LESSON NO.

INTRODUCTION IN DISCOURSE

LESSON OVERVIEW

This chapter focuses on exploring the diverse interpretations of the words

'discourse' and 'discourse studies/analysis'. It emphasizes several characteristics of
discourse and the field of Discourse Analysis/Studies, examines the concept of
communicative competence and its connection to discourse, and demonstrates why it is
a suitable objective for Language Education.
It then discusses particular issues which are of interest to discourse analysts, such
as the structural analysis of discourse, the use of spoken and written discourse, discourse
is intertextual , discourse and communication and discourse and competence.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

1. Define and comprehend the various meanings of discourse and discourse analysis
2. Discuss the different views of discourse analysis
3. Compare Written discourse from spoken discourse
4. Identify discourse as intertextual, as communication and as communicative competence
5. Answer the given activities / exercises

LEARNING CONTENTS

INTRODUCTION

Discourse is a fundamental aspect of language and communication, and understanding its

different dimensions is vital for analyzing and interpreting texts effectively. This refers to the use of
language within a specific social context, encompassing both written and spoken communication. It
involves the exchange of ideas, beliefs, and knowledge among individuals or groups. Discourse goes
beyond the literal meaning of words and includes the underlying assumptions, values, and power
dynamics that shape communication.
1.1 DEFINING DISCOURSE
The term "discourse" has multiple uses, but for our purposes, we will define it broadly as
language within its specific usage contexts. By considering language within its usage
contexts, we are also concerned with language beyond the sentence level. This focus on usage
contexts and language above the sentence level is significant because, influenced by the generative
linguist Chomsky, traditional linguistics has often analyzed language as detached from its context, as
isolated sentences. However, adopting a contextualized and suprasentential perspective on language

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is important because knowing a language involves more than just grammar and vocabulary. It also
encompasses understanding how to engage in conversations or structure written texts. To achieve
this, we must consider the context or situation in which language is used and how linguistic units
combine to structure the overall discourse.
In a narrower sense, the term "discourse" can also refer to a specific collection of ideas and
how they are expressed, such as the discourse of environmentalism, neoliberalism, or feminism. In
this case, discourse refers to specialized knowledge and language used by particular social groups.

1.2 DEFINING DISCOURSE STUDIES AND DISCOURSE ANALYSIS

Based on our previous definition of discourse, the field known as Discourse Analysis or
Discourse Studies can be described as the study of language in its usage contexts beyond individual
sentences. The term "Discourse Studies" is considered more appropriate than "Discourse Analysis"
as it avoids the misconception that the field is solely focused on analysis as a method. In reality, it
also encompasses theory, application, and a variety of methods. Both terms will be used: Discourse
Analysis refers to the actual analysis process and Discourse Studies refers to the broader field or
discipline.
Discourse Studies is primarily associated with linguistics but is essentially an interdisciplinary
endeavor. It is applied in diverse fields such as anthropology, business studies, communication
studies, cultural studies, educational studies, environmental studies, law, literary studies, media
studies, philosophy, politics, psychology, sociology, and others, in addition to linguistics.

1.3 DISCOURSE ANALYSIS MAY EMPHASISE DISCOURSE STRUCTURE OR DISCOURSE

FUNCTION OR BOTH

In disciplines like physics, chemistry, or biology, Discourse Analysis can involve a structural
analysis where a text or group of texts is broken down into its constituent parts. These parts are
typically identified based on their functions or meanings, such as topics or turns in spoken discourse,
or paragraphs, sentences, or propositions in written discourse. A structural approach to Discourse
Analysis also explores how linguistic elements are connected to form coherent units.

In addition to structural analysis, Discourse Analysis can also take a functional approach. In
this perspective, the analyst considers the specific meanings and communicative effects associated
with what is said or written. This approach views language as a form of communicative action and
addresses questions such as how language is used persuasively, what constitutes polite language,

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how indirect meanings are conveyed, what constitutes racist or sexist language, how power is exerted
through language, and the underlying motivations behind language use.
Another functional approach in Discourse Analysis focuses on particular discourse genres.
The analyst investigates how language is used in academic essays, research articles, conference
presentations, letters, reports, and meetings, with an emphasis on the communicative purposes or
actions within specific contexts.
Furthermore, a functional approach may involve examining how language is used by specific
social groups, known as register analysis. This includes investigating how teachers, politicians,
business executives, men, and women employ language and identifying the linguistic features that
characterize particular social groups.
Typically, Discourse Analysis is qualitative in nature, emphasizing description rather than
measurement or counting. However, the use of computers has led to the emergence of quantitative
analysis within Discourse Analysis. Researchers can employ computers to derive quantitative
findings, such as the relative frequency of specific language patterns used by different individuals or
social groups in particular texts or collections of texts, known as Corpus Linguistics .

1.4 Written Discourse Vs. Spoken Discourse

Spoken discourse and written discourse are two distinct forms of communication, each with
its own characteristics and conventions. Here is a further discussion on the differences between the
two, along with examples:
1. Spontaneity and Interactivity:
Spoken Discourse: Spoken discourse is typically more spontaneous and interactive. It occurs in
real-time, allowing for immediate feedback and adjustments during the conversation. Participants can
ask questions, seek clarification, and engage in turn-taking.
Example: A group discussion where participants engage in active dialogue, interrupting each
other, and responding in real-time.
Written Discourse: Written discourse is more planned and allows for careful formulation of ideas. It
lacks the immediate feedback and interactivity of spoken discourse, as the communication is
asynchronous.
Example: An academic essay where the author presents a well-structured argument without
interruptions or immediate responses from readers.
2. Linguistic Features and Complexity:
Spoken Discourse: Spoken discourse often includes features such as colloquial language,
contractions, fillers (e.g., "um," "uh"), and informal vocabulary. It tends to be less grammatically
precise, with more sentence fragments and incomplete thoughts.

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 Example: "I was like, 'Wow, that's crazy!' and he was all, 'No way!' We were just, you know,
totally blown away."
Written Discourse: Written discourse adheres to more formal grammar rules and employs a wider
range of vocabulary. It tends to be more structured, with complete sentences and paragraphs that
follow a logical progression of ideas.
Example: "The research findings revealed a statistically significant correlation between X and
Y, suggesting a causal relationship between the two variables."

3. Nonverbal Cues and Contextual Information:

Spoken Discourse: Spoken discourse benefits from nonverbal cues such as facial expressions, tone
of voice, and gestures, which help convey meaning and enhance understanding. Contextual
information, including shared knowledge and situational factors, is more readily available.
Example: A face-to-face conversation where the speaker's tone and facial expressions
provide additional insights into their intended meaning.
Written Discourse: Written discourse lacks the immediacy of nonverbal cues. The absence of
gestures and tone of voice requires writers to carefully choose words and provide explicit context to
ensure clarity.
Example: An email or letter where the writer needs to ensure that their intended meaning is
clear without the assistance of facial expressions or vocal intonation.

4. Permanence and Accessibility:

Spoken Discourse: Spoken discourse is transient and exists only in the moment unless recorded. It
can be challenging to recall specific details or exact phrasings unless documented.
Example: A casual conversation among friends at a coffee shop, where the content and
precise wording may not be retained accurately afterward.
Written Discourse: Written discourse is durable and can be revisited and analyzed repeatedly. It
allows for precise referencing and facilitates the dissemination of information over time.
Example: A published scientific paper that can be referenced by other researchers, providing
a lasting record of the study's findings.

1.5 VARIOUS APPROACHES TO DISCOURSE STUDIES

Discourse Studies is an interdisciplinary field that examines language use within social
contexts, going beyond the mere analysis of sentences. It explores how language shapes and is
shaped by power dynamics, identities, and social practices.

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 Several key approaches that scholars employ to understand and analyze discourse.

1. Structural Approach:
The structural approach to Discourse Studies focuses on analyzing the formal and
organizational aspects of discourse. It involves breaking down texts into component parts based
on their functions or meanings, such as topics, turns, paragraphs, sentences, or propositions. This
approach seeks to understand how linguistic elements are structured and connected to form
coherent units. Structural analysis helps identify patterns, themes, and relationships within the
discourse.
Example: A structural analysis of a political speech may examine how the speaker organizes
their arguments into distinct sections or identifies recurring rhetorical devices used to reinforce
their message.
2. Functional Approach:
The functional approach explores the meanings and communicative functions of discourse. It
emphasizes how language is used as a form of communicative action, with a focus on the
specific intentions, effects, and social functions of speech acts. This approach examines how
language is employed to persuade, request, refuse, complain, convey politeness, or exercise
power. It also investigates the underlying motivations and social implications behind language
use.
Example: A functional analysis may explore how politicians use persuasive language
and rhetorical strategies to influence public opinion during election campaigns.

3. Genre Analysis:
Genre analysis examines how language is used within specific discourse genres or types. It
investigates the communicative purposes, conventions, and expectations associated with
particular genres, such as academic essays, research articles, business reports, or
conversational scripts. This approach focuses on understanding how language is tailored to
meet the specific requirements and conventions of different genres.
Example: Genre analysis of academic research articles may uncover the typical
structure, language features, and citation practices specific to that genre, helping researchers
navigate and produce scholarly work effectively.
4. Sociocultural Approach:
The sociocultural approach to Discourse Studies examines how discourse is shaped by social
and cultural contexts. It emphasizes the role of language in constructing and reflecting social
identities, power relations, and cultural practices. This approach considers the broader socio-political,
historical, and cultural factors that influence discourse and how language use contributes to the
reproduction or contestation of social norms and ideologies.

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 Example: A sociocultural analysis may explore how media discourse perpetuates or
challenges gender stereotypes and how this influences societal perceptions and expectations.

5. Critical Discourse Analysis (CDA):

Critical Discourse Analysis is a critical and interdisciplinary approach that focuses on power
relations, ideology, and social inequalities embedded within discourse. CDA aims to uncover
hidden meanings, hegemonic ideologies, and the ways in which language can be used to
maintain or challenge social hierarchies and structures of power.
Example: CDA may examine how language in political speeches constructs and
reinforces certain power dynamics, exposing underlying biases or manipulation techniques
used to sway public opinion.

6. Conversation Analysis:
Conversation Analysis (CA) examines the structure and organization of conversation,
including turn-taking, adjacency pairs, repair, and overall sequential organization. It focuses on the
detailed analysis of naturally occurring talk to uncover the underlying rules and mechanisms of
interaction.
Example: Conversation analysis can investigate how participants in a conversation negotiate
and repair misunderstandings, interruptions, or overlapping speech.
7. Pragmatics:
Pragmatics examines how meaning is constructed in context, focusing on how
speakers use language to achieve specific communicative goals and how meaning is inferred
beyond the literal interpretation of words. It investigates phenomena such as implicature,
presupposition, speech acts, and politeness strategies.
Example: Pragmatic analysis can explore how a speaker uses indirect speech acts, such as
saying "Could you pass me the salt?" as a polite request rather than a literal question.

8. Cohesion:
Cohesion is an important approach within Discourse Analysis that focuses on the
linguistic devices and mechanisms used to create coherence and connect different parts of a
text or discourse. It examines how various linguistic elements, such as pronouns,
conjunctions, lexical repetition, and lexical cohesion, contribute to the overall cohesion of a
text.
Example: The student attended the lecture. He found it informative and engaging. The
professor presented various theories and provided examples to support his arguments. The
students were actively participating in the discussion.

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1.6 DISCOURSE ANALYSIS IS CONDUCTED IN MANY FIELDS OF ACTIVITY

Discourse Analysis is applied across various domains, encompassing both informal

and formal settings. In informal contexts, it is utilized to examine conversational interactions,
service encounters, storytelling, gossiping, and casual conversations. In formal contexts,
Discourse Analysis has proven valuable in fields such as politics, media analysis, law,
healthcare, business, and bureaucratic systems.

1.7 DISCOURSE STUDIES FOCUS ON LANGUAGE IN ITS CONTEXTS OF USE

The earlier definition provided for Discourse Studies pertains to the examination of language
within its usage contexts. However, it is essential to clarify the term "context" and its significance.
Context can be understood as synonymous with "situation." To comprehend the meaning of a spoken
statement, it is necessary to consider the specific characteristics of the situation in which it was
expressed. In a renowned study conducted by Hymes (1972a), 16 features of situation or context
were identified. Here are a few examples of these features:
• the physical and temporal setting;
• the participants (speaker or writer, listener or reader);
• the purposes of the participants;
• the channel of communication (e.g. face to face, electronic, televised, written);
• the attitude of the participants;
• the genre, or type of speech event: poem, lecture, editorial, sermon;
• background knowledge pertaining to the participants.

The features of context play a crucial role in shaping meaning and influencing the
interpretation of meaning by the analyst. These features help us understand why certain utterances
may be appropriate or inappropriate in specific situations. Let's consider some examples to illustrate
this:
Participants: The participants involved in a conversation significantly impact the interpretation of an
expression. For instance, the phrase "Sit down!" would be deemed appropriate when spoken by a
parent to a child, but if it were directed towards a superior, it would likely be perceived as rude. The
participants involved, whether they hold a superior or subordinate position, are the determining factor
in this example.

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Channel of communication: The medium through which a message is transmitted also affects its
interpretation. For instance, the text message abbreviation "CUL8ER" (meaning "see you later") might
be perfectly acceptable in a mobile phone text message. However, if it were used in a business letter
or another formal communication channel, it would likely be viewed as uneducated or impolite.

Background knowledge: Shared background knowledge between communicators influences the

efficiency of communication. For instance, in a game, if one person tells another to "Make sure you
follow all the rules," they are relying on the other person's knowledge of what those rules are. It is
unnecessary to explicitly specify all the rules since both parties possess the shared background
knowledge of the game's rules, making communication more efficient.

The text surrounding an utterance, including what precedes and follows it, also contributes to
the overall context. The surrounding text helps in understanding the intention, tone, and meaning of
the specific utterance.

Understanding the features of context allows analysts to consider the situational factors that
shape meaning, interpret the intent behind expressions, and discern the appropriateness of certain
utterances within specific contexts.

In the first exchange:

A. These bananas cost 3 dollars.

B. I'll take them.

The pronoun "them" in B's statement can only be understood in reference to what was
previously mentioned by A, which is "bananas." The context provided by A's statement informs the
interpretation of B's response.

In the second example:

I have a problem. I haven't got any money.

The word "problem" is explicated or clarified by the following statement, indicating that the
problem is the lack of money. This type of context, known as co-text or linguistic context, relies on the
immediate linguistic information surrounding a specific word or phrase.

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 It is important to note that context, as emphasized by van Dijk (2008), is not an objective
condition or a direct cause but rather a subjective construct that develops through interactions. Each
individual constructs and defines their own context based on their ongoing subjective interpretations
of communicative situations. Van Dijk argues that context is not solely a social phenomenon but also
a sociocognitive one.

Reference: van Dijk, T. A. (2008). Discourse and Context: A Sociocognitive Approach.

Cambridge University Press.

1.8 DISCOURSE IS INTERTEXTUAL

Discourse is inherently intertextual, meaning that it is connected to and influenced by other

texts. Intertextuality refers to the idea that texts are not isolated entities but rather exist in a web of
interconnectedness. When analyzing discourse, it is crucial to consider the intertextual relationships
between various texts, as these relationships shape and contribute to the meaning-making process.

Intertextual links are often implicit, especially in newspaper headlines and advertisements. For
instance, a promotional statement for the AXN television channel creates intertextuality by paralleling
the famous statement by US President John F. Kennedy: "Ask not what your country can do for you,
but what you can do for your country." The intertextuality in this case is established through the use
of parallel syntactic, semantic, and prosodic structures.

Newspaper headlines also demonstrate intertextuality:

• "Merkel is no Bond Girl" (referring to German leader Angela Merkel's stance on

Eurobonds, intertextual reference to James Bond movies featuring a 'Bond girl').
• "American Airlines is Terminal" (indicating the airline's near bankruptcy, intertextual
reference to aircraft operating out of terminals).
• "It's Acropolis Now, Greece!" (highlighting Greece's financial crisis, intertextual
reference to the film Apocalypse Now! directed by Francis Ford Coppola).

English poetry frequently employs imagery rooted in the St James's Bible. In Virginia Woolf's
poetic novel, The Waves, intertextuality is used to reimagine the opening line of the Gospel of St
John: "In the beginning there was the word." Woolf begins The Waves with "In the beginning, there
was a nursery, with windows opening onto a garden, and beyond that the sea."

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 Intertextuality can pose challenges in effective communication for non-native or second
language speakers, as it heavily relies on culturally specific background knowledge.

1.9 DISCOURSE AND COMMUNICATION

The terms "communicative" and "communication" have been frequently used because
discourse serves as the medium through which communication occurs. One traditional model of
communication, known as the code model or conduit metaphor model (Reddy, 1979; Sperber &
Wilson, 1995), although largely discredited by linguists, has historically shaped our understanding of
communication, as depicted in Figure 1.1.

Figure 1.1 The code, or conduit, metaphor model of communication.

signal
received

 

In the code model of communication, which has been present in various forms for hundreds,
if not thousands, of years, communication is viewed as a process where the sender encodes a
message that travels through a communication channel as a signal and is then decoded by the
receiver. As long as there are no issues with the channel and both parties use the same code,
successful communication is assumed. According to this model, communication can occur without
considering the speaker, the listener, or the broader context. However, this overlooks the crucial role
of context, as discussed in section 1.7. The context in which a message is sent influences our
interpretation of it.

