by the Romans and Celts in present-day Britain.
So, by the time Julius Caesar invaded the island in 55 B.C., Celtic people had been in Britain for
many centuries before. The Celts were spread over a huge territory in Europe long before the
emergence in history of the Germanic peoples and, actually, they brought with them the Iron Age to
Britain. Movement of Celtic people from the continent were possibly connected to the displacement
of the Germanic people in Europe, and their clash with the Romans. Later, in 250 B.C., further
waves of Celtic people came from Britanny and Belgium: they settled in the south and southwest of
the island, hence they were also called Belgae.
1
The most famous is Stonehenge which is certainly the most visited and photographed of all the prehistoric
monuments in Britain because of its construction and enormous complexity, which is still a mystery.
5/32
Before the beginning of the Christian era, Celtic languages were spoken over the greater part of
central and western Europe. The Celts in Britain used a language derived from a branch of Celtic
known as either Bryth onic, which gave rise to Welsh, Cornish and Breton; or Goidelic, giving rise
to Irish, Scots Gaelic and Manx. However, as the vigor of the Celts declined under romanisation,
their languages were supplanted by those of their conquerors. Then the Celtic language spoken in
Gaul (Gaulish) gave way to the Latin spoken by the Roman conquerors, which was to develop into
French.
Yet, despite the long occupation, the British Celts continued to speak their own language, though
many of them, particularly those in the towns and cities who wanted to speak and write the
language of their Roman rulers. Roman rule did not prevent the British Celts from using their own
language, although they borrowed a good many words from Latin. But after the Angles, Saxons,
and Jutes arrived, British Celtic (Brythonic) was more severely threatened. It survived, however,
and produced a distinguished literature in the later Middle Ages, including the Mabinogion and
many Arthurian stories2 (Algeo & Pyles, 1982).
Finally, it is relevant to mention that the Celts introduced not only their language but also their
religion, particularly that of the Druids, who were the guardians of traditions and learning. These
religious figures were in charge of glorifying the pursuits of war, feasting and horsemanship, and
also controlled the calendar, the planting of crops and honored local deities in religious festivals and
rituals. This culture brought with them a sophisticated plough that revolutionised agriculture in the
rich soils of their new land.
In addition, despite Julius Caesar described them as savage barbarians, their society was well-
organized in urban settlements and the capitals of these tribal chiefs followed strict laws. It is also
relevant to mention that they introduced coinage in Britain and conducted a lively trade with Rome
and Gaul, including corn, livestock, metal and slaves.
2
In recent years Welsh (Cymric) has been actively promoted for nationalistic reasons. Breton is the language
of the descendants of those Britons who, around the time of the Anglo-Saxon invasion of their island and even
somewhat before that time, crossed the Channel and settled in the Gaulish province of Armorica, naming their
new home for their old one- Brittany. Breton is thus more closely related to Welsh than to long-extinct
Gaulish. There have been no native speakers of Cornish, another Brythonic language, since the early
nineteenth century. Efforts have been made to revive it: church services are sometimes conducted in Cornish,
and the language is used in antiquarian re-creations of the Celtic Midsummer Eve rituals but such efforts
seem more sentimental than practical (Algeo & Pyles, 1982:77).
6/32
2.2. The beginning of the Roman Conquest.
2.2.1. Early Roman expeditions.
As stated above, Celtic people had been in Britain for many centuries before Julius Caesars
invasion in 55 B.C.. The subsequent occupation, not really begun in earnest until the time of the
Emperor Claudius almost a century later (43 A.D.), who was to make Britain, that is, Britannia, a
part of the Roman Empire. The reason which led the Romans to undertake the conquest of Britannia
was the necessity to control trade across the Channel to crush rebellions in the Gaul and Britain.
A reasonable explanation for this situation is to be found before the first invasion in 55 B.C.. As
stated above, Britain had a lively export trade with Gaul since many of Britains Celts came from
this country, driven from their homelands by the Roman armies and Germanic tribes. Therefore,
other types of relations were also established in terms of personal, friendship, language and culture
afinity. In 71 B.C. Ariovisto, a Germanic warrior, invaded Gaul, defeated its inhabitants and
continued defeating Gaul tribes for twelve years.
At first, the Romans saw him as an ally since they considered Gaul people to be their enemies.
However, when Ariovisto proved too successful in his conquests, Julius Caesar decided to lead his
armies to Gaul not only to defeat Ariovisto but also the Gaul tribes in 58 B.C.. His main aim was to
exterminate the most representative figures between Celtic people, the druids, since they
represented the power in their society and, in fact, he actually did exterminate them by cruel means.
These events meant an immediate menace to Britain because of two main reasons: first, trade would
be directed to the south (Italy) and this would mean that Britains economy would decrease
considerably; and second, the Roman armies represented a real menace when situated just across
the Strait of Dover on (the north coast of France) since Julius Caesar knew that Britain was rich in
minerals, corn, and even more important, a new excuse to prove once again his political ambition.
In 56 B.C., a rebellion took place in Gaul against the Romans and Britain Celts supported their
neighbours from the other side of the Channel by sending their most fierce warriors to fight Roman
enemies . Eventually, the Romans defeated the Gaul people, but Julius Caesar found out about the
Britons help, which meant that he had a political excuse to invade the island and extend the frontiers
of the Roman Empire. However, at that moment he did not leave the Continent first, so as to avoid
7/32
any other rebellion in Gaul and second, because he did not know the area and feared to fail his
attack (Asimov, 1990).
So, the first Roman invasio n of the lands we now call the British Isles took place in 55 B.C. under
the leadership of Julius Caesar. He returned one year later, but did not lead to any significant or
permanent occupation, just an exploratory expedition. So, on the night of 25 August, Julius Caesar
sailed with two legions (10,000 men) in 80 ships across the Strait of Dover and landed on the south-
eastern coast, in Kent 3 . The expedition was a disaster and they failed on account of, first, the violent
reaction of Celtic people and second, the bad weather and the difficulties of resisting the attack of
the Britons. So, after nearly four weeks, Caesar decided to re-embark his army for France and return
the next year.
After this victory, the British Celts thought they had defeated Caesar and felt overpowered, so they
attacked the Romans in Gaul. Caesar felt the need to march against Britain again but with a stronger
army. He did not want to fail again. Therefore, in 54 B.C. he crossed the Channel once more but
this time he was accompanied by a fleet of eight hundred ships, almost five legions (50,000 men)
and 2,000 cavalry (men and horses). He landed in Kent unopposed, marched north and crossed the
Thames, but they found strong opposition in the northern part of the river. It was defended by
Casivelauno, a tribal chief who fought until he was betrayed by a rival tribe and had to surrender.
Hence, Caesar succeeded in establishing himself in the southeast of Britain by enacting tribute from
the natives. However, after three months he returned to Gaul because the hostile Gauls were taking
advantage of the absence of the legions. He left no army, so after the spring and summer in that
year, the Britons were as free as before, so free that they would not be troubled again by Roman
legions for nearly a hundred years. Yet, the Celts would not march against Gaul again since they
had learnt how much power the symbol of the eagles had.
Gaul was soon under the process of romanisation and became one of the warmest Roman provinces.
The Celtic language and laws were to be replaced by the Roman ones, and Britain was separated
from the Continent more than ever before, not only because of the Channel but also to strong
cultural differences.
3
Kent was inhabited by a Celtic tribe known as Cantii. In fact, Canterbury, the most famous city of Kent,
means the city of Cantii people (Asimov, 1990:24).
8/32
2.2.2. The Roman Conquest.
However, what happened in those one hundred years after Julius Caesar left Britain for the last
time? The answer is a series of events that prepared the ground for the Roman Conquest (also
known as romanisation), which took place when Rome managed to control Britain in every
cultural and social aspect. This was a slow process which officially began in 43 A.D. and ended in
409 A.D.. According to Asimov (1990), Britannia, as the Romans called the island, established
again a flourishing trade with the new Gaul, which became part of the rich, civilised and organized
Roman Empire.
Despite the distance, both in geographical and cultural terms, the south-east part of Britannia had
acquired Roman habits (as the Roman coinage) and it was considered to be under Roman influence.
After the death of Julius Caesar, Augusto (Caesars nephew) occupied the throne under the name of
Imperator (which means leader). Neither Augusto nor the following emperor, Tiberio were
really interested in crossing the Channel, but the next emperor, Calgula was just about to do it
because of a political event which would be responsible for the Roman Conquest in Britannia.
Cunobelino was a powerful tribal chief in Britain who had a peaceful alliance with the Emperor
Augustus. Yet, one of his sons, Adminio, betrayed his father and offered Rome the island in
exchange of the throne. Emperor Caligula (who was said to be mad) found this proposition funny
and sent an army to the west coast of Gaul, although he never crossed the Channel. In fact, it was
the fourth emperor, Claudius, who actually carried out this adventure when Cunobelino died in 43
A.D. since Adminio and his brother were a perfect political excuse to invade Britain.
2.2.2.1. The conquest of southern Britain.
So, in May 43 A.D. the Roman commander Aulus Plautius invaded Britain from Boulogne and this
is considered to be the starting point of the real Roman Conquest of the British Isles. He followed
the same route as Caesar did one hundred years before, but brought with him four legions and about
20,000 auxiliary troops. The Roman army landed on the Kent coast and defeated the Britons in a
9/32
series of skirmishes in the north part of the Thames. The Romans established a fort in that place as a
military base (which later became a city called Londinium, now known as London).
Then, they defeated a tribal chief called Caractaco at a place situated at seventy-five kilometres up
north-east of Londinium called Camulodunum (known as Colchester, which means colonial
campsite), but Caractaco escaped to Wales. In the early autumn, Emperor Claudius arrived with
reinforcements (including elephants) and personally supervised the capture of Colchester. Claudius
accepted the surrender of other eleven tribal kings, appointed Aulus Plautius as the first Governor of
Britain, and returned to Rome.
Conflict between some British tribes and the Roman invaders continued, although other tribes, such
as the Iceni (of modern East Anglia), Atrebates (modern Sussex) and Brigantes (of northern
England), quickly accepted Roman influence and began to assimilate. By 47 A.D., the legions had
penetrated as far south-west as Cornwall; as far west as Wales (where tribes under the leadership of
Caractacus put up resistance but were defeated, and Caractaco was captured and taken to Rome in
51 A.D.); and as far north as the Humber. The Romans began constructing a system of military
roads, founded Londinium (modern London) and built a crossing over the Thames (near the site of
present London Bridge).
By 60 A.D., the frontier had been pushed further and more tribes had been taken under Roman
protection. One of these tribes, the Iceni, was situated up north Colchester and was under the rule
of a humble and good tribal leader, Prasutagus, who had good relations with Rome. Before dying,
he left his heritage to Emperor Nero as a guarantee to protect his wife and daughters. However,
when Prasutagus died, the Romans brutalised his kingdom and family. Prasutaguss widow,
Boudicca, resisted the officials and as punishment was flogged, and her daughters were raped.
Boudicca raised the Iceni in rebellion against Rome and was supported by other tribes such as the
Trinovantes (from modern Essex). The rebellion began in Colchester, which was burnt to the
ground and its Roman and British pro-Roman inhabitants slaughtered, and continued with the
sacking of London (which was also burnt) and St Albans. The British tribes were defeated by the
governor, Suetonius Paulinus, in a battle in the Midlands. Boudicca committed suicide shortly
afterwards, and Paulinus punished both the rebel tribes and other neutral tribes. Once the rebellion
finished, Rome adopted a more conciliatory attitude.
10/ 32
2.2.2.2. The conquest of northern Britain.
In 69 A.D. Vespasianus was proclaimed emperor in Rome and he sent a numerous army to Britain
under the rule of a Roman general, Julio Agripa. He helped secure the advance of the Roman
legions in the island by the construction of roads and fortified forts in the north. Between 77 and 83
A.D. the new governor Agrcola was also important in the romanization of Britain since he
completed the conquest up to the north part (after defeating the Brigantes tribe at York). He also
campaigned against the Ordovices in Wales and the tribes of modern Scotland.
In 78 A.D., Agricola crossed the Menai Strait to take Anglesey (a notorious hideout for anti-Roman
elements such as the druids), and massacred the islands inhabitants. These events were reported by
Agricolas son-in-law, Tacitus who was his biographer. From 79 to 80 A.D., Agricola consolidated
Roman military control of todays Scotland, south of the Forth-Clyde line, being the first Roman to
consider building a string of forts across the country from west to east.
In 81 A.D., Domicianus, Vespasianuss son, was proclaimed emperor but he did not share
Agricolas view of the conquest. Between 81 to 83 A.D., Agricola campaigned north of the Forth-
Clyde line and in the end, he confronted the Caledonii (under Calgacus) at the Battle of Mons
Graupius. Although the result was not decisive, Agricola was able to establish the most northerly
legionary fortress of the Empire at Inchtuthill in Perthshire. The northern British tribes were
unimpressed and were never fully taken under Roman dominion. In 84 A.D., Domicianus started
then a mere defensive policy regarding the conquest.
The problems with northern tribes continued under the rule of Emperor Trajano. After several
attempts to conquer todays Scotland, the Romans withdrew in 105 A.D. and the northern frontier
was still fixed at the Tyne -Solway line. However, the situation changed with the next emperor,
Hadrian (76-138 A.D.) who, in 122 A.D. visited Britain and decided to build a physical frontier,
called Hadrians Wall, which was completed in 139 A.D. This stone wall was seventy-five miles
long (about 120 kilometres), two to three metres thick and five metres high. It covered a line from
east to west from todays Carlisle to the modern Newcastle (160 km down from Vespasianus
limits).
It was specially built to separate the Roman province from the barbarian land to the north but
undoubtedly it also served as a powerful visual symbol of the might of Rome. The wall had
castellated defences on both sides and eighty mile -castles and forts were built along, garrisoned by
11/ 32
auxiliary troops. At first, the Northern tribes continued to rebel, and there was the need to refortify
it numerous times, but later on the south limit of Britannia could enjoy a time of peace.
Yet, a further attempt to reach the north was made in 142 A.D. on the orders of Emperor Antoninus
Pius, Hadrians successor. He built a second wall (142-144 A.D.), called Antonines Wall, across
the narrowest neck of land between the Forth and the Clyde, but this time it was not as solid as
Hadrians one since it was made of turf, stone and wood. The Antonine Wall was thirty-seven miles
long, four metres wide and fronted by a ditch approximately twelve metres in width. It also had
forts and fortlets on the same pattern as Hadrian's Wall but was occupied only for a short time. Yet,
it was too far to be defended and too difficult to maintain, so by 160 A.D., the Romans had to
abandon it.
2.2.2.3. The two provinces of Britain.
In subsequent years, the murder of Emperor Comodo (192 A.D.) made the Roman Empire enter a
series of civil wars, and it was a political chaos. As all the attention was focused now on the
Continent, the north tribes of Britain had free way towards the south and both walls were destroyed.
These tribes were called picts and had Celtic origins. Moreover, the north part of Britain was also
invaded by Irish tribes, which were called scots. The last attempt to restore the two Roman walls
in Britain was made by Septimus Severus and his sons, who went to Britannia in 209 to fight these
tribes. Yet, Antonines Wall was abandoned forever and Hadrians Wall was restored and
established as the definite frontier. Severo was the first emperor who died in Britain (in York in 211
A.D.).
So, by 216 A.D., Britain had been divided into two provinces, largely as an administrative measure.
The one in the south was called Britannia Superior, which comprised south and west and had two
legions based at Caerleon and Chester. On the other hand, the one in the north was called Britannia
Inferior, and had one legion at York, and auxiliary troops in forts and on Hadrian's Wall. In the
south, there followed a period of relative peace in Britain until c.300 since rebellions were focused
up in the north of the island. Emperor Septimus Severus undertook the most costly military
campaign against todays Scotland since Agricola. However, despite limited initial success, the
Romans were again forced to withdraw their forces after a short period.
12/ 32
2.3. The end of Roman Britain.
As stated above, Hadrian and Antonines Walls were not enough to prevent the attacks of Picts and
Scots from crossing the northern border and destroying both the Roman headquarters and the
peaceful existence of the Celtic client kingdoms (Camilo & Snchez, 1996:28). When the Celtic
tribes got the independence, this event accelerated the political and economic decline of the Roman
Empire.
2.3.1. The decline of Roman influence.
Between 260 and 274, Britain became known as the Gallic Empire when Roman General Postumus
rebelled and set up his own small empire in Britain and Gaul. This was partly in response to the
emperors failure to defend these provinces against raids by the Germanic tribes of the Franks and
Saxons. Postumus was murdered by his troops in 268 A.D., but the Gallic Empire lasted until 274
A.D., when its third emperor, Tetricus, made a deal with the Roman Emperor Aurelian and
surrendered it back into his hands.
This political inestability ended in 284 A.D. when the general Dioclecianus was proclaimed
emperor, and he decided to divide the Empire into two parts, and therefore, ruled by two different
emperors. In 293 A.D., the new Emperor of the West was Constantius, a married man with a son
called Constantine. However, so as to get to the throne, he had to marry another woman, the step-
daughter of the Emperor of the East.
By this time, Christian people were persecuted throughout all the Roman Empire, except in the
West part. Although Constantius was not a Christian, he was a tolerant man and he just ignored
Dioclecianuss claim. When Constantius died in York on 25th July 306 A.D., his troops
immediately declared his son Constantine Emperor in his place. Constantine went on from there to
conquer the whole Roman Empire, defeating his main rival, Maxentius, at the Milvian Bridge in
312 A.D. Constantine made Christianity the official religion of the Empire, and his new capital,
Constantinople (modern day Istanbul) was founded as a Christian city in 324 A.D.
However, during the fourth century A.D., the Roman Empire was threatened by continuous
invasions of Saxons, Picti and Scoti. In 367 A.D. there was a concerted land and sea invasion of the
13/ 32
British province by the Picti (Picts) of Northern Britain, the Irish, Scoti (also from Ireland),
Attacotti (reputedly a cannibal, and probably an island, tribe), and some Saxons. Hadrian's Wall was
overrun and Emperor Valentinus sent his most powerful general, Theodosius, with the purpose of
restoring administration. An amnesty was announced for the army deserters who were roaming the
country, and the frontiers refortified.
However, following the death of Theodosius (395 A.D.), the West part of the Roman Empire started
to decline. The invasions continued both in Britain and on the Continent by 400 A.D. In Britain,
three non-Roman kingdoms were established north of Hadrian's Wall: Strathclyde (south central
Scotland), Gododdin (modern Lothian) and Galloway, and the south-east Britain continued to
prosper. Yet, on the Continent Germanic tribes (Angles, Saxons and Jutes c.390) invaded Italy and
the Roman legions in Britain had to leave to Gaul in 407 A.D.
Further attacks from the Germanic people on the continent, including the sack of Rome in 410 A.D.,
led to the withdrawal of Roman troops from Britain. Nearly four centuries and a half after Julius
Caesar landed in Kent, the last Roman legions left Britain so as not to never return.
2.3.2. The arrival of the Germanic people.
The Angles (from Schleswig-Holstein), Saxons and Jutes (from Jutland) invaded and settled
extensively in southern and central Britain from the late fourth century onwards. The Romano-
British aristocracy had employed some as mercenaries; some came in search of land as invaders.
Vortigern, a leader of the Britons in the post-Roman period is thought to have invited two Saxon
warriors and their troops into Britain to act as a mercenary force but his Saxon allies revolted,
joining the invaders and setting up their own rule in Kent.
Between 420 and 430 A.D. there was an economic crisis which led to the collapse of money
economy in the British Isles. Under Vortigerns rule the crisis was accentuated by the al ck of
coordination among the local chieftains, economic problems and the repeated attacks of the norther
Picts, Scots and Caledonians. The latter seems to be the reason why continental Germanic people
were invited to settle in Britain (Conde & Snchez, 1996). These Germanic peoples continued to
arrive throughout the fifth and sixth centuries, forming the South Saxon Kingdom (or Sussex), the
West Saxon kingdom (or Wessex), and the East Saxon kingdom (or Essex). But this another story.
14/ 32
3. LATIN INFLUENCE ON THE ENGLISH LANGUAGE. LOANWORDS AND CALQUES.
In this chapter, we shall analyse the impact of romanisation in Britain so as to get, more
particularly, to which extent Latin influenced the development of English language in the following
years and how this inf luence is present in the language, that is, the means of this transmission: (1)
loanwords and calques under the label of borrowings. So we shall start by defining (a) the concept
of borrowing, from which we get the definitions of (b) loanwords and calques as a result of
languages in contact.
Then, with these concepts in mind, we shall analyse (2) the impact of romanisation in Britain so as
to get, more particularly, to which extent (3) Latin influenced the development of English language
in different periods up to now, thus (a) Old English regarding (i) its influence on the continent, (ii)
in Britain and (iii) during the Christianization of Britain; (b) Middle English (c) Modern English
and (d) up to now.
According to Nelson (1974), the demands for new meanings which are made by changes in the
physical and cultural environment are frequently met by extension or transfer of the meanings of
already existing words. But new words are ofte n needed and they come from many sources, such
as prefixation, suffixation, derivational processes as well as other minor devices in word-formation
among which we find the concept of borrowing.
Therefore, the traditional literature basically distinguishes three main types of name -giving: (a)
taking an already existing word and applying it to a new referent (semantic change); (b) creating a
new word with the material offered by the speakers language (word formation: prefixation,
suffixation, derivational processes); and (c) adopting linguistic material from another language
(borrowing, loan). This latter has been the most important source of new words in English.
So, borrowing refers to the incorporation of foreign features into the native language by the
speakers of that language. Note that the native language is maintained but is changed somewhat by
15/ 32
the addition of the incorporated features. Haugen defines borrowing as the attempted reproduction
in one language of patterns previously found in another (1972:81). It is then an attempted
reproduction because making a perfect reproduction from a language with a different system is
impossible.
The term borrowing is used in comparative and historical linguistics to refer to linguistic forms
which have been taken over by one language or dialect from another due to social and cultural
needs. So extensive has it been that by far the greatest part of the present-day English vocabulary is
made up of borrowed rather than native words.
We can talk about reproduction because of the impossibility of directly transferring a feature in
one system over to another system. Reproduction rather refers to the creation of a new form in the
recipient language on the model of a form in the source language. In other words, if a speaker of
language A reproduces the new linguistic patterns, not in the context of the language in which he
or she learned them, but in the context of language B, he or she may be said to have borrowed
them from language A to language B.
Apart from the very general distinction between necessity borrowing and luxury borrowing,
there are two frequently named motives for the adoption of linguistic material from another
language, thus the need to designate new things and the prestige involved in these terms. In
addition, the following aspects have been also mentioned as main causes for lexical borrowing: the
need to differenciate special nuances of meaning, the need to play with words, the feeling of
insufficiently differenciated conceptual fields, the creation of a specific conceptual field, the
political or cultural dominion of one people by another, the bilingual character of a society and the
lack of lexicographical means, among others.
Finally, Haugen (1972) distinguishes two types of borrowing, namely importation and
substitution. If the borrowing were similar enough to the model of language A so that native
speakers would accept it as their own, the borrowing speaker may be said to have imported the
model into his or her language. But if the reproduction of the model is not so adequate, then a
substitution is taking place.
16/ 32
3.1.2. On defining loanwords and calques .
Hence, the concept of borrowing is defined then as a process which adopt linguistic material from
another language which is realized by means of loanwords and calques. Note that the terms
borrowing and loan refer to the same concept (in opposition to the term borrowing as a
process) as in restaurant, chagrin, fianc, caf. Haugen regards loanwords as homophonous
extensions, in which the phonemic replica was not made phoneme -by-phoneme, but was mutated by
influence of phonemically similar morphemes (Haugen, 1956:764).
On the other hand, the term calque comes from French calquer and refers to a type of borrowing
where the morphemic constituents of the borrowed word or expression are translated item by item
into equivalent morphemes in the new language (i.e. godspell from Lat. Evangelium; headfather
from Lat. Patriarch).
Following Haugen (1972), the classical version for lexical borrowings distinguishes loans taken
from (a) importation ( (b) partial substitution and (c) substitution.
Within importation we may classify two types: a borrowed word which can be
unassimilated from a foreign word (i.e. caf, fianc, envelope) or assimilated (i.e. music,
whiskey). So we may further distinguish between the terms foreign word (German
Fremdwort) and loanword (German Lehnwort) where the main criterion for the
separation is supposed to be the degree of integration.
Regarding partial substitution, we find loan blends, which are hybrid composites where one
word is borrowed and another one substituted (i.e. Saturday, from OE Saturdes daeg).
Regarding substitution, we find
o loan formations, also called, loan translations, of the elements of the foreign
words, for instance, Monday from Lunae dies, or from French gratte-ciel to
Spanish rascacielos.
o Also, loan meaning or loan creations, where we find a coinage independent of a
foreign word, but created out of the desire to replace a foreign word (i.e. English
fear vs. Lat. trepidation).
17/ 32
o And pseudo loans, which are indigenous word to which the meaning of the foreign
word is transferred, for instance, OE cniht servant + disciple of Jesus gives Latin
discipulus, meaning student of disciple of Jesus.
It is obvious that the most typical as well as the most numerous class of words introduced by the
new culture would have to do with that culture and the details of its external organization. Words
are generally taken over by one language from another in answer to a definite need. They are
adopted because they express ideas that are new or because they are so intimately associated with
an object or a concept that acceptance of the thing involves acceptance also of the word (Baugh &
Cable, 1993:84).
As seen, the adoption of new habits of life implied a change in society, religion, customs, food,
leisure, education and, especially, in language, too. Latin, being the language of the Roman Empire,
had already influenced the language of the earlier inhabitants of the island for two main reasons:
first, because the nearly four centuries of romanisation on the British Isles and, second, because in
the Middle Ages Latin was considered as the language of cultural transmission and a high cultivated
level. So, Latin loanwords reflected the superior material culture of the Roman Empire, which had
spread across Europe: street, wall, cnadle, chalk, inch, pound, port, camp. Germanic tribes even
before they set foot in Britain. Still today, English shows certain effects, especially additions to its
vocabulary, and the nature of these contacts and the changes that were effected by them will form
the subject of this section.
