Debark University

College of Social Sciences

Department of English Language and Literature

Compiled Note for

1. Fundamentals of Literature
2. Literary Theory and Criticism

3. Introduction to Language and Linguistics

4. Translation and Interpretation

5. Discourse Analysis

Compiled by: Mesafint Lakiaw (MA)

Dawd Yibre (MA)

Hanival Worku (MA)

Tewodros Gizachew (MA)

Editor: Tilahun Birru (MA)

Target Group: Exit Exam Taking Students (4th year)

November, 2022

Debark university, Ethiopia

Contents
PART ONE: FNDAMENTALS OF LITERATURE................................................................................................3
UNIT ONE: THE CONCEPT OF LITERATURE..................................................................................3
UNIT TWO: TYPES OF LITERATURE................................................................................................6
UNIT THREE: GENRES OF LITERATURE.......................................................................................12
UNIT FOUR: ELEMENTS OF LITERATURE....................................................................................29
UNIT FIVE: BASIC LITERARY TERMS AND FIGURES OF SPEECH...........................................35
PART TWO: LITERARY THEORY AND CRITICISM.........................................................................................42
UNITE ONE: DEFINITION OF LITERARY THEORY AND CRITICISM........................................42
UNIT TWO: ANCIENT CRITICISM. CLASSICAL LITERARY CRITICISM.........................................................48
UNIT THREE: LITERARY CRITICISM IN MIDDLE AGES AND RENAISSANCE.......................66
UNIT FOUR: MODERN LITERARY THEORY.................................................................................73
PART THREE: INTRODUCTION TO LANGUAGE AND LINGUISTICS...............................................................86
UNIT ONE: THE NATURE OF HUMAN LANGUAGE..................................................................................86
UNIT FOUR: MACRO BRANCHES OF LINGUISTICS..................................................................110
UNIT FIVE: LANGUAGE ACQUISITION.......................................................................................116
PART FOUR: TRANSLATION AND INTERPRETATION.................................................................................120
UNIT ONE: PERSPECTIVES ON TRANSLATION.........................................................................120
UNIT TWO: THE TRANSLATOR’S SKILLS...................................................................................131
UNIT THREE: SEMANTIC THEORIES AND THEIR IMPLICATION FOR TRANSLATION......138
UNIT FOUR: WRITTEN TEXTS AND THEIR STANDARDS OF TEXTULAITY.........................140
PART FIVE: DISCOURSE ANALYSIS............................................................................................................143
UNIT ONE: INTRODUCTION..........................................................................................................143
UNIT TWO: DISCOURSE IN COMMUNICATION.........................................................................151
UNIT THREE: CONVERSATIONAL ANALYSIS...........................................................................160
UNIT FOUR: PERSUASION.............................................................................................................163
PART ONE: FNDAMENTALS OF LITERATURE

UNIT ONE: THE CONCEPT OF LITERATURE

1.1. What is Literature?
One of the difficulties anyone in literary scholarship faces is the indefinableness of the term
literature and its major and sub-genres. There is no single, universal, and all-encompassing
definition for the term Literature. Different writers, literary scholars and philosophers have tried
to define it based on their experience, philosophy, inclination, and the existing historical, cultural
or socio-political phenomena. As we are going to see in the subsequent extracts, definitions of
literature can be seen from three perspectives: the first and the broadest approach is to define
literature as everything in print- regardless of subject matter, aesthetic beauty, function or
classification. The second approach is to delimit the concept of literature to great books or
masterpieces; in this way of definition, literature refers to ‘great books’ which, whatever their
subject, are notable for literary form or expression. Here the criterion is either aesthetic worth
alone or aesthetic worth in combination with general intellectual distinction. The third approach
makes a radical departure by defining the scope and nature of imaginative literature.
Accordingly, literature in its narrowest sense refers to written works in which compositional
excellence and advancement in the art of writing are higher priorities than are
considerations of profit or commercial appeal (Melakneh Mengistu, Fundamentals of
Literature: 2-3). For additional and elaborate information, take a look at the following extracts
taken from different sources:  In most cases, literature is referred to as the entirety of written
expression, with the restriction that not every written document can be categorized as literature
in the more exact sense of the word. The definitions, therefore, usually include additional
adjectives such as “aesthetic” or “artistic” to distinguish literary works from texts of everyday
use such as telephone books, newspapers, legal documents, and scholarly writings.
 Etymologically, the Latin word “litteratura” is derived from “littera” (letter), which is the
smallest element of alphabetical writing. The origin of the central term is, therefore, not of great
help in defining literature. It is more enlightening to look at literature as cultural and historical
phenomena and to investigate the conditions of their production and reception (Mario Klarer, An
Introduction to Literary Studies1).
 Literature (refers to) written materials such as poetry, novels, essays, etc., esp. works of
imagination characterized by excellence of style and expression and by themes of general or
enduring interest. (Collins Dictionary of the English Language, 1986) (Cited in Martin Coyle et
al, Encyclopedia of Literature and Criticism7).
As can be seen above, the definitions are either too broad, or non-inclusive, or too narrow. For
example, getting back to the etymology or origin of the term literature to define it is not helpful
because literature is much broader than what the term refers to. Secondly, defining literature as
entirety of written expression or everything in print is also problematic because, on one hand, it
excludes oral literature and, on the other hand, any written or printed material cannot be
considered literature. Thirdly, taking literature as imaginative or fictional work is narrow as it
excludes other parts of literature like essays, memos, biographies, etc.
Literature is as broad and varied as human experience and as old as human language. It is born of
man’s craving for expressing himself, his society and his surroundings. It has existed since
ancient times under different names and forms based on the existing social consciousness and
ideology or the spirit of the age. The subject matter of literature is primarily human being, and
human nature is complex, dynamic and indefinable. That is why, and therefore, defining
literature is as difficult as defining human nature itself. Therefore, instead of trying to define, it
seems advisable to deal with its basics: features, genres, concerns, etc.
1.2. Why Study Literature?
Why do we study literature? What are its uses or significances? We study literature in general
and its genres in particular because it has ample uses and/or significances. Literature is
multidimensional, interdisciplinary and has multiple uses, significances and applications.
Literature, as pointed out somewhere above, is about human life and/or human experience. It is
an all-human discipline. It studies man’s internal (his psychology, philosophy, spirit, etc.) and
external (his culture, tradition, politics, history, religion, etc.) worlds. Literature is not simply the
study of man’s internal and external milieus, however. ‘It is a criticism of life’; it shows the
social, political and economic situation of human beings; it (exposes social evils and) struggles
for man’s freedom- it struggles against social, political and economic oppressions; it, like
philosophy, questions the unquestionable; for instance, religion (the existence/non-existence of
God, for example,) is one subject matter of literature; like history, literature shows the past and
the present and predicts the future. What is more, literature, because of its special employment of
language, because of the writer’s style and creativity, entertains the audience. Not only this,
literature innovates and rejuvenates language because it is made up of language itself.
And for students, literature in general has abundant uses in, for example, improving their
linguistic knowledge and developing their personality- it can help them to improve their reading,
understanding and communicative skills and to build their all-rounded personalities. Berhanu
Mathews states some of the uses of studying literature (for students): One important reason for
studying…literature is the development of literary competence ... (which) means the familiarity
with a particular mode of reading, analyzing, and interpreting literary works….Another reason
for studying…literature is the development of linguistic competence (skill of listening, speaking,
reading and writing)….. The students’ personal development is yet another important reason for
studying literature…Literary works often deal with subject matter that transcends both time and
culture. Through literature, students can learn about the past, the present, and can even gain an
insightful vision about the future. In short, since literature is an all-embracing subject, it provides
students with opportunities for having an insight into a wide range of human experiences. As
Wilga Reves (1983:33) puts it: ‘Through literature students can share the culture and the
concerns of many times and many peoples, far away and close at home..’. Still another reason for
studying literature is attainment of pleasure. Literature has its roots in one of the most basic
human desires, the desire for
pleasure…Since literary writers use language creatively, the reading of literature can have a
special aesthetic appeal to students… (Berhanu Mathews, Fundamentals of Literature: 5-7).