More recent models of communication, known as inferential models, take into account the
context and the background and world knowledge that speakers assume their listeners possess.
Speakers are able to adjust their speech based on this assumed listener knowledge. They don't need
to explicitly state every detail but rely on their listeners to fill in any missing information.

For instance, during an interview on a television chat show, Jeremy Clarkson, a well-known
British television personality, was asked about an ongoing industrial strike in the country. His
response was: "I would have them all shot. I would take them outside and execute them in front of
their families." Interpreted through the code model, this statement would be understood literally, as
Clarkson genuinely wanting such actions to take place. However, Clarkson later clarified in a public

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apology that it was said for "comic effect." He intended his audience to go beyond the literal meaning
and understand that he didn't actually mean what he said. Unfortunately, some members of the British
public took his remarks at face value, accusing him of offensive behavior. This illustrates how verbal
communication doesn't always align with the assumptions of the code model and can lead to
misunderstandings.

1.10 DISCOURSE AND COMMUNICATIVE COMPETENCE

Language educators are dedicated to promoting effective communication skills among

learners. It is evident, therefore, that an understanding of discourse and its role in communication is
valuable for students and professionals in language education.

In the 1960s, Chomsky introduced the concept of competence and performance,

distinguishing between the underlying grammatical system (competence) known intuitively by native
speakers and actual language use in real situations (performance). Chomsky focused solely on
competence.

In contrast, Hymes challenged Chomsky's view and proposed the concept of communicative
competence, emphasizing the importance of studying language use and its situational conventions
and patterns. According to Hymes, "there are rules of use without which the rules of grammar would
be useless." Hymes developed contextual variables as a means to investigate these situational
conventions and patterns.

Applied linguists embraced Hymes's ideas on communicative competence and adapted them
as a goal for teaching and learning, leading to the communicative approach to language teaching
(CLT). However, the focus shifted from researching language communities to establishing standards
for an ideal curriculum. Despite this shift, CLT became the predominant paradigm for language
development worldwide.

Canale and Swain's model of communicative competence, the most widely referenced model
in language teaching, identified three subcomponents: grammatical competence, sociolinguistic
competence, and strategic competence. Later, Canale added a fourth component, discourse
competence, which involves combining linguistic elements to create cohesive texts. However,
discourse competence appears to operate at a higher level, encompassing grammatical competence,
sociolinguistic competence, and strategic competence.

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 COMPETENCE

COMPETENCE COMPETENCE COMPETENCE

COMPETENCE
INTERACTIONAL

Figure 1.2 Schematic representation of communicative competence (Celce-Murcia, 2007: 45).

Celce-Murcia proposed a revised model of communicative competence, highlighting the

central role of discourse competence. The model includes sociocultural competence, linguistic
competence, formulaic competence, interactional competence, strategic competence, and discourse
competence. Sociocultural competence encompasses pragmatic knowledge and contextual
factors, while linguistic competence corresponds to grammatical competence. Formulaic
competence refers to fixed language chunks, and interactional competence covers speech acts
and conversational skills. Strategic competence involves strategies for language learning and
resolving ambiguities in other components. Discourse competence controls and integrates all the
other subcompetencies, involving the selection, sequencing, and arrangement of words and
structures to achieve coherent spoken messages.

It is important to note that Celce-Murcia's model is a dynamic process, with constant

interaction among its component parts.

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 LEARNING ACTIVITY

QUESTIONS FOR DISCUSSION

1. Which major discourses do you encounter in your daily life? What sets them apart? What
ideas and attitudes do they express? Can you identify any specific linguistic features in these
discourses?
2. Consider someone you know. How does their use of language reflect their identity, such as
their age, occupation, or other contextual factors?
3. Can you recall or create examples of intertextuality, perhaps from newspaper headlines or
advertisements you've come across?
4. Why do you believe the conduit model has maintained its popularity throughout the centuries?
5. In your opinion, can non-native speakers attain the same level of linguistic competence as
native speakers, as proposed by Chomsky?
6. What are some of the methods or approaches used in discourse analysis?
7. How can discourse analysis help in identifying power dynamics and ideology within texts?
8. How does discourse analysis contribute to the study of language in various disciplines, such
as sociology, psychology, and political science?
9. How can discourse analysis be used to examine gender or racial stereotypes in media
representations?
10. In what ways can discourse analysis be applied in language teaching or language policy
development?

SUMMARY

Discourse refers to the use of language in social contexts and encompasses the various ways in
which language is structured and used to convey meaning. It goes beyond individual sentences and
focuses on larger units of text or conversation that are influenced by social, cultural, and contextual
factors.
Discourse analysis is an interdisciplinary approach that examines how language functions in
different contexts. It involves studying the structure, content, and social implications of discourse to
understand the power dynamics, ideologies, and social practices embedded within communication.

Discourse is intertextual, meaning that it is influenced by and connected to other texts and
discourses. It draws on existing knowledge, cultural references, and shared assumptions, creating a

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network of interrelated texts that shape and influence meaning. Intertextuality highlights the
interconnectedness of different discourses and the ways they reference and build upon each other.

Discourse and Communication:

Discourse is a fundamental aspect of communication. It serves as the vehicle through which
communication takes place, allowing individuals to convey their thoughts, ideas, and intentions to
others. Discourse provides the structure and framework for understanding and interpreting
messages within a given context.

Discourse and Communicative Competence:

Communicative competence refers to the ability to use language effectively and appropriately in
different social situations. Discourse plays a crucial role in communicative competence as it involves
understanding and employing the appropriate language structures, strategies, and norms to convey
meaning in specific contexts. It encompasses not only linguistic competence but also sociocultural
and strategic competences necessary for successful communication.

In summary, discourse is the use of language in social contexts, and discourse analysis examines
the structure and social implications of language use. Discourse is intertextual, interconnected with
other texts and discourses. It is essential for communication, and understanding discourse is crucial
for developing communicative competence, which involves using language effectively in various
social situations.

REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

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 DISCOURSE ANALYSIS

LESSON OVERVIEW

In this chapter, an overview of discourse analysis is provided, which is an approach to studying

language. It focuses on examining language patterns in texts and considering the social and cultural
contexts in which those texts exist. The chapter begins by discussing the origins of the term "discourse
analysis" and then explores specific topics such as different views of discourse analysis, discourse
communities, language as social and local practice, discourse and gender, and discourse and
ideology.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Give the definitions of discourse analysis

• Identify the main features or characteristics of DA
• Discuss the different views of discourse analysis
• Recognize how language varies systematically according to situation
• Familiarize with Sinclair and Coulthard’s model of classroom interaction
• Answer questions for discussions

LEARNING CONTENTS ( Discourse Analysis)

2.1 What is discourse analysis?

Discourse analysis examines patterns of language across texts and considers the
relationship between language and the social and cultural contexts in which it is used.
Discourse analysis also considers the ways that the use of language presents different
views of the world and different understandings. It examines how the use of language is
influenced by relationships between participants as well as the effects the use of language
has upon social identities and relations. It also considers how views of the world, and
identities, are constructed through the use of discourse.

Zellig Harris coined the term "discourse analysis" in 1952 to analyze both spoken and written
language that is connected and meaningful. Harris had two primary focuses: studying language
beyond sentence-level analysis and exploring the connection between linguistic and non-linguistic
behaviors. While he primarily delved into the former, his main objective was to develop a framework

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for describing the distribution of language features within texts and how they are combined in different
types and styles of texts. One of his significant early observations was that:

connected discourse occurs within a particular situation – whether of a person speaking, or of a conversation, or of someone
sitting down occasionally over the period of months to write a particular kind of book in a particular literary or scientific
tradition. (3)

Therefore, specific situations tend to have customary language usage patterns. According to his
argument, these patterns of discourse not only convey specific meanings but also exhibit distinctive
linguistic characteristics. Understanding the nature of these meanings and how they are expressed
in language forms a key focus within the field of discourse analysis.

The relationship between language and context

Harris's exploration of "the relationship between linguistic and non-linguistic behavior"

refers to how individuals can interpret what someone says based on the situational context they are
in. For example, when an air traffic controller tells a pilot, "The runway is full at the moment," a native
English speaker would likely understand that it means the plane cannot land. However, a non-native
English-speaking pilot would need to understand the connection between the spoken words and their
intended meaning in order to grasp that landing is not possible at that time. Harris emphasizes that
the expression "The runway is full at the moment" carries a specific meaning within the context of
landing a plane and may have a different meaning in another context. If, for instance, one were to say
the same phrase to a friend waiting at the airport to pick someone up, it would serve as an explanation
for the delayed arrival of the plane, not an instruction to prevent the landing. Therefore, the same
discourse can be interpreted differently by different language users and in diverse contexts.
Van Dijk expands on the concept of context, considering it as a subjective construct that
encompasses both the unique aspects of each text and the shared knowledge and representations
that language users rely on to communicate with each other. He argues that the link between society
and discourse is often indirect and dependent on how language users define the genre or
communicative event in which they are engaged. Contexts, in Van Dijk's perspective, are not
objective conditions but rather subjective constructs that participants constantly update
through their interactions as members of groups or communities.

The relationship between language and context is fundamental to the works of J.R. Firth,
Michael Halliday, and John Sinclair, all of whom have made significant contributions to discourse
analysis. Firth draws on the anthropologist Malinowski's notions of context of situation and context of

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culture to emphasize the importance of understanding the situational and cultural context in order to
comprehend the meaning of language. Halliday further links the context of situation to actual texts
and the context of culture to potential texts and the range of linguistic possibilities available to
language users for text creation. Firth's work has also influenced discourse analysts' focus on
studying language within authentic instances of use, considering the inseparability of meaning and
form and adopting a contextual theory of meaning. Sinclair similarly advocates for the study of
language in natural contexts and highlights the analysis of meaning as a primary focus.

Discourse analysis, then, explores how individuals employ their knowledge of language to
engage with the world and accomplish various tasks. It involves analyzing language in real-life
situations, considering the relationship between language and its usage contexts, and encompassing
the examination of both spoken and written interactions. Its main objective is to deepen our
understanding and appreciation of texts and how they acquire meaning for their users.

2.2 Different Views of Discourse Analysis

There are multiple perspectives on the concept of discourse analysis. Social science
researchers, for instance, may interpret the term differently in their own work, leading to varying
approaches (Fairclough 2003). Mills (1997) similarly observes that the meaning of discourse analysis
has evolved over its relatively short history, with different researchers emphasizing different aspects
of language usage.
Fairclough (2003) distinguishes between "textually oriented discourse analysis" and
approaches that have a more social theoretical orientation. However, he argues that these
perspectives are not mutually exclusive and advocates for an analysis of discourse that incorporates
both linguistic and social orientations. Cameron and Kulick (2003) share a similar view, seeing the
study of language under a textually oriented view of discourse as still socially situated and requiring
interpretation in terms of social meanings and functions.
An example of textually oriented discourse analysis is David Crystal's (2008) analysis of
Barack Obama's victory speech. Crystal highlights the use of rhetorical devices such as parallelism
and the rule of three, which serve to enhance the speech's impact. On the other hand, Higgins' (2008)
analysis of the same speech takes a more socially oriented approach, tracing its roots back to ancient
oratory techniques and examining its intertextual connections to historical and cultural contexts.
Discourse analysis examines language at the level of text and its use in achieving
communicative goals, performing acts, participating in events, and shaping identity. It delves into how
interactions are managed, communication occurs within specific groups and societies, and
interactions take place between different groups and cultures. It also explores how language extends
beyond words, conveying ideas, beliefs, and non-linguistic aspects of communication.

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2.3 Discourse Communities
The concept of discourse community is a central idea in discourse analysis. Swales (1990)
presents a set of characteristics that identify a group of individuals as members of a specific discourse
community. These characteristics include shared common goals, communication mechanisms, and
information exchange among members. A discourse community also has its own genres, specialized
terminology, and a high level of expertise in a particular area. The goals can be formally agreed upon,
like in clubs or associations, or more implicit. Communication and information exchange methods vary
depending on the group, such as meetings, newsletters, conversations, or written/spoken
communication. Over time, the discourse community develops specific ways of communication and
accomplishing tasks. Membership in the community requires a certain level of expertise in using the
genres specific to that community.

A discourse community is a group of people who share some kind of activity. Members of a discourse community
have particular ways of communicating with each other. They generally have shared goals and may have shared
values and beliefs. A person is often a member of more than one discourse com- munity. Someone may be a
university student, a member of a community volunteer organization and a member of a church group, for example.
The ways in which they communicate in each of these groups, and the values and beliefs that are most prominent
in each of these groups may vary. There may also be discourse communities within discourse communities.
Academic departments, for example, may differ in the ways that they do things and the beliefs and values that they
hold, as indeed may other parts of the university.

An example of a discourse community is a telephone call center. Cameron's (2000) study of

call centers in the UK reveals characteristics of this discourse community. Call operators are trained
to communicate with customers in specific ways, such as answering with a pleasant tone and
conveying confidence and sincerity through their voice. They are instructed to regulate pitch, volume,
and pacing, while also providing adequate feedback to ensure customer understanding. Call center
workers share common goals, exchange information, use specific service call genres, and employ
specialized terminology related to the product or service. Successful call center workers require
expertise in both the product/service knowledge and effective customer interaction. New employees
may undergo a probationary period until they meet the performance threshold expected by the call
center discourse community.
Membership in discourse communities can vary, and the boundaries between them may not
always be clearly defined. Discourse communities can range from close-knit networks, like poets and
their readers, to more loosely connected groups, such as advertising producers, consumers, and
contributors to online discussion boards. Discourse communities can also comprise overlapping
groups of people. Individuals often belong to multiple discourse communities simultaneously, fulfilling
different roles within each community. Discourse communities also interact with broader speech

18
communities. For instance, the academic discourse community of students and academics interacts
with the larger speech community of the city or town where the academic institution is located.
Some scholars prefer the term "communities of practice" to "discourse community"
because it highlights the practical aspect of shared activities and experiences (Lave and Wenger
1991, Wenger 1998, 2006; Meyerhoff 2002, Eckert and McConnell-Ginet 2007).
Devitt (2004: 42–4) contributes to this discussion by proposing three types of language user
groups: communities, collectives, and networks. Communities are groups of people who spend
significant time together in common endeavors, like coworkers in an office. Collectives are groups
formed around a single repeated interest, without the same frequency or intensity of contact as
communities, such as members of a beekeeping group or volunteers in a community telephone advice
service. Networks are less tightly connected than speech communities and involve connections
made through a series of individuals who know each other, such as through email exchanges between
people who may never meet in person but participate in a common discourse.

2.4 Language as Social and Local Practice

Speakers often possess various social identities and belong to multiple discourse
communities. They also have a linguistic repertoire, encompassing different languages or language
varieties used within their specific communities. This situation is common worldwide, where language
choice depends on the domain of interaction, such as within family, among friends, and in religious,
educational, and employment settings. Social factors, including the interlocutor, social context, topic,
function, and goal of the interaction, social distance, formality, and speakers' status, play a crucial
role in determining language choice in such settings (Holmes 2008).
The TV series "The Good Wife" (CBS 2011) provides an example of how language is
employed by the same speaker in diverse social, professional, and personal situations. The lead
character, Alicia Florrick, returns to the legal profession after years of being a homemaker when her
husband faces a scandal involving sex and corruption. In the show, she assumes the roles of a lawyer,
a mother, the wife of a disgraced former state attorney, and a person involved in a romantic
relationship with a colleague at her law firm. Her behavior and language usage vary depending on
each situation, whether she's in her office, a courtroom, or her apartment at home. Her speech also
adapts based on the dominant role at a given time, the interlocutor, and the purpose of the interaction.
Another example linking language variation and group membership is seen in Qing Zhang's
research (2005, 2008) on the language of managers in state-owned and foreign-owned businesses
in Beijing. In her paper "A Chinese yuppie in Beijing" (2005), she identifies certain pronunciation
features in the language used by managers in foreign-owned companies. These features, according
to Zhang, indicate the emergence of a cosmopolitan variety of Mandarin Chinese associated with a

19
new transnational professional identity. Zhang argues that possessing this variety provides linguistic
capital to speakers, leading to material and symbolic rewards within their specific context.
Zhang (2012) further explores emerging varieties of Chinese in her study of language usage
by Chinese television talk show hosts. She demonstrates how innovative phonological, lexical, and
syntactic features, as well as a blend of English and Mandarin, contribute to a new cosmopolitan style
of Mandarin. This particular style signifies the cool, trendy, and cosmopolitan personas of the two
hosts, forming a significant part of the symbolic repertoire for individuals participating in this new
cosmopolitan Chinese lifestyle.
These examples support the notion put forth by Litossoleti (2006), Eckert (2008), and
Pennycook (2010) that language is a social (Litossoleti and Eckert) and local (Pennycook) practice.
The meanings derived from language usage are rooted in the ideologies, activities, and beliefs
associated with a particular place, time, and setting. As Eckert states:
people fashion their ways of speaking, moving their styles this way or that as they move their
personae through situations from moment to moment, from day to day, and through the life course. (2008:
463)
According to her argument, during this process, individuals not only employ social meaning
but also actively create and perpetuate it.

2. 5 Discourse and Gender

Early research on the analysis of gender and discourse investigated the connection between
language use and the biological concept of sex. However, this focus has now shifted towards
examining how language is employed in relation to the social category of gender, which is constructed
by society. Consequently, from the moment a baby girl is born and someone exclaims "It's a girl!",
she learns how to embody the societal expectations of being a girl, encompassing various aspects
such as speech patterns, mannerisms, clothing choices, and grooming practices (Butler 1993, Livia
and Hall 1997).