3.2. The impact of romanisation in Britain.
The impact of romanisation was to be noticed all over Britain at all levels, that is, social, economic,
political, personal, cultural, and educational, among others. In general, the process of romanization
implied a strong cultural change which was to be adopted and admired by the earlier inhabitants of
the island. Following Baugh & Cable (1993:44), Romans left the legacy of their way of living in
such a variety of issues. For instance,
the construction of four main highways from London to the north, the northwest, the west,
and the southwest, while a fifth cut across the island from Lincoln to the Severn; and
18/ 32
numerous lesser roads so as to connect important military or civil centers. Also, they left a
fine system of navigable inland waterways which enabled cargoes to move inland, a
complex system of natural rivers and canals, which still exist.
the architectural style in a score of small cities and more than a hundred towns, with their
Roman houses, baths, temples and occasional theatres:
o The houses were equipped with heating apparatus and water supply, their floors
were paved in mosaic, and their walls were of painted stucco, all as in their Italian
counterparts (Baugh & Cable, 1993:44).
o Every town had its bath complex, as did inns and almost all the houses. Public
baths and those outside army forts were the Roman equivalent of modern leisure
centres. Also, although a rare facility, they built outdoor swimming-pools.
o They also built temples, and occasional theatres. Moreover, many towns boasted an
amphitheatre, usully built in the outskirts of the city. Games were held there for
religious and military purposes, particularly on the emperors birthday.
Regarding the Roman dress, their clothes were made of home-spun wool. A man would
wear a simply cut tunic which also served as nightshirt. If he were on official business, he
would wear the famous toga over the tunic, but if not he would put on a long overtunic
held in by a belt and, in cold weather a cloak. Dealing with footwear, they usually wore
leather sandals on bare feet and boots in cold weather.
On the other hand, a woman would be assisted by a servant since she had to take care of her
appearance. She would use cosmetic paste, wore and ankle -length tunic covered by a
shorter one or a kind of toga with coloured sandals. Their dress colour would denote her
social status as well as their jewellery.
Regarding ornaments, they liked wearing pieces of Celtic or Roman-style furniture and
jewellery. This latter would denote their social status.
Roman pottery and glassware seem to have been in general use.
In terms of food, they grew their own grain for the staple diet of bread and porridge. Also,
the romanized and urbanized middle and upper classes would eat a wide variety of food.
Thus, the main meal of the day was selected from a wide range of meat, fruit and
vegetables to be eaten in the evening while drinking good wine. They already had wine
shops and restaurants to enjoy social life. In addition, they introduced a wide range of fruit
and vegetables, such as cherries, grapes, figs, mulberries, raisins, radishes, peas, broad
beans and celery, which implied a varied and healthy diet.
19/ 32
Moreover, Romans were keen on games. Gambling was present in Romanized society and
in the army, among which dice was the commonest game. The family used to play games
similar to draughts and chess with pieces made of bone or pottery, and would play the lyre
and cithera for musical entertainment. Also, chariot racing, like horse-racing today, and the
entertainment world of gladiators in the Roman circus.
In terms of religion, Romans were driven by superstition and worshipped both their own
and other peoples deities.
Yet, the biggest impact of the Roman Conquest in Britain was its influence on the English
language.
3.3. Latin influence on the English language.
first, because of the nearly four centuries of romanisation on the British Isles and, second, because
in the Middle Ages Latin was considered as the language of cultural transmission and a high
cultivated level. Latin had already influenced the language of Germanic tribes even before they set
foot in Britain, and even today we can feel its influence on specialized language (i.e. medicine,
name of school projects, etc).
The language we know nowadays as English is not merely the product of different dialects, but the
product of a wide range of elements which entered into it in the course of more than two thousand
years. For our purposes, in the first seven hundred years of its existence in England it was brought
into contact with at least three other languages, the languages of the Celts, the Romans, and the
Scandinavians, followed by the Germanic tribes. Yet, we shall offer an account of the Latin
influence on the English language in different periods, thus Old English regarding (i) its influence
on the continent, (ii) in Britain and (iii) during the Christianization of Britain. , Middle English and
Modern English.
20/ 32
3.3.1. Latin influence in Old English.
3.3.1.1. On the continent.
Before the Romans settled in Britain, the first Latin words found their way into the English
language through the early contact between the Romans and the Germanic tribes on the continent.
The extensive intercourse between these two peoples justified the exchanging of words from one
language to the other (i.e. several hundred Latin words found in the various Germanic dialects).
These Latin words are found in all social ranks and classes, from slaves to the commanders of
important Roman military divisions. Yet, although they were scattered throughout the empire, they
were naturally most numerous along the northern frontier, on the border of Germanic frontiers.
This type of intercourses (i.e. military, trade) increased when, after the conquest of Gaul by Caesar,
Roman merchants found their way into all parts of the Germanic territory. This made possible the
transference of Latin words from one tribe into another (even into Scandinavia) and the adopted
words (which are called loanwords) indicated the new conceptions that the Germa nic peoples
acquired from the contact with the Roman civilization.
For instance, Germanic tribes focused on agriculture and war, so Latin words reflected this reality.
Among the most common borrowings, we highlight those related to military affairs (i.e. mil mile,
camp battle, segn banner), trade (i.e. sacc sack, ceap cheap, mangunghus shop, seam
boan, mynet coin, win wine, eced vinegar, flasce flask, bottle), domestic life (i.e. cytel
kettle, mese table, teped carpet, sigel brooch), food (i.e. ciese cheese, pipor pepper, senep
mustard, butere butter), building arts (i.e. cealc chalk, copor copper, tigele tile), and
miscellaneous (i.e. pawa peacock, casere emperor, Saeternesdaeg Saturday).
3.3.1.2. In Britain.
Following Baugh & Cable (1993:44), the evidences of Romanization are widespread all over
Britain since a great number of inscriptions have been found,. All of them are written in Latin and
there is no doubt that they proceed from the military and official class since, being in the nature of
public records, were therefore in the official language. Yet, they do not in themselves indicate a
widespread use of Latin by the native population.
21/ 32
It is believed that the influence that Celtic language exerted on Old English limited in like manner
the Latin influence that sprang from the period of Roman occupation. Moreover Baugh & Cable
(1993:79) add that Latin did not replace the Celtic language in Britain as it did in Gaul, since its use
was probably confined to members of the upper classes and some inhabitants of the cities and towns
by native Britons. Therefore, there was no opportunity for direct contact between Latin and Old
English in England, and such Latin words would have found their way into English through Celtic
transmission. In fact, the Celts had used a wide range of Latin words (over 600) but the relations
between the Celts and the natives were such that these words were not passed on.
Tacitus tells us that in the time of Agricola the Britons, who had hitherto shown only hostility to the
language of their conquerors, now became eager to speak it. At about the same time, a Greek
teacher from Asia Minor was teaching in Britain, and by A.D. 96 the poet Martial as able to boast
that his works were read even in this far-off island (Baugh & Cable, 1993:45). They add that on
the whole, there were certainly many people in Roman Britain who habitually spoke Latin or upon
occasion could use it. But its use was not sufficiently widespread to cause it to survive, as the Celtic
language did. Its use probably began to decline after 410 A.D., the approximate date at which the
last of the Roman legions were officially withdrawn from the island (Baugh & Cable, 1993:45).
3.3.1.3. The Christianizing of Britain.
According to Baugh & Cable (1993:80), the greatest influence of Latin upon Old English was
occasioned by the conversion of Britain to Roman Christianity beginning in AD 597. Latin was also
the language of Christianity, and when St Augustine arrived in Britain in AD 597 to christianise the
nation, terms in religion were borrowed, thus pope, bishop, monk, nun, cleric, demon, disciple,
mass, priest, shrine. Christianity also brought with it learning and therefore, vocabulary related to
it: circul, not, paper, scol (school), epistol.
The religion was far from new in the island, because Irish monks had been preaching the gospel in
the north since the founding of the monastery of Iona by Columba in AD 563. Yet, 597 marks the
beginning of a systematic attempt on the part of Rome to convert the inhabitants and make England
a Christian country, which lasted for more than 500 years. This was a difficult task since the
problem was not so much to substitute one ritual for another as to change the philosophy of a
nation.
22/ 32
On the one hand, the religion that the Anglo-Saxon and the Germanic tribes were often in contrast
to the teachings of the New Testament. Whereas Germanic philosophy exalted physical courage,
independence and loyalty to ones family or leader, Christianity preached meekness, humility, and
patience under suffering. The introduction of Christianity meant the close of the Old English period
and many new conceptions that followed the new religion. Latin borrowings in this period are to be
divided into two groups since words are more or less equal in size but quite different in character.
Following Baugh & Cable (1993:83), the first group represents words whose phonetic form shows
that they were borrowed early and whose early adoption is attested also by the fact that they had
found their way into literature whereas the other contains words of a more learned character first
recorded in the tenth and eleventh centuries which owed their introduction to the clear religious
revival that accompanied the Benedictine Reform.
The flourishing state of the church resulted on the influence of Latin upon the English language,
which rose and fell with the fortunes of religious matters and the state of learning, so intimately
connected. As a result of a new focus on literary activity, a new series of Latin importations took
place as a way of representing the movement. Thus, in religious terms: alb, antiphoner, apostle,
cntor, cell, collect, dalmatic, demon, font, idol, nocturn, prime, prophet, and synagogue, among
others; everyday life: accent, brief, decline, history, paper, pumice, quatern, terminus and title;
plant names: celandine, cucumber, gigner, lovage, periwinkle, petersili (parsley); trees: cedar,
cypress, fig, laurel and magdala (almond); medical terms: cancer, paralysis, scrofula, plaster;
animal kinds: aspide, camel, lamprey, scorpion, tiger.
3.3.2. Latin influence in Middle English.
The Middle English period (1150-1500) was particularly marked by important changes in the
English language. Some of them were the result of the Norman Conquest and the consequences of
that event and others were a continuation of tendencies that had begun in Old English. In grammar,
English was reduced from being an inflected language to an extremely analytic one. Similarly , the
field of vocabulary lost a large part of the Old English word-stock and the addition of thousands of
words from French and Latin. But why did they still use Latin after so many years?
23/ 32
Obviously, the new French-speaking nobility used French to supply deficiencies in the English
vocabulary (which was removed to the low social classes) and borrowed a large number of words
from Latin. Latin borrowings gained admission through written means, since we must not forget
that Latin was a spoken language among ecclesiastics and therefore, men of learning. In fact, the
fourteenth and fifteenth centuries proved quite prolific when, in 1384, the Bible was translated by
John Wycliffe and he used more than a thousand Latin words which were completely unknown in
English.
In general, we may find terms related to law (i.e. conspiracy, custody, contempt, homicide, legal,
lucrative, malefactor, notary, prosecute, scrutiny, subjugate, testify), medicine (i.e. immune,
inferior, medicine, recipe, prevent, rational, ulcer), theology (i.e. allegory, genius, incarnate,
infinite, intellect, limbo, missal, rosary, supplicate), science (i.e. incubus, juniper, mechanical,
lunatic, rational, suparabundance, zenith), literature (i.e. history, include, index, innumerable,
ornate, popular, script), among others. As we can see, we may notice several with endings like
able, -ible,, -ent, -al, -ous, -ive which became familiar in English and are of Latin origin. But in
many cases Latin words were being borrowed by French at the same time, and the adoption of a
word in English may often have been due to the impact of both languages (Baugh & Cable,
1993:181).
3.3.3. Latin influence in Modern English.
The period of Modern English, whose beginning is conveniently placed at 1500, is namely
represented by the Reinassance (1500-1650), a movement which brought with it new conditions that
previously had not existed in the Middle Ages, for instance, the printing press, the rapid spread of
popular education, the increased communication and means of communication, the growth of
specialized knowledge, and the emergence of various forms of self-consciousness about language.
This meant an increasing interest in the fields of science, medicine and arts.
Hence, the invention of the printing press brought with it a far-reaching influence on all the
vernacular languages of Europe. Printing made such rapid progress that a scant century later it was
observed that manuscript books were seldom to be seen and almost never used, and the majority of
them were in Latin. The result was a renewed interest in new publications so as to bring books,
24/ 32
which had formerly been the expensive luxury of the few, within the reach of many. Then there was
a great interest in the classical literatures and, therefore, in classical languages: Latin and Greek.
By that time, English had developed from what it formerly was in Old English and had a
remarkable recovery. From this time on the course of its history it ran in many ways parallel with
that of the other important European languages. According to Baugh & Cable (1993:198), in the
sixteenth century the modern languages faced three great problems: (1) recognition in the fields
where Latin had for centuries been supreme, (2) the establishment of a more uniform orthography,
and (3) the enrichment of the vocabulary in English so as to meet the demands of the period.
So, although English had attained a firm position as the language of popular literature, there was a
strong tradition which strengthened the use use of Latin in all the fields of knowledge by the revival
of learning in that period. Latin and Greek were not only the key to the worlds knowledge but also
the languages in which much highly esteemed poetry, oratory, and philosophy were to be read. And
Latin had the advantage of universal currency since all the educated all over Europe could freely
communicate with it, both in speech and writing, in a common idiom.
As Baugh & Cable state (1993:199), scholars felt their superiority to the less educated and were
jealous of a prerogative that belonged to them alone. The defenders of the classical tradition were at
no loss for arguments in support of their position. Hence it was feared that the study of classical
languages, and even learning itself, would suffer if the use of the vernaculars were carried too far.
The revival of learning revealed how rich was the store of knowledge and experience preserved
from the civilizations of Greece and Rome. So, if the academicians, the diplomats, the men of
affairs were to get profit from it , they had to express in the language that everybody read.
The demand was meet soon and translations poured from the press in the course of the sixteenth
century. Yet, as we approach the end of the sixteenth century we see that English slowly won
recognition as a language of serious thought, as a note of patriotic feeling in the attitude of many
people. The wholesale borrowing of words from other languages (in particular Greek and Latin)
was not met with universal favor. The opposition to inkhorn terms had its peak in the middle of the
sixteenth century.However, this objection to new words was approved by many people who stood
for an enrichment of our native tongue (Dryden, Aeneid , 1697).
25/ 32
Many of these borrowings or inkhorn terms are in such common use today that it is difficult for us
to realize that to the Elizabethan they were so strange and hard as to be a subject of controversy (i.e.
the word encyclopedia filled a need in English and it has lived on). In the Renaissance the
renewed study of Greek le d to the introduction of some Greek words at first hand (i.e. acme,
anonymous, catastrophe, heterodox, lexicon, ostracize, polemic, thermometer, and tonic); other
were acquired by Latin from Greek (i.e. anachronism, atmosphere, autograph); others were adde d
(i.e. antipathy, antithesis, chaos, chronology, crisis, emphasis, pneumonia, skeleton).
So, as we can see, some words which entered the language at that time retained their original Latin
form (i.e. climax, appendix, epitome, exterior, axis) whereas others underwent changes by the
simple process of cutting off the Latin ending (i.e. conjectural from conjectural-is, consult from
consult-are, exotic from exotic -us). Many words borrowed from Latin at that time end in us , -
al (adjectives), ate (verbs), -tas, ty, -ance, -ence, -ancy, -ency (nouns), and so on. In the
Renaissance the words which were not learned words needed of learned people to become known.
In fact, the Latin words that form such an important element of English vocabulary have generally
entered the language through the medium of writing, under the work of churchment and scholars.
3.3.4. Latin influence up to now.
Yet, it is difficult to say whether the Latin loanwords which came in the Modern English period
were direct borrowings from Latin or had come in through French since, after all, Latin was also the
language of learning among the French. But what happens nowadays? Do Latin loanwords still
refer to a kind of learned language? In fact, one great motivation for the borrowings is the change in
social order and specialized language, where scientific and philosophical empiricism in particular is
valued since many of the new words are academic in nature (i.e. apparatus, caveat, corpuscle,
compendium, equilibrium, equinox, formula, inertia, incubate, momentum, molecule, pendulum,
premium, stimulus, subtract, vaccinate, vacuum). This resulted and still results in the distinction
between learned and popular vocabulary in English.
26/ 32
The influence of Latin on the English language may be approached in the teaching of languages
from several perspectives. First, because of the nature of loanwords, we deal with lexis and its
morphology, from which we may examine word formation and its processes (borrowing is one of
them); second, we may deal with lexical semantics, that is, the relationship among word meanings
between words at a paradigmatic level, and therefore with the fairly traditional concepts of
homonymy, synonymy, and antonymy; third, sociology, since the choice of semantic meaning
implies social and cultural relationships dealing with power and status; fourth, a historical approach
to the development of events that brings the influence of Latin words up to nowadays.
As we can see, the Latin influence may be approached in linguistic terms (morphology and lexis)
and also from a cross-curricular perspective (Sociology, History, English and Spanish Language ).
Spanish students are expected to know about the Roman Empire and its influence in Europe since
they are acquainted with these events in the history of Spain. Moreover, students are also required
to know about the culture and history of the foreign language they are studying. So, Latin influence
is easily approached by means of lexical analysis through loanwords since they are the result of a
mixing of cultures which once took place in England, in particular the three-fold distinction which
took place after the Norman Conquest between French, Latin and English so as to differenciate
social status.
So, first, on examining the role of words as a linguistic sign, we deal with the traditional concepts of
homonymy, synonymy, and antonymy. These concepts are mainly studied from two branches of
linguistics: etymology, on the origin of words, and semantics, on the study of meaning of words.
These concepts would also need to be formulated somewhat differently in relation to particular
theories of phonology, syntax and morphology from a rather traditional view of the grammatical
and lexical structure of languages. We should also include the concepts of false friends and lexical
creativity in order to study and classify all posible lexical relations into sense-relations in
paradigmatic terms.
Linguistically speaking, the role of vocabulary in the acquisition of a second language has often
dealt with only incidentally in the preparation of class material since most attention was paid to
other aspects of language, such as grammar, phonology, and discourse analysis. After a lengthy
period of being preoc cupied with the development of grammatical competence, language teachers
27/ 32
and applied linguistic researchers now generally recognise the importance of vocabulary learning
and are exploring ways of promoting it more effectively.
Yet we must not forget that lexical knowledge is central to communicative competence and to the
acquisition of a second language since no grammar or other type of linguistic knowledge can be
employed in communication or discourse without the mediation of vocabulary (Read, 2000). Whe n
Hymes (1972) brought about the notion of communicative competence, he neglected Chomskys
approach by stating that native speakers knew more than just grammatical competence. With a
tradition on sociolinguistics, he had a broader view of the term which included not only
grammatical competence, but also sociolinguistic and contextual competence, that is, the underlying
knowledge a speaker has of the rules of grammar including phonology, orthography, syntax,
lexicon, and semantics, and the rules for their use in socially appropriate circumstances.
Students are expected to learn about the influence of Latin, not only from a linguistic approach but
also from a social point of view, since the semantic choice between words tends to emphasize the
importance of different groups of users. For instance, the exposure to Latin has been sustained
throughout much of the recorded history of English, and it is this that helps give the language its
European flavour, in that many of our words are quickly recognisable to speakers of French, Italian
and Spanish.
This exposure has been pervasive enough to give rise to some popular notions and stereotypes about
parts of the English lexicon. Speaking in words of one syllable appeals to the Anglo-Saxon element
(monosyllabic quality, the loss of inflections); talking like a book, to the more learned, polysyllabic
quality derived from the Romance languages as French. In fact, these associations have an
important stylistic trait in the language we know today since French loanwords are common in
domains associated with power and prestige (i.e. French request and Latin interrogare) rather
than the Anglo-Saxon ask.
This section is aimed to look at present-day approaches on the use of vocabulary from an
educational approach, and therefore, within the framework of a classroom setting. This type of
formal instruction in language teaching addresses the role played by our current educational system,
L.O.G.S.E., in providing our students the foundations for a knowledge of vocabulary and word-
formation processes. The Spanish Educational System (B.O.E. 2002) states that there is a need for
learning a foreign language in order to communicate with other European countries, and a need for
28/ 32
identity.
Within this context, students are expected to carry out several communication tasks with specific
communicative goals (i.e. learned language vs. colloquial one) within specific contexts (i.e.
different social status). The European Council (1998) and, in particular, the Spanish Educational
System within the framework of the Educational Reform, envisages vocabulary knowledge of
second language learners within the four skills (writing, reading, listening, and speaking) as both
necessary and reasonably straightforward since words are the basic building blocks of language.
When it comes to verbal skills, lexis is somewhat easier because much less is required for listening
and speaking than for reading and writing.
Our goal as teachers is to highlight a number of key principles, such as to build a large sight
vocabulary, to integrate new words (Modern English) with old (Latin words), to provide a number
of encounters with a word, to promote a deep level of processing, to make new words real by
connecting them to the students world in some say, and above all, to use a variety of techniques in
word-formation to encourage independent learning strategies. In fact, vocabulary acquisition is an
incremental process, and teachers must concentrate not only on introducing new words, but also on
enhancing learners knowledge of previously presented historical events.
5. CONCLUSION.
This study has looked at the influence of Latin on the English language through the recorded history
of the English language in the British Isles and also, how this influence was to be realized by means
of loanwords (borrowings and calques). Historically speaking, although Britain was methodically
brought into the Roman world in the years after 43 AD, the process was not always peaceful and
saw sustained military conflicts with traditional tribal warbands. Roman civilisation slowly
supplanted indigenous ways of life and flourished in new military and urban centres as well as in
the wider countryside.
We have analysed how the process of Romanisation controlled Britain in every aspect of culture
and society , and still does in our present society. Thus , Roman style influenced architecture, dress,
29/ 32
entertainment and religion, and also how many towns were built to house military and
administrative personnel, including Corinium (Cirencester), Camulodunum (Colchester),
Verulamium (St Albans), Lindum (Lincoln) and Londinium (London). Moreover, two major
improvements were in the areas of communication and sanitation: many new roads were built and
waterways improved, and the building of drains and bathhouses encouraged improved hygiene. In
addition, medical practice also altered, with the result that there was raised life expectancy, meaning
a growth in the population (which continued until its peak at the end of the third century).
On the other hand, regarding linguistic consequences, we may affirm that Latin loanwords establish
a relative similarity between the two languages, Spanish and English (L1 and L2 respectively) that
may be useful for learning English. It must be borne in mind that an adult Spanish student generally
perceives that there is a great distance from Spanish to English, but a realization of how many
words there are in common betw een current Spanish and English can offer a learner a bridge to
the new language.
Spanish are taught in their schools that their language has a large number of internationalisms, but
there is an even larger bridge between Spanish and English than many learners realize. Its useful
for teachers as well, to recognize that this perceived distance between Spanish and English is not as
great as the main difficulties in speaking which might lead them to believe. A study of lexical items
(Latin loanwords) shows that these two distant descendents of Indo-European have certain historical
influences in common; they especially have in common a number of procedures for acquiring and
forming new words (Latin endings in us, -um). With this information, teachers can help students
lessen their fear of this perceived distance.
In the Spanish curriculum (B.O.E. 2002), the study of vocabulary, has been considered an important
element of language teaching, and also word-meaning devices. After all, the importance of
vocabulary cannot be understated since you cannot communicate without it. The popularity of the
communicative method has left the teaching of specific linguistic information on the sidelines, but
in order for ESL teachers to help students recognize new L2 words, the teachers need to know the
linguistic information themselves as well as the historical background of it for our purposes in this
unit.
Learners cannot do it all on their own. Language learners, even 2nd year Bachillerato students, do
not automatically recognize similiarities which seem obvious to teachers; learners need to have
30/ 32
these associations brought to their attention. As we have seen, understanding the notions of
semantic features and sense relations is important to teachers because they are typical means of
defining new words. Students are expected to be aware of the richness of English in synonyms,
largely due to the happy mingling of English, French and Latin elements during Middle Ages (i.e.
rise-mount-ascend; goodness-virtue-probity; fast-firm-secure; fire-flame-conflagration;
respectively).
So far, we have attempted in this conclusion to look for linguistic and historical similiarities and
differences in word-associations between Spanish and English with obviously no claim to
completene ss, but only personal curiosity and a desire to bring some information to the attention of
teachers who might find it useful for their students.
31/ 32
6. BIBLIOGRAPHY.
Algeo, J. 1982. Problems in the origins and development of the English language. Harcourt Brace
Jovanovich, Inc.
Algeo, J. and T. Pyles. 1982. The origins and development of the English language. Harcourt Brace
Jovanovich, Inc.
Asimov, Isaac. 1990. La formacin de Inglaterra. Historia Universal, Alianza Editorial.
Conde, J.C. and A. Snchez. 1996. An Introduction to the History of the English language-I: Old English.
PPU: Promociones y Pu blicaciones Universitarias.
Bauer, L. 1983. English Word-Formation. Cambridge University Press.
Baugh, A. & Cable, T. 1993. A History of the English Language. Prentice-Hall Editions.