UNIT TWO: TYPES OF LITERATURE

Based on the medium of expression and other related criteria, literature can be divided into two
broad categories: Written and Oral literature(s).
2.1. Written Literature (W.L)
Written literature refers to any literary work which exists in manuscripts and/or books. Such
kinds of works are preserved and descended from people to people for ages without being
changed. i.e., written literature, as the name itself indicates, was developed after the invention of
writing- it is transmitted through the medium of print- and one of its distinctive features, in
contrast to oral literature, is that there may not be any visible change or variation in its content,
form or other features as it comes down from generation to generation. The other characteristic
of W.L. is that it can be understood through the process of reading and hence it does not
necessarily need performance. And unlike O.L., W.L. has no problem of authorship- the writers
are known. What is more, any reader of W.L. does not need the presence of the author in order to
read and understand it (Berhanu: 19-21).
But, Before the invention of writing, and of course side by side after writing was developed, human
beings used to express and transmit their custom, culture, view, wisdom, experience or way of life
through the word of mouth; thus, the part of literature which descends from generation to generation
orally is called oral literature. And as opposed to W.L., O.L. can be characterized by the significance of
actual performance (it can be realized through the verbal formulation of an actual (live) performer on a
specific occasion), variation (since O.L. is carried by memory and delivered by word of mouth, the
performer may introduce variation in wording, structure or content), actual context of use (oral literary
forms arise from and are used in the context of various social occasions), and audience participation
(since many oral literary forms are closely connected with social occasions, their performance involves
the participation of people present during the occasions) (Berhanu:14-15). In the following sections, the
concept, characteristics, types and roles of oral literature are discussed in a considerable detail.

2.2. Oral Literature/Folk Literature (O.L)

Before discussing Oral Literature directly, it seems advisable to say few words about the broad
concept out of which oral literature is branched, i.e., folklore. Folklore is one of the difficult
terms to define; though many scholars in the field have tried to define it, many of the definitions
are controversial. According to Stitch Thompson, cited in Melakneh Mengistu (2005:10),
The common idea present in all folklore is that of traditions, something handed down from one
to another and preserved either by memory or practice rather than written record. It involves the
dances, songs, tales, legends and traditions, the beliefs and superstitions and the proverbial
saying of peoples everywhere. It also includes studies of customs, of traditional agricultural and
domestic practices, types of buildings and utensils and traditional aspects of social organization
(Melakneh Mengistu, Map of African Literature).
As also mentioned in the same book (Map of African Literature: 11-13), the broader term
folklore has four branches:
1. Social Folk Custom- this tradition emphasizes group interaction rather than individual
performance. It includes such practices as community and family observances connected with
villages, manors, landmarks, households, birth rituals, initiations, marriage and death events and
processions, and religious and secular festivals.
2. Physical Folk Life- it is synonymous with material culture…Visible rather than aural aspects
of folk behavior existed prior to and continue to date alongside the mechanized industry.
Construction designs, folk customs, food preparation, furniture, relics, and fashioned tools are
examples of such culture.
3. Performing Folk Arts- refers to the traditional folk songs, dance and drama, litigation, horse-
racing and so forth since they involve an actual performance.
4. Folk Literature/Oral Literature- the verbal heritage of mankind transmitted from generation
to generation by word of mouth…It refers to folk speech (local and regional forms of phrase that
deviate from formal language used in education, court proceedings, mass-media and public
administration) plus verbal arts, expressive literature, voiced forms of traditional literature such
as folk narratives, songs, folk poetry- war chants, proverbs, riddles, legend, and creation myths.
For lack of standardization, it (Folk Literature) is also referred to as oral literature or popular
literature.