It is important to note that gender is not solely a natural and inevitable result of one's biological
sex (Weatherall 2002). Instead, it is an integral part of everyday social interactions, constantly shaped
through routine practices (Eckert and McConnell-Ginet 2003: 5). Additionally, gender has been
recognized as highly flexible and less clearly defined than previously believed. In line with broader
gender theories, researchers focusing on language and gender now emphasize the plurality and
diversity of language users across genders, viewing gender as performative—an action carried out
within specific contexts—rather than a fixed attribute (Swann 2002: 47).

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 Simone de Beauvoir famously stated that being a woman is not something one is born as,
but rather something one becomes. This notion of performativity suggests that when we
speak or express something, we are actively embodying or "becoming" that identity. In a
specific social context, individuals learn how to adopt and present themselves as women,
influenced by factors such as their social class. Through language and other forms of
expression, people perform specific identities in their interactions with others. Often, this
process occurs unconsciously as individuals imitate certain actions, gestures, movements, and
language patterns that symbolize or represent a particular identity. However, these actions
are not inherent or innate qualities of a person; they are acquired through social interactions
with others.

In the TV show Sex and the City, numerous conversations illustrate how the main characters
actively construct and express their gender identities through language. In a particular scene,
Miranda poses a question to Carrie, inquiring why she agreed to her boyfriend's marriage
proposal. In her response, Carrie not only portrays but also confirms her gendered identity as a
woman. Through her choice of words, Carrie demonstrates her adherence to societal expectations
by accepting her boyfriend's proposal due to her love for him.

Miranda: I’m going to ask you an unpleasant question now. Why did you ever say yes?
Carrie: Because I love him . . . a man you love kneels in the street, and offers you a ring. You say yes. That is what
you do. (King 2002)

The discussion regarding language use by men and women has expanded to include how
people talk about men and women as well. Holmes (2004) conducted a study comparing the
usage of the terms "woman" and "lady" and discovered that the social connotations of these terms
have evolved over the past three decades. For instance, the term "woman" has transitioned from
being considered impolite to a situation where it is no longer perceived as such (although it is
more commonly used in written British English compared to spoken British English). On the other
hand, Holmes found that while "lady/ladies" may function as a marker of politeness in formal
settings, it can also be used in informal contexts to trivialize and patronize (refer to Mills 2008,
Mills and Mullany 2011 for further discussion on sexist language). As Holmes argues, language
choices often reflect power dynamics and determine "whose values will prevail" (Holmes 2004:
156).

Identity is not only conveyed through spoken language but also through writing.
Richardson (2000) conducted a study analyzing the use of derogatory language and sexually
humiliating phrases by male members of a cricket club in their newsletter when discussing women.
Richardson observed that the men in her study utilized language and traditional "women only"

21
gossip discourse to establish group solidarity and construct their heterosexual masculinity, similar to
Cameron's (1999) study on fraternity brothers' conversations in the United States. The cricket club
members in Richardson's study used a language they called "Dross" to create an in-group identity
within the club. One of the interviewed members stated, "It's the one thing that really does set [the
Club] apart from other Clubs" (60). Additionally, the members gossiped about women, sex, and
alcohol in the newsletter to foster solidarity. This was often accomplished through the use of formulaic
language, such as "Rumour has it that...", indicating that the information being shared was gossip
and may not be entirely true. Richardson argues that the identities projected in the newsletter are
constructed through differentiation. In other words, the cricket club members defined themselves
based on what they were not in comparison to members of other clubs. They also described the club
as a strictly heterosexual environment by using terms like "poofter" and "poofs" (derogatory terms for
gay men) as strategies to exclude those outside their group, reinforcing the expectation that club
members should be heterosexual and that homosexuality is not compatible with club membership.
The following excerpt from the newsletter exemplifies this:

[The Cricket Club]’s Presentation Night for 97/98 will be at the MCG [a cricket stadium] on April 3. Players, partners, parents,
patriarchs, presenters, poofs (sorry, no poofs) are all welcome to attend. (Richardson 2000: 70)

Hall's (1995) research on the language use of telephone sex workers in the United States offers
another illustration of how speakers construct gendered identities through their language choices.
Despite not all the sex workers in Hall's study being heterosexual or female, they projected a
heterosexual female persona. One notable example was a male Mexican American worker who took
pride in his ability to imitate the personas of Asian, Latina, and Black women through his use of accent,
intonation, voice quality, and vocabulary. In this way, the workers employed gendered linguistic styles
to construct sexual meanings (Cameron and Kulick 2003: 59).

Therefore, gender is not something inherent or fixed that individuals possess, but rather
something they actively perform and enact through their actions, including their language use
(Cameron 2005a: 49). Gender, along with other identities, is not merely a result of preexisting
characteristics, but is shaped by various factors, including how individuals communicate and the
behaviors they engage in.

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2.6 Discourse and Ideology

Texts are not devoid of ideology; rather, their underlying values and ideologies are often
concealed rather than explicitly stated. Threadgold (1989) argues that texts are always imbued
with ideology and lack objectivity. They cannot be divorced from the social realities and
processes they contribute to upholding. According to Threadgold, spoken and written genres are
not merely linguistic categories but active processes that perpetuate, transmit, and potentially
transform dominant ideologies (107). From her perspective, a spoken or written genre is not
simply a reiteration of a linguistic model but a manifestation of a politically and historically
significant process.

Exploring ideology within a text can be approached in several ways.

• Analysis may begin by examining textual features and subsequently delve into
explaining and interpreting the findings. This may involve tracing underlying ideologies
through the linguistic features of the text, uncovering specific biases and ideological
assumptions present in the text, and establishing connections between the text and
other texts, as well as the readers' and speakers' own experiences and beliefs (Clark
1995).

• One aspect that can be considered in such an analysis is the framing of the text (Gee
2004, Blommaert 2005), which refers to how the content of the text is presented and
the particular angle or perspective adopted by the writer or speaker. Related to framing
is the concept of foregrounding, which involves highlighting certain concepts and
issues while downplaying or backgrounding others (Huckin 1997, 2010) within the text.
An example illustrating this can be found in a scene from the TV show Sex and the
City. After discovering an engagement ring in her boyfriend Aiden's overnight bag,
Carrie goes to the kitchen and vomits. She later recounts this incident to her friends:

Charlotte: You’re getting engaged!

Carrie: I threw up. I saw the ring and I threw up. That’s not normal.
Samantha: That’s my reaction to marriage.
Miranda: What do you think you might do if he asks?
Carrie: I don’t know.
Charlotte: Just say yessss!!!
Carrie: Well, it hasn’t been long enough has it?
Charlotte: Trey and I got engaged after only a month.
Samantha: How long before you separated?

23
 Charlotte: We’re together now and that’s what matters. When it’s right you just know.
Samantha: Carrie doesn’t know.
Carrie: Carrie threw up.
Samantha: So it might not be right . . .
(King 2001)

A key cultural value is emphasized in this conversation: the expectation that if a man proposes
marriage to a woman, she should simply accept without hesitation. Other values, such as Carrie's
opinions on Aiden's occupation, ethnic background, and social class, are not addressed, possibly
because the audience already knows about them or they are deemed irrelevant in this context.

The text also presupposes certain attitudes, perspectives, and values. One presupposition is
that Aiden will formally propose to Carrie, which he eventually does. Another presupposition is
that Aiden will directly ask her, and she should provide a direct response. These assumptions are
based on English culture. However, in Japanese culture, for example, marriage proposals may
not always be explicitly stated, and responses may not be immediate, as demonstrated by the
example of the Japanese Crown Prince Naruhito and Masako. Different cultures have different
views on marriage, with arranged marriages being prevalent in Japan and a recent shift towards
love-based marriages in China.

Furthermore, the conversation in Sex and the City assumes that the man will propose to the
woman, reinforcing traditional gender roles and power dynamics. Despite the characters'
independence and pursuit of their desires, it is still expected that the man takes the initiative in
proposing. It's important to note that interpretations of Sex and the City may vary depending on
individuals' cultural, social, and political perspectives. The show can either mirror or challenge
social identities and ideologies.

Analyzing texts helps uncover underlying assumptions, linguistic biases, and ideological
orientations. The framing and foregrounding of content in a text, as well as the examination of
media discourse, reveal social and cultural values. Media representations can perpetuate
stereotypes, introduce new prejudices, or problematize certain terms or concepts. Gender
stereotypes in tabloid gossip columns, for example, can reflect and reinforce societal views. Such
analyses move beyond description to provide explanations and insights into the relationship
between language, social norms, and values. They offer a means to explore and potentially
question the underlying social, cultural, and political values embedded in spoken and written
discourse.

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 2.7 SINCLAIR AND COULTHARD’S MODEL OF CLASSROOM INTERACTION

During the 1970s, two linguists named Sinclair and Coulthard conducted a research study in
English primary schools located in Birmingham, UK. Their focus was to analyze the interaction
that takes place within classrooms. The main objective of Sinclair and Coulthard was to explore
the possibility of applying Halliday's rank hierarchy, which is commonly used for grammatical
analysis, to classroom discourse. The outcome of their project was published in a book titled
"Towards an Analysis of Discourse: The English used by teachers and pupils" in 1975, where they
presented their findings.
In Halliday’s model of speech functions, as we have seen, exchanges consist of two units:

Initiation: Would you like a chocolate?

Response: Yes, please.
However, Sinclair and Coulthard observed that in the data they collected from classrooms,
exchanges consisted of three components. They identified these components as moves, which
were further described as an initiation, a response, and a follow-up. This observation, which
anticipated the work of Eggins and Slade in 2005, highlighted the presence of these distinct units
within the classroom discourse.
Initiation: What’s the capital of France?
Response: Paris
Follow-up: Right
The pattern is predominant in classrooms, because the interaction is concerned with the
display of information: teachers ask questions to which they already know the answer; pupils respond
with the required information; and teachers follow up with confirmation to pupils as to whether they
are right or not. The following example of a three-part exchange is from Sinclair and Coulthard’s data:

Initiation: What makes a road slippery?

Response: You might have rain or snow on it.
Follow-up: Yes, snow, ice.
(Sinclair and Coulthard, 1975: 68).

Sinclair and Coulthard were not only concerned with moves and exchanges, however. As
already mentioned, their research was an attempt to apply Halliday’s rank scale for grammar to
classroom discourse. Based on the data they collected from primary schools, Sinclair and
Coulthard proposed the following ranks:

Lesson:

25
 Transaction:
Exchange :
Move:
Act:

At the highest level, which is the lesson, it is divided into transactions marked by discourse markers
like "now," "then," or "right." Transactions consist of a series of exchanges that follow the initiation-
response-follow-up (IRF) pattern. Exchanges, in turn, are composed of moves, representing individual
actions of initiation, response, and follow-up. These moves encompass various specific actions,
including eliciting an answer, bidding for a turn, providing information, and more.

Similar to Halliday's rank scale model, each level incorporates one or more units from the level below.
Sinclair and Coulthard achieved partial success in applying Halliday's approach, as they were able to
determine the boundaries of transactions but not their internal structure.

Considerable discussion has revolved around IRF and its efficacy as a teaching tool. Some
writers have pointed out that this pattern restricts student initiative since the teacher assumes the role
of initiating and following up, ultimately maintaining overall control of the discourse. When examining
this in the context of language classes, it becomes evident that students not only lack opportunities
to initiate or follow up but also have limited chances to produce English overall. This observation,
aside from potential concerns regarding the unequal distribution of power in the classroom, supports
a shift away from teacher-centered classrooms towards pair and group work, enabling learners to
participate more actively in the interaction.

Another noteworthy observation from the model is that display questions are context-specific,
primarily occurring in certain discourse situations like classrooms and quizzes. Such discourse can
be deemed inauthentic as it does not align with how people typically interact outside of these
institutional contexts.

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 LEARNING ACTIVITY 1

Please find below several definitions of the term 'discourse analysis'. Read each of these definitions and provide
a summary of the key characteristics they identify as representative of discourse analysis.

1. Discourse analysis examines how stretches of language, considered in their full textual, social, and
psychological context, become meaning and unified for their users. (Cook 1989: viii)
2. Discourse analysis is concerned with the study of the relationship between language and the contexts
in which it is used . . . Discourse analysis is not only concerned with the description and analysis of
spoken interaction . . . discourse analysts are equally interested in the organisation of written interaction.
3. (McC Discourse is language use relative to social, political and cultural formations – it is language
reflect- ing social order but also language shaping social order, and shaping individuals’ interaction with
society. (Jaworski and Coupland 2006: 3)arthy 1991: 12)

LEARNING ACTIVITY 2

Discourse and Gender

Objective: To explore the relationship between discourse and gender in a specific context.

Instructions:

• Select a magazine article, advertisement, or TV show episode that portrays gender roles.
• Watch or read the chosen media content, paying attention to how gender is represented and
constructed through language and visual cues.
• Identify any gender stereotypes, power dynamics, or implicit messages related to gender
within the discourse.
• Reflect on the impact of this discourse on societal perceptions of gender.
• Write a critical analysis discussing how language and imagery are used to reinforce or
challenge gender norms in the chosen media content.

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 SUMMARY

Discourse analysis is a field of study that examines language use within social contexts. It focuses
on how language shapes and is shaped by various social, cultural, and political factors. Discourse
analysts analyze linguistic features such as vocabulary, sentence structure, and rhetorical devices to
uncover underlying meanings, power dynamics, and ideologies embedded within texts. By studying
discourse, researchers gain insights into how language influences and reflects social interactions,
identities, and societal structures.

The study of discourse and gender explores how language and communication practices contribute
to the construction and reinforcement of gender roles, identities, and inequalities. It examines how
gender is represented and performed through linguistic choices, speech patterns, and non-verbal
cues. Discourse and gender research often investigates gender stereotypes, power dynamics, and
the impact of language on individuals' experiences and societal perceptions of gender. This field
highlights the ways in which language shapes and reflects gender norms and the potential for
transformative discourse to challenge and change these norms.

Discourse ideology focuses on the role of language in promoting and perpetuating ideologies within
societal and political contexts. It examines how language is used to construct and convey particular
beliefs, values, and power structures. Discourse ideology research analyzes the framing, rhetoric,
and rhetorical devices employed in various types of discourse, such as political speeches, media
representations, and institutional discourses. By studying discourse ideology, researchers aim to
understand how language influences public opinion, shapes social identities, and reproduces or
challenges dominant ideologies. It emphasizes the power of discourse in shaping our understanding
of the world and in promoting or contesting specific ideological perspectives.

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 REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.
Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.). Routledge.
Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

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 COHESION

LESSON OVERVIEW

Language is a powerful tool that enables individuals to communicate, express their thoughts,
and convey meaning. However, effective communication goes beyond individual words and
sentences; it involves the cohesive structuring of discourse. Cohesion is a crucial aspect of discourse
analysis that focuses on how linguistic elements are interconnected to create a coherent and
meaningful text. This chapter dives into the concept of cohesion and its significance in understanding
the construction of cohesive and coherent discourse.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Discuss grammar from a discourse perspectives

• Analyze how individual linguistic features work together in whole texts
• Discuss important details on Cohesion, Coherence, Texture and Discourse

LEARNING CONTENTS ( COHESION)

2.1 COHESION

Cohesion is concerned with the formal and semantic connections between clauses, such as
pronouns, nouns, and conjunctions that refer to other clauses. It should be distinguished from
coherence, which focuses on the overall interpretation of a text as a unified piece of discourse, not
just the formal links. Although coherence can exist without cohesion, cohesive devices are typically
found in most coherent texts. Cohesion contributes to coherence but is not sufficient on its own.

Widdowson (1978: 29) gives the often-quoted example of an exchange between two people:

A: That’s the telephone.

B: I’m in the bath.
A: OK.

This piece of discourse has no formal links between the three clauses that make it up, but at the same
time it can be understood as a coherent piece of discourse; one person is summoning someone to
answer the telephone and the other is saying that s/he is not able to answer it because s/he is having
a bath. Short, made-up examples which display no cohesion such as these are inter- esting, but most
coherent texts will at the same time display a range of cohesive devices. We can say that cohesion
contributes to coherence, although it is not a sufficient condition

Cohesion arises when the understanding of a particular element in the discourse relies on the
understanding of another element. One element presupposes the existence or meaning of the other,
to the extent that it cannot be fully comprehended without referring back to it. This establishment of
cohesion creates a relationship, and the two elements, the presupposing and the presupposed,
become potentially integrated into the text.

30
Example:
Original Sentence: "John lost his wallet. He reported it to the police."

Explanation: In this example, the pronoun "it" in the second sentence refers back to the noun "wallet"
in the first sentence. The interpretation and understanding of "it" are dependent on knowing what "it"
refers to, which is established by the previous mention of "wallet." The cohesive relation between
"wallet" and "it" creates a connection that integrates the two elements into the text.

Paraphrased Sentence: "John lost his wallet, and he reported the lost item to the police."

In the paraphrased sentence, we explicitly mention the lost item as a replacement for the pronoun
"it," resulting in a cohesive relation between the two clauses. The use of "the lost item" clarifies the
reference and strengthens the cohesion between the two statements, ensuring that the interpretation
of the second clause relies on the understanding of the first clause.

