An attitudinal study of the novel “ the old man and the sea”by ernest hemingway

Applying Appraisal Theory developed by Martin and White 2005 tostudy written language is very popular in the field of discourse analysis.. Objectives To achieve the aims, these followin

QUY NHON UNIVERSITY

TRẦN THỊ HỒNG THẮM

AN ATTITUDINAL STUDY OF THE NOVEL

“THE OLD MAN AND THE SEA” BY

ERNEST HEMINGWAY

FIELD: English Linguistics CODE : 8220201

Supervisor: VÕ DUY ĐỨC, Ph.D.

TRƯỜNG ĐẠI HỌC QUY NHƠN

TRẦN THỊ HỒNG THẮM

NGHIÊN CỨU THÁI ĐỘ TRONG TIỂU THUYẾT

ÔNG GIÀ VÀ BIỂN CẢ CỦA NHÀ VĂN

I certify that the substance of this thesis has not already been submittedfor any degree and is not currently being submitted for any other degree oraward.

I also declare that any help received in preparing this thesis, and allsources used, have been acknowledged in this thesis

Binh Dinh, 2020

Trần Thị Hồng Thắm

I am filled with deep gratitude and I aspire to acknowledge manyindividuals who have heartened me in various ways to arrive at thisaccomplishment today.

My M.A journey could not have been initiated without considerableencouragement and invaluable support from my supervisor, Dr Vo Duy Duc.And without his timely enlightenment, my academic pathway could have beenunfortunately interrupted I genuinely appreciate and learn a great deal fromhis professionalism, dedication, intellectuality and loving personality

Besides, I would like to express my gratitude to all the lecturers of mymaster‟s course, who have enabled me to upgrade my skills and enrich myknowledge of linguistics for the past two years They all play a great part innurturing my interest in linguistic research to further explore the allurement ofboth English language and my mother tongue, Vietnamese I am also indebted

to the authors and experts whose works have been cited in the LiteratureReview of my study

Last but absolutely not least, I need to extend thanks to my family, whohave been my sources of motivation to conquer all the challenges andobstacles during the time of my study

This paper presents a study on Attitudinal resources in the novel TheOld Man and the Sea written by Enerst Hemingway The main objectives are

to list, describe and classify attitudinal resources in the discourse and to revealErnest Hemingway‟ s attitude towards the characters in the novel The studywas carried out through the use of quantitative, qualitative, analytic, synthetic,and descriptive approaches The data were gathered from the entire novel Thestudy was based on Appraisal Theory of Martin and White (2005), which isconsidered as a new approach to evaluating languages The study registeredthe occurrence of all types of Attitudinal values, namely Affect, Judgment,and Appreciation Specifically, Judgment occupied the largest proportion,the second highest was Appreciation and Affect was found to occur at thelowest rate Besides, Ernest Hemingway tends to employ more positiveAttitudinal values to show determination and strong ambition of humanbeings about the future The explicit resources were also preferable than theimplicit ones, featuring a detailed description of each of humancharacteristics, nature, and fishing so that it evokes profound meaningsabout the great dream of the working man From the results, it is hopefulthat the study may make some contributions to linguistic theory and helpEnglish learners use Attitudinal resources effectively

CHAPTER 1 INTRODUCTION

1.1 RATIONALE OF THE STUDY

Through time, literature has played a crucial part in humancommunication because people have used it to fulfill awareness, educational,and art functions and even exchange their viewpoints towards life AmericanLiterature has attracted worldwide attention because of its enormous influence.Ernest Hemingway, whose works have attracted readers all over the world, is themost influential American writer in the 20th century His works have beentranslated into many languages and taught at schools The Nobel Laureate of

1954 in the field of Literature, Ernest Hemingway, has made significantcontributions in the literary world through his diversified writings Among manygreat American writers, Hemingway is well-known for his objective and terseprose style Of all the novels Hemingway published in his life, The Old Man andthe Sea, which is one of the best works of literature, typically reflects his uniquewriting style Mellouki and Berriha (2016) denote that the prominent feature inthe work is the simplicity and naturalness of the words and expressions Tomake the writing more interesting, he used Iceberg Theory as a special stylewhich is expressed more on the surface without revealing the theme, because thetrue meaning may not be obvious in the story Besides, numerous elements madeThe Old Man and the Sea a masterpiece and attracted the attention worldwide

Applying Appraisal Theory developed by Martin and White ( 2005) tostudy written language is very popular in the field of discourse analysis It hasbeen used as a popular framework for investigating how language is used toevaluate emotions, judge human behaviors and appreciate things or phenomena

Attitude, along with Engagement and Graduation, forms the Appraisal

System It plays an integral role in the expression of interpersonal meanings ofthe language Attitude consists of three sub- systems: Affect- expressions offeelings and emotions, Judgement- evaluations of human behaviours andAppreciation-evaluations of things and entities.

The language employed by well- known writers can also be deemedvaluable, authentic linguistic resources for language learners and researchers.Researches relating to the linguistic resources in literary works have beencarried out There have been lots of studies based on Appraisal Theory toinvestigate various features of discourses A significant number of studies onattitudinal resources have been conducted, with various types of discourse beinginvestigated, ranging from American leaders‟ speeches ( Le Thi Van Tue,2017), Vo Thi Ngoc Hien (2014), travel advertisements (Nguyen Tiet Hanh,2015), readers‟ opinions (Vo Thi Kim Thao, 2017), travellers‟ holiday reviews(Nguyen Thi Lien, 2017), letters of complaint (Le Thi Bao Chau, 2017), filmreviews (Phan Thi Thanh Hoa, 2017), news about environment (Ngo Ai QuynhNhu, 2017), advertising slogans (Nguyen Thi Minh Ngan, 2017), love songlyrics (Nguyen Thi Ngan, 2018), to Expressives by the Judges (Le Huu Loc,2019)