2.2.1. Characteristics of Oral Literature (and/or O.L in contrast to W.L)

“The most obvious characteristic of folk literature is its ‘orality’….It is concerned with speaking
and singing and with listening, thus depending upon the existence of a living culture to carry on a
tradition.” (Melakneh Mengistu, Fundamentals of Literature: 12).
In addition to orality (and what is mentioned under section 2.1 above), Oral literature, in contrast
to written literature, has the following characteristics (Melakneh, Map of African Literature:13-
14):
a. Volatility- the whole material happens to have fluidity or loss of originality through temporal,
spatial and cultural interactions. In the process, it undergoes modification or distortion as it
crosses from one cultural boundary to another (variation).
b. Conformity- behavior or actions that follow the accepted rules of society; it aims at
preserving the status quo rather than challenging or attacking or breaking its image.
c. Cumulative creativity- anonymity of its composer. Hence it is stamped (marked) with group
genius rather than that of an individual. d. Simplicity- involves unsophisticated linear plot,
uncomplicated conflict and a less demanding content.
e. Absence of concrete setting- indefinite setting- abstract place and time such as once upon a
time, etc.
f. Prevalence of Trickster Animal- unlike in written literature, personified animals prevail over
prose narratives, usually involving the victory of the weak over the strong by virtue of their wit.
g. The victory of Good over Evil- the age-old battle between vice and virtue is waged in which
case the virtuous ultimately triumphs over the vicious.
h. Seasonality- there is a closer correlation between a given folkloric genre and a given season
or holiday in a given socio-cultural context.
i. Means of soliciting public opinion- helps to gather the attitude of the public towards
governances.
j. Manifestation of unscientific world outlook- it is based on pure imagination and flourishes in
the absence of the spread of science and technology as is the case with the essence of creation
myths.
2.2.2. Types of Oral Literature
According to M.H. Abrams, (and as also mentioned above) folklore includes legends,
superstitions, songs, tales, proverbs, riddles, spells (magic charm, enchantment), and nursery
rhymes; pseudoscientific lore about the weather, plants, and animals; customary activities at
births, marriages, and deaths; and traditional dances and forms of drama which are performed on
holidays or at communal gatherings. Of these, only some of the common types of oral/folk
literature are discussed below.
2.2.2.1. Legend
It is a narrative of tradition handed down from the past. A legend is distinguished from a myth in
that the legend has more of historical truth and perhaps less of the supernatural. Legends often
indicate the lore of a people and, in this way, serve as at least partial expressions of the racial or
national spirit. Saints' legends are narratives of lives of the early church heroes, for example.
Legend is also used for any brief explanatory comment accompanying paintings, charts, maps, or
photographs.
2.2.2.2. Myth
In classical Greek, "mythos" signified any story or plot, whether true or invented. In its central
modern significance, however, a myth is one story in a mythology—a system of hereditary
stories of ancient origin which were once believed to be true by a particular cultural group, and
which served to explain (in terms of the intentions and actions of deities and other supernatural
beings) why the world is as it is and things happen as they do, to provide a rationale for social
customs and observances, and to establish the sanctions for the rules by which people conduct
their lives. Most myths are related to social rituals—set forms and procedures in sacred
ceremonies (Abrams: 170).
And as Edward Quinn adds, myths are stories belonging to a specific culture recounting
supernatural or paradoxical events designed to reflect that culture’s view of the world. Despite
their seemingly endless variety, myths tend to have an underlying consistency of action, theme,
and character.
It (myth) is an anonymous tale emerging from the traditional beliefs of a culture or social unit.
Myths use supernatural explanations for natural phenomena. They may also explain cosmic
issues like creation and death. Collections of myths, known as mythologies, are common to all
cultures.
2.2.2.3. Tales
The folktale, strictly defined, is a short narrative in prose of unknown authorship which has been
transmitted orally; many of these tales eventually achieve written form. The term, however, is
often extended to include stories invented by a known author. Folktales are found among peoples
everywhere in the world. They include myths, fables, tales of heroes (whether historical or
legendary), and fairy tales. Many so-called "fairy tales" are not stories of fairies but of various
kinds of marvels; another type of folk tale, the set "joke"—that is, the comic (often bawdy)
anecdote—is the most abundant and persistent of all; new jokes, or new versions of old jokes,
continue to be a staple of contemporary social exchange, wherever people congregate in a
relaxed mood (Abrams: 101).
2.2.2.4. Proverbs
It is a brief wise saying that expresses a truth about life. Whether tricky, homespun, or banal,
proverbs represent the common coin of literary experience. Humble yet assertive, they give
poetic speech to trivial, casual, and telling moments of social encounter. They have played a
motivating role in literary history whenever they are dramatically embedded in written literary
works.And as Holman states, a proverb is a sentence or phrase which briefly and strikingly
expresses some recognized truth or shrewd observation about practical life and which has been
preserved by oral tradition, though it may be preserved and transmitted in written literature as
well. So far as form goes, proverbs may owe their appeal to the use of a metaphor (e.g." Still
waters run deep"); antithesis ("Man proposes, God disposes"); a play on words ("Forewarned,
forearmed"); rhyme("A friend in need is a friend indeed"); or, alienation or parallelism. Some are
epigrammatic. Since many proverbs are old, their language is sometimes archaic. Words or
meanings or idioms or grammatical constructions not now common may be used and in such
cases a misunderstanding of the original meaning may result. Thus, in "Time and tide wait for no
man", tide is probably the old word for "season." The range of interest of the proverb is wide: the
weather, remedies for illness, legal shifts, superstitions, agriculture, efficiency in practical life,
satire on other races or on rival countries or localities. Proverbs pass freely from language to
language.
2.2.2.5. Riddles
The modern riddle has its more dignified ancestor in the riddles of medieval literature….The
interpretation of the riddles is sometimes obvious, sometimes obscure; but the descriptive power
of the poetry is often high, and the imagery is fresh and picturesque. The new moon is a young
Viking sailing the skies; the falcon wears the bloom of trees upon her breast; the swan is a
wandering spirit wearing a “noiseless robe." The swan, the falcon, the helmet, the horn, the hen,
the onion, beer, the Bible manuscript, the storm-spirit, and many other objects connected with
war, seamanship, nature, religion, and everyday life, describe themselves by descriptive epithet,
characteristic act, apt metaphor and end with a "Tell me what I'm called." These riddles contain
some of the best existing evidence of the use of external nature in the period and have been
termed the most secular of all existing Old English literature (Holman: 395).
2.2.2.6. Songs
Folk songs include love songs, Christmas carols, work songs, sea chanties, religious songs,
drinking songs, children's game-songs, and many other types of lyric, as well as the narrative
song, or traditional ballad.
2.2.2.7. Fable
A fable (also called an apologue) is a short narrative, in prose or verse that exemplifies an
abstract moral thesis or principle of human behavior; usually, at its conclusion, either the narrator
or one of the characters states the moral in the form of an epigram. Most common is the beast
fable, in which animals talk and act like the human types they represent. In the familiar fable of
the fox and the grapes, for example, the fox—after exerting all his wiles to get the grapes
hanging beyond his reach, but in vain—concludes that they are probably sour anyway: the
express moral is that human beings belittle what they cannot get (Abrams: 6). Look at the
following example: The Acorn and the Pumpkin By Jean de la Fontaine The Lord knows best
what He's about. No need to search for proof throughout The universe. Look at the pumpkin. It
gives us all the proof we need. To wit: The story of a village bumpkin — Garo by name—who
found one, gazed at it, And wondered how so huge a fruit could be Hung from so slight a stem:
"It doesn't fit! God's done it wrong! If He'd asked me, He'd hang them from those oaks. Big fruit,
big tree. Too bad someone so smart and strong_ At least that's what the vicar's always saying
With all his preaching and his praying Didn't have me to help His work along! I'd hang the acorn
from this vine instead . . . No bigger than my nail . . . It's like I said: God's got things backwards.
It's all wrong . . . Well, after all that weighty thought I'd best Take me a nap. We thinkers need
our rest." No sooner said than done. Beneath an oak Our Garo laid his head in sweet repose. Next
moment, though, he painfully awoke: An acorn, falling, hit him on the nose. Rubbing his face,
feeling his bruises, He finds it still entangled in his beard. "A bloody nose from this?" he muses.
"I must say, things aren't quite what they appeared. My goodness, if this little nut Had been a
pumpkin or a squash, then what? God knows His business after all, no question! It's time I
changed my tune!" With that suggestion, Garo goes home, singing the praise Of God and of His
wondrous ways.
2.2.3. Functions/roles of Oral/Folk Literature