Halliday and Hasan have categorized cohesive devices into five distinct groups: reference,
substitution, ellipsis, conjunction, and lexical cohesion. These categories have been widely adopted
by numerous linguists. In the following sections, we will examine each of these categories in detail.

3.2 REFERENCE
Reference items, which can be determined by examining other parts of the text or the situation,
encompass words or phrases. In English, reference items include personal pronouns (e.g., I, you, he,
she, it), possessive adjectives (e.g., my, your, his, her), possessive pronouns (e.g., mine, yours, his,
hers), demonstratives (e.g., this, that, these, those), and the definite article (the).

Reference can occur both within the text (endophoric reference) as well as outside the text (exophoric
reference).

Endophoric Reference:
Examples:
• She lost her keys and spent hours searching for them. (The pronoun "them" refers back to the
noun "keys" mentioned earlier in the sentence.)
• The book was lying on the table. It was open to page 42. (The pronoun "it" refers back to the
noun "book" mentioned in the previous sentence.)
Exophoric Reference:
Examples:
• Look at that beautiful mansion! (The demonstrative pronoun "that" refers to a mansion that is
physically present in the situation but not mentioned in the text.)
• John pointed to a bird in the sky and said, "That's an eagle!" (The demonstrative pronoun
"that" refers to a bird in the physical context but not directly mentioned in the text.)
In both cases, endophoric reference refers back to something previously mentioned or established
within the text, while exophoric reference refers to something outside the text but within the situational
context.

3.3 SUBSTITUTION AND ELLIPSIS

Substitution involves replacing a word or phrase with another equivalent term. For instance, consider
the question "Which book do you want? I'll take the red one." In this instance, the word "book" is
substituted with "one." Substitution can take various forms: it can be nominal, as shown in the previous
example; it can be verbal, such as in "I have coffee every morning, and he does too," where "have
coffee every morning" is substituted by "does"; or it can occur at the clause level, like in the following
exchange:
A: "I am so ugly."
B: "Okay, if you say so."
Here, the entire clause "I am so ugly" is replaced by "so."

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 Ellipsis
Halliday and Hasan categorize ellipsis as a form of substitution, which they term "substitution by zero"
(p. 142). Ellipsis involves omitting something while still maintaining understanding. Like substitution,
ellipsis can occur at the level of a noun group, verbal group, or complete clause. The following
examples illustrate each case:

a) He potted the pink ball and then the black. (nominal)

b) John played tennis and Peter football. (verbal)
c) A: Do you play tennis? B: No. (clausal)

In example (a), the noun "ball" is omitted at the end of the second clause. In (b), the verb "played" is
omitted in the second clause. In (c), the entire clause "I don't play tennis" is ellipsed.

3.4 CONJUNCTION

According to Christiansen (2011: 161), conjunction is considered to be the most explicit and obvious
cohesive device in a text. It contains the meaning relation within the cohesive item itself. Halliday and
Matthiessen (2004: 536) describe conjunction as a system for marking logicosemantic relations.
Halliday and Hasan (1976) identify four major types of conjunction in English for marking these
relations:

ADDITIVE (e.g., and, in addition, besides, furthermore)

ADVERSATIVE (e.g., but, yet, though, however)
CAUSAL (e.g., so, then, therefore)
TEMPORAL (e.g., then, next, after that, finally)
Halliday and Hasan (1976: 174) emphasize that there is no definitive list of conjunctive types, and
Halliday and Matthiessen (2004: 541) provide a different classification. However, the classification
presented here is simpler and more transparent.

Some conjunctions can occur at various places in a clause:

a) Mark is an excellent teacher. However, David is even better.

b) Mark is an excellent teacher. David, however, is even better.
c) Mark is an excellent teacher. David is, however, even better.
d) Mark is an excellent teacher. David is even better, however.

In contrast, others can only occur at the beginning of the second clause or sentence:

a) Mark is an excellent teacher and Alice is too.

b) Mark is an excellent teacher but Alice is better.
c) Mark is an excellent teacher, so we are lucky to have him.

Halliday and Matthiessen (2004: 536) explain how conjunctions can link text spans of varying lengths,
from pairs of clauses to longer stretches of text. In the example below, the contrastive conjunct
"however" links with a series of clauses about Bill Dobrow's drumming career, not just a single clause:

"These days Bill Dobrow is a successful drummer, having recorded and toured with a whole host of
successful acts that include The Black Crowes, Sean Lennon, and Martha Wainwright; however, a
career in music wasn't always his dream..."

Halliday and Hasan (1976) provide a list of over 40 different conjunctions. However, spoken discourse
tends to use a narrower range of conjunctions compared to written text, with common items such as

32
"oh," "well," "and," "so," "then," "but," "because," "now," and "then." Schiffrin (1987) refers to these
conjuncts as discourse markers. The following extract from Schiffrin's data (p. 39) demonstrates the
prevalence of the discourse marker "and" in informal spoken discourse.

3.5 LEXICAL COHESION

Halliday and Hasan (1976) identify two subcategories of lexical cohesion: reiteration and collocation.
Reiteration involves the repetition of a lexical item in a text, which can occur through the repetition of
a word, the use of a synonym, a near synonym, a superordinate term, or a general class word. The
following examples illustrate each type:

a) I would like to introduce Dr. Johnson. Dr. Johnson is our head of department. (repetition)
b) He has worked in a coal mine all his life. He first went down the pit when he was a boy.
(synonym)
c) Our computer system is one of the most sophisticated in the country. The network has been
running for several years now. (near synonym)
d) As part of our America week, RTHK revels in some of the most expressive music of that continent.
(superordinate)

Collocation, broadly defined by Halliday and Hasan (1976: 284), refers to the regular co-occurrence
of words. Although the term "collocation" is also used in lexicography and Corpus Linguistics to refer
to relations between adjacent items, Halliday and Hasan apply it to interclausal relationships. Words
can be semantically related without necessarily being coreferential (referring to the same thing), as is
the case with reiterations. Therefore, "cohesion exists between any pair of lexical items that stand in
some recognizable lexicosemantic (word meaning) relation to each other" (p. 285, emphasis added).

Collocation encompasses two systems: hyponomy and antonymy. Hyponomy involves the relations
between groups of words that fall under a superordinate term.
For example, apple, orange, banana, and lemon are all hyponyms of the superordinate term "fruit,"
while chair, desk, sofa, and table are hyponyms of the superordinate term "furniture." Antonymy, on
the other hand, deals with opposites, such as large and small, and happy and sad, which form pairs
of antonyms.

3.6 COHESION, COHERENCE AND TEXTURE

Cohesion:
Cohesion refers to the grammatical and lexical devices used to create connections and relationships
between different elements within a text. It ensures that a text flows smoothly and is structurally sound.
Cohesion helps to link sentences, paragraphs, and ideas, making the text more coherent.
Example:
"The weather was beautiful. The sun was shining brightly. People were enjoying outdoor activities."
In this example, cohesion is achieved through the repetition of related lexical items ("weather," "sun,"
"people") and the use of pronouns ("it") to refer back to the subject. These cohesive devices establish
connections between the sentences and create a sense of continuity.
Coherence:
Coherence refers to the overall sense of unity, logical organization, and clarity in a text. It focuses on
the understanding and interpretation of the content. A coherent text presents ideas and information
in a logical sequence, ensuring that readers can follow the intended meaning easily.
Example:
"The process of baking a cake involves several steps. First, gather the ingredients and preheat the
oven. Then, mix the dry and wet ingredients separately. Next, combine the two mixtures and pour the
batter into a greased baking pan. Finally, bake the cake in the oven for the recommended time."
In this example, the text is organized in a clear and sequential manner, providing instructions on how
to bake a cake. The logical flow of information and the use of transitional words ("first," "then," "next,"
"finally") contribute to the coherence of the text.

33
Texture:
Texture refers to the overall quality and characteristics of a text, including its linguistic features, style,
and tone. It encompasses the choices made by the writer regarding vocabulary, sentence

structure, and rhetorical devices, all of which contribute to the overall texture of the text.
Example:
"The moonlit night enveloped the sleepy town with its ethereal glow. Soft whispers of the wind carried
the scent of blooming flowers, creating a tranquil atmosphere. The stillness was broken only by the
occasional hoot of an owl, adding a touch of mystery to the nocturnal symphony."

In this example, the use of descriptive language, figurative expressions, and sensory details creates
a rich and vivid texture. The writer's choice of words and the poetic style contribute to the overall
aesthetic appeal and evoke a particular mood or atmosphere.
By considering cohesion, coherence, and texture, writers can create well-structured, understandable,
and engaging texts that effectively communicate their intended message to readers.

3.7 PARALLELISM
Parallelism refers to the repetition of elements, whether syntactic, lexical, or phonological,
from one clause to another for stylistic effect. While Halliday and Hasan exclude this category of
"syntactic parallelism" from their cohesion analysis, considering it a purely formal device without a
meaningful relationship, parallelism still serves as a cohesive element by connecting clauses.

Examples of parallelism can be found in oratory, such as the iconic statements made by the first man
on the moon or in US President J.F. Kennedy's inaugural speech. However, parallelism is not limited
to oratory and can be found in various types of texts, both written and spoken. Advertisements, in
particular, frequently employ parallelism for persuasive purposes.

Parallelism can operate at the syntactic, lexical, and phonological levels. In the provided extract from
a cookery book, syntactic parallelism is evident, with the repeated use of imperative verb forms at the
beginning of each clause, creating a cohesive effect.

Overall, while parallelism may not have been explicitly included in Halliday and Hasan's analysis of
cohesion, it plays a role in connecting clauses and enhancing textual coherence in various types of
discourse.

LEARNING ACTIVITY

Exercise 1: Coherence

Instructions: Read the following paragraph and identify any coherence issues. Rewrite the paragraph
to improve its coherence.

Original Paragraph:

34
"The weather was sunny and the birds were chirping. I went to the park to enjoy the beautiful day.
Suddenly, I remembered that I had to buy groceries. So, I left the park and went to the supermarket.
After buying the groceries, I returned home and started cooking dinner."

Revised Paragraph:

Lexical Cohesion

Instructions: Analyze the given text and identify instances of lexical cohesion. Identify the cohesive
devices used and explain how they contribute to the overall coherence of the text.

Text:
"John was a passionate musician. He spent countless hours practicing his guitar, refining his skills.
He performed at various local venues, gaining recognition for his talent. Eventually, he formed a band
with like-minded musicians who shared his dedication. Together, they created harmonious melodies
that captivated their audience."

Cohesive devices used:

_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
______________________________________________________________________________

LEARNING ACTIVITY 2

Exercise 1: Ellipsis
Instructions: Rewrite the following sentences, using ellipsis to omit repetitive words or phrases while
maintaining coherence.

Original Sentence: I bought a new laptop, and my brother bought a new laptop too.
Revised Sentence: _________________________________________________

Original Sentence: Mary likes to sing, and Sarah likes to sing as well.
Revised Sentence: _________________________________________________

Exercise 2: Reference
Instructions: Identify the appropriate reference words (pronouns) to replace the underlined nouns or
noun phrases in the following sentences.

Original Sentence: The cat was hungry, and the cat meowed loudly.
Revised Sentence:_______________________________________

Original Sentence: Sarah bought a book, and Sarah started reading the book immediately.

35
Revised Sentence: ________________________________________

Exercise 3: Conjunctions
Instructions: Fill in the blanks with the appropriate conjunctions to complete the sentences.

1. I want to go to the beach, __________ I forgot to bring my sunscreen.

2. She studied hard __________ she passed the exam with flying colors.

3. He was tired; __________, he stayed up late to finish his project.

4. I need to buy groceries __________ cook dinner tonight.

5. They went to the concert __________ enjoyed the live music.

SUMMARY

Throughout this chapter, we have explored the significant role cohesion plays in constructing a
coherent text. Therefore, cohesion deserves careful attention in the design of second-language
courses. Thornbury (2005a: 34) provides a summary of the teaching implications derived from
considering cohesion:

Expose learners to complete texts rather than isolated sentences.

• Highlight and classify the features that connect and unify a text.
• Encourage learners to incorporate these features appropriately in their own writing.
• Offer feedback not only on the sentence-level aspects of learners' writing but also on the
overall cohesiveness of their texts.
• While cohesion is an essential aspect of texts, it is important to note that cohesion alone does
not guarantee coherence. As expressed by Halliday and Hasan (1976: 298–299):

Cohesion is a necessary component for the formation of text, but it is not sufficient. What truly creates
a text is the TEXTUAL component of the linguistic system, which includes cohesion as one part.

REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

36
Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

37
 THEMATIC DEVELOPMENT

LESSON OVERVIEW

Thematic development is relevant across different domains of discourse, including narratives,

conversations, academic texts, and professional communication. Researchers and linguists examine
how themes are introduced, maintained, and shifted throughout a discourse, as well as the rhetorical
and pragmatic effects of these strategies on the overall message. Understanding thematic
development provides valuable insights into the way language is used to shape meaning and guide
interpretation. It offers a deeper understanding of how speakers or writers structure their discourse to
engage their audience, convey information effectively, and create persuasive or compelling
narratives.
In this study, we will delve into the various aspects of thematic development and explore the linguistic
and pragmatic mechanisms involved. We will examine the patterns, strategies, and devices employed
in different types of discourse to uncover the underlying principles that govern thematic progression
and organization.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Define Theme
• Understand the concept of grammar and discourse
• Analyze how the organization of the information in the clauses that make up a text functions to
make the text hold

LEARNING CONTENTS ( THEMATIC DEVELOPMENT)

4.1 DEFINITION OF THEME

Theme, as defined by Halliday and Matthiessen (2004), serves as the starting point or point of
departure for the message conveyed in a clause. In English, theme is typically realized through its
placement at the beginning of the clause. McCarthy (1991) expands on this concept, stating that the
choice of what to bring to the front of the clause signifies the framework within which the message is
to be understood. The remaining portion of the clause, excluding the theme, is referred to as the
rheme.

To further elaborate on the terms theme and rheme, Brown and Yule (1983: 126) combine these
concepts. They use the term theme to represent a formal category, specifically the left-most
constituent of a sentence. Every simple sentence consists of a theme, which serves as the starting
point or initial focus of the utterance, and a rheme, which encompasses the rest of the sentence and
includes what the speaker states about or in relation to the starting point of the utterance.

Examples:

Theme: The dog

Rheme: chased the cat.
Example: The dog chased the cat.

Theme: In the park

Rheme: children were playing.
Example: In the park, children were playing.

38
Theme: Yesterday
Rheme: I went to the movies.
Example: Yesterday, I went to the movies.

Theme: A new car

Rheme: was parked outside the house.
Example: A new car was parked outside the house.

Theme: On the table

Rheme: lies a book.
Example: On the table lies a book.

In each of these examples, the theme represents the starting point or the focus of the clause, while
the rheme consists of the remaining information or statement about the theme.

4.2 THEME IN GRAMMAR AND DISCOURSE

The concept of theme is an area where grammar and discourse closely intersect. When
considering theme in discourse, its importance lies in two main aspects:
• The impact that the choice of theme can have on the overall focus of a text.
• The level of shared knowledge assumed between the writer/reader or speaker/listener.
Taking a discourse-based approach to theme in language teaching offers several benefits, including:
• Providing greater control over theme development and the overall focus of a text.
• Developing an awareness of different ways to present and develop theme in writing and
speaking, resulting in more sophisticated and effective student communication.
• Recognizing potential differences in how themes are emphasized in the student's native
language and English.
• Making informed choices from a range of theme configurations, which aids in manipulating
style and producing more authentic and impactful writing across various genres.
To comprehend the discourse functions of theme, it is essential to have a foundational understanding
of the associated grammar. The grammar rules are structured in a manner that enables theme to fulfill
its diverse functions in discourse.

4.3 THEME IN DECLARATIVE CLAUSES

Theme plays a significant role in declarative clauses as it sets the point of departure for the message
and establishes the framework within which the rest of the clause is understood. In English, the theme
is typically realized through initial position in the clause. Let's explore some examples to understand
how theme functions in declarative clauses.

• The American president visited China.

In this sentence, the theme is "The American president." It introduces the main subject of the clause,
indicating who performed the action.
• I like chocolate a lot.
Here, the theme is "I." It establishes the speaker as the subject and conveys the personal preference
for chocolate.
• Foxes can be found living in many cities nowadays.
The theme is "Foxes." It introduces the subject and provides information about their habitat.
• These students all passed the exam.
The theme is "These students." It identifies the specific group of students who achieved success in
the exam.
• Hungarian is a very difficult language to learn.
In this sentence, the theme is "Hungarian." It serves as the subject and highlights the challenging
nature of the language.

39
These examples demonstrate how the theme, typically positioned at the beginning of the clause, sets
the framework for what follows. It provides crucial information about the subject or topic of the
sentence, guiding the reader or listener in understanding the message conveyed.

It's worth noting that in some cases, the theme can be more extensive, especially in technical or
bureaucratic language. For instance:
• The diffusion-reaction model for the carbonate system in a spherical geometry has been
discussed in detail by X.
The theme here encompasses the entire phrase "The diffusion-reaction model for the carbonate
system in a spherical geometry." It establishes the subject matter under discussion.

By analyzing declarative clauses and identifying their themes, we can gain insights into how
information is structured and presented in discourse. The choice of theme influences the overall focus

of the text and presupposes a certain level of shared knowledge between the writer/speaker and the
reader/listener. Understanding the role of theme contributes to effective language teaching, enabling
students to develop better control over theme development, enhance their writing and speaking skills,
and navigate differences in thematisation strategies between their native language and English.