Haugen, E. 1972 . The analysis of linguistic borrowing. In Firchow, E. et al., eds: Studies by Einar Haugen.
The Hague: Mouton.
Leith, D. 1997. A Social History of English. Routledge, London.
Nelson, F. W. 1974. The English language. Norton and Company.
Read, J. 2000. Assessing Vocabulary. Cambridge: Cambridge University Press.
32/ 32
UNIT 42
THE NORMAN CONQUEST.
FRENCH INFLUENCE ON THE ENGLISH LANGUAGE.
LOANWORDS AND CALQUES.
OUTLINE
1. INTRODUCTION.
2. A HISTORICAL BACKGROUND FOR THE NORMAN CONQUEST: BEGINNING AND

END.
2.1. Before the Norman Conquest.
2.1.2. The Celts.
2.1.3. The Romans.
2.1.4. The Germanic people: Anglo-Saxons.
2.1.5. The Scandinavian people: Vikings.
2.2. The Norman Conquest.
2.2.1. The Norman settlement.
2.2.2. The consequences of the Norman settlement.
2.2.3. The decline of Norman Britain: 1200.
2.2.3.1. The 13th century: the Loss of Normandy and the loss of prestige.
2.2.3.2. The 14th and 15th centuries: the Hundred Years War and the general adoption
of English.
3. FRENCH INFLUENCE ON THE ENGLISH LANGUAGE. LOANWORDS AND CALQUES.

3.1.2. On defining loanwords and calques.
3.2. The linguistic impact of the Norman Conquest.
3.3. French influence on the English language.
3.3.1. French influence in Middle English.
3.3.1.1. Reasons and periods of borrowing.
3.3.1.2. French loanwords: doublets and triplets.
3.3.2. French influence in Modern English.
3.3.3. French influence up to now.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/35
1. INTRODUCTION.
The present unit, Unit 42, aims to provide a detailed account of the impact of the Norma n Conquest
in Britain and examine to what extent we can talk about an influence of French on the English
language on the basis of loanwords and calques, that is, the process of borrowing. So this study
will deal with the social, historical, cultural and linguistic characteristics of the British Isles before
and after the Norman Conquest. Then this presentation will start by offering the most relevant
bibliography in this field as a reference for the reader, and by presenting our study in five main
chapters, among which there are two central ones: the beginning and end of Norman Britain and its
influence on the English language.
Chapter 2 introduces a historical and cultural background for the Norman Conquest namely by
reviewing all the events related to the beginning and end of Norman Britain. So we shall approach
the situation of Britain (1) before the Norman Conquest, where we shall start by reviewing (a)
prehistoric Britain, the arrival of (b) the Celts, (c) the Romans, (d) the Germanic people, that is, the
Anglo-Saxons, and (e) the Scandinavian people, that is, the Vikings; and (2) the Norman Conquest,
where we shall briefly review (a) the Norman settlement, (b) its consequences by focusing on the
political, social, economic, cultural and, in particular, the linguistic ones, which shall lead us later to
the effects of the extensive use of French by the new upper classes and its progressive penetration to
other social layers. Moreover, historical factors shall lead us to a progressive re-establishment of
English between 1200 and 1500, regarding historical and linguistic factors, which meant (3) the
decline of Norman Britain in AD 1200. We shall approach its decline in two parts in terms of
historical and linguistic events: (a) in the thirteenth century: the Loss of Normandy and the loss of
prestige, and (b) in the fourteenth and fifteenth centuries: the Hundred Years War and the general
adoption of English.
Chapter 3 shall analyse the impact of the Norman Conquest in Britain so as to get, more
particularly, to which extent French influenced the development of English language in the
as a result of languages in contact. Then, with these concepts in mind, we shall analyse (2) the
2/35
impact of the Norman Conquest, that is, to which extent French influenced the development of
English language in different periods up to now. Thus, on the one hand, we shall examine (3) the
French influence on the English language (a) in Middle English in terms of (i) reasons and periods
for borrowing, before 1250 and after 1250, and (ii) French loanwords in Middle English, where we
shall analyse doublets (French-English) and triplets (French-English-Latin) due to the loss of native
words.and the influence of Norman French and Central French. On the other hand, we shall
examine the (b) French influence in Modern English, and (c) its influence up to now.
introduction of this issue in the classroom settin g. Chapter 5 will offer a conclusion to broadly
An influential introduction to the historical background of the Norman Conquest in Britain is based
on relevant works of Asimov, La formacin de Inglaterra (1990); Baugh & Cable , A History of the
English Language (1993); Conde & Snchez, An Introduction to the History of the English
language-I: Old English (1996); and Leith, A Social History of English (1997).
Classic works on the influence of French on the English language regarding the process of
borrowing, that is, by means of loanwords and calques, include, still indispensable, Haugen, The
analysis of linguistic borrowing (1972); Nelson, The English language (1974); Algeo, Problems in
the origins and development of the English language (1982); Algeo & Pyles, The origins and
development of the English language (1982); Bauer, English Word-Formation (1983); and Read,
Assessing Vocabulary . (2000).
Rivers, Teaching Foreign-Language Skills (1981).
3/35
provided by the guidelines in B.O.E. (2002); and the Council of Europe, Modern Languages:
Learning, Teaching, Assessment. A Common European Framework of reference (1998).
2. A HISTORICAL BACKGROUND FOR THE NORMAN CONQUEST: BEGINNING AND