Folk literature has various roles/significances in a given society. Some of the roles are given
below, as cited in Melakneh Mengistu (2005:12).
a. It has been used as a means of preserving traditional wisdom, recording history, social
harmonization, and sharpening of wits for ages as it flourishes in preliterate societies.
b. It serves as an etiological/explanatory function which has to do with the genesis of natural and
social phenomena that entails a moral sanction.
c. It is used to inculcate established norms and codes of behavior in the younger generation as
part of the social harmonization process.
d. It is/has been used as a rich source of written literature from which the plots of master pieces
like Oedipus Rex have been drawn.
e. It is a means of soliciting or reflecting public opinion.
UNIT THREE: GENRES OF LITERATURE
As discussed previously, Literature is broadly divided into two forms (as Oral and Written
literature) based on the medium of expression. On the other hand, literature can also be
classified into two major categories, based on (non-)fictionality: fiction/imaginative literature
and non-fiction. Prose fiction (the short story, novella and novel), poetry and drama, along with
their sub-genres, are classified under imaginative/fictional literature, and writings like essays,
biographies, diaries, memos, etc. are included under non-fictional literature- if they have literary
quality, style and technique.
3.1. Fiction
3.1.1. Prose Fiction
3.1.1.1. The Novel
Like literature, the Novel does not lend itself to easy definition. But it does not mean that there is
no working/operational definition for the term. As stated above, the imaginative part of literature
has three major genres: prose fiction, poetry and drama. (Genre is a French term derived from the
Latin genus, generis, meaning ‘type’ or ‘kind’. Genre can also refer to more specific types of
literature such as comedy, tragedy, epic poetry, or science fiction, etc. Generic division of
literature is done according to what they have in common either in their formal structures or in
their treatment of subject matter or both (Melakneh3), and the Novel is one of the prose
narratives/fictions. Below are certain definitions for the novel and prose fiction in general.
 The term "novel" is now applied to a great variety of writings that have in common only the
attribute of being extended works of fiction written in prose. As an extended narrative, the novel
is distinguished from the short story and from the work of middle length called the novelette; its
magnitude permits a greater variety of characters, greater complication of plot (or plots), ampler
development of milieu (setting, environment, location), and more sustained exploration of
character and motives than do the shorter, more concentrated modes.......
 An invented prose narrative of considerable length and a certain complexity that deals
imaginatively with human experience, usually through a connected sequence of events involving
a group of persons in a specific setting, is called a novel. Within its broad framework, the genre
of the novel has encompassed an extensive range of types and styles like picaresque, epistolary,
Gothic, romantic, realist, historical, etc.
The term novel is a truncation (short form) of the Italian word novella (from the plural of Latin
novellus, a late variant of novus meaning “new”), so that what is now, in most languages, a
diminutive denotes historically the parent form. The novella was a kind of enlarged anecdote.
 The term novel is an English transliteration of the Italian Novella (a short, compact, broadly
realistic TALE popular in the medieval period). In most European countries the word roman is
used rather than novel, thus linking the novel with that body of legendary, imaginative, and
poetic material associated with the older Romance of which, in one sense, the novel is a modern
extension.
All novels are representations in fictional Narrative of life or experience, but the form itself as
protean (variable) as life and experience themselves have proved to be. Serious FICTION deals
with human beings in significant action in the world. The world which appears to be a significant
stage for such ACTION varies greatly from author to author. An author's world may be only
within the lowest recesses of the human unconscious; it may be the haunted deck of a whaling
ship; it may be the fixed social structure of an aristocratic society; it may be a vast city or a
jungle in Africa; it may be the ideal structure of a Utopian dream. And human beings in their
essential selves can be viewed in an equally endlessly varying series of guises.
 A Novel is a fictitious prose narrative of considerable length, in which characters and
actions representative of real life are portrayed in a plot of more or less complexity.
Let us consider the key terms of the above definition.
Fictitious: sometimes, the term ‘fiction’ is used as an alternative to ‘novel’ and this is one way
of classifying the novel. Novels are fictions, or may be called fictitious, because they depict
imaginary characters and actions. However, we know that parts of some novels like Dickens’s
Great Expectations were drawn from the author’s own life and that other novels such as Daniel
Defoe’s Robinson Crusoe (1719) were suggested by and even based on real events. On the other
hand, there are novels like Mary Shelley’s Frankenstein which were derived from a dream or
nightmare, and could hardly have happened to somebody in real life. Some novels, therefore,
seem to be more or less fictitious than others.
Prose: It is possible to find novels in verse, the idea for which came from Alexander Pushkin’s
novel in verse, Eugene Onegin (1828–33), but most novels are written in prose, which helps to
establish a sense of the genre’s access to recognizable, everyday existence. This is because prose
is a form of language that does not draw attention to itself to the degree we expect of poetry, and
so tends to be thought of as a more ‘transparent’ medium.
Narrative: Narration is the process of telling, and it helps to distinguish novels from plays, or
drama, in which the action is directly presented rather than related. There are many narratives
that are not novels, from films to murals, and it may seem simpler to talk of ‘story’. The trouble
is that not only are there novels that lack story in the sense of a connected succession of events
(in the twentieth century, some of the novels of Samuel Beckett, for example), but a systematic
study of the elements of narration has developed, which draws on a much wider range of thought
than can be included under the heading of ‘story’. Perhaps the point to remember is that even
when novels appear to be dramatic or visual or in other ways non-narrative, they are nevertheless
always being told. There is always a narrator, a narrative voice or source, even where there is
what seems to be plain description, argument or statement.
Length: Novels must be longer than an anecdote or short story, but how long is ‘longer? Almost
anything seems possible, and some novels have been immense. It is not just a question of length,
however. It is also a question of how much space seems necessary for the fulfillment of our
expectations: a novel should engage us for long enough for us to feel it has dealt with its subject
in some depth and complexity. This is not very precise, which is why there are borderline cases
of narrative fictions which it is difficult to classify as either short stories or novels. For such
works we reserve the term ‘novella’.
Representative of real life: As readers, we expect novels to provide us with a special kind of
access to real life. When we begin to read Dickens’s Great Expectations, for example, the novel
seems to present us with a recognizable world, a world we can believe in….Novels seem to
address themselves more closely to real life than poetry or drama….Most of the fiction we read
(and indeed, watch, in the form of television drama) is realist in orientation.
3.1.1.2. The Novella and the Short Story
The short story is a concise form of prose fiction. As with the novel, the roots of the short story
lie in antiquity and the Middle Ages. Story, myth, and fairy tales relate to the oldest types of
textual manifestations, “texts” which were primarily orally transmitted. Indirect precursors of the
short story are medieval and early modern narrative cycles. The Arabian Thousand and One
Nights, compiled in the fourteenth and subsequent centuries, Giovanni Boccaccio’s (1313–75)
Italian Decameron (1349–51), and Geoffrey Chaucer’s (c. 1343–1400) Canterbury Tales (c.
1387) anticipate important features of modern short fiction. These cycles of tales are
characterized by a frame narrative.
The short story emerged as a more or less independent text type at the end of the eighteenth
century, parallel to the development of the novel. A crucial feature commonly identified with the
short story is its impression of unity since it can be read—in contrast to the novel—in one sitting
without interruption. Due to restrictions of length, the plot of the short story has to be highly
selective, entailing an idiosyncratic temporal dimension that usually focuses on one central
moment of action. The slow and gradual build-up of suspense in the novel must be accelerated in
the short story by means of specific techniques. The action of the short story therefore often
commences close to the climax (in medias res—“the middle of the matter”), reconstructing the
preceding context and plot development through flashbacks. Focusing on one main figure or
location, the setting and the characters generally receive less detailed and careful depiction than
in the novel. In contrast to the novel’s generally descriptive style, the short story, for the simple
reason of limited length, has to be more suggestive.
While the novel experiments with various narrative perspectives, the short story usually chooses
one particular point of view, relating the action through the eyes of one particular figure or
narrator.
The novella or novelette, such as Joseph Conrad’s (1857–1924) Heart of Darkness (1902), holds
an intermediary position between novel and short story, since its length and narratological