4.4 THEME AND RHEME

When we examine connected discourse, we gain a better understanding of the role played
by rheme and its interaction with theme. As mentioned earlier, the rheme follows the theme, and
everything in the clause that is not the theme can be identified as the rheme. In connected texts, we
observe theme-rheme patterns in two ways:

• Rheme and Theme: In this pattern, the rheme of clause (a) becomes the theme of clause (b).
For instance:
Clause a: He picked up the gun.
Clause b: The gun was loaded.
This relationship can be visually represented as follows:
Theme a Rheme a
Theme b Rheme b

• Theme and Theme: In this pattern, the theme of clause (a) becomes the theme of clause (b).
For example:
Clause a: I am a teacher.
Clause b: I live in London.
This relationship can be visually represented as:
Theme a Rheme a
Theme b Rheme b
When we say that a theme or rheme "becomes" another theme or rheme, it doesn't necessarily imply
exact repetition. The reiteration may involve pronouns, synonyms (words with similar meanings),
hyponyms (words denoting members of a class), meronyms (words that are part of a larger whole),
or superordinates (general words that encompass members of a class). Here are some examples:
Synonym:
Clause a: I have a large family.
Clause b: My three brothers are all older than me.

Meronym:
Clause a: Between 1914 and 1918, there was a terrible war in Europe.
Clause b: The conflagration led to the loss of millions of lives.

Additionally, there is a pattern where the rheme of a sentence contains elements that subsequently
become the themes of following clauses.

40
For instance:
"There are two methods you can use to feed your puppy: free feeding and scheduled feeding. Free
feeding is when dry food is left out all day and the dog eats as it wishes. Scheduled feeding gives the
dog food at set times of the day, and then takes it away after a period of time, such as a half hour."

In this example, the rheme of the first sentence contains two elements: free feeding and scheduled
feeding. These elements then individually become the themes of the subsequent clauses.

By recognizing and analyzing these theme-rheme patterns, we can gain insights into the structure
and development of discourse. It helps us identify how information is organized and interconnected,
contributing to a deeper understanding of language usage and discourse analysis.

4.5 THEME AND RHEME, FOCUS OF INFORMATION AND GIVEN AND NEW

Theme and Rheme, Focus of Information, and Given and New are concepts related to information
structure and discourse analysis. They help us understand how information is organized and
highlighted in a sentence or discourse. Let's discuss each of these concepts in more detail and
provide examples for better understanding.

Theme and Rheme:

Theme and Rheme refer to the way information is structured within a sentence or clause. The theme
represents the given or old information, while the rheme represents the new or focused information.
Theme: The theme is the information that is already known or given in the discourse. It sets the stage
for the new information to follow. Typically, the theme appears at the beginning of a sentence or
clause.
Example: "The cat" in the sentence "The cat chased the mouse."
Rheme: The rheme is the new or focused information that provides the main point or message of the
sentence. It is the part that carries the primary message or action.
Example: "chased the mouse" in the sentence "The cat chased the mouse."

In this example, "The cat" is the theme because it introduces the known or given information. "Chased
the mouse" is the rheme because it introduces the new or focused information.

Focus of Information:
The focus of information refers to the part of a sentence or discourse that receives emphasis or special
attention. It represents the information that the speaker or writer wants to highlight.
Example: "It was John who won the race, not Mary."
In this example, the focus of information is "John." The speaker wants to emphasize that John was
the one who won the race, rather than Mary. The focus of information can be achieved through various
linguistic devices, such as stress, intonation, or word order.

Given and New:

Given and New refer to the distinction between information that is already known (given) and
information that is introduced for the first time (new) in a discourse. This distinction helps to establish
coherence and flow in a conversation or written text.
Example:
A: "Did you hear about the new restaurant that opened in town?"
B: "Yes, I heard about it. The food is delicious."
In this example, the information about the new restaurant is new (given by A) to B. B acknowledges
this by saying "Yes, I heard about it" (given), and then provides new information by saying "The food
is delicious" (new).

The given information serves as a reference point or background knowledge, while the new
information adds to the existing knowledge or introduces something fresh into the discourse.

41
Understanding these concepts can help in analyzing how information is structured, emphasized, and
conveyed in language, leading to a better understanding of the intended meaning and coherence in
communication.

4.6 THEME IN OTHER DECLARATIVE PATTERNS

Theme plays a crucial role in various declarative patterns, shaping the structure and organization of
information within a sentence or discourse. Let's explore different declarative patterns and discuss
how theme is expressed in each, along with examples.

1. Subject-Verb (SV) Pattern:

In this pattern, the theme typically appears as the subject of the sentence, and the verb carries the
rheme or new information.
Example:
Theme: "The dog"
Rheme: "barked loudly."
"The dog barked loudly."

In this example, "The dog" is the theme, representing the given information. "Barked loudly" is the
rheme, introducing the new information.

2. Subject-Verb-Object (SVO) Pattern:

In the SVO pattern, the theme is expressed as the subject, followed by the verb, and the object carries
the rheme or new information.
Example:
Theme: "Mary"
Rheme: "bought a new car."

"Mary bought a new car."

Here, "Mary" is the theme, representing the given information. "Bought a new car" is the rheme,
providing the new information.

3. Subject-Verb-Complement (SVC) Pattern:

In the SVC pattern, the theme is expressed as the subject, followed by the verb, and the complement
carries the rheme or new information. The complement can be an adjective, noun, or a prepositional
phrase.
Example:
Theme: "The cake"
Rheme: "was delicious."

"The cake was delicious."

In this example, "The cake" is the theme, representing the given information. "Was delicious" is the
rheme, introducing the new information.

4. There-Construction:
The "there" construction is a declarative pattern where the theme is expressed by the pronoun "there,"
followed by a form of the verb "to be," and the rheme appears as a noun phrase or prepositional

phrase.
Example:
Theme: "There"
Rheme: "is a problem."

42
"There is a problem."

Here, "There" is the theme, representing the given information. "Is a problem" is the rheme,
introducing the new information.

These examples demonstrate how theme is expressed in different declarative patterns. The theme
sets the context or known information, while the rheme carries the new or focused information,
creating coherence and conveying the intended meaning in the sentence or discourse.

4.8 INTERROGATIVE THEMES

The interrogative form serves as the fundamental grammatical structure for posing questions.
Questions assume that there is information the speaker desires to acquire. As stated by Halliday and
Matthiessen (2004: 75), the natural theme of a question pertains to what the questioner wants to
know, and the use of interrogatives involves selecting an element that indicates the desired type of
response and placing it at the beginning of the clause.

There are two types of interrogative questions: yes/no questions, also known as polar interrogatives,
and open questions, also known as wh-interrogatives. In both cases, the theme includes the word or
phrase indicating the desired information.
For example,
• "Are you American?",
• "Do you love me?", and
• "Shall we dance?"
In these examples, in addition to the auxiliary verb, we have italicized the subject that follows it as
part of the theme. This is because the auxiliary verb alone does not carry any experiential meaning.
Therefore, in yes/no questions, the theme consists of both the auxiliary verb and the subsequent
subject.

On the other hand, closed question themes, such as

• "Where do you live?",
• "Who do you want to talk to?",
• "How many eggs do you need?",
• "How big is your house?", and
• "Why didn't she pay for her meal?",
rely on the wh-question word or the nominal group in which the wh-question occurs (if it is part of a
nominal group) as the theme. These question words refer to an experiential element of the clause,
representing what the speaker wants to know.

. 4.9 IMPERATIVE THEMES

Imperative clauses are employed when one wants someone to perform a particular action.
Hence, it is logical that the action itself becomes the starting point or theme:

• Open the door.

• Give me the money.
• Stay back.
• Mind the gap.

In negative imperatives, the starting point is the negative auxiliary verb "don't." Similar to yes/no
interrogatives, since the auxiliary verb lacks experiential meaning, the main verb is also included as
part of the theme:

• Don't leave me.

43
• Don't stop work yet.
• Don't take too long.
• Don't rush.

Another form of imperative, known as inclusive imperatives, is employed when one wants someone
to join in an action. In such cases, the imperative verb is preceded by "Let's." The "'s" in "Let's" is
analyzed as the subject of such clauses and, being the first experiential element, is considered part
of the theme:

• Let's dance.
• Let's have another coffee.
• Let's play tennis tomorrow.
•Let's take a break.
• Don't let's get into a fight.
• Don't let's argue.
Imperative clauses can also have a marked theme, accompanied by some form of adjunct:
• After lunch, come to see me.
• To see it better, put on these glasses.
• Out you get.
These patterns are considered marked because their more typical forms would be as follows:
• Come to see me after lunch.
• Put on these glasses to see it better.
• Get out.

4.10 EXCLAMATIVES

Another type of clause pattern relevant to analyzing theme is exclamatives. Exclamatives share a
similar structure to wh-interrogatives and can be analyzed in the same way, with the wh-group serving
as the theme:

• How lovely to see you again!

• What a big boy you are now!

,
LEARNING ACTIVITY

Sentence Transformation Exercise:

Make ten (10) declarative sentences and transform each sentence into an interrogative, imperative,
or exclamatory sentence while maintaining the same theme. This activity encourages you to think
about how the sentence structure and punctuation can change while preserving the central theme.
Example:
Declarative Sentence: "The dog is chasing the ball."
Transformed Sentences:
Interrogative: "Is the dog chasing the ball?"
Imperative: "Chase the ball, dog!"
Exclamatory: "What a sight! The dog is chasing the ball!

SUMMARY

44
Thematic development refers to the process of establishing and developing the central idea or theme
in a sentence, paragraph, or text. It involves selecting the main topic or focus and structuring the
information around it. Thematic development is crucial for effective communication and writing as it
helps convey the intended message clearly and coherently.

In linguistic analysis, thematic development can be observed across different sentence types:
declarative, interrogative, imperative, and exclamatory. Each sentence type has its unique way of
presenting and developing the theme.

Declarative sentences present information or make statements. Thematic development in declarative

sentences involves structuring the sentence around the main subject or topic, providing relevant
details or descriptions to support the theme.

Interrogative sentences are used to ask questions. Thematic development in interrogative sentences
centers around the information the speaker wants to know. The theme of a question is typically the
element that indicates what the questioner wants to know, placed at the beginning of the clause.

Imperative sentences express commands, requests, or instructions. Thematic development in

imperatives focuses on the action or task that someone wants another person to do. The theme of an
imperative sentence is typically the action itself or the verb that represents the desired action.

Exclamatory sentences express strong emotions or exclamations. Thematic development in

exclamatory sentences involves highlighting the intensity or impact of the emotion or exclamation.
The theme of an exclamatory sentence often emphasizes the exclamation itself or the descriptive
element that evokes the emotion.

Effective thematic development enhances clarity, coherence, and the overall impact of the
communication. By understanding how different sentence types develop themes, writers can structure
their sentences and paragraphs in a way that engages and guides the reader's understanding.

REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

45
 SPEECH ACTS

LESSON OVERVIEW

The concept of speech acts was introduced by philosopher J.L. Austin in the mid-20th century
and further developed by linguist John Searle. According to Austin and Searle, utterances not only
convey meaning but also perform specific acts in social contexts. In other words, speech acts have
both a literal meaning and a pragmatic force, which is the intended effect or action associated with
the utterance.
In this chapter we will focus on speech acts; we will deal with the other topics such as speech
acts and pragmatics, form and function, performatives, illocutionary force, indirect speech ,speech
act taxonomies in language teaching, and cross- cultural and inter language pragmatics.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Give the meaning of Speech Acts and Pragmatics

• Identify the relationship between language and context, a key issue in the area of pragmatics as
well as in the area of DA
• Determine the different ways in which people perform speech acts across cultures

LEARNING CONTENTS ( SPEECH ACTS )

5.1 SPEECH ACTS AND PRAGMATICS

Labov (1972: 121), an early scholar in discourse analysis, emphasized the importance
of distinguishing between what is said and what is done as a crucial step in formalizing discourse
analysis. According to Labov, discourse analysis should primarily focus on the functional aspects
rather than the formal characteristics of language. The term "functional" implies a connection to
language functions, similar to the concepts of "functions" and "notions" in language teaching. In this
discussion, however, we will utilize the more commonly used term in linguistics and pragmatics, which
is "speech acts". By examining speech acts, we explore the functional and communicative
significance of utterances, wherein language is employed to accomplish various actions such as
greetings, invitations, offers, orders, promises, requests, warnings, and so on.
Pragmatics is the branch of linguistics that deals with the study of language in context, focusing on
how language is used to accomplish specific goals and communicate effectively. While semantics
concerns the literal meaning of words and sentences, pragmatics examines how meaning is
constructed and interpreted in real-life situations.
One important aspect of pragmatics is the study of speech acts. Speech acts refer to
the actions performed through language. When we speak, we don't simply convey information; we
also use language to perform various functions and achieve specific purposes. Speech acts go
beyond the words themselves and include the intention, context, and effect of an utterance.

5.2 FORM AND FUNCTION

46
 Sentences can be categorized based on their form or function. Let's examine the following
three sentences as examples:

I need help.
Can you help me?
Help me!

From a grammatical form perspective, these sentences would be classified as declarative,

interrogative, and imperative, respectively. However, under appropriate circumstances, they may
serve the same function of seeking help. Therefore, form and function can differ. A variety of forms
can perform the same function, and conversely, the same form can express various functions. Take
the sentence "Can you help me?" as an example, which is an interrogative. Depending on the context,
it could be interpreted as a request for help or as a question about the speaker's ability to assist.

Traditionally, language teaching materials present the three grammatical forms of declarative,
interrogative, and imperative as equivalent to statements, questions, and commands, respectively.
However, the aforementioned examples demonstrate that this representation can be somewhat
misleading. Let's consider some possible ways of requesting a light for a cigarette:

Do you have a light?

Got a light?
Do you have a match?
Got a match?
A light please!
A light!
Give me a light please!
Could you give me a light?
Could you give me a light please? I'm out of matches.
My cigarette needs lighting.
I was wondering if you had a light.
I wonder if you have a light.
These are just a few examples among many possibilities. Some of them are interrogative sentences,
while others are not. Now let's consider various ways of issuing a command:

Be quiet!
Will you be quiet?
You must be quiet!
You are requested to be quiet.
The first command is an imperative, whereas the other three are not.

5.3 PERFORMATIVES
A performative is a type of speech act in which the utterance itself performs the action it
describes or expresses. It is a linguistic act that brings about a particular change in the world or has
a direct impact on the social reality. Examples of performatives include utterances like "I apologize,"
"I declare," "I promise," or "I hereby name." The performative function of these utterances lies in their
capacity to enact or bring about a desired effect or change through language.
In the book 'How to Do Things with Words' by Austin (1962) and Searle's (1969, 1975, 1976)
studies on 'speech acts', the concept of 'performative' statements was explored. Austin identified a
special type of verb that not only describes an action but also performs the action itself:

I declare this ship to be named the Queen Elizabeth.

I wager fifty dollars with you.
I command you to leave.
I propose that you work harder.

47
These verbs are referred to as performatives. Austin estimated that there could be anywhere between
one and 10,000 performatives based on a preliminary examination of a dictionary, a point that will be
revisited later. According to Austin, as evident from the examples above, performative utterances are
typically expressed using a performative verb in the simple present tense and active voice, preceded
by the first-person singular pronoun, 'I.' They can also be formulated in the first-person plural, such
as 'We promise to pay you back,' or in the second-person passive, as in 'You are requested not to
smoke.' Additionally, performative utterances may be reinforced by the inclusion of 'hereby' to
emphasize their performative nature, as in 'I hereby resign from this committee.'

5.6 ILLOCUTIONARY FORCE

Illocutionary acts play a crucial role in the study of speech acts and the pragmatic aspects of
communication. They refer to the intended communicative functions or speech acts performed by
speakers when they make utterances. Analyzing illocutionary acts helps us understand how language
is used to perform various speech acts, express intentions, and influence social interactions. Austin
proceeded from identifying performative verbs to recognizing that there are alternative ways to
express performative meanings.

With Performative Without Performative

You are requested to leave Please leave
I insist that you come Do come
I promise to pay you back I will definitely pay you back
I suggest you do it again Why don’t you do it again?

These alternative ways of conveying meaning are known as illocutionary forces or illocutionary acts,
which represent the speaker's intention when making an utterance. The language forms used to
indicate the performance of a speech act, such as "please" in requests or "do" in insists, can be
referred to as illocutionary force-indicating devices (IFIDs) (Levinson, 1983). Certain speech acts are
often associated with specific IFIDs. For instance, requests are frequently realized through modals
like "would you" or "could you" and the word "please." Warnings often employ the negative imperative
"don't," as in "Don't step on my blue suede shoes!" Suggestions are commonly expressed using the
phrase "Why don't you?," as demonstrated in the example above: "Why don't you do it again?" Advice
often follows the conventional pattern of "Have you ever thought of…?"

The conventional nature of many commonly used speech acts presents challenges in language
teaching and raises questions about the traditional associations between the three sentence types
(declarative, interrogative, and imperative) and their stereotypical functions of stating, questioning,
and commanding. Usually, declarative forms are employed to make statements, interrogatives to ask
questions, and imperatives to issue commands. However, these speech acts are not always
expressed through their most closely associated forms. Questions can be realized through rising
intonation, and commands can be conveyed using the modal verb "will" and emphatic stress, as in
"You will go to work today!" This serves as a reminder of the lack of a one-to-one correspondence
between form and function, as discussed in section 5.3 above.