END.
This chapter introduces a historical and cultural background for the Norman Conquest namely by
reviewing all the events related to the beginning and end of Norman Britain. So we shall approach
the situation of Britain (1) before the Norman Conquest, where we shall start by reviewing (a)
prehistoric Britain, the arrival of (b) the Celts, (c) the Romans, (d) the Germanic people, that is, the
Anglo-Saxons, and (e) the Scandinavian people, that is, the Vikings; and (2) the Norman Conquest,
where we shall briefly review (a) the Norman settlement, (b) its consequences by focusing on the
political, social, economic, cultural and, in particular, the linguistic ones, which shall lead us later to
the effects of the extensive use of French by the new upper classes and its progressive penetration to
other social layers. Moreover, historical factors shall lead us to a progressive re-establishment of
English between 1200 and 1500, regarding historical and linguistic factors, which meant (3) the
decline of Norman Britain in AD 1200. We shall approach its decline in two parts in terms of
historical and linguistic events: (a) in the thirteenth century: the Loss of Normandy and the loss of
prestige, and (b) in the fourteenth and fifteenth centuries: the Hundred Years War and the general
adoption of English.
2.1. Before the Norman Conquest.
We know of the islands early inhabitants from what they left behind on archaelogical findings
(Clancton-on-Sea in Essex, Swanscombe in Kent). This thriving culture existed around 8.000 years
ago in the misty, westwards islands the Romans were to call Britannia. As the climate improved,
more people moved into Britain from the Continent, attracted by its forests, wild game, abundant
4/35
rivers and fertile southern plains. Yet, one of the most important reasons was the relative isolation
the island offered to its inhabitants: protection agains the fierce nomadic tribesmen that kept
appearing out of the east.
The new age of settlement took place around 4.500 B.C. in what we term the Neolithic Age. Very
early on, farming began to shape the landscape of Britain from virgin forests to ploughed
fields.These people already developed sophisticated designs such as stone-axes, windmills and
above all, megalithic monuments for burial purposes1. The Bronze Age brought about the
manufacture of products made from metals (iron, bronze, gold) to make cauldrons and bowls,
shields and helmets, weapons of war and farming tools. It was at this time that the Celtic peoples
arrived in the islands we now call Britain.
2.1.2. The Celts.
Shortly after 1200 B.C., a culture known as Urnfield developed and prospered in Central Europe,
and soon adapted the iron-working culture known as Hallstatt, after a site in Austria. The Hallstatt
people, who were skilled craftsmen (using iron, gold and bronze and producing fine burnished
pottery), reached at some time the British Isles and their culture began to infiltrate those foggy, wet,
but mineral-ric h islands off the Continent.
This culture advanced their technology from their contact with Mediterraneans and developed into
the culture of La Tene, which produced beautiful, handsomely-made and decorated articles of
exquisite form and decoration (i.e. highly superb mirrors, toilet articles, drinking vessels and
personal jewellery). They became known around the middle of the fifth century B.C. In fact, the
Celts were spread over a huge territory in Europe long before the emergence in history of the
Germanic peoples and, actually, they brought with them the Iron Age to Britain. Movement of
Celtic people from the continent were possibly connected to the displacement of the Germanic
people in Europe, and their clash with the Romans.
Before the beginning of the Christian era, Celtic languages were spoken over the greater part of
central and western Europe. The Celts in Britain used a language derived from a branch of Celtic
1
The most famous is Stonehenge which is certainly the most visited and photographed of all the prehistoric
monuments in Britain because of its construction and enormous complexity, which is still a mystery.
5/35
known as either Brythonic, which gave rise to Welsh, Cornish and Breton; or Goidelic , giving rise
to Irish, Scots Gaelic and Manx. However, as the vigor of the Celts declined under romanisation,
their languages were supplanted by those of their conquerors. Yet, despite the long occupation, the
British Celts continued to speak their own la nguage, though many of them, particularly those in the
towns and cities who wanted to speak and write the language of their Roman rulers.
Finally, it is relevant to mention that the Celts introduced not only their language but also their
religion, partic ularly that of the Druids, who were the guardians of traditions and learning. These
religious figures were in charge of glorifying the pursuits of war, feasting and horsemanship, and
also controlled the calendar, the planting of crops and honored local deities in religious festivals and
rituals. This culture brought with them a sophisticated plough that revolutionised agriculture in the
rich soils of their new land.
In addition, despite Julius Caesar described them as savage barbarians, their society was well-
organized in urban settlements and the capitals of these tribal chiefs followed strict laws. It is also
relevant to mention that they introduced coinage in Britain and conducted a lively trade with Rome
and Gaul, including corn, livestock, metal and slaves.
2.1.3. The Romans.
As stated above, Celtic people had been in Britain for many centuries before Julius Caesars
invasion in 55 B.C. The subsequent occupation, not really begun in earnest until the time of the
Emperor Claudius almost a century later (43 A.D.), who was to make Britain, that is, Britannia, a
part of the Roman Empire. The reason which led the Romans to undertake the conquest of Britannia
was the necessity to control trade across the Channel to crush rebellions in the Gaul and Britain.
Earlier expeditions took place in 56 B.C. and 55 B.C. The former one took place when Gaul
rebelled against the Romans and Britain Celts supported their neighbours from the other side of the
Channel. Then Julius Caesar found a political excuse to invade the island and extend the frontiers of
the Roman Empire. So, he returned one year later on the night of 25 August 55 B.C., but this
exploratory expedition did not lead to any permanent occupation. Caesar succeeded in establishing
himself in the southeast of Britain by enacting tribute from the natives.
6/35
However, after three months he returned to Gaul because the hostile Gauls were taking advantage of
the absence of the legions. He left no army, so after the spring and summer in that year, the Britons
were as free as before, so free that they would not be troubled again by Roman legions for nearly a
hundred years. Yet, the Celts would not march against Gaul again since they had learnt how much
power the symbol of the eagles had.
Gaul was soon under the process of romanisation and became one of the warmest Roman provinces.
The Celtic language and laws were to be replaced by the Roman ones, and Britain was separated
from the Continent for more than one hundred years. However, what happened in those years after
Julius Caesar left Britain for the last time? The answer is a series of events that prepared the ground
for the Roman Conquest (also known as romanisation), which took place when Rome managed to
control Britain in every cultural and social aspect. This was a slow process which officially began in
43 A.D. and ended in 409 A.D.
It started with the conquest of southern Britain in May 43 A.D. where the Romans established a fort
in that place as a military base (which later became a city called Londinium, now known as
London). They had to defeat several tribal chiefs who finally surrendered under the rule of Aulus
Plautius as the first Governor of Britain. Conflicts between some British tribes and the Roman
invaders continued, although other tribes (the Iceni, Atrebates and Brigantes) quickly accepted
Roman influence and began to assimilate.
After this, the legions penetrated far south and north by constructing a system of military roads and
built a crossing over the Thames (near the site of present London Bridge). By 60 A.D., the frontier
had been pushed further and more tribes had been taken under Roman protection. The British
tribes were defeated by the governor, Suetonius Paulinus, in a battle in the Midlands. Once the
rebellions finished, Rome adopted a more conciliatory attitude.
The conquest of northern Britain started in AD 69 when Vespasianus was proclaimed emperor in
Rome and he sent a numerous army to Britain under the rule of a Roman general, Julio Agripa. He
helped secure the advance of the Roman legions in the island by the construction of roads and
fortified forts in the north. Between 77 and 83 A.D. the new governor Agrcola was also important
in the romanization of Britain since he completed the conquest up to the north part (after defeating
the Brigantes tribe at York). He also campaigned against the Ordovices in Wales and the tribes of
modern Scotland.
7/35
In 122 A.D. the northern frontier was fixed by a physical obstacle , called Hadrians Wall since it
was Emperor Hadrian (76-138 A.D.) who decided to build it, and was completed in AD 139. A
further attempt to reach the north was made in 142 A.D. on the orders of Emperor Antoninus Pius,
Hadrians successor. He built a second wall (142-144 A.D.), called Antonines Wall, across the
narrowest neck of land between the Forth and the Clyde, but this time it was not as solid as
Hadrians one since it was made of turf, stone and wood. Yet, it was too far to be defended and too
difficult to maintain, so by 160 A.D., the Romans had to abandon it.
Hadrian and Antonines Walls were not enough to prevent the attacks of the northern border and
when the Celtic tribes got the independence, this event accelerated the political and economic
decline of the Roman Empire. In subsequent years, the murder of Emperor Comodo (192 A.D.)
made the Roman Empire enter a series of civil wars, and it was a political chaos. As all the attention
was focused now on the Continent, the north tribes of Britain had free way towards the south and
both walls were destroyed. Moreover, the north part of Britain was also invaded by Irish tribes,
which were called scots.
So, by 216 A.D., Britain had been divided into two provinces, largely as an administrative measure:
the one in the south was called Britannia Superior (which comprised south and west and had two
legions based at Caerleon and Chester) and the one in the north was called Britannia Inferior
(which had one legion at York, and auxiliary troops in forts and on Hadrian's Wall). The political
inestability ended in 284 A.D. when the general Dioclecianus was proclaimed emperor, and he
decided to divide the Empire into two parts, and therefore, ruled by two different emperors.
However, during the fourth century A.D., the Roman Empire was threatened by continuous
invasions of Saxons, Picti and Scoti. Then, the West part of the Roman Empire started to decline.
The invasions continued both in Britain and on the Continent by 400 A.D. In Britain, three non-
Roman kingdoms were established north of Hadrian's Wall: Strathclyde (south central Scotland),
Gododdin (modern Lothian) and Galloway, and the south-east Britain continued to prosper. Yet, on
the Continent Germanic tribes (Angles, Saxons and Jutes c.390) invaded Italy and the Roman
legions in Britain had to leave to Gaul in 407 A.D.
Further attacks from the Germanic people on the continent, including the sack of Rome in 410 A.D.,
led to the withdrawal of Roman troops from Britain. Nearly four centuries and a half after Julius
Caesar landed in Kent, the last Roman legions left Britain so as not to never return.
8/35
2.1.4. The Germanic people: Anglo-Saxons.
Therefore, between 420 and 430 A.D. there was an economic crisis which led to the collapse of
money economy in the British Isles. Under Vortigerns rule the crisis was accentuated by the lack
of coordination among the local chieftains, economic problems and the repeated attacks of the
norther Picts, Scots and Caledonians. The latter seems to be the reason why continental Germanic
people were invited by the Romans to settle in Britain (Conde & Snchez, 1996). These Germanic
peoples continued to arrive throughout the fifth and sixth centuries, forming the South Saxon
Kingdom (or Sussex), the West Saxon kingdom (or Wessex), and the East Saxon kingdom (or
Essex).
These Germanic invaders came from three very powerful nations of the Germans, namely the
Angles (from Schleswig-Holstein), Saxons and Jutes (from Jutland). They invaded and settled
extensively in southern and central Britain from the late fourth century onwards. The Romano-
Brit ish aristocracy had employed some as mercenaries; some came in search of land as invaders.
Vortigern, a leader of the Britons in the post-Roman period is thought to have invited two Saxon
warriors and their troops into Britain to act as a mercenary force but his Saxon allies revolted,
joining the invaders and setting up their own rule in Kent.
So, according to the sources, regular arrivals took place because of certain reasons. Thus, it is said
that the rising of the sea level in Scandinavia and the Low Countries made this migration possible
since it provoked overpopulation and famine; another reason is the progress in ship building and sea
travel; also, political instability in Denmark and Norway; the invitation of the Romans; and finally,
the success of earlier settlements (Conde & Snchez, 1996).
The consolidation of the Germanic settlement had both linguistic and cultural consequences. For
instance, linguistically speaking, a variety of NorthWest Germanic replaced the original Celtic
language used on the island, which is said to be the origin of English; also, the heathen religion of
the Germanic people is introduced (many different Gods); in addition, the original political
organizations and way of life of the Celts were replaced by institutions of a Germanic character. In
fact, the native Britons were forced to migrate westwards or destroyed.
Under their rule, we can talk about the formation of early kingdoms, known as the Anglo -Saxon
heptarchy, since they were seven: Sussex (South Saxons), Essex (East and Middle Saxons), Wessex
9/35
(West Saxons), Kent (SouthEast), East Anglia (East Angles), Mercia (North of the river Trent and
to the west of the Severn) and Northumbria (split into two other minor kingdoms: Deira and
Bernicia). When migrations ceased, by the end of the 6th century, the Romano-British dominium
had been replaced by the seven Anglo-Saxon kingdoms. A homogeneous civilization was then
extended over the whole area including a single language (englisc), similar political organizations,
and cultural or literary traditions modelled on earlier northwest Germanic ones (i.e. Beowulf).
Later on, between c. 600 and c. 1100 AD, the Christianization of Anglo-Saxon England took place,
carried out namely by two missions: in the very north of England (by Irish monks) where the
monasteries of Iona and Lindisfarne were founded, and in the south. This latter was reinforced by
the marriage of the Kentish king Aethelberht to the Frankish princess Bertha, by the Roman mission
sent by Pope Gregory (AD 597), and by Augustine, who founded the sees of Canterbury and
Rochester (Conde & Snchez, 1996).
Despite this apparently conversion, pagan customs and beliefs survived for centuries. The
expansion of each tendency over different territories was progressive leading to a clash of concepts
regarding liturgic and ritual issues (asceticism), methods of fixing Easter or the general organization
of missionaries in communities. These problems were, however, sorted out at the sinodes at Whitby
(AD 663) and Hertford (AD 672) when Easter was finally fixed according to the Roman calendar
and the role of Roman bishop was accepted (in opposition to that of Celtic missionary).
Yet, it was under the kingdom of Offa (AD 757-796), king of Mercia, that the decline of the Anglo-
Saxon England started. He maintained close relationships with other Germanic European kings on
an equal footing, particularly with Charlemagne. However, the prosperity of Mercia came to an end
after the battle of Ellendun when king Egbert of Wessex (802-839) annexed most of the territories
which Offa had ruled (Kent, Essex, Surrey, Sussex and East Anglia). This was the beginning of the
Anglo-Saxon decline since new invaders were just to arrive to the British Isles: the Scandinavians.
2.1.5. The The Scandinavian people: Vikings.
Scandinavian people, commonly known as Vikings (ON vik bay = men of the bay = pirates), had
two different sources: Norwegian and Danish. The Scandinavian invasions took place in two waves
in the eight and ninth centuries due to several factors: the development of new techniques in ship
10/ 35
building allowed the northern Germanic people safer incursions across the sea; as stated above,
political instability in Norway and Denmark; and love for adventure and discovery of new lands.
All these reasons are said to have pushed the Norsemen and Danes from Scandinavia towards
England and the rest of the continent (southern Europe: Paris, Seville, Mediterranean coast).
The first Scandinavian invasions started first with the aim of pillaging but later, it was the search of
prosperous lands to settle down. The Norsemen approached Britain from the east part, pillaging the
Shetland, Orkney and Hebride islands, Ireland, southern Europe ,and even reached the northern
coasts of America. However, they did not settle down in Anglo-Saxon England but only raided. On
the other hand, the Danes systematically plundered the southwestern coasts of Britain (Sheppey,
Lindsey and East Anglia, London, York), until they failed in their enterprise at the battle of
Ashdown (870-871) where king Aethereld defeated them.
Seven years later, in AD 878 King Alfred the Great (871-899) defeated the Danes at the battle of
Edington which secured peace in Wessex and forced the Vikings to remain in Mercia and East
Anglia. The treaty of Wedmore not only defined the Anglo-Saxon and Viking territories (the so
called five boroughs: York, Nottingham, Derby, Leicester and Lincoln) but also referred to social
issues by means of the Danelaw (English and Danish were equal under murder case and English
people should not be taxed higher than the Viking settlers on living in Danish territory).
The contact between Scadinavians and Old English speakers in the Danelaw has important
linguistic effects as well, such as the cultural revival. Thus, king Alfred realized that there had been
a decline in book production as a result of the Viking invasion, so his plan was to revive culture and
learning by translating reputed books of scholars of the time: Gregory the Breats Cura Pastoralis,
Bedes Historia Ecclesiastica Gentis Anglorum, Orosius Historia adversum Paganos, and
Augustine and Boethius De Consolatione Philosophiae.
The second wave of Scandinavian migrations into Britain took place under the rule of Cnut, King of
Denmark and the Anglo-Danish empire. King Edgard (959-975) was the first acknowledged ruler of
all the British dominium, but he is also well known for having promoted the establishment of the
Benedictine Reform movement, which had been brought to England by French monks. This
movement not only implied a new revival of learning and culture, but also a reformation of
religious life on the basis of the ora et labora principle.
11/ 35
By AD 980 Vikings (Danish pirates) appeared again in the Thames and Southampton. In AD 991 a
great navy defeated the Anglo-Saxons at the Battle of Maldon and devastated the eastern shores.
The Viking leader Olaf Tryggvason signed a treaty with Aethelred the Unready by which he
undertook to keep peace in return for provisions and money. Yet, the conditions were not taken and
new arrivals of Viking pirates are recorded from 994 to 1013. The same procedure was followed by
Scandinavians who, after devastating, pillaging different Anglo-Saxon areas and terrifying the local
population, forced the Saxon leaders to buy peace at even higher prices than before.
By that time, Svein Forkbeard was proclaimed King of Northumbria and the five boroughs, from
which he led an expedition to conquer Wessex. This objective was finally achieved by Cnut in
1015, who became the ruler of a large Anglo-Danish empire between 1016 and 1035. Despite his
Scandinavian origin, he respected the Anglo-Saxon religion, law and institutions, and even
promoted the autonomy of the different Anglo-Saxons shires by appointing earls to rule the
provinces: Siward in Northumbria, Godwine in Wessex and Leofric in Mercia (Conde & Snchez,
1996).
The succession of Cnut was problematic since different lines were involved. Eventually, the
original Anglo-Saxon line was restored in the figure of Edward (1042-1066), who had been brought
up in the Norman court and had to face the increasing power of the earls, particularly Godwine of
Wessex (who was offended by the appointment of Norman knights and churchmen). When Edward
the Confessor died childless in 1066, this implied new problems of succession since there were
three claimers to the throne: Harold II (the son of Godwine) who was temporarily appointed king,
Harold Hardrada, king of Norway (allied with the earl Tostig) and finally, William (Duke of
Normandy) who was second cousin to Edward the Confessor. This latter claimed that Edward had
promised him the kingdom while he was exiled in Normandy. Eventually, he defeated the Anglo-
Saxons (led by Harold Hardrada) with a great army at the battle of Hastings (East Sussex) in
Pevensey in september 1066.
It is at this point that the history of England and the English language open a new period in its
timeline, and prepares the ground for the Norman Conquest and the influence of French on the
English language.
12/ 35
2.2. The Norman Conquest.
As we have seen, the history behind the battle of Hastings and the Norman Conquest did not start in
1066, but fifty years earlier, with another invasion and another group of Norsemen. The Battle of
Hastings is the most well-known date in English history because of two main reasons: first, it is
viewed as a national disastrous catastrophe because of the consequences it had for the defeated
since it brought the Anglo-Saxon lineage to an end; and second, because it led to the establishment
of French social structure, economy, traditions and of the (Norman) French language in English
territory. Hence, modern England owes their government, culture, and language to the ideas the
Normans brought.
So, in next sections we shall deal with (1) the Norman settlement and its (2) consequences by
focusing on the political, social, economic , cultural and, in particular, the linguistic ones, which
shall lead us later to the effects of the extensive use of French by the new upper classes and its
progressive penetration to other social layers. Moreover, historical factors shall lead us to a
progressive re-establishment of English, which came to be generally adopted again in most formal
and official contexts of usage, and which meant (3) the decline of Norman Britain in AD 1200. We
shall approach its decline in terms of historical and linguistic events in two parts: (a) thirteenth
century: The Loss of Normandy and the loss of prestige, and (b) the fourteenth century: The
Hundred Years War and re-establishment of English.
2.2.1. The Norman settlement.
In the early years after the Conquest, the military presence and those days full of turmoil, treachery
and rebellion were followed by settlement and firm administrative control which led to the
Normanisation of England, Wale s and lowland Scotland. There were only about 10,000 Normans
living among one or two million Saxons, but William intended to make his rule easier as the
successor to Edward, with the co-operation of the English, who became an oppressed majority in
their own country.
Actually, many English cooperated with the new rulers and those English people who pledged their
allegiance to the King were allowed to keep their land. In this, the English magnates readily
acquiesced, remembering the lessons learned from the Danish Conquest 50 years before. When
13/ 35
William returned to Normandy in 1067, he took three English Earls with him as hostages and left
Odo of Bayeux and William fitzOsbern in charge of England. During these early stages of the
Conquest, he was most concerned with the security of his newly won kingdom. Nevertheless,
between 1067 and 1070, there were many uprisings against the Norman rule, including at least one
disturbance each year.
He ensured this security by granting a compact area of land to trusted Norman nobles whose task
was to build a castle and guard it against all comers. The Normans lived in small units to protect
themselves and they built castles from which a small group could rule a large area and population.
These were the castleries. More than 4,000 landowners were replaced and forced to turn over their
land to less than 200 barons.
England and Normandy now shared a ruler, forming a connection between the two areas. William,
still a Norman Duke in addition to his English title, owed his allegiance to the King of France, and
therefore English politics became French politics. Yet, William was aware of the continuous threats
from enemies, both foreign and domestic, to his hard-won Kingdom and still, he was able to
complete Domesday Book, the Brit ains earliest, and still valid, exhaustive public record of
landholders, their titles and possessions.
2.2.2. Consequences of the Norman settlement.
This Norman settlement had several consequences, among which we shall focus on political, social,
economic, cultural and, in particular, linguistic ones, which led to the re-establishment of English
nearly two centuries later.
First of all, political consequences were felt in the allegiance William still owed to France
since he spent most of his time there, instead of in the country he ruled. This was a major
change from the previous rulers, who lived in Britain, although William never really liked
England or its people. He gave up trying to learn the language and only stayed in the
country when it was absolutely necessary. As a result, since William had no relatives whom
he trusted enough, he had to leave Odo of Bayeux and William fitzOsbern in charge of
England. This began the tradition of one of the kings servants, usually a bishop,
representing the king while he was away.
14/ 35
Another political change in England was the formation of Anglo-Norman feudalism, whose
main features are: vassalage, military groupings, and the fragmentation of authority. After
the Conquest William carried out the first public demons tration of the power he held over
the land, by taking back all of the land and redistributing it to his own vassals, commonly
known as barons. The barons then divided up their own sections and granted the areas to
their own vassals.
These political changes led immediately to social ones, since the fragmentation of authority
was realized in a feudal pyramid, where the classes were very defined, and everyone, in the
end, was led by the king. Although the apparent wish of William was the peaceful
coexistence of Normans and Englishmen, he often passed land from English to Norman
hands, so that a Norman aristocracy was planted on the states of the English who had died
at Hastings. A revolt in 1069 accelerated the process of substitution of the nobility and
extended it to the north (the former territories of the Danelaw) garrisoned by Norman
soldiers. In addition, Norman prelates were also introduced in all important positions of the
Church, starting at the top with the appointment of the Norman Lanfranc (1005-1089) as
Archbishop of Canterbury and ending at the bottom, since priests were freely appointed by
the Norman lord of each manor. Also, merchants and craftsmen from the continent also
settled in the island in great numbers, particularly from the Low Countries.
So, around two hundred thousand Normans and Frenchmen of all social classes came and
settled in England by that time, particularly in the commercial towns along the southern and
eastern coasts. The English speaking population is estimated at around 1,400,000 people, so
that, statistically, one out of every eight people was a speaker of Norman French (Conde &
Snchez, 1996).
Regarding economic consequences, the imposed Norman feudal system resembled other
Germanic social institutions like the comitatus (based on the ownership of all land by the
king, who could allot it to his vassals in exchange of fidelity and different services). So, in
1085 King William ordered the elaboration of Domesday Book so as to control the
possessions of each nobleman in the country and to facilitate cashing the territorial taxes
(called Danegeld). This book is considered as an important medieval document for two
reasons: first, because it is a historical account for the socioeconomic situation of England
at the time, and second, because it is a basic resource for research on Anglo-Norman
linguistic relationships and for the study of place-names.
15/ 35
These previous changes brought about cultural changes, too. As stated above, prior to the
invasion of French culture, England had been a land mostly influenced by Celtic, Roman,
Anglo-Saxon and Scandinavian culture. The language was then in use from the first
immigrants in the fifth century, until it became common in the eighth century. It remained
relatively unchanged until 1150, when the linguistic effects of the Norman Conquest began
to appear in everyday use and the language shifted to Middle English. Even in Modern
English, the correlation between the two languages is apparent. In fact, the Normans were
shocked at their arrival to find such low moral and cultural standards in England. With the
invasion of the Normans, England received a new ruling class, culture, and language.
Cultural changes, in turn, led to linguistic ones since French became the language of law,
estates, song, verse, chanson, and romance. It was considered the language of the
civilized, and all of the noble people all over Europe knew, in addition to their own
language, French. The English architects and artists borrowed French designs, such as
Romanesque and Gothic, which are now well-known as the styles of most of the famous
landmarks in Europe, such as Westminster Abbey, and Bath.
In addition, the replacement of the Anglo-Saxons with Normans at the upper levels of
society and in the official administration implied that records written in Old English were
reduced to the extent of extinction, except where the old tradition survived, such as West
Mildlands or Peterborough, where the Anglo -Saxon Chronicle was continued until 1154.
There is no evidence that William tried to suppress the English language from higher
domains (law, administration, polite society). As a result, there was an increasing
association of language, social class and ethnic background, thus French remained the
language of ordinary intercourse among the Norman upper classes in England whereas
English was restricted to the lower social classes (namely made up by people of Anglo-
Saxon origin).
2.2.3. The decline of Norman Britain: 1200.
However, shortly after AD 1200 conditions changed when England lost an important part of her
possessions abroad. This implied that the nobility gradually relinquised their continental states and a
feeling of rivalry developed between the two countries, accompanied by an anti-foreign movement
16/ 35
in England and culminating in the Hundred Years War. During the century and a half following the
Norman Conquest, French had been not only natural but more or less necessary to the English upper
class (Baugh & Cable, 1993).
However, in the thirteenth and fourteenth centurie s, certain new factors helped to increasingly turn
the maintenance of French into some kind of artificial language. Meanwhile, social and economic
changes were taking place in the English-speaking part of the population. In the fourteenth century
English won its way back to universal use and in the fifteenth century French disappeared as a
predominant language (Baugh & Cable, 1993:126).
2.2.3.1. The 13th century: the Loss of Normandy and the loss of prestige.
The thirteenth century held some events which led to the Loss of Normandy and the loss of prestige
of Norman-French and Anglo-Norman. First, since 1180 the Dukes of Normandy had been at war
with France. This fact was partly responsible for the separation of England and Normandy in the
year 1204, when Normandy was confiscated to King John (1199-1216) by King Phillip II of France.
This event had far reaching social and linguistic consequences, among which the most outstanding
is that the properties in French soil of the barons living in England would be confiscated (Decree of
Rouen, 1204).
So, those having properties on both sides of the Channel had to decide which one to choose. As a
result, the loss of Normandy gave the English nobility a new collective feeling of their insular
identity, and soon considered themselves as English. This event established a community of
interests with the English speaking lower classes which later may result in a reaction against the
continental Norman-French.
Yet, this nationalistic feeling did not extend to the King and courtly nobility. Henry III (1207-1272)
married Eleanor of Provence, who brought with her to England a host of French relatives so as to be
surrounded by French nobles and prelates. Therefore, French knights in charge of castleries
oppressed the barons of Norman-English origin. This gap between the aristocracy (nobility at court)
and the barons (rural nobility) was the reason for the Barons War (1258-1265), in which the barons
rebelled so as to claim a greater participation in and supervision of royal government. This claim
was kept in the Provisions of Oxford (1259), a document written in English, French and Latin.
17/ 35
Secondly, linguistically speaking, the loss of prestige of Norman French and Anglo-Norman it
reinforced the functional use of English. Both Norman French and Anglo-Norman predominated in
the upper classes, but gradually the influence of English developed into something different from
the known continental French dialects. This condition contrasted with the prestige associated to
Central French (Paris dialect). Also, other factors contributed the loss of prestige of Anglo-
Norman: the use of Latin as the official language for records and the adoption of Norman French by
native English speakers who tended to tinge it with native phonological and grammatical features.
2.2.3.2. The 14th and 15th centuries: the Hundred Years War and the general adoption of English.
During the fourteenth and fifteenth centuries new historical events, such as the Hundred Years
War, the Black Death and the Peasants Revolt, reinforced the national feeling which had ensued
the loss of Normandy and led the inhabitants of the island to a general adoption of English
On the one hand, the Hundred Years War (1337-1453) came up due to the question of succession
to the French crown (claimed by King Edward III of England) against the house of Valois (Philip
VI, who was appointed King of France). This war turned peoples attention to the continent and
made people realize that French was the language of the enemy court and that it was one of the
causes contributing to the disuse of French. The outcomes of this war were the development of
national consciousness among the English and a general feeling of hatred against France, French
customs and the French language.
On the othe r hand, the bubonic and pneumonic plague which ravaged Europe in the mid fourteenth
century reached England in 1348. As a result, about one-third of Europes population and almost
half of the inhabitants of Britain died. The effects of the Black Death were felt at all levels,
particularly the social and economic ones since the drastic reduction of the amount of land under
cultivation became the ruin of many landowners. Therefore, the shortage of labour implied a
general rise in wages for peasants and, consequently, provided new fluidity to the stratification of
society and afforded a new status to the middle and lower social classes, whose native language was
English.
Finally, these classes (middle and low) rebelled against the imposition of a poll tax and,
particularly, against the Statute of Labourers, which tried to fix maximum wages during the labour
18/ 35
shortage following the plague. The Peasants Revolt, as this rebellion is known, also contributed to
increase the social relevance of the labouring classes and indirectly conferred importance on their
native tongue, that is, English.
Linguistically speaking, the consequences of these events were to be felt in a general adoption of
English in the late fourteenth century. In the late thirteenth century, the English language was