The attitudinal resources of the language that Hemingway used in thestory The Old Man and the Sea in terms of its interpersonal meaning may lead

us to uncover Hemingway‟s attitude towards life Although the novel which hasbeen studied by many other researchers from different perspectives, the value ofthe work has been credited by various scholars, no research has been conducted

on that by applying Appraisal Theory From the above reasons, “An attitudinal analysis of the story The Old Man and the Sea by Ernest Hemingway” is the

focus of my study This research contributes to a specific investigation into theattitudinal resources in the story

1.2 AIM AND OBJECTIVES

1.2.1 Aim of the study

This research aims at studying the attitudinal values in the story The OldMan and the Sea in the light of Appraisal theory, thereby interpreting theevaluations of the writer toward the plot of the story

1.2.2 Objectives

To achieve the aims, these following objectives are focused on:

- To investigate the sub-types of attitudinal resources in the novel

including Affect, Judgement and Appreciation;

- To find out the frequency of occurrence of these values and determine which of them are widely used in the story

1.4 SCOPE OF THE STUDY

Attitude, along with Engagement and Graduation builds up a completeevaluation of language in any discourse Attitude involves three semanticregions relating to emotions, ethics and aesthetics It plays an important role inexpressing author‟s viewpoints through plots, contents and characters of thenovel In this study, I would like to investigate the Attitudinal resources in the

story The Old Man and the Sea by Ernest Hemingway Emotional, ethical and

aesthical aspects are investigated to find out how the author expresses his style

in writing and understand more about the unique features of the novel

1.5 SIGNIFICANCE OF THE STUDY

This study focuses on analyzing Attitude, which is concerned withfeelings, including emotional reactions, judgments of behavior and evaluation ofthings, and its effectiveness in the story

The study emphasizes the importance of Appraisal Theory as aframework The learners of English can know how to use attitudinal resourceseffectively and naturally in communication

1.6 STRUCTURE OF THE THESIS

The thesis consists of five chapters

Chapter 1, “Introduction” presents the rationale, aims, and objectives,

research questions, the scope of the study, the significance of the study, and theorganization of the study

Chapter 2, “Literature Review”, briefly reviews the literature of previous

studies relating to this study This chapter also provides the theoreticalbackground of the study

Chapter 3, “Methodology”, deals with the research methods, the

description of the data, data analysis, and research procedures

Chapter 4, “Findings and Discussions”, presents the results of the data

analysis, discusses Attitudinal resources employed in the novel The Old Manand the Sea

Chapter 5, “Conclusion and Implications” summarizes the results of the

study It also offers implications for writing and mentions the limitations of thestudy and the suggestions for further research

CHAPTER 2 LITERATURE REVIEW

This chapter presents the theoretical framework the study is based on andthe previous studies relating to the topic It consists of three parts The first part

is about the theoretical background of the study The second part deals withErnest Hemingway, the content of The Old Man and the Sea and the description

of the previous studies

2.1 APPRAISAL THEORY

Appraisal has emerged for over three decades as a framework forinvestigating how language is used to evaluate, to adopt stances, to constructtextual personas, and to manage interpersonal positioning and relationships It is

an extension of the interpersonal function of language described in SystemicFunctional Linguistics by a notable linguist, M.A.K Halliday, and is developed

by a group of linguists led by James Martin As Martin and White (2005: 34-35)state, Appraisal “is one of three major discourse semantic resources construinginterpersonal meaning” accompanied by involvement and negotiation Appraisal

is concerned with evaluation- the kinds of attitudes that are negotiated in a text,the strength of the feelings involved, and how values are sourced and readersaligned (Martin & Rose, 2007)

According to Butt, et al (2012), the Appraisal system is used to highlightthe ways speakers or writers position their audience by expressing theiremotions (Affect), their judgments of people‟s behavior and their appreciation

of phenomena in the world through the choice of phonological and grammatical patterns of evaluative language

lexico-As White (2015) mentioned, Appraisal Theory (AT) is an effectiveframework for analyzing attitudes expressed and interpersonal meanings in

various literary works, news, legal, scientific and academic discourse It is aparticular approach to describing and explaining the way language is used to

evaluate, to reveal the speaker‟s attitudes and positionings This framework is

used to analyze the language of evaluation and investigate how the writers orspeakers express their attitudes and establish a certain authorial identity Vo DuyDuc (2017) defines „Appraisal‟ as an umbrella term used to refer to thesemantic resources including words, phrases, and structures that speakers orwriters employ to negotiate emotions, judgments, and valuations From theperspective of semantics, AT can be regionalized as three interacting domains –

„Attitude‟, „Engagement‟ and „Graduation‟ Among these domains, Attitudetakes a central position It is concerned with our feelings, including emotionalreactions, judgments of behavior, and evaluation of things; Engagement dealswith sourcing attitudes and the play of voices around opinions in discourse;Graduation attends to grading phenomena whereby feelings and categoriesblurred (Martin & White, 2005) The three systems can be further subdivided.Attitude can be separated by three types of feelings depending on the nature ofthe appraised, namely Affect, Judgement and Appreciation; while Engagementhas two subsystems: Monoglossia, and Heteglossia; and Graduation alsoconsists of two ranges: Force and Focus

2.1.1 Engagement

According to Martin and White (2005), Engagement is the resource ofintersubjective stance and dialogistic positioning It allocates rising attitudes andthe scope of expressions around opinions in discourse The classification ofmeanings is aimed at identifying the particular dialogistic positioningsassociated with given meanings and towards describing what meaning isnecessary to employ Engagement involves resources for positioning thespeaker's/author's voice with respect to the various propositions and proposals

conveyed by a text Engagement is subdivided into two kinds: Monoglossic andHeteroglossic The distinction is based on the status of the “bare” or categoricalassertion with the resources of dialogistic positioning Monoglossic makes noreference to other voices and viewpoints, which is the factuality, makes norecognition of dialogistic alternatives while Heteroglossic allows for recognition

of dialogistic alternatives The overview of Appraisal Theory is presented inFigure 1

Figure 2.1 Appraisal System

(Martin & White, 2005)The following examples illustrate the two types of the domainEngagement

Table 2.1 The Monoglossic and the Heteroglossic

(Martin & White, 2005:100)