elements cannot be strictly identified with either of the two genres.
Generally, the short story is a brief work of prose fiction, and most of the terms for analyzing the
component elements, the types, and the various narrative techniques of the novel are applicable
to the short story as well; (however), the short story differs from the novel in the dimension that
Aristotle called "magnitude," and this limitation of length imposes differences both in the effects
that the story can achieve and in the choice, elaboration, and management of the elements to
achieve those effects.
3.1.2. Drama
The form of composition designed for performance in the theater, in which actors take the roles
of the characters, perform the indicated action, and utter the written dialogue. (The common
alternative name for a dramatic composition is a Play.) (Abrams: 69). The dramatic or
performing arts, different from prose fiction, thus, combine the verbal with a number of non-
verbal or optical visual means, including stage, scenery, shifting of scenes, facial expressions,
gestures, make-up, props, and lighting. This emphasis is also reflected in the word drama itself,
which derives from the Greek “draein” (“to do,” “to act”), thereby referring to a performance or
representation by actors.
Because of the element of performance, drama generally transcends the textual dimension of the
other two major literary genres, prose fiction and poetry. Although the written word serves as the
basis of drama, it is, in the end, intended to be transformed into a performance before an
audience. In order to do justice to this change of medium, we ought to consider text,
transformation, and performance as three interdependent levels of a play.
a. Text: dialogue, monologue, plot, setting, stage direction
b. transformation: directing, stage, props ,lighting
c. performance: actors, methods, facial expressions, gesture, language
a. Text
Since many textual areas of drama—character, plot, and setting— overlap with aspects of fiction
which have already been explained, the following section will only deal with those elements
specifically relevant to drama per se. Within the textual dimension of drama, the spoken word
serves as the foundation for dialogue (verbal communication between two or more characters)
and monologue (soliloquy). The aside is a special form of verbal communication on stage in
which the actor “passes on” to the audience information which remains unknown to the rest of
the characters in the play.
b. Transformation
Transformation, an important part of dramatic productions in the twentieth century, refers to the
connecting phase between text and performance. It comprises all logistic and conceptual steps
that precede the performance and are usually summarized under the heading directing. This
transformation is not directly accessible to the audience; nevertheless, it influences almost all
elements of the performance.
c. Performance
The last phase, the performance, focuses on the actor, who conveys the combined intents of
author and director. It has only been during the last hundred years that the methodological
training of actors has established itself as a theatrical phenomenon alongside directing.
3.1.2.1. Comedy
In the most common literary application, a comedy is a fictional work in which the materials are
selected and managed primarily in order to interest and amuse us: the characters and their
discomfitures engage our pleasurable attention rather than our profound concern, we are made to
feel confident that no great disaster will occur, and usually the action turns out happily for the
chief characters. The term "comedy" is customarily applied only to plays for the stage or to
motion pictures; it should be noted, however, that the comic form, so defined, also occurs in
prose fiction and narrative poetry. Within the very broad spectrum of dramatic comedy, the
following types are frequently distinguished:
(1) Romantic comedy-it was developed by Elizabethan dramatists on the model of
contemporary prose romances. Such comedy represents a love affair that involves a beautiful and
engaging heroine (sometimes disguised as a man); the course of this love does not run smoothly,
yet overcomes all difficulties to end in a happy union.
(2) Satiric comedy ridicules political policies or philosophical doctrines, or else attacks
deviations from the social order by making ridiculous the violators of its standards of morals or
manners
(3) The comedy of manners – drama which deals with the vicissitudes of young lovers (one of
the many changes and problems in a situation or in one’s life, that one has to deal with).
(4) Farce - a type of comedy designed to provoke the audience to simple, hearty laughter
—"belly laughs," in the parlance of the theater. To do so it commonly employs highly
exaggerated or caricatured types of characters, puts them into improbable and ludicrous
situations, and makes free use of sexual mix-ups, broad verbal humor, and physical bustle and
horseplay(Abrams: 38).
3.1.2.2. Tragedy
The term is broadly applied to literary, and especially to dramatic, representations of serious
actions which eventuate in a disastrous conclusion for the protagonist (the chief character). More
precise and detailed discussions of the tragic form properly begin—although they should not end
—with Aristotle's classic analysis in the Poetics (fourth century B.C.). Accordingly, Aristotle
says that the tragic hero will most effectively evoke both our pity and terror if he is neither
thoroughly good nor thoroughly bad but a mixture of both; and also that this tragic effect will be
stronger if the hero is "better than we are," in the sense that he is of higher than ordinary moral
worth. Such a man is exhibited as suffering a change in fortune from happiness to misery
because of his mistaken choice of an action, to which he is led by his hamartia—his "error of
judgment" or, as it is often though less literally translated, his tragic flaw. (One common form of
hamartia in Greek tragedies was hubris, that "pride" or overweening self-confidence which leads
a protagonist to disregard a divine warning or to violate an important moral law.) The tragic
hero, like Oedipus in Sophocles' Oedipus the King, moves us to pity because, since he is not an
evil man, his misfortune is greater than he deserves; but he moves us also to fear, because we
recognize similar possibilities of error in our own lesser and fallible selves. Aristotle grounds his
analysis of "the very structure and incidents of the play" on the same principle; the plot, he says,
which will most effectively evoke "tragic pity and fear" is one in which the events develop
through complication to a catastrophe in which there occurs (often by an anagnorisis, or
discovery of facts hitherto unknown to the hero) a sudden peripeteia, or reversal in his fortune
from happiness to disaster.
3.1.2.3. Tragicomedy
A type of drama which intermingles both the standard characters and subject matter and the
standard plot forms of tragedy and comedy. Thus, the important agents in tragicomedy included
both people of high degree and people of low degree, even though, according to the reigning
critical theory of that time, only upper-class characters were appropriate to tragedy, while
members of the middle
and lower classes were the proper subject solely of comedy. Also, tragicomedy represented a
serious action which threatened a tragic disaster to the protagonist, yet, by an abrupt reversal of
circumstance, turned out happily (Abrams: 323).
3.1.3. Poetry
Poetry is one of the oldest genres in literary history. Its earliest examples go back to ancient
Greek literature. In spite of this long tradition, it is harder to define than any other genre. Poetry
is closely related to the term “lyric,” which derives etymologically from the Greek musical
instrument “lyra” (“lyre” or “harp”) and points to an origin in the sphere of music. In classical
antiquity as well as in the Middle Ages, minstrels (singers or musicians) recited poetry,
accompanied by the lyre or other musical instruments. The term “poetry,” however, goes back to
the Greek word “poieo” (“to make,” “to produce”), indicating that the poet is the person who
“makes” verse. Although etymology sheds light on some of the aspects of the lyric and the
poetic, it cannot offer a satisfactory explanation of the phenomenon as such. Most traditional
attempts to define poetry juxtapose poetry with prose. The majority of these definitions are
limited to characteristics such as verse, rhyme, and meter, which are traditionally regarded as the
classical elements that distinguish poetry from prose. These criteria, however, cannot be applied
to modern prose poetry or experimental poetry. Explanations of the genre which combine poetic
language with linguistic elements other than rhyme and meter do more justice to non-traditional
forms such as free verse or prose poems. These approaches examine as lyric phenomena the
choice of words as well as the use of syntactic structures and rhetorical figures. Although these
elements dominate in some forms of poetry, they also appear in drama or fiction. In spite of the
difficulties associated with the definition of poetry, the above-mentioned heterogeneous criteria
outline the major qualities that are conventionally attributed to poetry.
The genre of poetry is often subdivided into the two major categories of narrative and lyric
poetry. Narrative poetry includes genres such as the epic long poem, the romance, and the ballad,
which tell stories with clearly developed, structured plots. The shorter lyric poetry is mainly
concerned with one event, impression, or idea.
Although some elements of fiction can also be applied to the analysis of poetry, there are, of
course, idiosyncratic features associated with the genre of poetry in particular. The following
elements are not restricted to poetry alone, but nevertheless stand at the center of attention in
analyses of this genre.
An important term in poetry is “image” or imagery, which is pertinent to a number of divergent