virtually understood and actively used by everyone, but it was not recognized in official, legal,
governmental or administrative affairs. Hence, among the historical events of the fourteenth century
which led to a gradual use of English in these high domains , we may highlight the use of English in
a will, instead of Latin, for the first time (1383) and later on, in an official petition to Parliament
(petition of the London Mercers Guild, 1386).
Actually, by the fifteenth century, during the reign of Henry V (1413-1422), the English language
was officially used at both the oral and written levels in most fields, except legal records (still
written in Latin), the Statutes of Parliament (written in French until 1489) and in ceremonial
formu lae (still French). Yet, for our purposes, we shall focus in particular on the linguistic
consequences which the French language had on the English one.
3. FRENCH INFLUENCE ON THE ENGLISH LANGUAGE. LOANWORDS AND CALQUES.
In this chapter, we shall analyse the impact of the Norman Conquest in Britain so as to get, more
particularly, to which extent French influenced the development of English language in the
as a result of languages in contact.
Then, with these concepts in mind, we shall analyse (2) the impact of the Norman Conquest, that is,
to which extent French influenced the development of English language in different periods up to
now. Thus, on the one hand, we shall examine (3) the French influence on the English language (a)
in Middle English in terms of (i) reasons and periods for borrowing, before 1250 and after 1250,
19/ 35
and (ii) French loanwords in Middle English, where we shall analyse doublets (French-English) and
triplets (French-English-Latin) due to the loss of native words.and the influence of Norman French
and Central French. On the other hand, we shall examine the (b) French influence in Modern
English, and (c) its influence up to now.
According to Nelson (1974), the demands for new meanings which are made by changes in the
physical and cultural environment are frequently met by extension or transfer of the meanings of
already existing words. But new words are often needed and they come from many sources, such
as prefixation, suffixation, derivational processes as well as other minor devices in word-formation
among which we find the concept of borrowing.
Therefore, the traditional literature basically distinguishes three main types of name-giving: (a)
taking an already existing word and applying it to a new referent (semantic change); (b) creating a
new word with the material offered by the speakers language (word formation: prefixation,
suffixation, derivational processes); and (c) adopting linguistic material from another language
(borrowing, loan). This latter has been the most important source of new words in English.
So, borrowing refers to the incorporation of foreign features into the native language by the
speakers of that language. Note that the native language is maintained but is changed somewhat by
the addition of the incorporated features. Haugen defines borrowing as the attempted reproduction
in one language of patterns previously found in another (1972:81). It is then an attempted
reproduction because making a perfect reproduction from a language with a different system is
impossible.
The term borrowing is used in comparative and historical linguistics to refer to linguistic forms
which have been taken over by one language or dialect from another due to social and cultural
needs. So extensive has it been that by far the greatest part of the present-day English vocabulary is
made up of borrowed rather than native words.
20/ 35
We can talk about reproduction because of the impossibility of directly transferring a feature in
one system over to another system. Reproduction rather refers to the creation of a new form in the
recipient language on the model of a form in the source language. In other words, if a speaker of
language A reproduces the new linguistic patterns, not in the context of the language in which he
or she learned them, but in the context of language B, he or she may be said to have borrowed
them from language A to language B.
Apart from the very general distinction between necessity borrowing and luxury borrowing,
there are two frequently named motives for the adoption of linguistic material from another
language, thus the need to designate new things and the prestige involved in these terms. In
addition, the following aspects have been also mentioned as main causes for lexical borrowing: the
need to differenciate special nuances of meaning, the need to play with words, the feeling of
insufficiently differenciated conceptual fields, the creation of a specific conceptual field, the
political or cultural dominion of one people by another, the bilingual character of a society and the
lack of lexicographical means, among others.
Finally, Haugen (1972) distinguishes two types of borrowing, namely importation and
substitution. If the borrowing were similar enough to the model of language A so that native
speakers would accept it as their own, the borrowing speaker may be said to have imported the
model into his or her language. But if the reproduction of the model is not so adequate, then a
substitution is taking place.
3.1.2. On defining loanwords and calques .
Hence, the concept of borrowing is defined then as a process which adopt linguistic material from
another language which is realized by means of loanwords and calques. Note that the terms
borrowing and loan refer to the same concept (in opposition to the term borrowing as a
process) as in restaurant, chagrin, fianc, caf. Haugen regards loanwords as homophonous
extensions, in which the phonemic replica was not made phoneme -by-phoneme, but was mutated by
influence of phonemically similar morphemes (Haugen, 1956:764).
21/ 35
On the other hand, the term calque comes from French calquer and refers to a type of borrowing
where the morphemic constituents of the borrowed word or expression are translated item by item
into equivalent morphemes in the new language (i.e. godspell from Lat. Evangelium; headfather
from Lat. Patriarch).
Following Haugen (1972), the classical version for lexical borrowings distinguishes loans taken
from (a) importation ( (b) partial substitution and (c) substitution.
Within importation we may classify two types: a borrowed word which can be
unassimilated from a foreign word (i.e. caf, fianc, envelope) or assimilated (i.e. music,
whiskey). So we may further distinguish between the terms foreign word (German
Fremdwort) and loanword (German Lehnwort) where the main criterion for the
separation is supposed to be the degree of integration.
Regarding partial substitution, we find loan blends, which are hybrid composites where one
word is borrowed and another one substituted (i.e. Saturday, from OE Saturdes daeg).
Regarding substitution, we find
o loan formations, also called, loan translations, of the elements of the foreign
words, for instance, Monday from Lunae dies, or from French gratte-ciel to
Spanish rascacielos.
o Also, loan meaning or loan creations, where we find a coinage independent of a
foreign word, but created out of the desire to replace a foreign word (i.e. English
fear vs. Lat. trepidation).
o And pseudo loans, which are indigenous word to which the meaning of the foreign
word is transferred, for instance, OE cniht servant + disciple of Jesus gives Latin
discipulus, meaning student of discip le of Jesus.
It is obvious that the most typical as well as the most numerous class of words introduced by the
new culture would have to do with that culture and the details of its external organization. Words
are generally taken over by one language from another in answer to a definite need. They are
adopted because they express ideas that are new or because they are so intimately associated with
an object or a concept that acceptance of the thing involves acceptance also of the word (Baugh &
Cable, 1993:84).
22/ 35
first, because the nearly four centuries of romanisation on the British Isles and, second, because in
the Middle Ages Latin was considered as the language of cultural transmission and a high cultivated
level.
So, Latin loanwords reflected the superior material culture of the Roman Empire, which had spread
across Europe: street, wall, cnadle, chalk, inch, pound, port, camp , and still did in the Middle Ages
under the rule of French people in Britain. Similarly , Germanic tribes and Scandinavians even
before they set foot in Britain, and finally, French people left their legacy as we can see. It is well
known the existence of triplets so as to indicate social status and degree of formality (i.e. rise-
mount-ascendere) and, still today, English shows certain effects, especially additions to its
vocabulary, and the nature of these contacts and the changes that were effected by them will form
the subject of this section.
3.2. The impact of the Norman Conquest.
The impact of the Norman Conquest and, therefore, its consequences was to be noticed all over
Britain at all levels: political, social, economic, cultural and, in particular, linguistic ones. In
general, the process of the Norman Conquest implied a strong cultural change which was to be
adopted and admired by the following inhabitants of the island. Following Baugh & Cable (1993),
Normans left the legacy of their way of living in such a variety of issues, as Celts, Romans, Anglo-
Saxons and Scandinavians did before.
Actually, both the English language and the culture have gone through many evolutions, all as a
result of the introduction of new ethnic groups into Britain. From the first invasions of the Angles
and Saxons in 450 A.D. through the ongoing influx of immigrants from all over the world, England
has been a country influenced by its ever-changing population. The most influential of these
developments was the Norman Conquest in the year 1066, whose consequences have shaped the
history of England, and are still apparent in todays English traditions, government, and language.
By looking at modern England, we can still see the threads that stemmed from the influence of the
Normanisation of Britain so many years ago.
23/ 35
Another effect that the Conquest had on the English language was due to the scribes. As Old
English quickly lost its status, the French scribes, who didnt care much about correctly spelled Old
English began to write the language phonetically, as they heard it with their French conventions.
This change can also be seen in Modern English, such as the shift from Middle English [u] to the
French [ou] as in house.
3.3. French influence on the English language.
The French influence on the English language is specially felt in the amount of borrowings from
other languages, which expanded mainly with the Norman Conquest.
3.3.1. French influence in Middle English.
This fact is one of the most significant differences between Old English and Middle English. The
Old English speakers hesitated from using foreign words, and generally made up their own
equivalent of words rather than borrowing directly. The French, however, kept words and sounds
similar to their foreign roots. One example of foreign sounds directly affecting English phonemics
is the difference between [v] and [f]. In Old English, these were both similar ways of saying [f], like
Modern Englishs long and short vowels. The introduction of the French word ver, which sounded
like Old Englishs fer forced speakers and listeners to make a difference between the two sounds.
In fact, the linguistic situation during the eleventh century and early twelfth centuries is described as
a relationship of vertical bilingualism (or sometimes called trilingualism, if we consider the role of
Latin). This situation describes the coexistence of two (or three) languages, which were not wholly
mixed up. Possibly, this mix appeared in mercantile centres or perhaps as a desire to look socially
sophisticated. This promotion of French was impinged by several historical factors, such as the
existence of a close connection between the Norman nobility in England and Normandy; the
expansion of the Dukedom of Normandy when King Henry II married Eleanor of Aquitaine and
gained the state of Brittany, and therefore, the King of England controlled two thirds of France; and
the development of courtly literature in Frech by wish of Eleanor, among others.
24/ 35
By the late twelfth century, though, other factors affected this pattern, namely intermarriage and
prestige situations. Regarding intermarriage, there is administrative evidence (Domesday Book) that
after the conquest most womens names were native. This meant that the male conquerors tended to
marry English wives, what might have contributed to the later preservation and, therefore, re-
establishment of English. On the other hand, the notion of prestige associated French with the upper
classes, which means that numerous people of English origin might have wished to learn the new
language. These two factors could have possibly disturbed the stable situation of bilingualism and
then, the association of language and ethnic origin was distorted.
So, the linguistic situation in the late twelfth century shows Britain divided in two. On the one hand,
Norman-French was still spoken by the majority of Norman invaders and colonist, and bilingual
cases were to be found in, first, most upper-class native Englishmen and second, in situations of
necessary contact between the ruling elite and the population in general (English traders, personnel
of manors). On the other hand, English remained the language of the greater part of the population,
so that speakers of French belonging to other classes may have attained at least a passive command
of the language (to be able to understand it).
In addition, Latin remained the language of religious and intellectual communication, as well as the
language of governmental written records. An active command of Latin was required from
members of the clergy and the administrative orders. The influence of Latin on the lower order is
dubious, since most possibly did not understand the language.
3.3.1.1. Reasons and periods for borrowing.
But what were the reasons of borrowing and in which periods did they take place? According to
Baugh & Cable (1978:167), where two languages exist side by side for a long time and the
relations between the people speaking them are as intimate as they were in England, a considerable
transference of words from one language to the other is inevitable. Some scholars have connected
extensive French borrowing with the progressive adoption of English by the Norman upper classes
since, when French aristocracy needed a word which did not exist in English, they resorted to their
own words.
25/ 35
Nowadays, the basic reasons for this type of borrowing is related to the general bilingual situation
which prevaled in England, particularly in the thirteenth century, when individual bilingualism was
widespread. Thus, the reasons for borrowing are to be found at the core of this bilingual situation
since:
The subordinate character of the situation, that is, the ability of most individuals in French
and English should have made it easy for the English speakers to introduce French words in
their speech and vice versa.
The diglossic nature of bilingualism, that is, the fact that the use of each language was
associated to a given social class and the switch between them depended on the social
context the speaker found himself. Often, Normans looked for a word associated with high
domains of communication (government , law, culture).
Hence, these reasons make reference to a mutual interchange in which many English words found
their way into the French spoken in England whereas the number of French words that poured into
English was unbelievably great. This statement is to be supported by two main periods of
borrowing, before and after 1250. On the one hand, before 1250, French borrowings are not
numerous (about 900) and they make reference to new objects and referents brought by the
Norma ns, such as words designating new social reality (nobility, government, laws), words related
to religious and cultural matters (Benedictine Reform), personal names and place-names (Henry,
France, Normandy), and general vocabulary (castle, justice, peace).
On the other hand, after 1250 there is a surprising increase of borrowings (around 10,000 words),
which namely affected all grammar categories as well as all domains of communication, such as
legal affairs (govern, parliament, treaty, perjury), ecclesiastical words (faith, sermon, preach,
virtue), fashion, meals and social life (jewel, dress, coat, feast, beef vs. cow, pork vs. pig, music,
chess, leisure, dance), artistic and scientific fields (colour, porch, poet, volume, surgeon, arsenic,
paralytic), and commercial and domestic affairs (poor, chair, lamp, stable, mountain, abysm).
3.3.1.2. French loanwords: doublets and triplets.
As we have seen, the rate of adoption of French loanwords changed considerably before and after
1250. These borrowings not only affected all full-meaning grammar categories, such as nouns,
26/ 35
adjectives and verbs, but also phrases and expressions which were enriched by means of semantic
borrowing or loan translation. Often, French lexical items were borrowed despite the fact that they
coincided in meaning with Old English native words. So, when English was adopted again, the
principle of economy imposed a semantic reorganization of lexis in some basic directions.
Thus, first, the disappearance of one of the terms, usually the Old English one (i.e. OE
aepele=prince vs. OF nobl; OE dryhten=lord vs. OF prince). Second, the extension of meaning
from one word to another when they were similar in form led to the reduction to only one item (i.e.
OE rice=powerful and OF riche=rich). Third, both words could survive, but in different levels (i.e.
OE cnafa=knave ON lasqa=lass OF servant), so the two former were restricted to colloquial
speech whereas the latter is to be used in higher social levels. Finally, if both words survive, they
may undergo a process of specialization, by means of which their meaning become different.
This is the source of doublets and triplets, which are words coexisting in the same language, with
different etymological origin and, therefore, different in form, which usually meant the same, but
have become specialized in meaning or context of usage under the pressure of linguistic economy
(Conde & Snchez, 1996). For instance, doublets usually refer to the animal in English whereas in
French they refer to the meat cooked for a meal (i.e. ox vs. beef, sheep vs. mouton, swine vs.
pork/pig, calf vs. veal, deer vs. venison, respectively). Similarly, triplets appeared due to the
richness of mingling between native elements (English), French and Latin, which correspond to
poppular, literary and learned language, respectively (i.e. holy-sacred-consecrated, time -age-epoch,
rise-mount-ascend, ask-question-interrogate, goodness-virtue-probity, fast-firm-secure, fire-flame-
conflagration, etc).
3.3.2. French influence in Modern English.
The period of Modern English, whose beginning is conveniently placed at 1500, is namely
represented by the Reinassance (1500-1650), a movement which brought with it new conditions that
previously had not existed in the Middle Ages, for instance, the printing press, the rapid spread of
popular education, the increased communication and means of communication, the growth of
specialized knowledge, and the emergence of various forms of self-consciousness about language.
This meant an increasing interest in the fields of science, medic ine and arts.
27/ 35
Hence, the invention of the printing press brought with it a far-reaching influence on all the
vernacular languages of Europe. Printing made such rapid progress that a scant century later it was
observed that manuscript books were seldom to be seen and almost never used, and the majority of
them were in Latin. The result was a renewed interest in new publications so as to bring books,
which had formerly been the expensive luxury of the few, within the reach of many. Then there was
a great interest in the classical literatures and, therefore, in classical languages: Latin and Greek.
By that time, English had developed from what it formerly was in Old English and had a
remarkable recovery. From this time on the course of its history it ran in many ways parallel with
that of the other important European languages, French and Latin. According to Baugh & Cable
(1993:198), in the sixteenth century the modern languages faced three great problems: (1)
recognition in the fields where Latin had for centuries been supreme, (2) the establishment of a
more uniform orthography, and (3) the enrichment of the vocabulary in English so as to meet the
demands of the period.
So, although English had attained a firm position as the language of popular literature, there was a
strong tradition which strengthened the use use of Latin in all the fields of knowledge by the revival
of learning in that period. Latin and Greek were not only the key to the worlds knowledge but also
the languages in which much highly esteemed poetry, oratory, and philosophy were to be read. And
Latin had the advantage of universal currency since all the educated all over Europe could freely
communicate with it, both in speech and writing, in a common idiom.
As Baugh & Cable state (1993:199), scholars felt their superiority to the less educated and were
jealous of a prerogative that belonged to them alone. The defenders of the classical tradition were at
no loss for arguments in support of their position. Hence it was feared that the study of classical
languages, and even learning itself, would suffer if the use of the vernaculars were carried too far.
The revival of learning revealed how rich was the store of knowledge and experience preserved
from the civilizations of Greece and Rome. So, if the academicians, the diplomats, the men of
affairs were to get profit from it , they had to express in the language that everybody read.
The demand was meet soon and translations poured from the press in the course of the sixteenth
century. Yet, as we approach the end of the sixteenth century we see that English slowly won
recognition as a language of serious thought, as a note of patriotic feeling in the attitude of many
people. The wholesale borrowing of words from other languages (in particular Greek and Latin)
28/ 35
was not met with universal favor. The opposition to inkhorn terms had its peak in the middle of the
sixteenth century.However, this objection to new words was approved by many people who stood
for an enrichment of our native tongue (Dryden, Aeneid , 1697).
Many of these borrowings or inkhorn terms are in such common use today that it is difficult for us
to realize that to the Elizabethan they were so strange and hard as to be a subject of controversy (i.e.
the word encyclopedia filled a need in English and it has lived on). In the Renaissance the
renewed study of Greek led to the introduction of some Greek words at first hand (i.e. acme,
anonymous, catastrophe, heterodox, lexicon, ostracize, polemic, thermometer, and tonic); other
were acquired by Latin from Greek (i.e. anachronism, atmosphere, autograph); others were added
(i.e. antipathy, antithesis, chaos, chronology, crisis, emphasis, pneumonia, skeleton).
So, as we can see, some words which entered the language at that time retained their original Latin
form (i.e. climax, appendix, epitome, exterior, axis) whereas others underwent changes by the
simple process of cutting off the Latin ending (i.e. conjectural from conjectural-is, consult from
consult-are, exotic from exotic -us). Many words borrowed from Latin at that time end in us , -
al (adjectives), ate (verbs), -tas, ty, -ance, -ence, -ancy, -ency (nouns), and so on.
On the other hand, French words were easily recognizable since Middle English orthography and
spelling changed considerably. Why? Since some monastic institutions were used to French and
Norman spelling practices (the monks trained in France), when English texts were copied at these
monastic establishments, their French and Norman spelling was often transferred into English.
Gradually, a relatively free spelling system was adopted and this allowed the written language to
take account of the different sounds introduced by Viking and Norman settlers, or to represent
pronunciation more accurately.
The main changes in spelling were (1) from OE c to ME ch, cch, and chch; (2) the yogh
replaced OE g (OE gear vs. ME yogh+eer) and OE h (OE cniht vs. kni + yogh+ t); (3) ME v
was introduced in middle position as a result of the borrowing of French and Latin words (very,
vulgar); (4) ME sh, sch and ss replaced OE sc (OE sceal vs. ME shal, schal); (5) ME wh
replace OE hw (OE hwaet vs. ME what); (6) the introduction of the grapheme c in initial
position along with a number of French borrowings where it was pronounced /s/ (i.e. AN (Anglo-
Norman) certaint vs. ME certainly); and finally, (7) the consonant clusters qu and gg replaced
OE cw and cg respectively (OE cwene vs. ME queene; OE ecge vs. ME egge).
29/ 35
So, these and other minor consonant changes, together with the Anglo -Norman and Central French
diphthongs /oi/ and /ui/ were the result of borrowing from French culture. In fact, the French words
that form such an important element of English vocabulary have generally entered the language
through the medium of writing, under the work of churchment and scholars.
3.3.3. French influence up to now.
Yet, it is difficult to say whether the French loanwords which came in the Modern English period
were direct borrowings from Latin or had come in through French since, after all, Latin was also the
language of learning among the French. But what happens nowadays? Do French loanwords still
refer to a kind of learned language? In fact, one great motivation for the borrowings is the change in
social order and specialized language (doublets and triplets), where scientific and philosophical
empiricism in particular is valued since many of the new words are academic in nature (i.e. govern,
state, authority, parliament, assembly, treaty, treason, sermon, parson, convent, faith, boot, blue,
scarlet, sausage, pigeon, orange, dance, music, palace, porch, prose, story, grammar, noun,
paralytic, cellar, stable, river). This resulted and still results in the distinction between learned and
colloquialvocabulary in English.
The influence of French on the English language may be approached in the teaching of languages
from several perspectives. First, because of the nature of loanwords, we deal with lexis and its
morphology, from which we may examine word formation and its processes (borrowing is one of
them); second, we may deal with lexical semantics, that is, the relationship among word meanings
between words at a paradigmatic level, and therefore with the fair ly traditional concepts of
homonymy, synonymy, and antonymy; third, sociology, since the choice of semantic meaning
implies social and cultural relationships dealing with power and status (literary, learned vs.
colloquial) ; fourth, a historical approach to the development of events that brings the influence of
French words up to nowadays.
30/ 35
As we can see, the French influence may be approached in linguistic terms (morphology and lexis)
and also from a cross-curricular perspective (Sociology, History, English, French and Spanish
Language). Spanish students are expected to know about the Norman culture and its influence in
Europe since students are required to know about the culture and history of the foreign language
they are studying. So, French influence is easily approached by means of lexical analysis through
loanwords since they are the result of a mixing of cultures which once took place in England, in
particular the three-fold distinction which took place after the Norman Conquest between French,
Latin and English so as to differenciate social status.
So, first, on examining the role of words as a linguistic sign and, in particular with doublets and
triplets, we deal with the traditional concept of synonymy. This concept is mainly studied from two
branches of linguistics: etymology, on the origin of words, and semantics, on the study of meaning
of words. This concept would also need to be formulated somewhat differently in relation to
particular theories of phonology, syntax and morphology from a rather traditional view of the
grammatical and lexical structure of languages. We should also include the concepts of false friends
and lexical creativity in order to study and classify all posible lexical relations into sense-relations
in paradigmatic terms.
Linguistically speaking, the role of vocabulary in the acquisition of a second language has often
dealt with only incidentally in the preparation of class material since most attention was paid to
other aspects of language, such as grammar, phonology, and discourse analysis. After a lengthy
period of being preoccupied with the development of grammatical competence, language teachers
and applied linguistic researchers now generally recognise the importance of vocabulary learning
and are exploring ways of promoting it more effectively.
Yet we must not forget that lexical knowledge is central to communicative competence and to the
acquisition of a second language since no grammar or other type of linguistic knowledge can be
employed in communication or discourse without the mediation of vocabulary (Read, 2000). When
Hymes (1972) brought about the notion of communicative competence, he neglected Chomskys
approach by stating that native speakers knew more than just grammatical competence. With a
tradition on sociolinguistics, he had a broader view of the term which included not only
grammatical competence, but also sociolinguistic and contextual competence, that is, the underlying
knowledge a speaker has of the rules of grammar including phonology, orthography, syntax,
lexicon, and semantics, and the rules for their use in socially appropriate circumstances.
31/ 35
Students are expected to learn about the influence of French, not only from a linguistic approach but
also from a social point of view, since the semantic choice between words tends to emphasize the
importance of different groups of users. For instance, the exposure to French has been sustained
throughout much of the recorded history of English, and it is this that helps give the language its
European flavour, in that many of our words are quickly recognisable to speakers of French,
English and Spanish.
This exposure has been pervasive enough to give rise to some popular notions and stereotypes about
parts of the English lexicon. The specific spelling in some words appeals to the more learned,
polysyllabic quality derived from the Romance languages as French (wh, g). In fact, these
associations have an important stylistic trait in the language we know today since French loanwords
are common in domains associated with power and prestige (i.e. French request and Latin
interrogate) rather than the Anglo-Saxon ask.
This section is aimed to look at present-day approaches on the use of vocabulary from an
educational approach, and therefore, within the framework of a classroom setting. This type of
formal instruction in language teaching addresses the role played by our current educational system,
L.O.G.S.E., in providing our students the foundations for a knowledge of vocabulary and word-
formation processes. The Spanish Educational System (B.O.E. 2002) states that there is a need for
learning a foreign language in order to communicate with other European countries, and a need for
identity.
Within this context, students are expected to carry out several communication tasks with specific
communicative goals (i.e. learned language vs. colloquial one) within specific contexts (i.e.
different social status). The European Council (1998) and, in particular, the Spanish Educational
System within the framework of the Educational Reform, envisages vocabulary knowledge of
second language learners within the four skills (writing, reading, listening, and speaking) as both
necessary and reasonably straightforward since words are the basic building blocks of language.
When it comes to verbal skills, lexis is somewhat easier because much less is required for listening
and speaking than for reading and writing.
Our goal as teachers is to highlight a number of key principles, such as to build a large sight
vocabulary, to integrate new words (Modern English) with old (French words), to provide a number
32/ 35
of encounters with a word, to promote a deep level of processing, to make new words real by
connecting them to the students world in some say, and above all, to use a variety of techniques in
word-formation to encourage independent learning strategies. In fact, vocabulary acquisition is an
incremental process, and teachers must concentrate not only on introducing new words, but also on
enhancing learners knowledge of previously presented historical events.
5. CONCLUSION.
This study has looked at the influence of French on the English language through the recorded
history of the English language in the British Isles and also, how this influence was to be realized
by means of loanwords (borrowings and calques). Historically speaking , although Britain was
methodically brought into the French world between 1066 and c. 1200 the process was not always
peaceful and saw sustained military conflicts. French culture gradually supplanted indigenous ways
of life and flourished in new military and urban centres as well as in the wider countryside.
As said before, both the English language and the French culture have gone through many
evolutions, all as a result of the introduction of new ethnic groups into Britain. From the first
invasions of the Angles and Saxons in 450 A.D. through the ongoing influx of immigrants from all
over the world, England has been a country influenced by its ever-changing population. The most
influential of these developments was the Norman Conquest in the year 1066, whose results have
shaped the history of England, and are still apparent in todays English traditions, gove rnment, and
language. By looking at modern England, we can still see the threads that stemmed from the
influence of that event, so many years ago.
On the other hand, regarding linguistic consequences, we may affirm that French loanwords
establish a relative similarity between the Spanish, English and French languages (L1 and L2) that
may be useful for guessing about the meaning of words. It must be borne in mind that an adult
Spanish student generally perceives that there is a great distance from French to English, but a
realization of how many words there are in common between current Spanish, French and English
can offer a learner a bridge to the new language.
A study of lexical items (French loanwords) shows that English and French have certain historical
influences in common; they especially have in common a number of procedures for acquiring and
33/ 35
forming new words. With this information, teachers can help students lessen their fear of this
perceived distance. In the Spanish curriculum (B.O.E. 2002), the study of vocabulary, has been
considered an important element of language teaching, and also word-meaning devices. After all,
the importance of vocabulary cannot be understated since you cannot communicate without it.
Learners cannot do it all on their own. Language learners, even 2nd year Bachillerato students, do
not automatically recognize similiarities which seem obvious to teachers; learners need to have
these associations brought to their attention. As we have seen, understanding the notions of
semantic features and sense relations is important to teachers because they are typical means of
defining new words. Students are expected to be aware of the richness of English in synonyms,
largely due to the happy mingling of English, French and Latin e lements during Middle Ages (i.e.
rise-mount-ascend; goodness-virtue-probity; fast-firm-secure; fire-flame-conflagration;
respectively).
So far, we have attempted in this conclusion to look for linguistic and historical similiarities and
differences in word-associations between French and English with obviously no claim to
completeness, but only personal curiosity and a desire to bring some information to the attention of
teachers who might find it useful for their students.
34/ 35
6. BIBLIOGRAPHY.
Algeo, J. 1982. Problems in the origins and development of the English language. Harcourt Brace
Jovanovich, Inc.
Algeo, J. and T. Pyles. 1982. The origins and development of the English language. Harcourt Brace
Jovanovich, Inc.
Asimov, Isaac. 1990. La formacin de Inglaterra. Historia Universal, Alianza Editorial.
Conde, J.C. and A. Snchez. 1996. An Introduction to the History of the English language-I: Old English.
PPU: Promociones y Pu blicaciones Universitarias.
Bauer, L. 1983. English Word-Formation. Cambridge University Press.