5.7 INDIRECT SPEECH ACTS

Another challenge to the traditional understanding of the relationship between linguistic form
and function arises from what is known as indirect speech acts. Indirect speech acts occur when one
illocutionary act is performed indirectly by means of another act (Searle, 1975: 60). For instance,
consider the statement "Can you pass the salt?" This utterance serves both as a question about the
person's ability to pass the salt and as a request to pass the salt. The latter meaning represents the
indirect speech act.

48
There are two types of indirect speech acts: conventionalized and non-conventionalized.
Conventionalized speech acts employ established linguistic forms that are recognized by the speech
community as commonly associated with a particular speech act.
Examples include phrases like "Can you pass the salt?" (requesting) "Would you like to...?" (inviting),
and "Why don't you...?" (suggesting).
Non-conventionalized speech acts, on the other hand, rely more on the specific context for their
interpretation. For instance, in a very hot room, a statement like "It's too hot in here" might be intended
as a request to turn on the air conditioner, or at a concert, saying "The music is about to start" could
be meant as a request to stop talking.

As we have seen in previous examples of the relationship between form and function, speech acts
can be expressed in various ways. The choice of how to realize a speech act depends on the
relationship between the interlocutors and the level of imposition involved. Generally, when you have
a close relationship with the person you are speaking to, you can be more direct. However, if the
imposition is significant, even with a friend or relative, a more indirect approach is necessary.

Consider the range of possibilities for complaining about a meal in a restaurant:

"Waiter, get the manager immediately."

"Waiter, I insist on seeing the manager."
"Waiter, I want to see the manager."
"Waiter, I'd like to see the manager, please."
"Waiter, if it's not too much trouble, I'd like to see the manager."
"Waiter, I don't suppose I could see the manager, could I?"
Both conventionalized and non-conventionalized speech acts can pose challenges for second
language learners. However, conventionalized speech acts are particularly problematic in second
language contexts because learners may not be aware that certain language forms are conventionally
associated with specific speech acts. For example, learners may not realize that the phrase "Would
you like to do the washing up?" can function as a request or command rather than a question about
one's enjoyment of doing the dishes. Similarly, a French speaker intending to make a suggestion in
English by saying "If we went to the cinema" (as they would in French with "Si on allait au cinema")
might be misunderstood. More appropriate verbalizations in English would be "Would you like to go
to the cinema?" or "Let's go to the cinema."

Non-conventionalized speech acts can also pose challenges as they may not follow specific language
patterns but are instead conventionalized within certain cultural conditions. For example, in Arabic
cultures, if you compliment someone on their personal belonging, it is customary for them to offer it
as a gift. Therefore, excessive compliments on personal belongings might create a sense of
obligation. Similarly, in certain French-speaking cultures, it is common to ask someone if they want
to wash their hands as a polite way of inquiring if they need to use the toilet. This convention may be
unfamiliar to visitors from other cultural backgrounds, leading to confusion.
In summary, indirect speech acts challenge traditional assumptions about the relationship between
form and function. They demonstrate that the same utterance can carry multiple illocutionary forces
and that the choice of linguistic realization depends on context, conventions, and the relationship
between interlocutors. Understanding and navigating indirect speech acts are important for effective
communication, particularly in second language contexts and cross-cultural interactions.

5.8 SPEECH ACT TAXONOMIES IN LANGUAGE TEACHING

Taxonomies of speech acts have been specifically developed for the design of language teaching
syllabi. Wilkins (1976), in his work on Notional Syllabuses, presented a framework similar to Austin's,
which includes categories below;
1. judgement and evaluation – for example, approving, disapproving, estimating;
2. suasion – for example, persuading, commanding, warning;
3. argument – for example, reporting, asserting, rejecting;

49
4. rational enquiry and exposition – for example, comparing, defining, explaining;
5. personal emotions – for example, pleasure, displeasure, sorrow;
6. emotional relations – for example, greeting, flattering, thanking.
Similarly, the Council of Europe developed a set of categories for the Threshold syllabus, which was
designed for teaching the languages of member countries. These categories include;
• imparting and seeking factual information (e.g. identify, report, correct, ask);
• expressing and finding out intellectual attitudes (e.g. agree, disagree, deny, accept,
offer, express capability);
• expressing and finding out emotional attitudes (e.g. express pleasure/displeasure, surprise,
hope, satisfaction);
• expressing and finding out moral attitudes (e.g. apologise, forgive, approve, regret);
• getting things done (suasion) (e.g. suggest, request, invite, advise, warn, instruct);
• socialising (e.g. greet, introduce, take leave, attract attention).

5.9 CROSS-CULTURAL AND INTERLANGUAGE PRAGMATICS

Considerable research has been conducted to understand how speech acts are performed across
different languages and cultures. This research can be categorized into two approaches: Cross-
cultural Pragmatics, which focuses on native speakers' performance of speech acts, and
Interlanguage Pragmatics, which examines how learners acquire the ability to perform speech acts in
a target language. Among the speech acts studied, requests, refusals, apologies, and compliments
have received the most extensive attention in both approaches.
A representative example of the cross-cultural approach is the work of Olshtain and Cohen (1983) on
native speakers' realization of apologies. They define the felicity condition of the speech act as the
recognition that the speaker has said or done something requiring amends. The researchers identify
five strategies for offering apologies and provide typical linguistic expressions for each strategy as
follows ;
1. An expression of an apology
• An expression of regret I’m sorry.
• An offer of apology I apologise.
• A request for forgiveness Excuse me.
2. An expression or account of the situation The bus was late.
3. An acknowledgement of responsibility:
• Accepting the blame It’s my fault.
• Expressing self-deficiency I wasn’t thinking.
• Recognising the other person You are right. as deserving apology
• Expressing lack of intent I didn’t mean it.
4. An offer of repair I’ll pay for the broken vase.
5. A promise of forbearance It won’t happen again.
(cited in Ellis, 2008: 176)

The research conducted is based on the premise that when the realization patterns of speech acts
differ across cultures and languages, there is a risk of transfer, where patterns from one's first
language (L1) are applied to the second language (L2). Descriptions of specific patterns for realizing
speech acts provide teachers and learners with valuable information to identify areas of overlap
between the target language and the L1, facilitating positive transfer, as well as areas of divergence
where negative transfer may occur.

In the aforementioned example, understanding or expressing an apology requires two levels of

knowledge: selecting an appropriate strategy (listed as 1-5, with sub-strategies in some cases) and
using the language to implement the chosen strategy. Leech (1983) and Thomas (1983) refer to these
two types of knowledge as sociopragmatic and pragmalinguistic knowledge. Failing to acquire
proficiency in either or both types of knowledge can lead to what Thomas (1983) terms cross-cultural
pragmatic failure.

50
,
LEARNING ACTIVITY

5.10 QUESTIONS FOR DISCUSSION

1. Say if the verbs in the following utterances are performatives or not.
a. You are reminded not to smoke in this office.
b. I suggest you come back tomorrow.
c. I declare this conference open.
d. I can’t ask him to do it again.
e. I love you.
f. The room is cooled by the air conditioner.
2. The following is ambiguous regarding its status as a performative: explain why.
I bet 50 dollars on that horse.
3. Think of possible language forms for realising the following speech acts:
a. identify
b. agree
c. apologise
d. request
e. attract attention

SUMMARY

The study of speech acts and pragmatics involves examining how language is used in context to
convey meaning, perform actions, and achieve communicative goals. It focuses on the social and
interactive aspects of language, going beyond the literal meaning of words to understand how
speakers use language to achieve specific communicative functions.

Performatives are a type of speech act that involves the utterance of a verb that simultaneously
performs the action it describes. They are characterized by the speaker's intention to bring about a
certain effect or change through their words. Examples include making declarations, giving
commands, or expressing promises. J.L. Austin and John Searle were influential in developing
theories on performatives and their role in communication.

Illocutionary acts, on the other hand, refer to the speaker's intended meaning or communicative force
behind an utterance. They encompass the speaker's intentions, attitudes, and speech act functions
such as making requests, offering apologies, giving advice, or expressing gratitude. Understanding
illocutionary acts is essential for interpreting the intended meaning behind an utterance and
responding appropriately in communication.

Research in speech acts and pragmatics has explored how speech acts are performed and
understood across different languages and cultures. It examines both native speaker performance
and how second language learners acquire pragmatic competence in a target language. This
research investigates the social, cultural, and contextual factors that influence speech act realization,
as well as the potential challenges and variations that arise in intercultural communication.

Studying speech acts and pragmatics has practical implications for language teaching,
communication strategies, and intercultural competence. It helps language learners and users
understand the appropriate use of language in different contexts, navigate cultural differences in
communication styles, and avoid miscommunication or misunderstandings in cross-cultural
interactions.

51
 REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

SPEECH ACTS

LESSON OVERVIEW

The concept of speech acts was introduced by philosopher J.L. Austin in the mid-20th century
and further developed by linguist John Searle. According to Austin and Searle, utterances not only
convey meaning but also perform specific acts in social contexts. In other words, speech acts have
both a literal meaning and a pragmatic force, which is the intended effect or action associated with
the utterance.
In this chapter we will focus on speech acts; we will deal with the other topics such as speech
acts and pragmatics, form and function, performatives, illocutionary force, indirect speech ,speech
act taxonomies in language teaching, and cross- cultural and inter language pragmatics.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Give the meaning of Speech Acts and Pragmatics

• Identify the relationship between language and context, a key issue in the area of pragmatics as
well as in the area of DA
• Determine the different ways in which people perform speech acts across cultures

52
LEARNING CONTENTS ( SPEECH ACTS )

5.1 SPEECH ACTS AND PRAGMATICS

Labov (1972: 121), an early scholar in discourse analysis, emphasized the importance
of distinguishing between what is said and what is done as a crucial step in formalizing discourse
analysis. According to Labov, discourse analysis should primarily focus on the functional aspects
rather than the formal characteristics of language. The term "functional" implies a connection to
language functions, similar to the concepts of "functions" and "notions" in language teaching. In this
discussion, however, we will utilize the more commonly used term in linguistics and pragmatics, which
is "speech acts". By examining speech acts, we explore the functional and communicative
significance of utterances, wherein language is employed to accomplish various actions such as
greetings, invitations, offers, orders, promises, requests, warnings, and so on.
Pragmatics is the branch of linguistics that deals with the study of language in context, focusing on
how language is used to accomplish specific goals and communicate effectively. While semantics
concerns the literal meaning of words and sentences, pragmatics examines how meaning is
constructed and interpreted in real-life situations.
One important aspect of pragmatics is the study of speech acts. Speech acts refer to
the actions performed through language. When we speak, we don't simply convey information; we
also use language to perform various functions and achieve specific purposes. Speech acts go
beyond the words themselves and include the intention, context, and effect of an utterance.

5.2 FORM AND FUNCTION

Sentences can be categorized based on their form or function. Let's examine the following
three sentences as examples:

I need help.
Can you help me?
Help me!

From a grammatical form perspective, these sentences would be classified as declarative,

interrogative, and imperative, respectively. However, under appropriate circumstances, they may
serve the same function of seeking help. Therefore, form and function can differ. A variety of forms
can perform the same function, and conversely, the same form can express various functions. Take
the sentence "Can you help me?" as an example, which is an interrogative. Depending on the context,
it could be interpreted as a request for help or as a question about the speaker's ability to assist.

Traditionally, language teaching materials present the three grammatical forms of declarative,
interrogative, and imperative as equivalent to statements, questions, and commands, respectively.
However, the aforementioned examples demonstrate that this representation can be somewhat
misleading. Let's consider some possible ways of requesting a light for a cigarette:

Do you have a light?

Got a light?
Do you have a match?
Got a match?
A light please!
A light!
Give me a light please!
Could you give me a light?
Could you give me a light please? I'm out of matches.
My cigarette needs lighting.
I was wondering if you had a light.

53
I wonder if you have a light.
These are just a few examples among many possibilities. Some of them are interrogative sentences,
while others are not. Now let's consider various ways of issuing a command:

Be quiet!
Will you be quiet?
You must be quiet!
You are requested to be quiet.
The first command is an imperative, whereas the other three are not.

5.3 PERFORMATIVES
A performative is a type of speech act in which the utterance itself performs the action it
describes or expresses. It is a linguistic act that brings about a particular change in the world or has
a direct impact on the social reality. Examples of performatives include utterances like "I apologize,"
"I declare," "I promise," or "I hereby name." The performative function of these utterances lies in their
capacity to enact or bring about a desired effect or change through language.
In the book 'How to Do Things with Words' by Austin (1962) and Searle's (1969, 1975, 1976)
studies on 'speech acts', the concept of 'performative' statements was explored. Austin identified a
special type of verb that not only describes an action but also performs the action itself:

I declare this ship to be named the Queen Elizabeth.

I wager fifty dollars with you.
I command you to leave.
I propose that you work harder.
These verbs are referred to as performatives. Austin estimated that there could be anywhere between
one and 10,000 performatives based on a preliminary examination of a dictionary, a point that will be
revisited later. According to Austin, as evident from the examples above, performative utterances are
typically expressed using a performative verb in the simple present tense and active voice, preceded
by the first-person singular pronoun, 'I.' They can also be formulated in the first-person plural, such
as 'We promise to pay you back,' or in the second-person passive, as in 'You are requested not to
smoke.' Additionally, performative utterances may be reinforced by the inclusion of 'hereby' to
emphasize their performative nature, as in 'I hereby resign from this committee.'

5.6 ILLOCUTIONARY FORCE

Illocutionary acts play a crucial role in the study of speech acts and the pragmatic aspects of
communication. They refer to the intended communicative functions or speech acts performed by
speakers when they make utterances. Analyzing illocutionary acts helps us understand how language
is used to perform various speech acts, express intentions, and influence social interactions. Austin
proceeded from identifying performative verbs to recognizing that there are alternative ways to
express performative meanings.

With Performative Without Performative

You are requested to leave Please leave
I insist that you come Do come
I promise to pay you back I will definitely pay you back
I suggest you do it again Why don’t you do it again?

These alternative ways of conveying meaning are known as illocutionary forces or illocutionary acts,
which represent the speaker's intention when making an utterance. The language forms used to
indicate the performance of a speech act, such as "please" in requests or "do" in insists, can be
referred to as illocutionary force-indicating devices (IFIDs) (Levinson, 1983). Certain speech acts are
often associated with specific IFIDs. For instance, requests are frequently realized through modals
like "would you" or "could you" and the word "please." Warnings often employ the negative imperative

54
"don't," as in "Don't step on my blue suede shoes!" Suggestions are commonly expressed using the
phrase "Why don't you?," as demonstrated in the example above: "Why don't you do it again?" Advice
often follows the conventional pattern of "Have you ever thought of…?"

The conventional nature of many commonly used speech acts presents challenges in language
teaching and raises questions about the traditional associations between the three sentence types
(declarative, interrogative, and imperative) and their stereotypical functions of stating, questioning,
and commanding. Usually, declarative forms are employed to make statements, interrogatives to ask
questions, and imperatives to issue commands. However, these speech acts are not always
expressed through their most closely associated forms. Questions can be realized through rising
intonation, and commands can be conveyed using the modal verb "will" and emphatic stress, as in
"You will go to work today!" This serves as a reminder of the lack of a one-to-one correspondence
between form and function, as discussed in section 5.3 above.

5.7 INDIRECT SPEECH ACTS

Another challenge to the traditional understanding of the relationship between linguistic form
and function arises from what is known as indirect speech acts. Indirect speech acts occur when one
illocutionary act is performed indirectly by means of another act (Searle, 1975: 60). For instance,
consider the statement "Can you pass the salt?" This utterance serves both as a question about the
person's ability to pass the salt and as a request to pass the salt. The latter meaning represents the
indirect speech act.
There are two types of indirect speech acts: conventionalized and non-conventionalized.
Conventionalized speech acts employ established linguistic forms that are recognized by the speech
community as commonly associated with a particular speech act.
Examples include phrases like "Can you pass the salt?" (requesting) "Would you like to...?" (inviting),
and "Why don't you...?" (suggesting).
Non-conventionalized speech acts, on the other hand, rely more on the specific context for their
interpretation. For instance, in a very hot room, a statement like "It's too hot in here" might be intended
as a request to turn on the air conditioner, or at a concert, saying "The music is about to start" could
be meant as a request to stop talking.

As we have seen in previous examples of the relationship between form and function, speech acts
can be expressed in various ways. The choice of how to realize a speech act depends on the
relationship between the interlocutors and the level of imposition involved. Generally, when you have
a close relationship with the person you are speaking to, you can be more direct. However, if the
imposition is significant, even with a friend or relative, a more indirect approach is necessary.

Consider the range of possibilities for complaining about a meal in a restaurant:

"Waiter, get the manager immediately."

"Waiter, I insist on seeing the manager."
"Waiter, I want to see the manager."
"Waiter, I'd like to see the manager, please."
"Waiter, if it's not too much trouble, I'd like to see the manager."
"Waiter, I don't suppose I could see the manager, could I?"
Both conventionalized and non-conventionalized speech acts can pose challenges for second
language learners. However, conventionalized speech acts are particularly problematic in second
language contexts because learners may not be aware that certain language forms are conventionally
associated with specific speech acts. For example, learners may not realize that the phrase "Would
you like to do the washing up?" can function as a request or command rather than a question about
one's enjoyment of doing the dishes. Similarly, a French speaker intending to make a suggestion in
English by saying "If we went to the cinema" (as they would in French with "Si on allait au cinema")
might be misunderstood. More appropriate verbalizations in English would be "Would you like to go
to the cinema?" or "Let's go to the cinema."