Monoglosic (no Heteroglossic (recognition of the recognition of dialogistic dialogistic alternatives)

alternatives)

The banks have been There is the argument though that the banks

In my view the banks have been greedy

Callers to talkback radio see the banks havebeen greedy

The chairman of the consumer‟s associationhas stated that the banks have been greedy.There can be no denying the banks have beengreedy

Everyone knows the banks have been greedy.The banks haven‟t been greedy

As can be seen from Table 2.1, the example in Monoglossic type which ispresented as taken-for-granted does not refer to other voices or recognizealternative positions, whereas the ones in Heteroglossic present the writer‟s

views or arguments on the issue such as in my view , there is the argument

though that , callers to talkback radio see, everyone knows, there can be no denying…The use of these expressions denote the background of previous

utterances, alternative viewpoints, and predicted responses

In terms of Heteroglossic, it is classified into two distinctive categories,namely dialogic contraction and dialogic expansion The former relates toclosing down the dialogically alternative value positions and textual voices Itinvolves two subcategories: Disclaim which refers to refusals and concessions

and Proclaim which represents the proposition as highly reasonable The latter iscomposed of those expressions which expand the scope for dialogic alternatives.This sub-type includes Entertain and Attribute Concerning Entertain, it refers toindividual subjectivity, the authorial voice In terms of Attribute, it presentspropositions in the subjectivity of an external voice.

2.1.2 Graduation

The second system is Graduation, which is regarded as “gradingphenomena whereby feelings are amplified and categories blurred” (Martin &White, 2005:35) This means it operates across two peaks of scalability fromgrading basing on intensity or amount to prototypicality and the preciseness It isalso a general property of values of Affect, Judgment, and Appreciation thatthey interpret a wide extent of positivity or negativity From this gradability,Graduation can be categorized into two main forms: Force (the strengthening orweakening) and Focus (the sharpening or softening)

Force deals with gradable assessments as to the degree of intensity and as

to amount It is divided into two subtypes: Intensification and Quantification.The first type contains the assessments of the degree of intensity which canoperate over qualities (quantification) (e.g slightly hot, extremely hot; he drivesvery quickly), over processes (This slightly affected us, this greatly affected us),

or over the verbal modalities of likelihood, usuality, inclination, and obligation(e.g it‟s just possible that) Besides, Quantification is the assessments applying

to measuring the presence or mass of entities according to such features as theirsize, weight, distribution, proximity (e.g small school, large amount, a nearbyvillage) or number (e.g a few days, many years)

In terms of Focus, when considered from an experiential perspective,Graduation is non-gradable resources Focus consists of the value of sharpening

and softening As for Sharpening, it is possible to up-scale the indicated

prototypicality, which strongly signifies a positive attitudinal assessment (a real

mother, a true friendship); while Softening is used to down-scale the instance

having one marginal membership with a negative assessment (e.g they sort ofplay jazz, they are kind of jealous, it was an excuse of sorts) Softening values,which can be recognized under headings as „hedges‟ and „vague language‟,while the sharpening of values can be expressed by the heading of intensifiers,boosters, and amplifiers

According to Thompson & Hunston (2000), in the general sense, Affect,Judgement, and Appreciation all encode feelings They constitute aninterconnected and interactive system of evaluation They are all motivated byaffectual response with judgment institutionalizing affectual positioning withrespect to human behaviour and appreciation institutionalizing affectualpositioning with respect to product and process The affect is the center ofinstitutionalized feelings This interaction among the three attitudinal categories

is illustrated as Figure 3

Figure 2.2 Judgement and appreciation as institutionalised affect

(Martin & White, 2005: 45)

Attitude, one of the three sub-systems of Appraisal framework, has drawnmore attention for researchers than two other ones The following figure showsthe sub-systems of Attitude

Figure 2.3 Typology of Attitude subsystems (Liu & Thompson, 2009)

2.1.3 1 Affect

Affect is concerned with semantic resources for interpreting emotionalreactions, and registering positive and negative feelings, such as: happiness,sadness, confidence, anxiety, boredom or interest… Affect is also the emotionalresponse to the person, thing, happening or state of affairs and is indicatedthrough various lexical items as verbs of emotion, adverbs and adjectives ofemotion, and nominalization It can be positive or negative; explicit or invoked;authorial or non- authorial (observed.)

Attitude was developed by Martin and White as a discourse semanticsystem, so the general realisations of the grammar and semantics of affect arewell understood Affect is concerned with emotional response and dispositionand is typically realised through mental processes of reaction and throughattributive relational states (e.g I‟m sad; I‟m happy; She‟s proud of herachievements; He‟s frightened of spiders, ect), through norminalisations ofqualities and processes (e.g His anger made everyone tired) Appraisal values ingeneral and Affectual positioning in particular may be indicated by:

(1) verbs of emotion (behavioural, mental or relational process) eg She

smiled at him/ She liked him/ She felt happy with him.

(2) adverbs (typically Circumstances of Manner) such as happily/ sadly

For example: The captain left sadly.

(3) adjectives of emotion: happy/ sad; worried/ confident, angry/ pleased, keen/ uninterested, scared

For example: I‟m happy she‟s joining the group.

(4) nominalization (the turning of verbs and adjectives into nouns): joy/ despair, confidence/insecurity, happiness, …

For example: His fear was obvious to all.

(5) A phrase: When he got the news, he jumped up and down like a

young child welcoming his mom back home from the market.

As reviewed by Martin and White (2005), Affect can be realized byquality, mental, and behavioral processes, modal adjuncts, and nominalizations.These realizations are illustrated in Table 2.2

Table 2.2 Grammatical realizations of Affect

(Martin & White, 2005: 46)

realizations affect as „quality‟

- describing participants Epithet a sad captain

- attributed to

- manner of processes Circumstance the captain left sadly

affect as „process‟

- af fective behavioral Process he missed them

affect as „comment‟

- desiderative Modal Adjunct sadly, he had to goAccording to Martin & White (2005), Affect is classified into four sub-types: Dis/ inclination, Un/ happiness, In/ security and Dis/satisfaction

Dis/ inclination deals with irrealis affect, which describes fear and desire.