issues under discussion. The word itself can be traced back to the Latin “imago” (“picture”) and
refers to a predominantly visual component of a text which can, however, also include other
sensory impressions. Imagery is often regarded as the most common manifestation of the
“concrete” character of poetry. Even if an abstract theme is at the center of the poem, the poet
still uses concrete imagery in order to make it more accessible. The concrete character of poetic
language can be achieved on lexical-thematic, visual, and rhythmic-acoustic levels which reflect
the most important elements in poetry:
a. Lexical-thematic dimension: diction, rhetorical figures, theme
b. Visual dimension: stanzas, concrete poetry
c. rhythmic-acoustic dimension: rhyme and meter, onomatopoeia
a. Lexical-thematic dimension
While the term “narrator” is used in the context of point of view and characters in the treatment
of fiction, the alternative word for poetry is “voice” or “speaker.” As poetry is often regarded as
a medium for the expression of subjective, personal events—an assumption which does not
always correspond to the facts—the issue of the speaker is central to the analysis of poems. The
question whether the speaker and the author are one and the same person is, of course, also
relevant to fiction. In the novel and the short story, however, a distinctive use of point of view
techniques easily creates a distance between the narrator and the author. In longer poetic forms,
the narrative situation can be as complex as that of the novel or the short story. The ballad
assumes a position between the epic long forms and the lyric short forms. In spite of a well-
developed plot and complex narrative perspective, the ballad is, however, surpassed by the epic
and the romance in size and complexity. The use of poetic language, more than the use of
complex narrative situations, distinguishes poetry from other literary genres. Concrete nouns and
scenes are employed in order to achieve this particular effect. Look at the following elegy by
W.H. Auden (1907–73). Stop all the clocks, cut off the telephone, Prevent the dog from barking
with a juicy bone, Silence the pianos and with a muffled drum Bring out the coffin, let the
mourners come. […] He was my North, my South, my East, my West, My working week and my
Sunday rest, My noon, my midnight, my talk, my song; I thought that love would last forever: I
was wrong. The stars are not wanted now: put out every one; Pack up the moon and dismantle
the sun; Pour away the ocean and sweep the wood; For nothing now can ever come to any good.
As this poem shows, the poet consciously introduces concrete objects (“juicy bone,” “sun”) and
everyday situations (“working week,” “Sunday rest”) in order to treat the theme of mourning on
a level that is familiar to the reader and therefore emotionally loaded. In contrast to philosophical
texts, which remain abstract in their expression, poetry tries to convey themes in a concrete
language of images. Images and concrete objects often serve the additional function of symbols
if they refer to a meaning beyond the material object. The poet can either use a commonly
known, conventional symbol or create his own private symbol which develops its symbolic
function in its particular context.
Further stylistic features include rhetorical figures, or figures of speech. These classified stylistic
forms are characterized by their “nonliteral” meanings. There are more than two hundred
different figures of speech, of which simile and metaphor are the most commonly used in poetry.
A simile is a comparison between two different things which are connected by “like,” “than,”
“as,” or “compare,” as in Robert Burns’ (1759–96) poem “A Red, Red Rose” (1796):
Oh, my love is like a red, red rose
That’s newly sprung in June;
My love is like the melody
That’s sweetly played in tune. […]
The equation of one thing with another without actual comparison is called metaphor. If Burns
said “My love is a red, red rose,” instead of “Oh, my love is like a red, red rose,” the simile
would be transformed into a metaphor. In his poem “Auguries of Innocence” (c. 1803), William
Blake (1757–1827) uses a different metaphor in each stanza:
To see a world in a grain of sand
And a heaven in a wild flower,
Hold infinity in the palm of your hand
And eternity in an hour.
A grain of sand is used as a metaphor for the world, a flower for the sky, and so on. In the
metaphor and in the simile, two elements are juxtaposed: the tenor (the person, object, or idea) to
which the vehicle (or image) is equated or compared. In “Oh, my love is like a red, red rose,”
“my love” functions as the tenor and “red rose” as the vehicle. Rhetorical figures are widely used
in poetry because they produce a “non-literal” meaning and reduce abstract or complex tenors to
concrete vehicles, which again enhances the concrete character poetry ought to achieve.
b. Visual dimension
While imagery in traditional poetry revolves around a transformation of objects into language,
concrete poetry takes a further step toward visual art, concentrating on the poem’s shape or
visual appearance. This movement, which was revived in the twentieth century, has a long
tradition, reaching from classical antiquity to the Latin Middle Ages and on to seventeenth-
century England. Among the best-known picture-poems of English literature are George
Herbert’s (1593– 1633) “Easter Wings” (1633) and “The Altar” (1633). As shown below,
Herbert’s poem conveys a visual as well as a verbal image of an altar, which the poet has
constructed from parts which have been given to him by God. The building blocks of the altar
are the words, which Herbert assembles in the shape of an altar.
The Altar A broken Altar, Lord, Thy servant rears, Made of a heart and cemented with tears;
Whose parts are as Thy Hand did frame; No workman’s tool hath touched the same. A heart
alone Is such a stone, As nothing but Thy power doth cut. Wherefore each part Of my hard heart
Meets in this frame To praise Thy frame To praise Thy name, That if I chance to hold my peace,
These stones to praise Thee may not cease. Oh, let Thy blessed sacrifice be mine, And sanctify
this altar to be Thine
c) Rhythmic-acoustic dimension
In order to achieve the concrete quality of poetic language, sound and tone are employed as
elements with their own levels of meaning. By choosing certain words in a line or stanza, a poet
can produce a sound or tone which is directly related to the content of the statement. The
acoustic element, like a poem’s visual appearance in concrete poetry, can enhance the meaning
of a poem.
Meter and rhyme (less often, rime) are further devices in the acoustic dimension of poetry
which hold a dominant position in the analysis of poems, partly because they are relatively easy
to objectify and measure. The smallest elements of meter are syllables, which can be either
stressed or unstressed. According to the sequence of stressed and unstressed syllables, it is
possible to distinguish between various metrical feet, whose number consequently indicates the
meter. In the analysis of the meter (scansion), a line is first divided into syllables. The example
here is the verse “The woods are lovely, dark and deep” from Robert Frost’s (1874–1963) poem
“Stopping by the Woods on a Snowy Evening” (1923):
The—woods—are—love—ly,—dark—and—deep
After the division into syllables, stressed syllables (′) and unstressed syllables (˘) are identified.
The technical term for this process is scansion:
The—woods—ăre—love—lў,—dark—ănd—deep
According to the sequence of stressed and unstressed syllables, the line can be divided into feet:
Thĕ—woods|—ăre—love|—lў,—dark|—ănd—deep.
The four most important feet are: (1) Iambus, or iambic foot: an unstressed syllable followed by
a stressed syllable (˘′) Thĕ cur|fĕw tolls|thĕ knell|ŏf par|tĭng day (2) Anapest, or anapestic foot:
two unstressed syllables followed by one stressed syllable (˘˘′) Ănd thĕ sheen|ŏf theĭr spears|wăs
lĭke stars|ŏn thĕ sea. (3) Trochee, or trochaic foot: a stressed syllable followed by an unstressed
syllable ('˘) there thĕy|are, mў|fiftў|men ănd|womĕn. (4) Dactyl or dactylic foot: one stressed
syllable followed by two unstressed syllables (′˘˘) Just fŏr ă|handfŭl ŏf|silvĕr hě|left ŭs.
According to the number of feet, it is possible to distinguish monometer (1), dimeter (2), trimeter
(3), tetrameter (4), pentameter (5), and hexameter (6). In the description of the meter of a line,
the name of the foot and the number of feet are mentioned.
Alongside meter, rhyme adds to the dimension of sound and rhythm in a poem. It is possible to
distinguish internal, end, and eye rhymes. Internal rhymes are alliteration and assonance.
Alliteration is the repetition of the same consonant at the beginning of words in a single line
(“round and round the rugged rock the ragged rascal ran”). If a vowel is repeated instead (either
at the beginning or in the middle of words) it is called assonance (“Thou foster child of silence
and slow time”).
The most common rhyming scheme in modern poems is end rhyme, which is based on identical
syllables at the end of certain lines. To describe rhyme schemes, letters of the alphabet are used
to represent identical syllables at the end of a line, as in the following poem:
Cold in the earth—and in the deep snow piled above thee, a
Far, far removed, cold in the dreary grave! b
Have I forgot, my only Love, to love thee, a
Served at last by Time’s all-severing wave? b
This system of identification helps to highlight the rhyme structure of complex poems by
reducing them to their basic patterns.
Eye rhymes stand between the visual and the acoustic dimension of a poem, playing with the
spelling and the pronunciation of words, as in the lines below:
Then reached the caverns measureless to man,
And sank in tumult to a lifeless ocean:
And ‘mid this tumult Kubla heard from far
Ancestral voices prophesying war!
The syllables “an” at the end of the first two lines are examples of eye rhyme, as the sequence of
the letters “a” and “n” is identical, but pronounced differently in the two verses. Eye rhymes play
with the reader’s expectations. When reading the two lines in Coleridge’s poem, one is tempted