55
Non-conventionalized speech acts can also pose challenges as they may not follow specific language
patterns but are instead conventionalized within certain cultural conditions. For example, in Arabic
cultures, if you compliment someone on their personal belonging, it is customary for them to offer it
as a gift. Therefore, excessive compliments on personal belongings might create a sense of
obligation. Similarly, in certain French-speaking cultures, it is common to ask someone if they want
to wash their hands as a polite way of inquiring if they need to use the toilet. This convention may be
unfamiliar to visitors from other cultural backgrounds, leading to confusion.
In summary, indirect speech acts challenge traditional assumptions about the relationship between
form and function. They demonstrate that the same utterance can carry multiple illocutionary forces
and that the choice of linguistic realization depends on context, conventions, and the relationship
between interlocutors. Understanding and navigating indirect speech acts are important for effective
communication, particularly in second language contexts and cross-cultural interactions.

5.8 SPEECH ACT TAXONOMIES IN LANGUAGE TEACHING

Taxonomies of speech acts have been specifically developed for the design of language teaching
syllabi. Wilkins (1976), in his work on Notional Syllabuses, presented a framework similar to Austin's,
which includes categories below;
1. judgement and evaluation – for example, approving, disapproving, estimating;
2. suasion – for example, persuading, commanding, warning;
3. argument – for example, reporting, asserting, rejecting;
4. rational enquiry and exposition – for example, comparing, defining, explaining;
5. personal emotions – for example, pleasure, displeasure, sorrow;
6. emotional relations – for example, greeting, flattering, thanking.
Similarly, the Council of Europe developed a set of categories for the Threshold syllabus, which was
designed for teaching the languages of member countries. These categories include;
• imparting and seeking factual information (e.g. identify, report, correct, ask);
• expressing and finding out intellectual attitudes (e.g. agree, disagree, deny, accept,
offer, express capability);
• expressing and finding out emotional attitudes (e.g. express pleasure/displeasure, surprise,
hope, satisfaction);
• expressing and finding out moral attitudes (e.g. apologise, forgive, approve, regret);
• getting things done (suasion) (e.g. suggest, request, invite, advise, warn, instruct);
• socialising (e.g. greet, introduce, take leave, attract attention).

5.9 CROSS-CULTURAL AND INTERLANGUAGE PRAGMATICS

Considerable research has been conducted to understand how speech acts are performed across
different languages and cultures. This research can be categorized into two approaches: Cross-
cultural Pragmatics, which focuses on native speakers' performance of speech acts, and
Interlanguage Pragmatics, which examines how learners acquire the ability to perform speech acts in
a target language. Among the speech acts studied, requests, refusals, apologies, and compliments
have received the most extensive attention in both approaches.
A representative example of the cross-cultural approach is the work of Olshtain and Cohen (1983) on
native speakers' realization of apologies. They define the felicity condition of the speech act as the
recognition that the speaker has said or done something requiring amends. The researchers identify
five strategies for offering apologies and provide typical linguistic expressions for each strategy as
follows ;
1. An expression of an apology
• An expression of regret I’m sorry.
• An offer of apology I apologise.
• A request for forgiveness Excuse me.
2. An expression or account of the situation The bus was late.
3. An acknowledgement of responsibility:

56
• Accepting the blame It’s my fault.
• Expressing self-deficiency I wasn’t thinking.
• Recognising the other person You are right. as deserving apology
• Expressing lack of intent I didn’t mean it.
4. An offer of repair I’ll pay for the broken vase.
5. A promise of forbearance It won’t happen again.
(cited in Ellis, 2008: 176)

The research conducted is based on the premise that when the realization patterns of speech acts
differ across cultures and languages, there is a risk of transfer, where patterns from one's first
language (L1) are applied to the second language (L2). Descriptions of specific patterns for realizing
speech acts provide teachers and learners with valuable information to identify areas of overlap
between the target language and the L1, facilitating positive transfer, as well as areas of divergence
where negative transfer may occur.

In the aforementioned example, understanding or expressing an apology requires two levels of

knowledge: selecting an appropriate strategy (listed as 1-5, with sub-strategies in some cases) and
using the language to implement the chosen strategy. Leech (1983) and Thomas (1983) refer to these
two types of knowledge as sociopragmatic and pragmalinguistic knowledge. Failing to acquire
proficiency in either or both types of knowledge can lead to what Thomas (1983) terms cross-cultural
pragmatic failure.

,
LEARNING ACTIVITY

5.10 QUESTIONS FOR DISCUSSION

1. Say if the verbs in the following utterances are performatives or not.
a. You are reminded not to smoke in this office.
b. I suggest you come back tomorrow.
c. I declare this conference open.
d. I can’t ask him to do it again.
e. I love you.
f. The room is cooled by the air conditioner.
2. The following is ambiguous regarding its status as a performative: explain why.
I bet 50 dollars on that horse.
3. Think of possible language forms for realising the following speech acts:
a. identify
b. agree
c. apologise
d. request
e. attract attention

SUMMARY

The study of speech acts and pragmatics involves examining how language is used in context to
convey meaning, perform actions, and achieve communicative goals. It focuses on the social and
interactive aspects of language, going beyond the literal meaning of words to understand how
speakers use language to achieve specific communicative functions.

Performatives are a type of speech act that involves the utterance of a verb that simultaneously
performs the action it describes. They are characterized by the speaker's intention to bring about a
certain effect or change through their words. Examples include making declarations, giving

57
commands, or expressing promises. J.L. Austin and John Searle were influential in developing
theories on performatives and their role in communication.

Illocutionary acts, on the other hand, refer to the speaker's intended meaning or communicative force
behind an utterance. They encompass the speaker's intentions, attitudes, and speech act functions
such as making requests, offering apologies, giving advice, or expressing gratitude. Understanding
illocutionary acts is essential for interpreting the intended meaning behind an utterance and
responding appropriately in communication.

Research in speech acts and pragmatics has explored how speech acts are performed and
understood across different languages and cultures. It examines both native speaker performance
and how second language learners acquire pragmatic competence in a target language. This
research investigates the social, cultural, and contextual factors that influence speech act realization,
as well as the potential challenges and variations that arise in intercultural communication.

Studying speech acts and pragmatics has practical implications for language teaching,
communication strategies, and intercultural competence. It helps language learners and users
understand the appropriate use of language in different contexts, navigate cultural differences in
communication styles, and avoid miscommunication or misunderstandings in cross-cultural
interactions.

REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

58
 The Cooperative Principle and Politeness

LESSON OVERVIEW

In the previous chapter, we discussed the notion of indirect speech acts according to Searle.
This concept highlights the fact that the meaning of our sentences is not always directly aligned with
their literal interpretations when considered in isolation. Searle, initially a philosopher and later a
linguist, was preceded by another philosopher of language named Grice. In this chapter, we will delve
into Grice's perspective on conversation and language as a collaborative interaction between two
parties aimed at establishing common goals. Grice referred to this concept as the 'Cooperative
Principle' (CP). After examining the CP, we will explore the concept of politeness, which is crucial in
human interaction. We will explore the relationship between politeness and the CP, the conventions
that govern polite behavior, and different approaches to modeling and analyzing politeness.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• Understand the concept on the Cooperative Principle and Politeness

• Identify and discuss the models of Politeness
• Utilize the principles of Cooperative Principle and Politeness across different types of
discourse.

LEARNING CONTENTS ( The Cooperative Principle and Politeness )

6.1 THE COOPERATIVE PRINCIPLE

The Cooperative Principle (CP) is a concept developed by philosopher of language H. Paul Grice that
suggests that in conversation, participants are generally expected to contribute information that is
relevant, informative, truthful, and clear. The CP serves as a foundation for effective communication
and understanding between speakers.

According to Grice, there are four maxims or principles that guide cooperative communication within
the framework of the CP: the maxim of quantity, the maxim of quality, the maxim of relevance, and
the maxim of manner. Let's discuss each maxim with examples:

A. Quantity
• Make your contribution as informative as is required (for the current purposes of the
exchange).
• Do not make your contribution more informative than is required.

Example:
A: What time is it?
B: It's 3:45 PM.

59
In this example, B's response is in accordance with the maxim of quantity. B provides the specific
information requested without being excessively verbose or insufficiently informative.
B. Quality
• Do not say what you believe to be false.
• Do not say that for which you lack adequate evidence.
Example:
A: Have you read the latest book by John Green?
B: Yes, it's a masterpiece!
In this example, B's response adheres to the maxim of quality by expressing an honest opinion about
the book.
C. Relation (or relevance)
• Be relevant.
Example:
A. Do you have any plans for the weekend?
B: The weather has been fantastic lately.
In this example, B's response does not address the question asked by A, failing to adhere to the
maxim of relevance. The response is unrelated to the topic of weekend plans.
D. Manner
• Avoid obscurity of expression.
• Avoid ambiguity.
• Be brief (avoid unnecessary prolixity [verbosity]).
• Be orderly.
Example:
A: Can you explain how to solve this math problem?
B: Well, um, you take the numbers, um, and then you, um, calculate... I'm not sure.
In this example, B's response violates the maxim of manner by being unclear, filled with hesitations,
and lacking a concise explanation.

6.2 IMPLICATURE
As previously mentioned, in the earlier chapter, we discussed Searle's concept of
indirect speech acts. Indirect speech acts highlight the lack of a direct correspondence between the
literal meaning of an utterance and its intended meaning when taken in isolation. Utterances often
convey meanings that go beyond their literal interpretation. Grice proposed that these non-literal

meanings are inferred through a process called implicature, which relies on the Cooperative Principle
(CP) and its associated maxims.

To illustrate this, let's consider the following exchange:

A: Can you come to see me tomorrow?

B: I've got a meeting.

Initially, B's response may not seem directly related to A's question. However, since A asked a
question expecting a yes or no response, B's reply is understood as a negative answer. Although B
violates the maxim of relevance by not providing a relevant response, A can infer that B cannot come
to the meeting based on the implicature. Grice explains that to derive conversational implicatures, the
hearer relies on various factors, including the conventional meanings of words, the CP and its maxims,
the context, background knowledge, and mutual awareness between participants.

Here's another example, this time involving the maxim of manner:

(Interviewer discussing the British finance minister's performance)

Interviewer: In a word, should he resign?
Opposition politician: Well, I think he himself must see the untenability of his position.

60
In this exchange, B's response is not as clear as it could be, violating the maxim of manner. However,
A, recognizing the violation, infers the appropriate implicature that the finance minister should resign.
The mechanism of implicatures operates when the speaker's utterance appears to violate the maxims
on a literal level, but the addressee assumes the speaker is still following them and deduces the
implicature.

These examples demonstrate that by adhering to the Cooperative Principle, interlocutors can deduce
the intended meaning beyond the literal interpretation of the words. According to Grice's theory,
hearers recognize that the speaker is not strictly employing literal meanings (and violating the
maxims) and, as a result, infer additional meaning through implicatures to compensate for this
discrepancy.

6.3 FLOUTING THE MAXIMS

Flouting the maxims, according to Grice's theory of implicature, refers to the deliberate violation or
disregard of the Cooperative Principle (CP) maxims in order to convey a particular meaning or achieve
a communicative effect. When a speaker flouts a maxim, it signals to the listener that they should go
beyond the literal meaning and derive an implicature. Here are some discussions on flouting the
maxims with examples:

A. Flouting the Maxim of Quantity:

The maxim of quantity suggests that speakers should provide as much information as necessary and
not more or less than required. Flouting this maxim involves intentionally providing insufficient or
excessive information.
For example:
A: How many siblings do you have?
B: Some.
In this exchange, B's response flouts the maxim of quantity by providing an insufficient amount of
information. The implicature derived from this flouting might be that B doesn't want to disclose the
exact number of siblings they have.

B. Flouting the Maxim of Quality:

The maxim of quality states that speakers should provide accurate and truthful information. Flouting
this maxim involves intentionally providing false or untruthful information.
For example:
A: How was the movie?
B: It was a cinematic masterpiece!
In this case, B's response flouts the maxim of quality by using exaggerated praise that goes beyond
the objective assessment of the movie. The implicature is that B is being sarcastic or mocking the
movie's quality.

C. Flouting the Maxim of Relevance:

The maxim of relevance suggests that speakers should provide responses that are pertinent to the
conversation. Flouting this maxim involves giving responses that may seem unrelated or tangential.

For example:
A: Can you pass me the salt?
B: The weather is lovely today.

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B's response blatantly flouts the maxim of relevance by providing an unrelated statement. The
implicature here might be that B is intentionally avoiding or ignoring A's request.

D. Flouting the Maxim of Manner:

The maxim of manner emphasizes clarity, coherence, and avoiding ambiguity in communication.
Flouting this maxim involves deliberately using ambiguous or unclear language. For example:
A: How did you find the presentation?
B: It was... interesting.
B's response flouts the maxim of manner by using a vague and ambiguous term. The implicature is
that B didn't find the presentation particularly good but doesn't want to explicitly express a negative
opinion.
In each of these examples, the speakers intentionally flout a specific maxim to convey additional
meaning or to manipulate the conversation. By recognizing these instances of flouting, listeners can
infer the implicatures intended by the speaker, leading to a richer understanding of the intended
message beyond the literal level of communication.

6.4 POLITENESS

Politeness refers to the use of language and behavior that conforms to social norms
and conventions, aimed at maintaining harmonious relationships and showing respect for others. It
involves the expression of goodwill, consideration for others' feelings, and the avoidance of actions
that may threaten or damage face, which is the positive social value a person claims for themselves
in a given interaction.
The study of politeness also extends beyond language use and includes non-verbal
cues, gestures, and other aspects of communication. Research explores how politeness is expressed
through body language, facial expressions, and paralinguistic features, which can contribute to the
overall politeness of an interaction.

6.5 Lakoff’s and Leech’s models of politeness

Lakoff's model of politeness, also known as the politeness principle, was introduced by linguist Robin
Lakoff. This model focuses on linguistic strategies used to mitigate potential threats to face and
maintain positive social interactions. Lakoff identifies several politeness strategies, including positive
politeness, negative politeness, bald-on-record, and off-record.
A. Positive politeness involves emphasizing and highlighting positive aspects of the hearer's face
to establish rapport and solidarity. It aims to make the hearer feel valued, respected, and included.
Compliments, expressions of interest, and shared experiences are examples of positive politeness.
For instance:
"You did a fantastic job on the presentation!"
I really enjoyed our conversation yesterday."
B. Negative politeness focuses on respecting the hearer's autonomy and minimizing
intrusiveness. It involves using indirect language, hedging, and deferential expressions to avoid
imposing on the hearer's freedom. Apologies, polite requests, and using softening phrases are
examples of negative politeness. For example:
"I'm sorry to bother you, but could you please lend me your pen?"
"If it's not too much trouble, would you mind helping me with this task?"
C. Bald-on-record politeness strategy involves direct and straightforward language without
extensive politeness markers. It is used in situations where social distance is minimal or where
urgency and efficiency are valued over maintaining positive face. Instructions, commands, and
assertive statements can be considered bald-on-record. For instance:
"Pass me the salt, please."
"Close the door behind you."
D. Off-record politeness involves indirect and ambiguous language where the speaker hints or
implies their intention instead of making a direct request or statement. It relies on the hearer's

62
inference to understand the intended meaning. Examples of off-record politeness include hints,
rhetorical questions, and metaphors. For example:
"It's chilly in here, isn't it?" (hinting that the speaker wants the temperature to be adjusted)
"I wish I had a good book to read." (indirectly requesting a book recommendation)

Leech's Model of Politeness:

Geoffrey Leech's model of politeness expands on Lakoff's model and introduces six politeness
maxims: tact, generosity, approbation, modesty, agreement, and sympathy. These maxims represent
guidelines for polite communication.

• Leech's politeness maxims can be visualized in a diagram known as the Politeness Principle
Diagram:

Tact
/ \
Generosity - Approbation
| |
Modesty - Agreement
\ /
Sympathy

Tact involves being considerate and sensitive to the feelings and face of others. It includes avoiding
offensive or harsh language and using polite expressions to deliver potentially sensitive information.
Generosity relates to showing friendliness, understanding, and patience towards others. It involves
being accommodating and willing to go the extra mile to make others feel comfortable.
Approbation focuses on expressing approval, praise, and positive evaluations. Compliments,
expressions of admiration, and acknowledging others' achievements are examples of using the
approbation maxim.
Modesty is about downplaying one's own achievements or abilities to avoid appearing boastful or
arrogant. It involves using self-deprecating language and avoiding excessive self-promotion.
Agreement emphasizes finding common ground and seeking consensus. It involves expressing
agreement, support, or sympathy with others' opinions or situations.
Sympathy relates to showing empathy, understanding, and compassion towards others. It involves
expressing concern, offering condolences, and providing emotional support.

These maxims serve as guidelines for maintaining politeness in communication, and their application
depends on the context, relationship between interlocutors, and cultural norms.

Please note that while these models provide valuable insights into politeness strategies, their
application may vary across cultures and contexts. Understanding the cultural and situational factors
is crucial for effectively applying politeness principles in different communication settings.