The common words through which Dis/inclination are indicated are words of

behavior like tremble, shudder, suggest, demand… and words of disposition, for example, wary, keen, miss…

Un/happiness covers speaker‟s emotions concerned with „affairs of the

heart‟ such as sadness, hate, happiness and love; it deals with the moods of feeling

happy or sad and can be expressed through words as cry, laugh, hug, embrace,

hate, sad, cheerful, love, be fond of…

In/security refers to the speaker‟s emotions concerned with ecosocial

well-being such as anxiety, fear, confidence and trust; it also mentions the mood

of feeling peaceful and anxious in relation to the surroundings This sub-type

can be typically presented through words like restless, cry out, shaking, anxious,

confident, comfortable…

Dis/satisfaction stresses the speaker‟s feeling of achievement and

frustration; and mentions emotions concerned with the pursuit of goals – ennui,

displeasure, curiosity, respect Some words such as yawn, fed up with, angry,

busy, attentive, compliment… are used to clarify Dis/satisfaction.

Martin and Rose (2007) demonstated how people expressed their feelings

in discourse, finding that they varied in two general ways Firstly, there are goodfeelings or bad feelings, so all four sub-types of Affect can be classified as eitherpositive (good vibes that are enjoyable to experience) or negative emotionaldispositions (bad vibes that are better avoided) Secondly, people‟s feelings can

be expressed directly, or inferred from the way people are feeling indirectlyfrom their behavior, so affect can be expressed directly or implied

The table below summarizes all four sub-types of Affectual values

Table 2.3 The system of Affect

(Ngo & Unsworth, 2015:4)

DIES/INCLINA - desire: suggest, request, - non-desire: ignore, TION demand, miss, long for, neglect, reluctant, refuse

- cheer: laugh, chuckle, - misery: cry, sad, cry, UN/HAPPINESS rejoice, cheerful, whimper, miserable,

buoyant, jubilant, down, depressed,

Affect Positive Negative

sorrowful, joyless, tearful,

in tears, dejected,…

- antipathy: abuse, hate,

- affection: hug, love, rubbish, abuse, dislike,like, adore, shake hands, abhor,

embrace, be fond of, …

- disquiet and fear:

- confidence: together, stressed, nervous, uneasy,

no pressure, confident, … anxious,

IN/SECURITY - trust: comfortable, - distrust: never trust,

suspicion, doubt, doubtful,hesitate…

- interest: busy, - ennui: yawn, turn out,

attentive, involved, … jaded, flat, cry, …

DIS/SATISFAC - pleasure: compliment, - displeasure: caution,

impressed, pleased, sick of, bored with, fed upcharmed, thrilled,… with, …

Furthermore, another term is proposed by White about 1st, 2nd, and 3rd

person‟s emotional response, Affect is itself classified into Authorial Affect and

Observed Affect The first person emotional response is called Authorial affect

where she/he is emotionally involved in expressing affect or related to the

author‟s own emotions; through Authorial Affect, “the speaker/writer strongly

foregrounds his/her subjective presence in the communicative process” (White,

2015b) In the case of the Non-Authorial Affect, the speakers or writers expressfeelings of the other individuals Those are the instances “where it is not theauthor‟s emotions which are described but those of other human individuals orgroups” (White, 2015b) As a result, he/she makes use of the second and thirdperson to offer evaluations on others‟ emotions For example: when a speakersays: “I am interested in reading novels.”, he/ she expresses his/ her interestwhile the second and third person‟s emotion is called Non-Authorial Affectwhich the first person merely expresses affect from the second or third person.

In other words, the first person is not emotionally involved, and concerned withemotions of other human individuals or groups For instance, when a speakersays: “Many students are worried about their coming exams”, he/ she does notshow his/ her feelings toward the matter (Ananda et al., 2018) The expression

of Affect can be also codified through a grammatical metaphor (Halliday andMatthiessen, 2014), which includes nominalized realizations of qualities (joy,sadness, sorrow) and processes (grief, sobs)

The systems of Affect, Judgement and Appreciation not only follow thedistinction between positive and negative polarity but also can be classified asdirect or implied appraisals This latter distinction is treated in the Appraisalmodel as an inscribed and evoked Appraisal (tokens) An inscribed Appraisal isexplicitly expressed in the text and is associated with specific lexical items andtheir graduation, whereas an evoked Appraisal is manifested in an implicitmanner by reference, for example, to a metaphorical language that can provoke

a particular meaning Martin (2000:155) explains:

[As] far as reading affect is concerned, inscribed affect is more prescriptive about the reading position naturalized – it is harder to resist or ignore; evoked affect on the other hand is more open – accommodating a wider range of reading positions, including readings that may work against the

response otherwise naturalized by the text.

In short, Affect can be indicated not only by the lexico-grammaticalrealizations such as types of words or word classes, phrases and clauses orsentences but also by semantics of four sub-types : Dis/ inclination, Un/happiness, In/ security and Dis/satisfaction Another sub-type of Attitude isJudgment, which is applied to evaluate people‟s behavior, is demonstrated in thefollowing section

2.1.3 2 Judgment

The semantic domain of Judgement, as already mentioned, can be seen asthe feelings in terms of proposals or norms about how people should and shouldnot behave This subsystem also has a positive and negative dimension, and can

be inscribed or evoked in the discourse Martin and White (2005) propose asubdivision of Judgement into two major groups: Social Esteem (values ofNormality, Capacity and Tenacity) and Social Sanction (values of Veracity andPropriety) Judgement of Social Esteem can be classified into three sub-types:

„Normality‟ which expresses how unusual or special someone is, „Capacity‟which shows how capable they are and „Tenacity‟ which indicates how resolutethey are Ngo and Unsworth (2015) suggest the range of realisationscategorisation of Normality is very diverse in meaning, it can be divided intothree subcategories dealing with the meanings of Fortune, Reputation, andBehaviour Realisations of Capacity can be categorised into three groups:Mental Capacity, Material Capacity and Social Capacity Mental Capacity refers

to mental or cognitive performances and academic or professional skills.Material Capacity has to do with physical performance, physical and technicalskills Social Capacity refers to personal and interpersonal performances As forJudgement of Sanction, there are two terms „Veracity‟ with the meaning of howtruthful someone is and „Propriety‟ modifying how ethical someone is The

following examples further explain the distinction of sub-types of Judgment

Normality : He is fashionable/he is dated.