to pronounce the syllable “an” in “man” and “ocean” in such a way that the two words rhyme.
By the time one gets to the word “ocean,” however, it has become clear that they only rhyme
visually and have to be pronounced differently. The multitude of different stanzas in English
poetry can be reduced to a few basic forms. Most poems are composed of couplets (two lines),
tercets (three lines) or quatrains (four lines). The sonnet is an example of the combination of
different stanzas. According to the rhyming scheme and the kind of stanzas, one can distinguish
between Shakespearean, Spenserian, and Italian (or Petrarchan) sonnets. The English or
Shakespearean sonnet consists of three quatrains and one couplet. The fourteen lines are in
iambic pentameter and follow the rhyme scheme abab cdcd efef gg.
Let me not to the marriage of true minds a
Admit impediments; love is not love b
Which alters when it alteration finds, a
Or bends with the remover to remove. b
5 Oh no, it is an ever-fixèd mark c
That looks on tempests and is never shaken; d
It is the star to every wand’ring bark, c
Whose worth’s unknown, although his height be taken. d
Love’s not Time’s fool, though rosy lips and cheeks e
10 Within his bending sickle’s compass come, f
Love alters not with his brief hours and weeks, e
But bears it out even to the edge of doom. f
If this be error and upon me proved, g
I never writ, nor no man ever loved. g
Saying this about few features of poetry, below are given some common forms/kinds of poems:
a. Ballad
A short definition of the popular ballad (known also as the folk ballad or traditional ballad) is
that it is a song, transmitted orally, which tells a story. Ballads are thus the narrative species of
folk songs, which originate, and are communicated orally, among illiterate or only partly literate
people. In all probability the initial version of a ballad was composed by a single author, but he
or she is unknown; and since each singer who learns and repeats an oral ballad is apt to introduce
changes in both the text and the tune, it exists in many variant forms. Typically, the popular
ballad is dramatic, condensed, and impersonal: the narrator begins with the climactic episode,
tells the story tersely by means of action and dialogue (sometimes by means of the dialogue
alone), and tells it without self-reference or the expression of personal attitudes or feelings.
(Abrams: 18).
Originally a song associated with dance, the ballad developed into a form of folk verse narrative.
The majority of folk ballads deal with themes of romantic passion, love affairs that end
unhappily, or with political and military subjects. The story usually is in dialogue form, in direct
and unsparing language, arranged in quatrains with the second and fourth lines rhyming. Ex.:
O mother, mother, make my bed!
O make it saft and narrow!
Since my love died for me today
I’ll die for him to-morrow. (Quinn: 46)
b. Lyric
In the most common use of the term, a lyric is any fairly short poem, consisting of the utterance
by a single speaker, who expresses a state of mind or a process of perception, thought, and
feeling. Many lyric speakers are represented as musing in solitude. In dramatic lyrics, however,
the lyric speaker is represented as addressing another person in a specific situation; an instance is
John Milton's sonnet "When I consider how my light is spent". When I Consider How My Light
Is Spent John Milton When I consider how my light is spent Ere half my days, in this dark world
and wide, And that one talent which is death to hide, Lodged with me useless, though my soul
more bent To serve therewith my Maker, and present My true account, lest he returning chide;
"Doth God exact day-labor, light denied?" I fondly ask; but Patience to prevent That murmur,
soon replies, "God doth not need Either man's work or his own gifts; who best Bear his mild
yoke, they serve him best. His state Is kingly. Thousands at his bidding speed And post o'er land
and ocean without rest: They also serve who only stand and wait."
C. Ode
A long lyric poem that is serious in subject and treatment, elevated in style, and elaborate in its
stanzaic structure. The term now calls to mind a lyric which is "massive, public in its
proclamations (Abrams: 198).
It is a single, unified strain of exalted lyrical verse directed to a single purpose, and dealing with
one theme. The term connotes certain qualities of both manner and form. In manner, the ode is
an elaborate lyric, expressed in language dignified, sincere, and imaginative and intellectual in
tone. In form the ode is more complicated than most of the lyric types.
D. Elegy
In Greek and Roman literature, "elegy" denoted any poem written in elegiac meter (alternating
hexameter and pentameter lines). The term was also used, however, to refer to the subject matter
of change and loss frequently expressed in the elegiac verse form, especially in complaints about
love. In the seventeenth century the term elegy began to be limited to its most common present
usage: a formal and sustained lament in verse for the death of a particular person, usually ending
in a consolation.
The dirge is also a versified expression of grief on the occasion of a particular person's death, but
differs from the elegy in that it is short, is less formal, and is usually represented as a text to be
sung (Abrams: 72).
E. Sonnet
Sonnet is a lyric poem consisting of a single stanza of fourteen iambic pentameter lines linked by
an intricate rhyme scheme. There are two major patterns of rhyme in sonnets written in the
English language:
1. The Italian or Petrarchan sonnet (named after the fourteenth century Italian poet Petrarch)
falls into two main parts: an octave (eight lines) rhyming abbaabba followed by a sestet (six
lines) rhyming cdecde or some variant, such as cdccdc. Petrarch's sonnets were first imitated in
England, both in their stanza form and their subject—the hopes and pains of an adoring male
lover—by Sir Thomas Wyatt in the early sixteenth century.
2. The English sonnet, or else the Shakespearean sonnet, after its greatest practitioner. This
sonnet falls into three quatrains and a concluding couplet: abab cdcd efef gg. There was also one
notable variant, the Spenserian sonnet, in which Spenser linked each quatrain to the next by a
continuing rhyme: abab bebe cdcd ee. (see Shakespeare’s sonnet on page 28)
3.2. Non- Fiction
3.2.1. Essay
Any short composition in prose that undertakes to discuss a matter, express a point of view,
persuade us to accept a thesis on any subject, or simply entertain. The essay differs from a
"treatise" or "dissertation" in its lack of pretension to be a systematic and complete exposition,
and in being addressed to a general rather than a specialized audience; as a consequence, the
essay discusses its subject in nontechnical fashion, and often with a liberal use of such devices as
anecdote, striking illustration, and humor to augment its appeal.
A useful distinction is that between the formal and informal essay. The formal essay, or article,
is relatively impersonal: the author writes as an authority, or at least as highly knowledgeable,
and expounds the subject in an orderly way. Examples will be found in various scholarly
journals, as well as among the serious articles on current topics and issues in any of the
magazines addressed to a thoughtful audience. In the informal essay (or "familiar" or "personal
essay"), the author assumes a tone of intimacy with his audience, tends to deal with everyday
things rather than with public affairs or specialized topics, and writes in a relaxed, self-
revelatory, and sometimes whimsical fashion.
3.2.2. Biographies
Late in the seventeenth century, John Dryden defined biography neatly as "the history of
particular men's lives." The name now connotes a relatively full account of a particular person's
life, involving the attempt to set forth character, temperament, and milieu, as well as the subject's
activities and experiences.
Medieval authors wrote generalized chronicles of the deeds of a king, as well as hagiographies:
the stylized lives of Christian saints, often based much more on pious legends than on fact.
Autobiography is a biography written by the subject about himself or herself. It is to be
distinguished from the memoir, in which the emphasis is not on the author's developing self but
on the people and events that the author has known or witnessed, and also from the private diary
or journal, which is a day-to-day record of the events in one's life, written for personal use and
satisfaction, with little or no thought of publication. Examples of the latter type are the
seventeenth-century diaries of Samuel Pepys and John Evelyn, the eighteenth-century journals of
James Boswell and Fanny Burney, and Dorothy Wordsworth's remarkable Journals, written
1798-1828. The first fully developed autobiography is also the most influential: the Confessions
of St. Augustine, written in the fourth century. The design of this profound and subtle spiritual
autobiography centers on what became the crucial experience in Christian autobiography: the
author's anguished mental crisis, and a recovery and conversion in which he discovers his
Christian identity and religious vocation.
3.2.3. Diaries/ Memoirs
Diary is a daily account of events recorded by an individual, usually personal in nature. Often
used synonymously with the term journal, it is distinguished from the latter by its more intimate
and informal tone. An example of a famous diarist is Samuel Pepys in the 17th century.
Undoubtedly the most compelling diary of modern times is Anne Frank’s Diary of a Young Girl,
published in 1952, written while she was hiding from the Nazis during World War II.
3.2.4. Historical Fictions
A type of FICTION in which a significant historical event or era serves as a backdrop to a story
that may include fictional or historical characters or a mix of both.
3.2.5. Letters/chronicles/accounts
Strictly speaking, a chronicle is a record of historical events arranged consecutively in list form,
and largely devoid of anecdote or explanation—dependent on chronology rather than plot.