Haugen, E. 1972 . The analysis of linguistic borrowing. In Firchow, E. et al., eds: Studies by Einar Haugen.
The Hague: Mouton.
Leith, D. 1997. A Social History of English. Routledge, London.
Nelson, F. W. 1974. The English language. Norton and Company.
Read, J. 2000. Assessing Vocabulary. Cambridge: Cambridge University Press.
35/ 35
UNIT 43
ORALITY IN MEDIEVAL LITERATURE: THE

ARTHURIAN LEGEND.
GEOFFREY CHAUCER: THE CANTERBURY TALES.
OUTLINE
1. INTRODUCTION.
2. A HISTORICAL BACKGROUND FOR THE MIDDLE ENGLISH PERIOD: ORAL

TRADITION IN OLD ENGLISH LITERATURE.
2.1. Earlier times: religious sources and oral tradition.
2.2. Main Old English works.
2.2.1. Britain, Britannia, England.
2.2.2. Christian literature in Anglo-Saxon England.
2.2.3. Beowulf, elegies and battle poetry.
3. MEDIEVAL LITERATURE: FROM THE ARTHURIAN LEGEND TO THE CANTERBURY

TALES.
3.1. The eleventh century: epic and elegy.
3.2. The twelfth century: romance and lyric.
3.2.1. Geoffrey Monmouth and the Arthurian legend.
3.2.2. Courtly literature.
3.3. The thirteenth century: lyrics and prose.
3.3.2. Medieval institutions and authorit y.
3.3.3. Lyrics and English prose.
3.4. The fourteenth century.
3.4.2. Spiritual writing vs. secular prose.
3.4.3. Ricardian poetry.
3.4.4. Geoffrey Chaucer (c.1343-1400).
3.4.4.1. Life.
3.4.4.2. Works.
3.4.4.3. The Canterbury Tales (1388-1400).
3.5. The fifteenth century.
3.5.2. Literary works.
5. CONCLUSION.
6. BIBLIOGRAPHY.
1/28
1. INTRODUCTION.
The present unit, Unit 43, aims to provide a detailed account of the relevance of orality in medieval
literature so as to link this oral tradition with the two highest literary productions in Middle
English, that is, the Arthurian legend and Geoffrey Chaucers The Canterbury Tales. In order to
analyse the se two literary works (among others), we shall present the social, historical, cultural and
linguistic background of the British Isles during the Middle English period (1066-1500). Then, we
will start by offering the most relevant bibliography in this field as a reference for the reader, and by
presenting our study in five main chapters, which will set up the context for the analysis of these
two literary productions within four centuries.
Chapter 2 introduces a historical background for the Middle English period, namely by reviewing
the relevance of oral tradition in Old English Literature so as to know to which extent this orality
influenced the development of English literature in the following years (1066-1500). So, we shall
start by approaching (1) earlier times regarding religious sources and oral tradition; and (2) main
Old English works that took place in (a) Britain (under the influence of Celtic people), Britannia
(under the rule of the Roman Empire) and England (Anglo-Saxon England); (b) Christian literature
in Anglo-Saxon England and (c) Beowulf, elegies and battle poetry as works which represent the
end of the Old English period.
Chapter 3 shall analyse medieval literature from the Arthurian legend to The Canterbury Tales by
analysing the main events and literary works in first, (1) the eleventh century which is characterized
by epic and elegy; (2) the twelfth century, which is characterized by romance and lyric, and where
we examine more closely (a) the relationship between Geoffrey Monmouth and the Arthurian
legend and (b) courtly literature; (3) the thirteenth century, namely characterized by lyrics and
prose, is set up in context through (a) a historical background, (b) medieval institutions and
authority in that period, and (c) English lyrics and prose; (4) the fourteenth century is approached
first by (a) a historical background, (b) spiritual writing vs. secular prose, (c) the main
characteristics of Ricardian poetry, and (d) the figure of Geoffrey Chaucer, regarding (i) his life and
career, (ii) main works and (iii) his masterpiece, The Canterbury Tales; finally, we shall briefly
review (5) the fifteenth century, regarding its (a) main events and (b) literary works.
2/28
introduction of this issue in the classroom settin g. Chapter 5 will offer a conclusion to broadly
An influential introduction to the historical background of the Middle English period regarding the
oral tradition in Old English literature is based on relevant works of Baugh & Cable, A History of
the English Language (1993); Asimov, La formacin de Inglaterra (1990); Crystal, Linguistics
(1985); Asimov, La formacin de Inglaterra (1990); Crystal, Linguistics (1985); and the
contributions of Goytisolo on the oral tradition of languages, in his Proclamation of Masterpieces of
the Oral and Intangible heritage of Humanity (2001).
Classic works on medieval literature, particularly from the Arthurian legend to The Canterbury
Tales, include Rogers, The Oxford Illustrated History of English Literature (1987); Cooper, The
Canterbury Tales. (1989); Sanders, The Short Oxford History of English Literature (1996); and
Alexander, A History of English Literature (2000).
Rivers, Teaching Foreign-Language Skills (1981). In addition, the most complete record of current
publications within the educational framework is provided by the guidelines in B.O.E. (2002); and
the Council of Europe, Modern Languages: Learning, Teaching, Assessment. A Common European
3/28
2. A HISTORICAL BACKGROUND FOR THE MIDDLE ENGLISH PERIOD: ORAL
TRADITION IN OLD ENGLISH LITERATURE.
Chapter 2 introduces a historical background for the Middle English period, namely by reviewing
the relevance of oral tradition in Old English Literature so as to know to which extent this orality
influenced the development of English literature in the following years (1066-1500). So, we shall
start by approaching (1) earlier times regarding religious sources and oral tradition; and (2) earlier
works that took place in (a) Britain (under the influence of Celtic people), Britannia (under the rule
of the Roman Empire) and England (Anglo-Saxon England); (b) Christian literature in Anglo -Saxon
England and (c) Beowulf, elegies and battle poetry as works which represent the end of the Old
English period.
2.1. Earlier times: religious sources and oral tradition.
We may say that literature holds timeless universal human truths which can be read or listened to
without regard to historical context of its production, and without regard to particular historical
moment in which we read, listen and make meaning of it. For Malinowsky, a relevant anthropology
figure, language had only two main purposes: pragmatic and ritual. The former refers to the
practical use of language, either active (by means of speech) or narrative (by means of written texts)
and the latter is concerned with the use of language associated to ceremonies, and also referred to as
magic. As seen, we can already mark a distinction here between ordinary and literary language
since both had different purposes.
As we may perceive, language pervades social life since it is the principal vehicle for the
of others minds. Hence language is involved in most of the phenomena that lie at the core of social
psychology (i.e. attitude change, social perception, personal identity, social interaction,
stereotyping) as well as at the core of social life which constitute an intrinsic part or the way
language is used. How people define the social situation, their perceptions of what others know,
think and believe, and the claims they make about their own and others identities will affect the
form and content or their acts of speaking. So, this means that social behaviour determines the way
they use language.
4/28
As Juan Goytisolo (2001) stated in his speech at the Proclamation of Masterpieces of the Oral and
Intangible heritage of Humanity, we must first examine our historical knowledge of both oral and
written cultures so as to provide ourselves a cultural identity in society. Since ancient times, tribal
chiefs, chamans, bards and story-tellers have been in charge of preserving and memorising for the
future the narratives of the past and Goytisolo mentions a growing disequilibrium when observing
that only seventy-eight of the three thousand languages now spoken in the world possess a living
literature based on one of the hundred and six alphabets created throughout history. In other words,
hundreds and hundreds of languages used today on our planet have no written form and their
communication is exclusively oral.
Goytisolo further points out that acquiring knowledge of this primary orality is an anthropological
task in the field of literature and oral narrative. If all cultures are based on language, that is, a
combination of spoken and heard sounds, this oral communication which involves numerous kinetic
and corporal elements, has undergone over the centuries a series of changes as the existence of
writing and awareness of the latter have gradually changed the mentality of bards, chamans, tribal
chiefs and narrators.The usual forms of popular and traditional expression were oral literature,
music, dance , games, mythology, rituals, marketpla ces, festivals and even architecture.
2.2. Main Old English works.
2.2.1. Britain, Britannia, England.
Then when examining earlier works that took place in Britain (under the influence of Celtic people ),
Britannia (under the rule of the Roman Empire) and England (Anglo -Saxon England), we realise
that literature is written language since human settlement preceded recorded history by some
millennia, and Old English works (namely epic and lyric ) preceded writing by some generations.
Thus, the earlier inhabitants of the island, the Celts (also known as Britons) passed on no written
literacy to their conquerors since they had an oral literary tradition; later on, the Romans brought
about to the island the art of writing through their historical literary accounts, for instance, Tacituss
Germania (AD 98) or St Jeromes vulgate edition of the Bible (AD 384). Later on, the Germanic
tribes (the Angles, the Saxons and the Jutes) were illiterate so their orally-composed verses were not
written unless they formed part of runic inscriptions. When the Roman empire faded, the Saxons
5/28
did not have to exchange their Germanic tongue for Latin although Latin was the language of those
who taught them to read and write. So, the English learned to write only after they had been
converted to Christ (the process of Christianization) by missionaries sent from Rome in AD 597.
In fact, there is no evidence of Old English writing that is not Christian, since the only literates were
clerics. Linguistically and historically, the English poems composed by Caedmon after 670 and
Bede (AD 676-735) are the earliest we know of. Hence, oral poetry (epic) was an art which had
evolved over generations and was considered to be an art of memorable speech. It dealt with a set of
heroic and narrative themes in a common metrical form, and had evolved to a point where its
audience appreciated a richly varied style and storytelling technique (Alexander, 2000).
Just as the orally-composed poetry of the Anglo-Saxons was an established art, the Roman
missionaires were highly literate. Bedes work makes it clear that the evangelists sent by Pope
Gregory in AD 597 to bring the gospel to the Angles were an lite group, for instance, St Augustine
and his most inf luential successor, the Syrian Greek Theodore of Tarus (Archbishop of Canterbury,
669-90). According to Alexander (2000), this hybrid culture found literary expression in an
unmixed language, in which the English took few words from the languages of Roman Britain
(except for Celtic names of rivers and the Roman words wall and street).
2.2.2. Christian literature in Anglo-Saxon England.
Christian literature in Anglo-Saxon England is represented by different types of literary

productions, such as verse paraphrases of Old Testament stories (Caedmons Genesis and Exodus,
Daniel and Judith, 657-80), lives of saints (Andrew or Helena), historical lives of contemporaries
(St Guthlac, Cuthbert of Lindisfarne), sermons, wisdom literature or, finally, doctrinal, penitential
and devotional works, such as The Dream of the Rood, a substantial English verse carved in c. 700
in the Vercelli Book found in Northumbria.
Yet, the figure of Alfred, the fourth son of the King of Wessex from 871, proves highly relevant in
the development of literacy in Anglo-Saxon England, not only because he defended his reign
against the Danes who had overrun all the English kingdoms except his own, but also because he
translated wisdom books into English. Alfred may cast an interesting light on literacy as well as on
literature since he reported that when he came to the throne he could not think of a single priest
6/28
south of the Thames who could understand a letter in Latin or translate one into English
(Alexander, 2000). Looking backwards at the great learning that had been in Roman Britain, the
king tried to improve and increase the number of literature works under his reign by means of
translating Latin works into English ones.
Alfred had some needful wise authors to carry out this task, for instance, Augustine (354-430),
Orosius (earlyl fifth century), Boethius (c. 480-524), and Gregory (c. 540-604). Since Old English
verse was namely oral to record written laws, Alfred established English as a literary language in
authorising versions of essential books from Latin into Englis h prose. Hence we find such works
(AD 878) as Bedes Eclesiastical History, Orosius Histories, Gregorys Pastoral Care and
Dialogues, Augustines Soliloquies and Boethius Consolation of Philosophy .
According to Alexander (2000:27), Alfreds educational programme for the laity did not succeed
at first but bore fruit later in the Wessex of this grandson Edgar, who ruled 959-76. After the Ages
of Bede and Alfred, this is the third clearly-defined Age of Anglo-Saxon literature, the Benedictine
Revival, under Dunstan, Archbishop of Canterbury 960-88, himself a skilled artist. Bishop
Aethelworld made Winchester a centre of manuscript illumination. In its profusion of manuscripts
the Wessex of Dunstan, Aethelwold and Aelfric is better represented today than the more
remarkable early Norhumbria of Bede. In this period English prose became the instrument for a
flourishing civilisation, with scientific, political and historical as well as religious interests. It was in
this second Benedictine age, towards AD 1000, that the four poetry manuscripts were made: the
Vercelli Book, the Junius Book, the Exeter Book and the Beowulf manuscript.
2.2.3. Beowulf, elegies and battle poetry.
These three works represent the starting point towards the end of the Old English period. First, the
epic poem of Beowulf 1 (c. 909), a poem of historic scope telling of heroes and of the world (human
and non-human), is considered to be the first great work of English literature and like other epics, it
has a style made for oral composition, rich in formulas. It shows the English the world of their
ancestors, the heroic world of the north, a world both glorious and heathen since the audience for
this kind of poetry was the lord of the hall and the men of this retinue.
7/28
Yet, the most striking early English poems are the Elegies of the Exeter Book, which are divided
into heroic elegies (i.e. The Wanderer and The Seafarer) and love elegies (i.e. The Husbands
Message, The Wifes Complaint). This type of poems are dramatic monologues whose speaker is
unnamed and whose soliloquy moves from his own sufferings to a general lament. Finally, battle
poetry is relevant in this period because German warriors were said to recite poetry before battle,
according to the Roman historian Tacitus.
So, as we can see, Alfreds translation programmed had developed into a body of discursive native
prose as it has been reflected in the works mentioned above. This was extended in the 10th century
and this prose gave way to impressive political and legal writings which provided the laity with the
religious and civil materials long available to the clergy in Latin. Then, by 1000 the humane Latin
culture which developed between the renaissance of learning at the court of Charlemagne and the
12th century renaissance, had found substantial expression in English.
There were changes in the nature of the language, notably the use of articles, pronouns and
prepositions instead of final inflections, which made verse composition more difficult. The
millenium was a period of cultural growth but of political decline. The reign of Ethelred II (978-
1016) saw an artistic revival, but there were disunity and Danish invasions (The Viking Age). The
conquest of England by Vikings and then by Norman kings disrupted cultural activity, and changed
the language of the rulers. Yet, Latin remained the language of the church, but the hierarchy was
largely replaced by Normans, and English uses were done away with. But how did the Norman
Conquest affect medieval literature?
3. MEDIEVAL LITERATURE: FROM THE ARTHURIAN LEGEND TO THE CANTERBURY