Capacity : She is an expert/she is inexpert.

Tenacity : He is tireless/he is weak.

Veracity: He is honest/he is dishonest.

Propriety: She is humble/she is arrogant

(Oteiza, 2017)The full system of Judgment set out below in Table 2.4 illustrates the

Judgment domain in detail

Table 2.4 The full system of JUDGMENT (Martin & White, 2005: 53)

Social Esteem positive [admire] negative [criticise]

star-„how special?‟/ „is the charmed …; normal, crossed…; eccentric,person's behaviour natural, familiar …; odd, peculiar, erratic,unusual, special, cool, stable, predictable unpredictable …, dated,

avant garde …; obscure, unfortunate ;celebrated, unsung … unfashionable, also-

ran…

„how capable?‟ robust …; sound, unsound, sick, crippled

`is the person competent, healthy, fit …; adult, …; immature, childish,

witty, humorous, droll dull, dreary, grave …;

…; insightful, clever, slow, stupid, thick …;gifted …; balanced, flaky, neurotic, insanetogether, sane …; …; naive, inexpert,

sensible, expert, shrewd foolish …; illiterate,

…; literate, educated, uneducated, ignorant …;learned …; competent, incompetent;

accomplished …; unaccomplished …;successful, productive … unsuccessful,

unproductive …

tenacity plucky, brave, heroic ; timid, cowardly, gutless

„how dependable?‟ cautious, wary, patient, …; rash, impatient,

dependable, well meticulous, reliable, hasty, capricious,

disposed?' dependable ; faithful, reckless …;

loyal, constant, flexible, weak, distracted,

accommodating, unreliable, undependableindefatigable, …; unfaithful, disloyal,determined, resolute, inconstant …; stubborn,persevering, … obstinate, wilful …

Social Sanction positive [praise] negative [condemn]

veracity [truth] truthful, honest, credible dishonest, deceitful,

„how honest?‟ …; frank, candid, direct lying …; deceptive,

„is the person honest?' …; discrete, tactful … manipulative, devious

…; blunt, blabbermouth

…

propriety [ethics] good, moral, ethical …; bad, immoral, evil …;

„how far beyond law abiding, fair, just …; corrupt, unfair, unjustreproach?‟ sensitive, kind, caring …; insensitive, mean,

`is the person ethical, …; unassuming, modest, cruel …; vain, snobby,

beyond reproach?' humble …; arrogant …; rude,

polite, respectful, discourteous, irreverentreverent …; altruistic, …; selfish, greedy,generous, charitable … avaricious …

According to White (2015b), under Judgment, we may assess behaviour

as moral or immoral, as legal or illegal, as socially acceptable or unacceptable,

as laudable or deplorable, as normal or abnormal and so on

As White (2015) suggests that, Judgment resources can be realized as

follows:

+ Adverbials: justly, fairly, virtuously, honestly, pluckily, indefatigably,

cleverly, stupidly, eccentrically.

+ Attributes and epithets: a corrupt politician, that was dishonest,

of institutionalized norms Like Affect, values of Judgment have either positive

or negative status Specifically, positive values of Judgment deal withadmiration and praise while negative ones concern with criticism and condemn

In other words, values of Judgment have either positive or negative status likethe following opposites:

virtuous versus immoral, honest versus deceitful, brave versus cowardly, smart vers

us stupid, normal versus weird.

Moreover, Judgement as an attitudinal Appraisal, construes interpersonalmeanings Interpersonal function is one of the three social functions performed

by each clause and text (Halliday and Matthiessen , 2014) and deals primarilywith the relationship between the participants, i.e., their roles, and the patterns ofAppraisal they follow (Butt et al., 2012) The parameters for organizingJudgment reflect grammatical distinctions in the system of modalisation(Halliday, 1994), in the following proportions – normality is to usuality, ascapacity is to ability, as tenacity is to inclination, as veracity is to probability, aspropriety is to obligation

In the following examples (taken from Martin & White, 2005: 54–55),Judgment values are underlined:

[1] It‟s true he‟s naughty (Judgement of Veracity)

[2] It‟s normal for him to be naughty (Judgement of Normality)

[3] He can go (Judgement of Capacity)

[4] I‟m determined to go (Judgement of Tenacity)

[5] You should go (Judgement of Propriety)

In addition, Judgment resources can be realized either explicitly orimplicitly (White, 2015) Therefore, they can be classified into explicit(inscribed) Judgment, and implicit (token) Judgment As regards explicitJudgment, the assessment is carried out overtly through the use of lexical items

carrying Judgment values such as skilfully, corruptly, lazily, ect In terms of

implicit Judgment, they are realized in a sentence or a whole text It is possible,however, for Judgment values to be evoked rather than inscribed by what theauthors label „tokens‟ of Judgment Under implicit one, “Judgment values aretriggered by superficially neutral, ideational meanings, lexical metaphors whichnevertheless have the capacity in the culture to evoke judgemental responses”

(White, 2015: 4) The two following examples will illustrate what has been discussed above:

(a) His language skills [Explicit Judgment] have mushroomed, and the

nursery‟s structured approach to phonics is providing him with a solid base that

he can [Explicit Judgment] build on in reception….