6.6 Brown and Levinson’s model of politeness

Brown and Levinson's model of politeness, introduced by sociolinguists Penelope Brown and Stephen
Levinson, focuses on the concept of face and the strategies individuals employ to mitigate threats to
face. According to their theory, politeness is a social process aimed at

managing individuals' desires for positive face (desire to be approved and admired) and negative face
(desire to be unimpeded and independent).

63
Brown and Levinson propose that politeness is achieved through two primary strategies: positive
politeness and negative politeness. Additionally, they identify face-threatening acts (FTAs) and offer
various politeness strategies to mitigate the potential threat to face.

A. Positive politeness involves strategies that seek to enhance the positive face of the hearer. It
emphasizes closeness, solidarity, and the speaker's appreciation of the hearer. Examples of positive
politeness strategies include compliments, expressions of solidarity, humor, and the use of inclusive
language. For instance:
"You're doing an excellent job!"
"We should grab lunch together sometime."

B. Negative Politeness strategies aim to address the hearer's negative face by respecting their
autonomy and minimizing imposition. It involves being indirect, using hedging, and showing
deference. Examples of negative politeness strategies include using polite requests, offering
apologies, and using phrases that recognize the hearer's freedom of choice. For example:
"I'm sorry to bother you, but could you possibly lend me your notes?"
"If you don't mind, could you please lower the volume a bit?"

Face-Threatening Acts (FTAs):

Brown and Levinson identify various types of face-threatening acts, which are actions that potentially
threaten the positive or negative face of individuals. Examples of FTAs include making requests,
giving orders, criticizing, disagreeing, or expressing disagreement.

Politeness Strategies to Mitigate FTAs:

Brown and Levinson propose several politeness strategies to mitigate the impact of FTAs and
maintain face. These include:

Bald-on-record: This strategy involves a direct and unmitigated speech act without politeness
markers. It is used when face considerations are less important or when there is a need for urgency
or assertiveness.
Example: "Close the window!"

Positive Politeness: As discussed earlier, positive politeness strategies aim to enhance the positive
face of the hearer. They include expressions of appreciation, compliments, and shared interests to
create a sense of camaraderie.
Example: "You have such great taste in music! Could you recommend some new songs?"

Negative Politeness: Negative politeness strategies focus on respecting the hearer's negative face
and minimizing imposition. They involve using indirect language, hedging, and deferential
expressions.
Example: "I don't mean to interrupt, but would you mind if I asked you a quick question?"

Politeness Principle Diagram:

The Brown and Levinson model can be represented in a politeness principle diagram:

Positive Politeness
/ \
Negative Politeness - Bald-on-record
\ /
Face-Threatening Acts

The diagram illustrates the relationship between face-threatening acts and the politeness strategies
used to mitigate them. Positive politeness and negative politeness are employed to address the

64
hearer's positive and negative face needs, respectively, while bald-on-record is used when face
considerations are less relevant.

It's important to note that Brown and Levinson's model of politeness has been widely debated and
criticized for its cultural limitations and overemphasis on individualistic cultures. Cultural variations
and context play a significant role in the application of politeness strategies, and therefore, the model
should be interpreted and applied with caution, considering the specific cultural and situational
context.

,
LEARNING ACTIVITY

6. 7 QUESTIONS FOR DISCUSSION

1. Say if each of the following demonstrates positive or negative politeness:
a. Thanks a lot mate.
b. That’ll be two bucks.
c. You are kindly requested not to smoke.
d. Would it be all right if I borrow your car?
2. It is claimed that the maxims of conversation and politeness vary across languages/cultures. Can
you think of any situations in your own experience which support this view?
3. Consider the following in light of the CP and implicature:
A.
Teacher: Okay students. If anyone thinks they can’t speaking English well, please stand up.
(A student, Bridget, stands up)
Teacher: Why are you standing up Bridget? Your English is very good.
Bridget: I know. I just didn’t want you to be the only one standing up.
B.
Lawyer: Did you ever stay all night with Mr Jones in New York?
Witness: I refuse to answer that question.
Lawyer: Did you ever stay all night with Mr Jones in Chicago?
Witness: I refuse to answer that question.
Lawyer: Did you ever stay all night with Mr Jones in Miami?
Witness: No
C.
A parent phones home and speaks to his young son, Alex, who has a friend visiting, Rupert
Alex: Do you want to speak to Rupert?
Parent: OK.
Rupert: Hello.
Parent: Hello Rupert. What are you doing? Rupert: I’m speaking to you on the telephone.

SUMMARY

Cooperative Principle: The Cooperative Principle, proposed by philosopher and linguist H.P. Grice,
refers to the underlying assumption that participants in a conversation are cooperative and have a
shared goal of effective communication. It consists of four maxims: the maxim of quantity (provide
enough information), quality (speak truthfully), relevance (stay on topic), and manner (be clear and

65
orderly). The violation or flouting of these maxims can lead to implicatures and additional meaning
derived from the context.

Politeness: Politeness is a crucial aspect of human interaction that involves using language and
behavior to maintain social harmony and mitigate potential threats to face. It encompasses positive
politeness (strengthening positive face) and negative politeness (respecting negative face).
Politeness strategies include expressing appreciation, offering apologies, using indirect language,
and showing deference.

Lakoff's Model of Politeness: Robin Lakoff proposed a model of politeness based on the concept of
gender and social power dynamics. She suggested that women often employ linguistic features
associated with politeness to maintain social harmony and avoid appearing assertive or
confrontational. This includes hedging, tag questions, and the use of intensifiers.

Brown and Levinson's Model of Politeness: Penelope Brown and Stephen Levinson developed a
comprehensive model of politeness based on the concept of face. They identified positive politeness
(enhancing positive face) and negative politeness (respecting negative face) as strategies to mitigate
face-threatening acts. Their model includes politeness strategies such as compliments, apologies,
and indirect language, and it considers the cultural and social context in which politeness is
expressed.

The Cooperative Principle focuses on effective communication, while politeness theories, including
Lakoff's and Brown and Levinson's models, explore strategies to maintain social harmony and
mitigate face threats. These theories highlight the importance of context, cultural norms, and
individual relationships in the use of politeness strategies.

REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

66
 CONVERSATION ANALYSIS

LESSON OVERVIEW

This chapter focuses on Conversation Analysis (CA), an approach to studying spoken

interaction. Discourse Analysis places a strong emphasis on examining conversation for several
compelling reasons. As Levinson (1983: 284) highlights, "conversation is clearly the most typical form
of language usage and the foundation for language acquisition."1 CA emerged from sociological
inquiry and was pioneered by a group of American sociologists known as ethnomethodologists, led
by Harold Garfinkel and including influential figures like Harvey Sacks, Emanuel Schegloff, and Gail
Jefferson. These researchers, rooted in sociology, aimed to investigate how language is used in social
interaction rather than developing linguistic theories. Instead of applying pre-existing social structural
theories, they adopted an inductive approach, analyzing empirical data in the form of detailed
transcriptions of naturally occurring conversations. Their objective, which continues to guide current
research, is to describe social interaction based on the actions performed within it, adopting an emic
perspective from the user's viewpoint.

LEARNING OBJECTIVES

At the end of this module, you should be able to:

• At the end of the lesson, the students should be able to:

• Define and comprehend the meaning of conversation analysis
• Analyze how social relations are developed through the use of spoken discourse
• Discuss the principles underlying conversation analysis
Give examples of the kinds of conversational strategies speakers use

LEARNING CONTENTS ( Conversation Analysis )

Conversation Analysis (CA) is a research approach that systematically examines the organization
and structure of spoken interaction in natural conversation. It focuses on the detailed analysis of
sequential patterns, turn-taking practices, repair mechanisms, preference organization, and other
aspects of conversational dynamics. CA provides valuable insights into how participants in a
conversation coordinate their actions, negotiate meaning, and achieve mutual understanding.
7.1 METHODOLOGY AND TRANSCRIPTION SYSTEM

The methodology employed in CA involves meticulously transcribing naturally

occurring audio or video recordings of conversations (Jenks, 2011). The analyst gains increasing
familiarity with the data through repeated playbacks of the recording during the detailed transcription
process. The analysis typically progresses through several stages. First, a specific conversational
phenomenon, such as a linguistic token or a particular social action or sequence, is identified. Second,
a preliminary collection of the selected phenomenon is gathered. Third, this collection is further
subdivided into subsets, with the most significant subset singled out for analysis. Fourth, the clearest
examples within this subset are examined. Fifth, less clear examples are analyzed. Finally, any
exceptional or deviant cases are considered (Wilkinson & Kitzinger, 2008). Another approach, known
as "single case analysis" (Hutchby & Wooffitt, 2008), involves applying past research on various

67
phenomena and organizational domains in talk-in-interaction to analyze a single fragment of
conversation in detail (Schegloff, 1987: 101)².

Due to the requirement for a highly detailed written record, Jefferson (2004) developed a specialized
transcription system. Here is a glossary of some key symbols in Jefferson's model, as compiled by
Hutchby & Wooffitt (2008):

(0.5) The number in brackets indicates a time gap in tenths of a second.

(.) A dot enclosed in a bracket indicates a pause in the talk of less than two-tenths of a second
(also referred to as a micropause).
= The ‘equals’ sign indicates ‘latching’ between utterances.
[] Square brackets between adjacent lines of concurrent speech indicate the onset and
end of a
spate of overlapping talk.
.hh A dot before an ‘h’ indicates speaker in-breath. The more h’s, the longer the in breath.
hh An ‘h’ indicates an out-breath. The more h’s, the longer the breath.
(( )) A description enclosed in a double bracket indicates a non-verbal activity. For example
((banging sound)). Alternatively double brackets may enclose the transcriber’s comments on
contextual or other features.
soun– A dash indicates the sharp cut-off of the prior word or sound.
sou:::nd Colons indicate the speaker has stretched the preceding sound or letter. The more
colons, the greater the extent of the stretching.
! Exclamation marks are used to indicate an animated or emphatic tone.
() Empty parentheses indicate the presence of an unclear fragment on the tape. (guess) The
words within a single bracket indicate the transcriber’s best guess at an
unclear utterance.
word. A full stop indicates a stopping fall in tone. It does not necessarily indicate the end of a
sentence.
word, A comma indicates ‘continuing’ intonation.
word? A question mark indicates a rising inflection. It does not necessarily indicate a question.
Pointed arrows indicate a marked falling or rising intonational shift. They are
placed immediately before the onset of the shift.
a: Less marked falls in pitch can be indicated by using underlining immediately preceding
a colon.
a: Less marked rises in pitch can be indicated by using a colon which is itself underlined.
Under Underlined fragments indicate speaker emphasis.
CAPITALS Words in capitals mark a section of speech noticeably louder than that sur- rounding
it.
° ° Degree signs are used to indicate that the talk they encompass is spoken noticeably
quieter than the surrounding talk.
Tha(gh)t A ‘gh’ indicates that the word in which it is placed had a guttural pronunciation.
> < Inward chevrons indicate that the talk they encompass was produced notice- ably faster than
the surrounding talk.
Arrows in the left margin point to specific parts of an extract discussed in the
text.
[H:21.3.89:2] Extract headings refer to the transcript library source of the researcher who
originally collected the data.

7.2 TURN-TAKING

Turn-taking is a fundamental aspect of conversation. CA investigates how participants coordinate

their speaking turns, manage transitions between speakers, and achieve smooth turn exchanges.
Turn-taking practices include the use of turn-yielding cues (e.g., intonation, gaze, body posture) and
turn-taking mechanisms (e.g., overlap, interruption, backchanneling). Example:
A: "I had such a busy day at work."

68
B: "Really? What happened?"

In this exchange, B's use of the question "Really?" indicates a turn-yielding cue, signaling A to
continue speaking.

7.3 Adjacency Pairs:

Adjacency pairs are sequential pairs of utterances that are closely related and follow a predictable
pattern. They consist of an initiating turn and a responding turn that is expected in a particular context.
Examples of adjacency pairs include questions and answers, greetings and responses, and requests
and granting/denial.

Example 1:
A: "Can you pass me the salt?"
B: "Sure, here you go."

Example 2:
A: "Good morning!"
B: "Good morning, how are you?"

In these examples, the initiating turn sets up the expectation for a specific response, and the
responding turn follows the expected pattern.

7. 4 Conditional Relevance:
Conditional relevance refers to the notion that certain actions or responses are conditionally relevant
based on the preceding utterances in the conversation. It involves understanding what actions are
appropriate or expected given the context and previous turns.

Example:
A: "I'm so tired today."
B: "You should get some rest."

In this example, B's response is conditionally relevant because it addresses A's statement about being
tired and offers a solution based on that context.

7.5 Preference Organization:

Preference organization focuses on how participants express their preferences, negotiate

agreements or disagreements, and make choices within conversation. It involves examining the ways
in which speakers align or disalign with each other's preferences.

Example 1:
A: "Let's go out for Italian food tonight."
B: "Actually, I would prefer Mexican food."

Example 2:
A: "I think we should watch a comedy movie."
B: "I'd rather watch a thriller."

In both examples, participants express their preferences, leading to negotiation and the establishment
of a shared preference or resolution.

7.6 Topic Management:

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Topic management refers to the strategies and practices employed by participants to initiate,
maintain, shift, or conclude topics in conversation. It involves the coordination of conversational focus
and the establishment of mutual understanding about the topic at hand.

Example 1:
A: "Have you heard about the new restaurant in town?"
B: "No, tell me more about it."

Example 2:
A: "Speaking of vacations, have you made any plans for the summer?"
B: "Actually, I'm thinking of going to the beach."

In these examples, participants introduce and develop topics, ensuring that the conversation stays
focused and coherent.

7.7 Repair:

Repair refers to the strategies used to address communication problems, misunderstandings, or

breakdowns in conversation. It involves repairing and resolving issues that may arise during the
interaction.

Example:
A: "I went to the store to buy some... uh... what's the word... oh, groceries!"
B: "Ah, I see. You went grocery shopping."

In this example, A experiences a word-finding difficulty, but through self-repair, they successfully
convey the intended meaning, and B demonstrates understanding.

7.8 Discourse Markers:

Discourse markers are words or phrases used to signal the organization and structure of discourse,
indicating relationships between utterances and guiding the flow of conversation. They can serve
various functions, such as indicating agreement, disagreement, contrast, or summarization.

Example 1:
A: "I think we should go to the party."
B: "However, I'm not really in the mood."

Example 2:
A: "In conclusion, we need to prioritize sustainability."
B: "So, what steps should we take?"

In these examples, the discourse markers "however" and "in conclusion" help signal contrasting ideas
and summarize key points, respectively.

These aspects of conversation contribute to the overall understanding of how participants interact,
negotiate meaning, and manage the flow of conversation. They highlight the intricacies and structures
that underlie successful communication.

,
LEARNING ACTIVITY

7. 8 QUESTIONS FOR DISCUSSION

1. Why is topic management important in conversation?
2. Why is repair important in language learning? What are the differences, if any, between

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 L1 and L2 repair?
3. Analyzing Adjacency Pairs

Instructions:
• Find a recorded conversation or use a scripted dialogue.
• Listen to or read the conversation carefully, noting the different turns taken by the participants.
• Identify instances of adjacency pairs in the conversation. Look for initiating turns and their
corresponding responding turns.
• Write down the examples of adjacency pairs you have found, noting the specific initiating and
responding turns.
Analyze each adjacency pair by considering the following aspects:
a. What is the purpose or function of the initiating turn?
b. How does the responding turn align or disalign with the initiating turn?
c. Are there any variations or deviations from the expected adjacency pair pattern?
d. How does the adjacency pair contribute to the overall flow and meaning of the conversation?

SUMMARY

Conversation Analysis (CA) is a field of study that examines the structure and organization of spoken
interactions. It focuses on the detailed analysis of naturally occurring conversations to understand
how participants coordinate their actions, negotiate meaning, and create coherent social interactions.
CA originated within the context of sociological enquiry and emphasizes the study of language use in
social interaction rather than developing linguistic theory.

Key concepts in CA include adjacency pairs, which are sequences of turns that exhibit a
complementary relationship, such as a question and its corresponding answer. Conditional relevance
refers to the understanding that certain actions or responses are contingent upon prior actions or
utterances. Preference organization examines how participants display their preferences for certain
responses or actions in conversation.

CA also explores the management of topics within conversations, including how topics are introduced,
sustained, and changed. Repair is another important aspect, which involves the ways participants
address and correct problems, errors, or misunderstandings in conversation. Discourse markers are
linguistic devices used to signal the structure and organization of discourse, such as "well," "you
know," or "so.

By analyzing conversation in detail, CA aims to uncover the rules and patterns that govern social
interactions and how meaning is constructed through language. It provides valuable insights into the
complexities of everyday communication and contributes to fields such as sociolinguistics,
communication studies, and pragmatics.

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 REFERENCES

Paltridge, B., & Starfield, S. (2016). Discourse Analysis: An Introduction. Bloomsbury Publishing.

Gee, J. P. (2014). An Introduction to Discourse Analysis: Theory and Method. Routledge.

van Dijk, T. A. (2017). Discourse Analysis: Investigating Processes of Social Construction. SAGE
Publications.

Fairclough, N. (2013). Discourse and Social Change. Polity Press.

Jones, R. H. (2013). Discourse Analysis: A Resource Book for Students. Routledge.

Fairclough, N. (2015). Critical Discourse Analysis: The Critical Study of Language (2nd ed.).
Routledge.

Rapley, T. (2018). Doing Conversation, Discourse and Document Analysis. SAGE Publications

Flowerdew, J. (2013). Discourse in English language education. Abingdon, Oxon: Routledge.

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