TALES.
As stated above, the Norman Conquest (1066) was a starting point for the island and its inhabitants
since it had several consequences, among which we shall focus on political, social, economic,
cultural, linguistic and, in particular, literary ones. Literature in England in this period was not just
1
The poem Beowulf was found in a manuscript of the late 10th century, but was probable composed two
centurias earlier, and it is set in a world more than two centuries earlier still, on the coasts of the Baltic, the
north-west Germanic world from which the English had come to Britain (Alexander, 2000).
8/28
in English and Latin but in French as well, and developed in directions set largely in France. Epic
and elegy gave way to Romance and lyric and, in addition, English writing revived fully in English
after 1360, and flowered in the reign of Richard II (1372-99). Moreover, it gained a literary
standard in London English after 1425, and developed modern forms of verse, of prose and of
drama.
Old scribes affirmed that the Middle English period began with the arrivals of Normans in 1066 and
ended with the unexpected arrival of another conqueror, the printing press in 1476. It is a fact that
literature in this period survived in three languages: Latin, which lived alongside Norman French
and a kind of English which was a mix of dialects, spoken rather than written. English writing was
local, with too few authors and dates for positive literary history. Yet, after 1360 things changeed
and English won parity with French as a literary medium. The re-establishment of English meant
that it was impinged with French in language and culture. So, in the Middle Ages, the English
language evolved its modern nature and structure and its literature found modern forms, such as
drama as early as the twelfth century (note that drama had been popular for ten generations before
Shakespeare), verse (in Chaucer) in the fourteenth century, and pros e (in Julian of Norwich and
Malory) in the fifteenth century.
So, in this chapter, we shall examine this context of medieval literature from the Arthurian legend,
that is, medieval literature of oral transmission, to The Canterbury Tales so as to get an overall view
of the development of literature during the Middle English period (1066-1500). Then, in order to
provide an organized presentation, we shall review each century (from 11th century to 15th century)
in the so-called Middle Ages so as to present an organized timeline of the most relevant literary
contributions in this period.
Hence, we shall analyse (1) the eleventh century which is characterized by epic and elegy; (2) the
twelfth century, which is characterized by romance and lyric , and where we examine more closely
(a) the relationship between Geoffrey Monmouth and the Arthurian legend and (b) courtly
literature; (3) the thirteenth century, namely characterized by lyrics and prose, is set up in context
through (a) a historical background, (b) medieval institutions and authority in that period, and (c)
English lyrics and prose; (4) the fourteenth century is approached first by (a) a historical
background, (b) spiritual writing vs. secular prose, (c) the main characteristics of Ricardian poetry,
and (d) the figure of Geoffrey Chaucer, regarding (i) his life and career, (ii) main works and (iii) his
masterpiece, The Canterbury Tales; finally, we shall briefly review (5) the fifteenth century,
regarding its (a) main events and (b) literary works.
9/28
3.1. The eleventh century: epic and elegy.
As stated above, the eleventh century was characterized by the use of epic and elegy within literary
works. Yet, the Norman Conquest (1066) meant the establishment of a new social, political,
economic, cultural, linguistic and even literary situation in which the type of works were to be
changes as well into romance and lyric. Therefore, the language of the new rulers, French, displaced
English as the medium of literature and also influenced the way of writing.
There is evidence that William the Conqueror tried to learnt English, but he gave up. On the other
hand, Saxons dealing with him had to learn French, and French became the language of the court
and the law for three centuries in such as way that the Normans spoke Norman French, which was
commonly known in England as Anglo-Norman.
In fact, the linguistic situation during the eleventh century and early twelfth centuries is described as
a relationship of vertical bilingualism (or sometimes called trilingualism, if we consider the role of
Latin). This situation describes the coexistence of two (or three) languages, which were not wholly
mixed up. Possibly, this mix appeared in mercantile centres or perhaps as a desire to look socially
sophisticated.
This promotion of French was impinged by several historical factors, such as the existence of a
close connection between the Norman nobility in England and Normandy; the expansion of the
Dukedom of Normandy when King Henry II married Eleanor of Aquitaine (AD 1152) and gained
the state of Brittany, and therefore, the King of England controlled two thirds of France; and the
development of courtly literature in French by wish of Eleanor, among others.
So, educated men for the next three centuries were trilingual, and many homes bilingual. Literature
in English suffered then a severe disruption in 1066 since the classical Old English verse died out,
just to revive later on in a very different form, romance, whereas prose continued in the form of
sermons within the clergy.
3.2. The twelfth century: romance and lyric.
As stated above, when the classical Old English verse die d out, it revived in a very different form,
romance, and the prose developed in a lyric form. When this new writing appeared, it was in an
English which had become very different from that of the eleventh century. The reasons for this
10/ 28
include the lack of any written standard to discourage dialectal variety, scribal practice, linguistic
change and, above all, a new literary consciousness. This is the background for the first of our
works to comment on, the Arthur ian legend under oral tradition.
According to Alexander (2000), the change in literary sensibility after 1100 is often characterized
as a change from epic to romance, where romance is defined as a kind of medieval story,
originally from stories written in romauns, or vernacular French. Actually, it was such a novelty
that William Is minstrel Taillefer is said to have led the Normans ashore at the battle of Hastings
declaiming the Chanson de Roland, which is a chanson de geste (song of deeds). Also, in c.
1200 a Norman from Jersey called Layamon dedicated an Old English heroic poem (Brut) to
Eleanor of Aquitaine. This poem was based on the French Roman de Brut (1155) by Wace, a
canon of Bayeux, who in turn based his work on Geoffrey of Monmouths Historia Regum
Britanniae.
3.2.1. Geoffrey Monmouth and the Arthurian legend.
It was this latter author, Geoffrey of Monmouth who, in AD 1135 (c.1130-6), wrote Historia
Regum Britanniae and, unconciously, created the Arthurian legend by means of a wonderful
historical romance, in which the Arthur of literature belongs to the age of chivalry and the Crusades
after 1100. Yet, according to the historian Gildas and his work Excidio Britanniae (c.550), there
was a Romanized Celtic chieftain called Ambrosius Aureliano, who became a Celtic (British) hero
agains the Saxon invasion in west part of Britain.
Later on, another British author, called Nennius (c.800) reported about this chieftain, and said that
he became a servant of Vortigern (under the influence of a spell) to defeat the Saxons. Then, in the
same report it is said that a man called Arthur led his warriors to victory in twelve successful battles
against the Saxons, the latter taking place at Mons Badonicus in todays Wales (Asimov, 1990:47).
So, later oral legends created King Arthur, his Knights of the Round Table, and even Camelot was
set up as the legendary capital of Arthurian reign in Cadbury Hill (Wales).
It was in northern France that the legends of Arthur, his Round Table and the Quest for the Grail
improved before they re-crossed the Channel to the northern half of the Norman kingdom. Note that
although the Normans conquered southern Scotland, Wales and Ireland, they did not include in the
11/ 28
Arthurian story2 . Geoffreys work was quite a popular story until the Renaissance, and a popular
legend afterwards. Note that the character of Merlin in this story has Celtic origins, since he is an
enigmatic figure related to ancient druids.
Geoffreys legendary history of the island of Britain was put into English by Layamon, a parish
priest at Arle y Regis in Worcestershire, an area where old verse traditions lasted. His work was
written in 14,000 lines and makes no distinction between the British and the English, thus allowing
the English to regard Arthur, their British enemy, as English. Although his talent was for narrative,
he employed old formulas with less economy when describing Arthurs death. In his metre, Arthur
is wafted by elf-ladies to Avalon to be healed, and to return. This promise is repeated in Malorys
Morte Darthur (c.1470), who also tried to compile the main body of Arthurian legends into
narrative.
So, during the eleventh and thirteenth centuries there was a change from gestes (songs of res
gestae, Lat. things done) to romances of chivalry as part of the rise of feudalism. Henc e, a knights
duty was to serve God and the King with a religious orientation and a legal force, which was not
just an honour-code in literature. So, the concept of chivalry was considered to be historical as well
as literary and its cultural prestige was spread through Romance.
3.2.2. Courtly literature.
As we can see, Romances were tales of adventurous and honourable deeds, such as at first were
deeds of war and later on, to defend ladies or to fight for them. Soon they developed into courtly
literature and began as a courtly genre, a leisure pursuit, like feasting, hunting, reading, playing
chess, or love itself. The warrior gave way to the knight, and when the knight got off his horse he
wooed the lady. In other words, in literature the pursuit of love grew ever more refined (Alexander,
2000:40).
2
The plot is based on the fact that the kings of Britain descend from Brutus, the original conqueror of the
island of Albion, then infested by giants. This Brutus is the grandson ofAeneas the Trojan, from whom Virgil
traced the kings of Rome. Brutus calls Albion Britain, after his own name, whose capital is New Troy, later
called London. The Romans conquer Britain, but the Britons, under Lucius, reconquer Rome. They fight
bravely under king Arthur against the Saxon invader, but Arthur, poised to conquer Europe, has to turn back
at the Alps to put down the revolt of his nephew Mordred. Fatally wounded at the battle of Camlann, Arthur is
taken to the island of Avalon, whence, according to the wizard Merlins prophecies, he shall one day return.
Geoffrey stops in the sixth century at King Cadwallader, after whom the degenerate Britons succumbed to the
Saxons (Alexander, 2000:39).
12/ 28
The French rulers enjoyed romances of antiquity, about Thebes, Aeneas, Troy and Alexander and,
actually, Benot de Sainte-Maure produced a 30,000-line Roman de Troie (1165) at the court of
Eleanor of Aquitaine. Such popular stories made reference to classical themes full of marvels
(Rome), but Arthurian romance was even more popular with French ladies and hence, the first
developments of Geoffreys Arthurian legend material were in French.
As we will see, the romance is a lasting legacy of the Middle Ages, not only to works of fantasy in
later centuries (such as Edmund Spensers Faerie Queene or the Gothic novel but also to such
marvellous but pseudo-realist works as Daniel Defoes Robinson Crusoe and Samuel Richardsons
Pamela).
3.3. The thirteenth century: lyrics and prose.
The thirteenth century was just about to bring changes at all levels when, shortly after AD 1200,
England lost an important part of her possessions abroad. The Loss of Normandy would have, for
our purposes, linguistic consequences, such as the loss of prestige of Norman-French and Anglo-
Norman. Consequently, the maintenance of French into some kind of artificial language had an
influence on the literary productions in that period, namely on lyrics and prose.
Historically speaking, since 1180 the Dukes of Normandy had been at war with France. This fact
was partly responsible for the separation of England and Normandy in the year 1204, when
Normandy was confiscated to King John (1199-1216) by King Phillip II of France. This event had
far reaching social and linguistic consequences, among which the most outstanding is that the
properties in French soil of the barons living in England would be confiscated (Decree of Rouen,
1204).
This implied that the nobility gradually relinquised their continental states and a feeling of rivalry
developed between the two countries, accompanied by an anti-foreign movement in England and
culminating in the Hundred Years War. During the century and a half following the Norman
Conquest, French had been not only natural but more or less necessary to the English upper class
(Baugh & Cable, 1993).
13/ 28
So, those having properties on both sides of the Channel had to decide which one to choose. As a
result, the loss of Normandy gave the English nobility a new collective feeling of their insular
identity, and soon considered themselves as English. This event established a community of
interests with the English speaking lower classes which later may result in a reaction against the
continental Norman-French.
Yet, this nationalistic feeling did not extend to the King and courtly nobility. Henry III (1207-1272)
married Eleanor of Provence, who brought with her to England a host of French relatives so as to be
surrounded by French nobles and prelates. Therefore, French knights in charge of castleries
oppressed the barons of Norman-English origin. This gap between the aristocracy (nobility at court)
and the barons (rural nobility) was the reason for the Barons War (1258-1265), in which the barons
rebelled so as to claim a greater participation in and supervision of royal government. This claim
was kept in the Provisions of Oxford (1259), a document written in English, French and Latin.
Secondly, linguistically speaking, the loss of prestige of Norman French and Anglo-Norman
reinforced the functional use of English. Both Norman French and Anglo-Norman predominated in
the upper classes, but gradually the influence of English developed into something different from
the known continental French dialects. This condition contrasted with the prestige associated to
Central French (Paris dialect). Also, other factors contributed the loss of prestige of Anglo-
Norman: the use of Latin as the official language for records and the adoption of Norman French by
native English speakers who tended to tinge it with native phonological and grammatical features.
3.3.2. Medieval institutions and authority.
Having seen some of the effects of the submersion of English by French, and before approaching
the second work in this study, The Canterbury Tales by Chaucer in the analysis of the fourteenth
century, we shall look at institutions and mental habits which shaped this new English literature.
Nowadays, modern literature is mostly concerned with secular life and lay people, but for over a
thousand years, thought, culture and art in Europe were promoted by the Church. The clergy were
the source of education at that time as well as of arts and literature.
Those bishops and priests who lived in the secular world brought the Word and the sacraments to
the people, and higher education was namely provided by religious monks, nuns and, later, friars.
14/ 28
This education was to be taught in schools which were set up in monastic cathedrals in cities, such
as Winchester, Canterbury or Westminster, not far from London. From the twelfth century,
intellectual initiative began to pass from these schools to universities (Paris, Oxford founded
c.1167) and therefore, the teachings of the Church were to be modified by new learning.
Yet, intellectual activity in the new universities was led less by secular clergy than by friars, who
were members of the new orders founded by St Dominic and St Francis to evangelise the growing
cities. Then, the systemactic thinking of Aristotle was reintroduced and that thought came into
Europe via Spain, and retranslated from Arabic. So, literacy came through the Church, since the
men who held the pen were monks who copied Latin works for more than three hundred years after
the Norman Conquest. (Alexander, 2000:43).
English texts were, though, less worth preserving since, when Middle English was found in
manuscripts before 1350, it was usually devotional. Yet in a Christian world all type of writing
gained a Christian function and soon, much of the best English writing was wholly religious, such
as that of the mystic Julian of Norwich, or William Langlands Piers Plowman. Hence, medieval
drama and much medieval lyric was created to spread the gospel to the laity.
All kind of writers, whether religious or secular, Latin or vernacular, invoked earlier authors since
their names were still powerful and could mean more than their books (i.e. Chaucer=Franceys
Petrak, the lauriat poete and Daunte, the wyse poete of Ytaille). Another aspect of medieval literary
thought is allegory, that is, the making out of deeper meaning below the surface of literature of life,
meanings of a moral or spiritual sort. In fact, allegory developed from the Hebrew and Christian use
of biblical prophecy as the key to events.
3.3.3. Lyrics and English prose.
Then, these new academic attitudes inspired clerical literature, such as The Owl and the Nightingale
(early 13th century), which became the bird of love in Provenal lyrics of the early 12th century. The
refinement and abundance of Provenal song-literature is unmatched in North French and English
lyric. Hundreds of medieval lyrics remain in manuscripts which can be roughly dated, but
composition and authors are usually unknown. In addition, rhyme is first found in Church hymns,
but late religious lyrics appear with the fifteenth century literature.
15/ 28
Regarding English prose in this period, we must say that the impulse to spiritual perfection was not
confined to the religious, since much devotional writing is for the laity. Actually, since the Fourth
Lateran Council of the Church (1215) decreed personal confession at least once a year, confession
and conscience abound in Ricardian poetry, and it was namely in church that unlettered people
heard speech composed with art.
3.4. The fourteenth century.
During the fourteenth and fifteenth centuries new historical events, such as the Hundred Years
War, the Black Death and the Peasants Revolt, reinforced the national feeling which had ensued
the loss of Normandy and led the inhabitants of the island to a general adoption of English
On the one hand, the Hundred Years War (1337-1453) came up due to the question of succession
to the French crown (claimed by King Edward III of England) against the house of Valois (Philip
VI, who was appointed King of France). This war turned peoples attention to the continent and
made people realize that French was the language of the enemy court and that it was one of the
causes contributing to the disuse of French. The outcomes of this war were the development of
national consciousness among the English and a general feeling of hatred against France, French
customs and the French language.
On the other hand, the bubonic and pneumonic plague which ravaged Europe in the mid fourteenth
century reached England in 1348. As a result, about one-third of Europes population and almost
half of the inhabitants of Britain died. The effects of the Black Death were felt at all levels,
particularly the social and economic ones since the drastic reduction of the amount of land under
cultivation became the ruin of many landowners. Therefore, the shortage of labour implied a
general rise in wages for peasants and, consequently, provided new fluidity to the stratification of
society and afforded a new status to the middle and lower social classes, whose native language was
English.
Finally, these classes (middle and low) rebelled against the imposition of a poll tax and,
particularly, against the Statute of Labourers, which tried to fix maximum wages during the labour
16/ 28
shortage following the plague. The Peasants Revolt, as this rebellion is known, also contributed to
increase the social relevance of the labouring classes and indirectly conferred importance on their
native tongue, that is, English.
Linguistically speaking, the consequences of these events were to be felt in a general adoption of
English in the late fourteenth century. Already in the late thirteenth century, the English language
was virtually understood and actively used by everyone, but it was not recognized in official, legal,
governmental or administrative affairs. Hence, among the historical events of the fourteenth century
which led to a gradual use of English in these high domains, we may highlight the use of English in
a will, instead of Latin, for the first time (1383) and later on, in an official petition to Parliament
(petition of the London Mercers Guild, 1386). It is in this environment where we shall examine
Geoffrey Chaucers life and works.
3.4.2. Spiritual writing vs. secular prose.
As the century developed, the English nobility, unlike their continental equivalents, increasingly
proved to be unwilling to define themselves as a closed, separate, and uniquely priviledged order.
England did not hereafter lack a distinct and relatively responsive to social and ideological change
(Sanders, 1996:49). This shift in thought was to be felt in the way of writing. We can namely
distinguish spiritual writing, which seeks a disciplicine of the spirit to become closer to God, and
secular prose, which was used for practical matters in general terms.
Spiritual writing is represented by Richard Rolle (c.1300-49), who included in his English writings
(Song of Songs, Form of Living, Ego Dormio) allegorical commentaries, poems and prose marked
by a musical rhetoric, and also Walter Hilton (d.1379) who also addressed the spiritual life in his
writings (The Scale of Perfection). On the other hand, secular prose appeared when reformers
started to translate the Bible into English since they had to produce an English Vulgate so literal as
to be almost unreadable.
In fact, according to Alexander (2000:48), since the end of the Pete rborough Chronicle in 1154,
English secular prose non-religious prose- had been used for practical matters, but in Richard IIs
reign English came into general use. John Trevisa translated a French encyclopedia and a Latin
world history; adding that, as grammar-school teaching was now (1385) in English rather than in
17/ 28
French, children know no more French than does their left heel. Other prose writers of interest
were Sir John Mandeville and Margery Kemp who, after a religious conversion, wrote her
confessional testament in The Book of Margery Kempe (revised in 1436). Similarly, The Paston
Letters were the correspondence of a 15th -century Norfolk family which was subject to study years
after.
3.4.3. Ricardian poetry.
The reign of Richard II (1372-98) saw the flowering of a mature English poetry in Middle English.
Besides lyric and religious prose of the highest quality, Arthurian verse romances were spirited in
the Stanzaic Morte (c.1390) and the Alliterative Morte (c.1400). The revival of English
alliterative verse produced at least two crucial poems, Piers Plowman (c.1377) by William
Langland and Sir Gawain and the Green Knight, which was found with three other fine poems
(Patience, Cleanness and Pearl) in the Gawain manuscript (c.1390). Each poem is strikingly
original and intelligent, but Gawain must stand here for all. On the other hand, verse drama was
also popular, although surviving texts are 15 th century (Alexander, 2000).
Yet, according to Rogers (1987:39), the most important contributions to the literature development
in this century were made by two courtly makers, that is, Chaucer and Gower. On the one hand,
John Gower (1330-1408) contributed with the appearance of an assured syllabic verse in his long
poems and, on the other hand, Geoffrey Chaucer contributed with the establishment in English of
the decasyllabic verse of France and Italy: in the Troilus stanza (c.1382-5) which coincided with
the Peasants Revolt (1381), and the couplets of the Canterbury Tales (c.1387).
Following Alexander (2000), Chaucers relevance is not merely historical but also literary. He
states Chaucer was as humane as any English non-dramatic poet, with a versatility and narrative
skill never exceeded , even though Gower wrote in three languages and Chaucer in English only.
Yet, this linguistic tool gave a richer tone and a deeper social reach than French or Latin at that age.
Chaucer is said to be a bright star in a sky with many bright stars since his relevance was
recognized at his death.
18/ 28
3.4.4. Geoffrey Chaucer (c.1343-1400).
Geoffrey Chaucers life is much better documented than other writers in that period, so the known
facts of Chaucers life are fragmentary and are based almost entirely on official records. In this
section we shall examine (a) his life and career and (b) his main works in order to get to one of his
most releva nt works, (c) The Canterbury Tales.
3.4.4.1. Life.
He was born probably in 1343 or 1344 in the Vintry, the vintners street in Londons walled City,
with nearby Westminster. He was the son of John Chaucer, a prosperous vintner (wine merchant) of
London. He only had one sister, who was a nun. In 1357 he became a kings man, that is, a
professional royal servant in the household of Prince Lionel, later duke of Clarence, whom he
served for many years holding a series os posts, which included Collector of Customs in the Port of
London (from 1374 to 1386) and Clerk of the Kings Works (from 1389 to 1391). During the years,
Chaucer was frequently employed on diplomatic missions to the Continent, visiting France, Spain
and Italy in 137273 and in 1378.
As he was also a diplomat and travelled on the kings business, his name occurs four hundred times
in the records but not as a poet. He lived in London and Kent, surviving the Black Death, the French
wars, the Peasants Revolt, the Lords Appellants challenge to Richard II, and Richards deposition
by Henry IV. Yet, in 135960 he was with the army of Edward III in France, where he was captured
by the French but ransomed.
His mother married three times, and by 1366 he married Philippa Roet, daughter of a Flemish
knight, who was a lady-in-waiting to Edward IIIs queen. She was probably the sister of John of
Gaunts third wife. The official date of Chaucers death is October 25, 1400. Historians agree that
there is nothing in his career to suggest that Chaucer was anything other than a moderately
successful London gentleman. Hence, when he was buried in Westminster Abbey, it was evident
that there was no more than a common privilege for courtiers and royal officials.
19/ 28
3.4.4.2. Works.
However, his writing reveals nothing of these, nor of his personal life. His career as a kings man
was not unusual, but he was unusually good at his other calling, writing English verse. Chaucers
literary activity is often divided into three periods : his early works, the Italian period and his mature
works.
1. The first period includes his early works (to 1370), which are based largely on French
models of dream visions In fact, The Book of the Duchess (1368-72), an allegorical
lament written on the death of Blanche, wife of John of Gaunt, and The Romaunt of
the Rose (before 1372), a partial translation of the Roman de la Rose, are based on
Guillaume de Machaut.
2. The second period (up to c. 1387) is called his Italian period because during this time
his works were modeled primarily on Dante and Boccaccio. Major works of the second
period include The House of Fame (1378-83), recounting the adventures of Aeneas after
the fall of Troy; The Parliament of Fowls (1380-2), which tells of the mating of fowls
on St. Valentines Day and is thought to celebrate the betrothal of Richard II to Anne of
Bohemia; and a prose translation of Boethius De consolatione philosophiae.
Also among the works of this period are the unfinished Legend of Good Women
(c.1387), a poem telling of nine classical heroines, which introduced the heroic couplet
(two rhyming lines of iambic pentameter) into English verse and Chaucers last love-
vision, written in the first decasyllabic couplets in English; the prose fragment The
Treatise on the Astrolabe, written for his son Lewis; and Troilus and Criseyde (1382-6),
based on Boccaccio's Filostrato, one of the great love poems in the English language.
In Troilus and Criseyde, Chaucer perfected the seven-line stanza later called rhyme
royal.
3. Chaucers mature and last work, The Canterbury Tales, is today his most popular. Its
opening When that April with his shoures soote is the first line of English verse that is
widely known. This opening, a welcome to April showers and to the classical god of the
West Wind, is often taken as a starting point for English poetry, already seven centuries
old, which had successfully domesticated new European literary traditions
(Alexander, 2000:59).
20/ 28
3.4.4.3. The Cantebury Tales (1388-1400).
To Chaucer's final period, in which he achieved his fullest artistic power, belongs his masterpiece,
The Canterbury Tales. Written sometime in the 1380s, the idea of a frame story, that is, a story
within a story, comes from a long tradition: The Arabian Nights and The Decameron, since Chaucer
read The Decameron when he visited Italy. Originally, he proposed 124 stories, but he actually
wrote 24. Regarding structure, the tales are found in around eighty manuscripts, in separate
sections or Fragments. The best manuscripts have ten Fragments, each with one or more tales and,
where some fragments are incomplete, the tales have a conclusion.
This unfinished poem, about 17,000 lines, is one of the most brilliant works in all literature. The
poem introduces a group of pilgrims journeying from London to the shrine of St. Thomas Becket at
Canterbury, who was killed by agents of Henry II in 1170 at the altar of his cathedral. To help pass
the time on the two-day ride to the shrine, the thirty pilgrims decide to tell two tales each on the
way and two on the way back. Together, the pilgrims represent a wide cross section of 14th-century
English life.
The pilgrims tales include a variety of medieval genres from the humorous fabliau to the serious
homily, and they vividly indicate medieval attitudes and customs in such areas as love, marriage,
and religion. Through Chaucers superb powers of characterization the pilgrims, such as the earthy
wife of Bath, the gentle knight, the worldly prioress, the evil summoner, come intensely alive.
Chaucer was a master storyteller and craftsman, but because of a change in the language after 1400,
his metrical technique was not fully appreciated until the 18th cent. Only in Scotland in the 15th and
16th centuries did his imitators understand his versification.
The Canterbury Tales is set in fourteenth-century London, which is considered to be one of the
medieval periods great centers of commerce and culture. As seen above, in England at this time,
society was still very strictly ordered, with the King and nobles having all power in things political
and the Catholic Church having all authority in spiritual matters. However, trade and commerce
with other nations had expanded dramatically in this century, giving rise to a new and highly vocal
middle class comprised of merchants, traders, shopkeepers, and skille d craftsmen (Cooper, 1989).
Their newly acquired wealth, their concentration in centers of commerce, and their organization
into guilds gave this newly emerging class increasing power and influence. However, the
21/ 28
population of England remained for the most part agrarian, poor peasants working hard for a
meager living farming on rented land, completely at the mercy of the landowner, mired in ignorance
and superstition, and generally devoid of any opportunity to have access to learning or literary
works.
Yet, Chaucer approaches the world of literature to the lower classes by different means. First, by
using the language of Middle English, which is closer to Old English, the language of the Anglo-
Saxons, and Norman French, and the language of William the Conqueror (1066); secondly, by
showing a cross section of medieval society (feudal, ecclesiastical, urban); and third, by showing
interest in middle class characters, such as a cook, carpenter, miller, priest, prioress, pardoner,
lawyer, merchant, clerk, physic ian, which reflects the rise of the middle class in the 14th century.
Literature is moving away from the questions of the genre, romance, to a more personal vision, a
domestic vision. So, Chaucer is interested in individuals, their foibles and individual differences;
interested in realism; interested in middle class people, the merchant class, peasants, among others,
who reflect the rise of the middle class in the fourteenth century. In fact, the subject matter of The
Canterbury Tales is sex, lust, greed, jealousy, native cunning (tricksters), the credulousness of the
stupid, marital problems, infidelity, and corruption of the church, among others.
We must note that pilgrim tales were proverbially known as Canterbury tales which were so close
to lower classes. The pilgrims are types familiar from medieval social satire, but Chaucer makes
them speak to him and through him to us: their voices animate their sparkling two-dimensional
portraits: vice and moral. Medieval satirists reproved obstinate vice, but the pilgrim Chaucer praises
his creatures, letting us see the imperfections to which they are blind.
Chaucer is an author who makes fun of authority. His tales are a parody of popular tail-thyme
romance, full of silly conventions, empty phrases and bad rhymes. Chaucer tells a litel thyng in
prose, the lengthy moral fable of Melibeus and Prudence. This view does not lead to social realism
nor to steady moral viewpoint. Chaucers Gothic switches of genre and tone are allowed by his
comprehensive conception of life, physical, social, moral and metaphysical, shown from a variety
of viewpoints. As Alexander (2000) states, his final Retractions show, Chaucers humanity has a
theological dimension.
22/ 28
3.5. The fifteenth century.
Historically speaking, by the fifteenth century, during the reign of Henry V (1413-1422), the
English language was officially used at both the oral and written levels in most fields, except legal
records (still written in Latin), the Statutes of Parliament (written in French until 1489) and in
ceremonial formulae (still French). Yet, for our purposes, we shall focus on the literary productions
which reinforced the national feeling which had ensued the loss of Normandy and led the
inhabitants of the island to a general adoption of English
3.5.2. Literary works.
After Chaucer and Gower were buried outside the City of London, in the churches in Westminster
and Southwark next to which each had lived, there was good English writing in the fifteenth
century, particularly in lyric and drama and prose, but no major poet. Yet, Thomas Hoccleve (1369-
1426), who called Chaucer his father, scratched his living as a copyist at Westminster, lacking his
masters skill and his diplomacy. His job was reported to be boring.
Another author who is worth mentioning is John Lydgate (1370-1449). He was a monk of Bury St
Edmunds, and did well out of English verse. Among his main works, we mention Troy Book,
written for Henry V; his version of The Pilgrimage of the Life of Man for the Earl of Salisbury;
his Fall of Princes for Humphrey, Duke of Gloucester. His works had a decorated style without
Chaucers rhythm, verve and intelligence.
So, we can affirm that the decasyllable lost its music in the 15th century, as words altered in accent
and inflection. As English topped up with prestige words from Latin and French and doubled its
resources, its eloquence took the form of reduplication, pairing English and Romance synonyms.
New literary streams and events were entering this century, for in stance, drama (mystery and
morality plays), religious lyric, Scottish poetry and the most important event, the arrival of printing,
with which quality marketing had begun. That meant that chivalry and romance were dying, but
manners could be learned.
23/ 28
Literature, and therefore, literary language is one of the most salient aspect of educational activity.
In classrooms all kinds of literary language, either spoken or written, is going on for most of the
time. Yet, handling literary text types is not an end in itself, but a means of achieving the goals of
the larger activities that constitute the object of education, especially if we are dealing with oral
tradition in literature. Together with talking, writing and reading, participants should master these
elements to achieve and develop the goals of the activity in which they are engaged: to write a
letter, a short story, a historical account of their city, and so on.
through a focus on literary production under two premises. First, because they believe learning is an
integral aspect of any form of activity and second, because education at all levels must be conceived
in terms of literature. The basis for these assumptions is to be found in an attempt, through the use
of various modes of literary text types and genres, to develop understanding of students shared but
Learning involves a process of transformation of participation itself which has far reaching
implications on the role of the teacher in the teaching-learning relationship. This means that literary
genres are an analytic tool and that teachers need to identify the potential contributions and
potential limitations of them before we can make good use of the genre analysis techniques. We
must bear in mind that most students will continue their studies at university and there, they will
have to handle successfully all kind of genres, especially the non-fiction ones such as objective
reports, language for specific purposes (humanistic studies, scientific, technological, etc).
But how do medieval literature tie in with the new curriculum? Medieval literature may be
approached in linguistic terms, regarding form and function (morphology, lexis, structure, form)
and also from a cross-curricular perspective (Sociology, History, English, French and Spanish
Language). Spanish students are expected to know about the British culture and its influence in
Europe since students are required to know about the culture and history of its own language. So,
medieval literature is easily approached by means of the subjects of History and Language, since
literary productions in the Middle Ages have parallel developments.
24/ 28
In addition, one of the objectives of teaching the English language is to provide good models of
almost any kind of literary productions for future studies. Following van Ek & Trim (2001), the
learners can perform, within the limits of the resources available to them, those writing (and oral)
tasks which adult citizens in general may wish, or be called upon, to carry out in their private
capacity or as members of the general public when dealing with their future regarding personal and
professional life.
Literary language and a wide range of genres prove frequent and relevant within the students
environment (oral tradition: romances, poetry, lyric).
write a letter to a friend, office, business enterprise asking for job, etc). Thus, foreign language
educational fields.
Literary language and the production of literary genres are mentioned as one of the aims of our
current educational system (B.O.E. 2002) and in particular, for students of E.S.O. and Bachillerato
about how to produce a literary text (oral or written): writing a poem, acting out as in a romance,
etc). Actually, students are asked to use literary textual features (lexical choice between formal and
informal syntactic structures) when writing fiction and non-fictional texts, as in The Canterbury
Tales.
25/ 28
educational system focuses on are mostly sociocultural, to facilitate the study of cultural themes, as
our students must be aware of their current social reality within the European framework.
5. CONCLUSION.
This study has looked at the relevance of orality in medieval literature so as to link this oral
tradition with the two highest literary productions in Middle English, that is, the Arthurian legend
and Geoffrey Chaucers The Canterbury Tales. So, as we have seen, Chapter 2 introduced the
historical background for the Middle English period, where, historically speaking, we have
presented the social, historical, cultural and linguistic background of the British Isles during the
Middle English period (1066-1500) in order to analyse these two relevant literary works .
So, we have approached this issue by reviewing the main events in earlier times regarding religious
sources and oral tradition; and also the main Old English works that took place in the British Isles
under different cultures. Thus, Britain, under the influence of Celtic people, Britannia, under the
rule of the Roman Empire, and England, under the rule of the Anglo-Saxons. Moreover, it was
relevant to review how Christian literature in Anglo-Saxon England developed and how it
represented the end of the Old English period in works such as Beowulf , elegies and battle poetry.
Yet, the core of our study has been developed in Chapter 3 we we have analysed medieval literature
in the period which covers from the Arthurian legend to The Canterbury Tales by analysing the
main events and literary works. So, we have examined the eleventh century and its relationship to
epic and elegy; the twelfth century, which is characterized by romance and lyric, and where we
have examined more closely, first, the relationship between Geoffrey Monmouth and the Arthurian
26/ 28
legend and, secondly, courtly literature; then, the thirteenth century, namely characterized by lyrics
and prose, which is set up in context through first, a historical background; second, medieval
institutions and authority in that period, and finally, some considerations on English lyrics and
prose; the fourteenth century is approached again by a historical background which has led us to the
difference between spiritual writing vs. secular prose, the main characteristics of Ricardian poetry,
and the figure of Geoffrey Chaucer.
It is in the figure of Chaucer that we have developed the analysis on the second work by reviewing
his life and career, his main works and finally, his masterpiece, The Canterbury Tales . Finally, we
have briefly reviewed the fifteenth century, regarding its main events and literary works to put an
end to our presentation. So far, we have attempted in this conclusion to provide the reader with a
linguistic, historical and cultural background on the oral transmission in medieval literature and its
further developments up to the fifteenth century.
Language learners, even 2nd year Bachillerato students, do not automatically establish similiarities
between British and Spanish medieval literary works, which seem obvious to teachers; on the
contrary, learners need to have these associations brought to their attention in cross-curricular
settings. As we have seen, understanding how oral literature developed into written one is important
to students , who are expected to be aware of the richness of English literature, due to the mingling
of English, French and Latin elements in Europe during the Middle Ages.
27/ 28
6. BIBLIOGRAPHY.
Alexander, M. 2000. A History of English Literature. Macmillan Press. London.
Asimov, Isaac. 1990. La formacin de Inglaterra . Historia Universal, Alianza Editorial.