(b) Now, America‟s new partnership with Vietnam is rooted in some

basic truths Vietnam is an independent, sovereign nation and no other nation can impose its will on you or decide your destiny [Implicit Judgment]

(Le Thi Van Tue, 2017: 45)

It is clear that in (a), with the use of words such as skills, can the writer

explicitly expresses the judgments of the capacity of the young learners In

contrast, Example (b) with the clause “no other nation can impose its will on

you or decide your destiny” implies that Vietnam has own authority and

independence

Judgment encompasses meanings which serve to evaluate humanbehaviour positively and negatively by reference to a set of institutionalisednorms The two broad categories of Social Sanction and Social Esteem aredistinguished to give an assertion that some set of rules or regulations are more

or less explicitly codified by the culture Those rules may be legal or moral andhence Judgments of social sanction turn on questions of legality and morality

The next section revolves around presenting the last sub-type of Attitude– Appreciation, which is the value used to provide evaluations on products and processes

2.1.3 3 Appreciation

As Martin and White (2005: 36) states, “Appreciation looks at

resources for construing the value of things, including natural phenomena and

semiosis.” Appreciation is considered the “assessment of artifacts, entities,happenings, and states of affairs by reference to aesthetics and other systems

of social valuation”(White, 2015a: 2) Appreciation values are also employed

to give assessments on people, in terms of aesthetics Appreciation deals withthe psychological responses to beauty and artistic experiences, the evaluations

of symbolic figures and normal incidents As Vo Duy Duc (2011:31) affirms,

“Appreciation is not always concerned with the evaluation of things, but inmany instances, it deals with the aesthetic evaluation of humans.”

Martin and White (2005:56) propose three subcategories in whichAppreciation is grouped: Reaction, Composition, and Valuation Reaction dealswith questions: do they catch our attention; do the please us? Composition isabout balance „did it hang together?‟ and complexity „was it hard to follow?‟and Valuation discusses the question „was it worthwhile/ important?‟

Table 2.5 gives an insight into the sub-types of Appreciation, with

examples accompanied

Table 2.5 Types of Appreciation

(Martin & White, 2005: 56) and (Ngo & Unsworth, 2015)

interesting, stressful,

captivating,

IMPACT „did it engaging, wearing, boring,

moving,remarkable, monotonous, …notable, …

lively, intense,impressive, …

QUALITY tidy, quite, lovely, bad, plain, ugly,

“did I like it?‟ beautiful, splendid, off-putting,

Aesthetics good, clean, …; poor, …;

Appropriateness suitable, proper, unsuitable, …

BALANCE „ did symmetrical, uneven, flawed

it hang together? proportioned …; …;

consistent, incomplete,considered, logical shapeless,

willowly … disorganised …;

„was it hard to elegant …; monolithic,follow?‟ intricate, rich, simplistic,

detailed, precise … unclear,lucid, clear, precise complicated,

extravagant,puzzling …

„was it necessary, notnecessary,

„Was it important?‟ experimental, unsatisfying ;

innovative, conservative, fake,original, unique, bogus,

enduring, lasting… unmemorable,

forgettable,…

BENEFIT/ beneficial, useful, worthless,

„Did it enhance or valuable,… ineffective,

Firstly, regarding Reaction, it describes the emotional impact of the

work on the readers/ listeners It is further divided into two categories: Impact and Quality While Impact focuses on the evaluated entitythat is whether the object grabs our attention, Quality pays attention to theevaluator‟s response - whether we like the phenomenon In Ngo andUnsworth (2015), Appreciation was extended to include more delicate sub-sets of Quality with Aesthetics, Appropriateness, Effectiveness, Convenienceand Manageability

sub-Secondly, in Composition, it is applied to evaluate a product or process

about its configuration, whether it is following various conventions of structural

organization Martin and White (2005) categorize resources of Composition into

Balance- whether the phenomena is orderly, has a sense of balance andconnectedness in it and Complexity- whether the events are easy or difficult to

comprehend Finally, under the sub-type Valuation, it refers to assessments that

are used by the speakers to evaluate the social significance of entities,processes, or phenomena according to various social conventions

Like Affect and Judgment, Appreciation has positive and negative

dimensions - harmonious versus discordant, beautiful versus ugly etc They also

can be located on the cline of low to high force/intensity: eg pretty, beautiful,

exquisite.

Besides, it‟s crucial to figure out the grammatical frames for

distinguishing kinds of Attitude Affect and Judgment can be realized through a

relational attributive process with the verb feel and an attitude to some person‟s

behavior, and for Appreciation, a mental process assigning an attitude to a thing

can be used Below is a summary of these distinguishing patterns suggested by

Martin and White (2005)

Table 2.5 Patterns of Attitude (Martin & White, 2005: 58-59)

about something} that

It makes person feel It makes me feel

affect that [proposition] happy that they‟ve

come

Judgment {it was judgment for It was silly of/ for

person/ of person to do them to do that

{(for person) to do that was silly.

was judgment}

{Person see something beautiful.

as appreciation}

In summary, Appraisal is one of the three major principal semanticresources interpreting the interpersonal meaning with two other systems-negotiation and involvement Appraisal system includes three interactingdomains: Attitude, Engagement and Graduation Engagement deals with theresources of dialogistic positioning of prior utterances, alternative viewpoints,and predicted responses, and Graduation relates to softness or hardness of wordsused in the evaluation Attitude relates to feelings, including emotional reactionupon a person or an event, judgments of behaviors, and evaluation of an object.This study revolves around the inspection of the Attitude domain, whichinvolves feelings, embracing emotional reactions with the targets of consciousparticipants including persons, human collective and institution, judgments ofbehaviors and appreciation of concrete or abstract, material, or semiotic things.

In this study Attitude is employed as the framework to analyze the semanticfeatures The next section will present the previous studies on Appraisal Theory

2.2 PREVIOUS STUDIES ON APPRAISAL THEORY AND THE OLD MAN AND THE SEA

In recent years, there have been several studies on discourse analysis withthe employment of Appraisal Theory as a theoretical framework Some of themare Li, (2016), Netty et al., (2019) and Tran Van Phuoc (2019) As for the novelThe Old Man and the Sea, there have been many approaches to study this well-known novel due to the enormous influence of the theme and content of thework

Li (2016) used Appraisal devices to identify Attitude resources in theEnglish song discourse The study showed that the use of Affect andAppreciation is an essential constituent in English song discourse because thisreflects the Western humanistic thought English culture is more focused onpersonality, so the thought and emotion of human basis is deep-rooted in

English culture Under the influence of English culture, Attitude resource forAffect and Appreciation are mostly used in English song discourse to emphasizenot only the author‟s intense emotion but also the author‟s role as a behaviorsubject.

Netty et al., (2019) found out three attitudinal aspects, namely Affect,Judgment, and Appreciation from written works made by Indonesian Migrants

in Hong Kong The research showed that the negative attitudinal lexisoutnumbered the positive attitudinal one, and the number of Affect is higherthan that of Judgment and Appreciation in evaluating the language used byIndonesian migrants to their mothers The presence of the higher negative datademonstrated that there were problems faced by the writers and their parents andindicated that there are different viewpoints between the writers and theirparents regarding objects, attitudes, behavior, or happening phenomena

Tran Van Phuoc (2019) applied the Theory of Language of Evaluation byMartin & White (2005) to collect and describe five Vietnamese writers‟ choices

of Affectual Values to evaluate five main characters‟ feelings and emotions infive Vietnamese short stories The study aimed at identifying lexical-grammatical realizing four domains (1) Happiness, (2) Satisfaction, (3) Security,and (4) Desire in positive and negative, explicit and implicit orientations ofaffect from characters in short stories Besides, the article‟s writer raised somerecommendations to students or future writers in expressing their positioning

In addition, there have been so far some master theses in Englishconcerning Appraisal Theory carried out by many researchers in terms ofattitudinal resources, with various types of discourse being investigated, rangingfrom American leaders‟ speeches (Tran Thi Thuy Tien, 2017; Le Thi Van Tue,

2017, Vo Thi Ngoc Hien, 2014), travel advertisements (Nguyen Tiet Hanh,2015), readers‟ opinions (Vo Thi Kim Thao, 2017), travellers‟ holiday reviews

(Nguyen Thi Lien, 2017), letters of complaint (Le Thi Bao Chau, 2017), filmreviews (Phan Thi Thanh Hoa, 2017), news about environment (Ngo Ai QuynhNhu, 2017), advertising slogans (Nguyen Thi Minh Ngan, 2017), love songlyrics (Nguyen Thi Ngan, 2018) Also, Vo Thuy Trieu (2019) has a study on AnAnalysis of Language of Evaluation in the Film "Gone with the Wind" from thePerspective of Appraisal Besides, there are some comparative studies such as

An Attitudinal Study of English and Laotian Love Story by PhitsakhoneTansavath (2019) and an Attitudinal Analysis of Expressives by the Judges inThe Voice UK versus The Voice Vietnam by Le Huu Loc (2019)

Ernest Miller Hemingway (1899-1960) was an American novelist,journalist and short-story writer His major work was produced in the mid-1920s He won The Nobel Prize in literature in 1954 He was famous for novelslike “The Sun also Rises”, “A Farwell to Arms”, “For whom the Bell Tolls” and

“The Old Man and the Sea” The studies of Hemingway‟s literary works, likethat of other areas of discourse analysis, cover a broad range of subject matterand draws on a wide range of critical and analytic methods The Old Man andThe Sea is well known in the world of literature Many researches have beendone to the novel due to the following reasons Firstly, the novel received Nobelprize; secondly, the novel is written in a unique style, and thirdly, the novel isthick in pages (Suyitno, 2006) Moreover, the reputation of Hemingway‟swriting style and his masterpiece was investigated by many critics and

researchers in terms of style and technique like Meyers (2005), Bloom (2008),

Ali, and Qadir (2009), Triphathi (2016), Mellouki & Berriha (2016), Torres(2019) and Schatz (2019)

Meyers ( 2005) depicts that the technique and style of Hemingway‟sbooks had a profound effect on modern European writers He offered a way ofseeing and recording experience which matched his contemporaries‟ belief that

art is a means of telling the truth He also demonstrates that a heroic piece ofnarrative in „The Old Man and the Sea‟ told with a simplicity which shows that

Mr Hemingway is essentially an imaginative writer, and his imagination hasnever displayed itself more powerfully than in this simple and tragic story

According to Bloom (2008), an important feature of this novel is thenarrative focus He claims that the technique of uninterrupted narrative focus on

a single character is exploited to the best advantage in Hemingway‟s novel The

Old Man and the Sea Besides, the story is completely dramatized Hemingway

presents the old man, the boy, and the sea at the beginning of the novel andallows the story to unfold itself Besides, ALi and Qadir (2009) carried out astudy of the heroic actions of the Old Man and an end to which he is destined

―Free Will and Fate in The Old Man and The Sea The given title is an attempt

to evaluate the main viewpoints of the text This is an elaborate study toward abetter understanding of the modern fictional novella The study also investigatestwo main interrelated themes throughout The Old Man and the Sea They areFree Will as an instinctive feature and the redetermined Fate of an individual

Triphathi (2016) explores the theme of the human relationship withreference to Santiago and Manolin and their interdependence on each other Thestudy focuses on how they both share a bonding that keeps them struggle better

in life The representation of a distinct relationship Santiago and Manolin sharehas been most appropriately explicated by the author Mellouki and Berriha(2016) shared similar viewpoints and further explained by analyzing four maincharacters with their relationships in the novels, and the figures of used in avarious works of Ernest Hemingway In this study the researcher usedqualitative approach and used Formalism criticism to analyze the figures ofspeech used

Writing style of Hemingway was a topic studied by Torres ( 2019) From

his study, Ernest Hemingway is known to use his experience as a reporter for anewspaper to develop the use of many conjunctions to achieve an overwhelmingeffect in a sentence; he also uses a simple and natural language with the richness

of adjectives to attract readers to the text under study and to give an accuratedescription of the Old Man (Santiago) The style that Hemingway adopted inmost of his novels is the simplicity in constructing the sentences It also includesthe use of short, choppy sentences that are descriptive and have underlyingmeanings that are integral to the work Besides, Hemingway is famous for hiswriting technique, the iceberg, which is used to portray meaning and depth to acharacter without directly stating what the reader should be thinking TheIceberg Theory is also used as a style to focus more on the surface withoutdiscussing what is under the theme because the true meaning for Hemingwayshould not be obvious in the story In this study, the Appraisal Theory is used toevaluate and reveal the writer‟s attitudes and positionings of the writer,especially Attitudinal framework is applied to analyze Affect, Judgment andAppreciation of the main characters, the Old Man, the boy, the sea, the marlinand the plot of the novel and investigate how Ernest Hemingway express hisattitudes and establish a certain authorial identity