Murcia.

Currculo de Bachillerato en la Comunidad Autnoma de la Regin de Murcia .

Richards and R. Schmidt (eds.). Language and Communication. London, Longman.
Cooper, H. 1989. The Canterbury Tales. Oxford: Oxford University Press.

Crystal, D. 1985. Linguistics. Harmondsworth, England. Penguin Books.
Goytisolo, J. 2001. Proclamation of Masterpieces of the Oral and Intangible heritage of Humanity
18 May 2001. Speech delivered at the opening of the meeting of the Jury (15 May 2001).
Rogers, P. 1987. The Oxford Illustrated History of English Literature. Oxford University Press.
Sanders, A. 1996. The Short Oxford History of English Literature. Oxford University Press.
28/ 28

29 43

Uploaded by

Copyright:

Available Formats

You might also like

29 43

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

29 43

Uploaded by

Copyright:

Available Formats

UNIT 29

DISCOURSE ANALYSIS AND ARTICULATION. COHESION

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS AND ARTICULATION OF

5. EDUCATIONAL IMPLICATIONS IN LANGUAGE TEACHING.

1.1. Aims of the unit.

1.2. Notes on bibliography.

An influential introduction to the analysis of discourse is based on relevant works of Cook,

2. A THEORETICAL FRAMEWORK FOR THE ANALYSIS AND ARTICULATION OF

2.2. Related notions.

2.2.2. Sentence vs. utterance.

2.2.3. Speech acts.

2.2.4. Communicative context.

2.3. On defining discourse analysis.

2.3.1. The seven standards of textuality.

2.3.2. The role of syntax, semantics and pragmatics.

2.3.3. Oral vs. written discourse.

2.3.4. The analysis and articulation of discourse.

3.2.1. Grammatical cohesion.

First, within nominal substitution, the substitute one/onesalways functions as Head of a

3.2.1.3. Reference: anaphora, cataphora and deixis.

Cohesion as we have said is not a structural relation, hence it is unrestricted by sentence

Types of reference: deixis.

Types of reference: deixis.

Demonstrative reference is essentially a primary form of verbal pointing which may

Comparative reference may be described in terms of general and particular

We may distinguish three varieties of presenting conjunctions in a text. First, conjunctive

3.2.2. Lexical cohesion.

3.2.3. Graphological devices

4.2. Main features.

5. EDUCATIONAL IMPLICATIONS IN LANGUAGE TEACHING.

5.1. The Communicative Approach: a basis for discourse analysis.

5.2. New directions in discourse analysis.

This effectiveness of communication is to be achieved thanks to recent developments in foreign

Beaugrande, R. & Dressler, W. 1988. Introduction to Text Linguistics. London: Longman.

B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 112/2002, de 13 de septiembre.

B.O.E. 2002. Consejera de Educacin y Cultura. Decreto N. 113/2002, de 13 de septiembre.

Canale, M. 1983. From Communicative Competence to Communicative Language Pedagogy, in J.

Council of Europe (1998) Modern Languages: Learning, Teaching, Assessment. A Common

Cook, Guy. 1989. Discourse. Oxford University Press.

Halliday, M.A. K. and R. Hasan. 1976. Cohesion in English . Longman.

Hymes, D. 1972. On communicative competence. Harmondsworth: Penguin.

Hymes, D. 1974. Foundations in Sociolinguistics: An Ethnographic Approach. Philadelphia:

van Dijk, T. 1981. Studies in the Pragmatics of Discourse. Mouton publishers.

Revistas de la Asociacin Espaola de Lingstica Aplicada (AESLA):

DIRECT AND INDIRECT SPEECH

2. A LINGUISTIC INTRODUCTION TO THE NOTION OF SPEECH ACT.

3. A THEORETICAL FRAMEWORK FOR THE NOTIONS OF DIRECT AND INDIRECT SPEECH.

4. ON DIRECT SPEECH: MAIN STRUCTURAL FEATURES.

6. EDUCA TIONAL IMPLICATIONS.

1.1. Aims of the unit.

2. A LINGUISTIC INTRODUCTION TO THE NOTION OF SPEECH ACT.

2.1. Linguistic levels involved.

2.2. On direct and indirect speech: what, how and why.

2.3. Grammar categories involved.

3.1. On defining Speech Act.

3.2. The Speech Act Theory.

3.2.1. Austin (1962).