The above-mentioned information reveals that there are many studiescarried out from the perspective of Appraisal Theory by Martin and White(2005) However, up to now, there has been no study on an Attitudinal analysis

of the novel “The Old Man and the Sea” - A novel by Ernest Hemingway.Therefore, this study could offer a contribution to the sources of studies in thelight of Appraisal Theory The Attitudinal resources are investigated carefully tofind out how Affect, Judgement and Appreciation values, the typology, thepolarity and strategies are used in the novel From the findings, there will bepossible discussions about the writing style of the writer

To sum up, Chapter 2 presents an overview of the Appraisal system as theguiding theoretical framework for the study As the thesis addresses itself toAttitude resources, a detailed description of the three types of Attitude isprovided Additionally, the chapter is also concerned with Hemingway‟s literaryworks M oreover, a brief review of the previous studies, revolving around thedomain of Attitude in AT, is also presented to point out the gap for research.

CHAPTER 3 RESEARCH METHODOLOGY

This chapter aims at describing the research methods and proceduresemployed in the study In detail, it is dedicated to clarifying the researchmethods, the description of data, and the data analysis procedure Besides, thevalidity and reliability of the research are also discussed in this chapter

3.1 RESEARCH METHODS

Various approaches involving qualitative, quantitative, analytic, synthetic,descriptive, and inductive techniques of data interpretation are applied duringthe study process

The qualitative approach was employed to analyze and describe theattitudinal resources from the text of the story Then, the quantitative approachassisted in finding out the frequency of occurrence of Affect, Judgment,Appreciation, and their sub-classes The quantitative analysis was applied tofigure out the function of the Attitudinal resources employed in the data

Besides, the analytic and synthetic techniques were put to use harmoniouslyfor the scrutinization process The analytic practice was to pinpoint and separatecertain aspects to focus For example, the Attitudinal resources were investigated in

terms of typology – Affect, Judgment or Appreciation, polarity – positive or negative, strategy – inscribed/explicit or invoked/implicit The synthetic practice

was exploited to consider the interdependence of these elemental parts, i.e., howthey work together as a whole

The study finds a use for the descriptive and inductive techniques Inparticular, descriptive method served to provide a detailed description of thedata regarding Affect, Judgment, and Appreciation The inductive techniqueproved helpful in synthesizing the findings and proposed the explanation and

reached a conclusion.

3.2 DESCRIPTION OF DATA

The main data is taken from the novel itself The Old Man and the Seawas first published in Great Britain in 1952 by Jonathan Cape and by ArrowBooks in 2004 The novel is constructed of 97 pages The novel The Old Manand the Sea itself starts on page 3 and ends on page 99 A novel is a structurewhich is built by elements A novel is a sum up of elements such as plot,characters, theme, narration etc All of the elements cohere together to build theworld of the novel The more the elements are attached naturally the morebeautiful the story of the novel will be This is shown exactly in The Old Manand The Sea Hemingway is famous also for his unique writing style He hasmade many reformations in writing technique, for example in stressing on theusage of the dialogue rather than stressing on the narration He uses stream ofconsciousness or flash back in his work and he also uses simple sentences byavoiding complex expressions Hemingway has brought a simple and fresh way

of writing English The main data taken is in the form of dialogues, events, andnarrative expression in the novel

The novel is about Santiago, who is the protagonist of the novella;Manolin, a Cuban teenager; the marlin; and the sea as a central character in thenovella The majority of the story happens on the sea, and Santiago is constantlyidentified with it and its creatures In light of his experiences in Cuba,Hemingway made the character of an old fisherman alone in a boat, the old mangets an extraordinary marlin, just to have it annihilated by sharks The old man,who had been a champion arm-wrestler and an effective fisherman, was similar

to Hemingway, striving for a comeback Alone, he sailed in his skiff toward anepic three-day epic battle with an elusive marlin When he succeeded inharpooning the big fish it struggled and thrashed and tows him further out to sea,

farther than Santiago had ever been Finally, he managed to drag it alongside theskiff It was a huge fish and would bring a lot of money in the market But, onthe return trip back to the harbor, sharp-toothed sharks ripped his prize to bloodypieces so that all that was left is a worthless skeleton In the end, Santiago hadnothing to show for this struggle but fish bones In battling the sharks, the oldman displayed boldness and grace under pressure, trusting “A man can bedestroyed, but not defeated” In this study, the Atttitudinal aspect of the maincharacters including Affect, Judgment and Appreciation is explored.

3.3 DATA ANALYSIS

The system of Attitude in AT was used as the theoretical framework forthe data analysis With the corpora, the Attitudinal resources in the novel werepositioned, sorted out regarding typology (Affect, Judgment, Appreciation, andtheir sub-categories), polarity (positive or negative), and strategy(inscribed/explicit or invoked/implicit) Every value will be analyzed line by linefrom the data They were underlined, bold and labelled as the proper types ofeach Attitudinal values The author used the Navigation functions to find thefrequency of the same words in the novel After using the searching results andreading the texts carefully with some words bearing two values, the researcheremployed the counting functions of Word to find out the frequency The datawere imported to the computer with the software Microsoft Office Word andExcel The statistics were shown in tables and figures With the assistance of thistool, the frequency, as well as the proportion of each class, would be preciselycalculated The data exported from the computer were summarized, presented intables, and described using descriptive techniques

The analysis of sample data is demonstrated in the following extracts

“-” is the abbreviation of negative ; “+” is the abbreviation of

positive