UNIT FOUR: ELEMENTS OF LITERATURE

4.1. Character(s)
Characters are human beings, and/or animals acting as human beings in a fictional story and
being so they are given the natures, qualities, feelings, etc the real human beings possess, and
like the real people in the real world, the people in a fictional work (the short story in our case)
are different in their temperament, act, world view, etc. Based on these and other parameters,
characters can be divided into two categories- Flat and Round. Flat characters are characters with
shallow, easily identifiable, unchanging, stubborn, etc nature or behavior, but round characters
are characters with dynamic, complex, unpredictable, etc temperament.
Characters, as said above, are the persons represented in a dramatic or narrative work, who are
interpreted by the reader as being endowed with particular moral, intellectual, and emotional
qualities by inferences from what the persons say and their distinctive ways of saying it—the
dialogue, and from what they do—the action. The grounds in the characters' temperament,
desires, and moral nature for their speech and actions are called their motivation. A character
may remain essentially "stable," or unchanged in outlook and disposition, from beginning to end
of a work) or may undergo a radical change, either through a gradual process (in case of novels)
of development or as the result of a crisis.
E. M. Forster, British novelist and critic, introduced popular new terms for an old distinction by
discriminating between flat and round characters. A flat character (also called a type, or "two-
dimensional"), Forster says, is built around "a single idea or quality" and is presented without
much individualizing detail, and therefore can be fairly adequately described in a single phrase
or sentence. A round character, on the other hand, is complex in temperament and motivation
and is represented with subtle particularity; such a character therefore is as difficult to describe
with any adequacy as a person in real life, and like real persons, is capable of surprising us.
In another dimension, characters can be divided as major and minor, protagonist and antagonist,
etc. I. e., the chief character in a plot, on whom our interest centers, is called the protagonist (or
alternatively, the hero or heroine), and if the plot is such that he or she is pitted against an
important opponent, that character is called the antagonist (Abrams: 225).
4.2. Story
Story is the narrative of events/ what happens in fiction. It is commonly known as events in time
sequence. It was the English Novelist E.M. Forster who first marked the difference between
story and plot saying: We have defined a story as a narrative of events arranged in their time-
sequence. A plot is also a narrative of events, the emphasis falling on causality. “The king died
and then the queen died,” is a story. “The king died, and then the queen died of grief” is a plot.
The time-sequence is preserved, but the sense of causality overshadows it. Or again: “The queen
died, no one knew why, until it was discovered that it was through grief at the death of the king.”
This is a plot with a mystery in it, a form capable of high development. It suspends the time-
sequence, it moves as far away from the story as its limitations will allow. Consider the death of
the queen. If it is in a story we say “and then?” If it is in a plot we ask “why?” That is the
fundamental difference between these two (E.M. Forster, Aspects of the Novel: 61).
4.3. Plot
Plot is the logical interaction of the various thematic elements of a text which lead to a change of
the original situation as presented at the outset of the narrative. An ideal traditional plot line
encompasses the following four sequential levels:
Exposition—complication—climax or turning point— resolution
In the exposition the reader or audience meets the characters, and any past events which help us
to understand the situation are explained. In this opening section the author also brings out
dominant ideas or aspects of character, announcing the themes of the text. Usually the opening
section is bare of action: the reader is getting to know the characters and the situation, so the text
often opens during a stable pause before much action can begin. Here you will often find long
speeches (but in the case of the short story long speech and gradual development are uncommon)
which explain what happened before the story started, or the characters discussing important
themes before the action begins.
As soon as we know enough about the situation and characters, the writer introduces the
complication: problems or mysteries which will have to be solved, tests for the characters, action
and movement. In this section the writer makes the plot happen. The complications of the plot
explore the complex nature of the characters and the big issues of the text, and put themes and
characters under pressure to force them to an outcome.
In the resolution, something drastic finally happens, something which solves problems and
mysteries, and either happily or disastrously clears up the complications of the plot. In this last
section you can expect the characters to die, marry, or come to terms with their fate (Nicholas
Marsh, How to Begin Studying English Literature: 42-43)). Generally, the exposition or
presentation of the initial situation is disturbed by a complication or conflict which produces
suspense and eventually leads to a climax, crisis, or turning point. The climax is followed by a
resolution of the complication (French denouement), with which the text usually ends. Most
traditional fiction, drama, and film employ this basic plot structure, which is also called linear
plot since its different elements follow a chronological order.
The plot (which Aristotle termed the mythos) in a dramatic or narrative work is constituted by its
events and actions, as these are rendered and ordered toward achieving particular artistic and
emotional effects. This description is deceptively simple, because the actions (including verbal
discourse as well as physical actions) are performed by particular characters in a work, and are
the means by which they exhibit their moral and dispositional qualities. Plot and character are
therefore interdependent critical concepts—as Henry James has said, "What is character but the
determination of incident? What is incident but the illustration of character?" Notice also that a
plot is distinguishable from the story—that is, a bare synopsis (outline, summary, précis,
abridgment) of the temporal order of what happens. When we summarize the story in a literary
work, we say that first this happens, then that, then that. . . . It is only when we specify how this
is related to that, by causes and motivations, and in what ways all these matters are rendered,
ordered, and organized so as to achieve their particular effects, that a synopsis begins to be
adequate to the plot.
There are a great variety of plot forms. For example, some plots are designed to achieve tragic
effects, and others to achieve the effects of comedy, romance, satire, or of some other genre.
Each of these types in turn exhibits diverse plot-patterns, and may be represented in the mode
either of drama or of narrative, and either in verse or in prose.
Many, but far from all, plots deal with a conflict. In addition to the conflict between individuals,
there may be the conflict of a protagonist against fate, or against the circumstances that stand
between him and a goal he has set himself; and in some works the chief conflict is between
opposing desires or values in the protagonist's own temperament.
As a plot evolves (progresses, develops, changes) it arouses expectations in the audience or
reader about the future course of events and actions and how characters will respond to them. A
lack of certainty, on the part of a concerned reader, about what is going to happen, especially to
characters with whom the reader has established a bond of sympathy, is known as suspense. If
what in fact happens violates any expectations we have formed, it is known as surprise. The
interplay of suspense and surprise is a prime source of vitality in a traditional plot.
A plot is commonly said to have unity of action (or to be "an artistic whole") if it is
apprehended by the reader or auditor as a complete and ordered structure of actions, directed
toward the intended effect, in which none of the prominent component parts, or incidents, is
nonfunctional; as Aristotle put this concept, all the parts are "so closely connected that the
transposal or withdrawal of any one of them will disjoint and dislocate the whole." Aristotle
claimed that it does not constitute a unified plot to present a series of episodes which are strung
together simply because they happen to a single character.
4.4. Setting
The overall setting of a narrative or dramatic work is the general locale, historical time, and
social circumstances in which its action occurs; the setting of a single episode or scene within
such a work is the particular physical location in which it takes place (Abrams: 284).
The makeup and behavior of fictional characters depend on their environment quite as much as
on the personal dynamic with which their author endows them: indeed, for naturalist writers like
Emile Zola, environment is of overriding (dominant, prime, paramount) importance, because
they believed it determined character.
Setting being the physical, and sometimes spiritual, background against which the action of a
narrative (novel, drama, short story, and poems) takes place, has four elements: (1) the actual
geographical location, its topography, scenery, and such physical arrangements as the location of
the windows and doors in a room; (2) the occupations and daily manner of living of the
characters; (3) the time or period in which the action takes place, e.g., epoch in history or season
of the year; (4) the general environment of the characters, e.g., religious, mental, moral, social,
and emotional conditions through which the people in the Narrative move (Holman: 423). In
short stories, while these elements are partly or wholly available, there may not be detail
description of each of them mainly because of its magnitude.
4.5. Theme
Theme is the central or dominating idea in a literary work. In nonfiction prose it may be thought
of as the general topic of discussion, the subject of the discourse, the thesis. In poetry, fiction and
drama, it is the abstract concept which is made concrete through its representation in person,
action, and image in the work (C. Hugh Holman: 453). And according to Berhanu Mathews,
“theme refers to the central idea of a story. Theme can also be regarded as an author’s insight or
general observation about human nature or the human condition that is conveyed through
characters, plot and imagery. We can also talk about the particularity and universality of theme.
Particularity refers to the uniqueness or singularity of a work of fiction. Universality, on the
other hand, refers to the relevance or applicability of a fictional work to large groups of people
across time and place” (Berhanu Mathews, Fundamentals of Literature: 37). Note that theme is
not a single word nor is it a proverb; it is the author’s view about human life and human
condition and must be written in sentence.
4.6. Point of view
If there is a story, it is highly likely that there is a story teller, and the teller (narrator) may be
part of the story or he may be an outsider (observer). I.e. Point of view is the perspective from
which the action in a story is viewed. Based on the way they see or based on the amount of
knowledge they have about the story or the characters in general, and based on whether they are
part of the story or not, narrators can be categorized as first person or third person, omniscient or
limited (semi-omniscient), internal or external, etc.
In first person narrative the “I” of the story is a participant or observer- the narrator addresses
the reader as I, me, my…. Second person (rarely used) is designed to draw the reader in more
closely; it is in effect a novel way of presenting a first-person narration- the narrator addresses
the reader as you.
Third person: the most traditional form of third-person narrative is that of the omniscient
narrator, in which the narrative voice (usually identified with that of the author) is presumed to
know everything there is to know about the characters and action. This is the technique
employed in most traditional prose fiction.
A more limited third-person perspective is that viewed through the consciousness of a particular
character in which the story is told from the point of view of one of the characters. Another
technique is the multiple points of view, which relates the story from the perspective of a number
of characters – which is rare in short story, however.
In a third-person narrative, the narrator is someone outside the story proper who refers to all
the characters in the story by name, or as "he," "she," "they."
In a first-person narrative, the narrator speaks as "I," and is to a greater or lesser degree a
participant in the story.
I. Third-person points of view
(1) The omniscient point of view. This is a common term for the many and varied works of
fiction written in accord with the convention that the narrator knows everything that needs to be
known about the agents, actions, and events, and has privileged access to the characters'
thoughts, feelings, and motives; also that the narrator is free to move at will in time and place, to
shift from character to character, and to report (or conceal) their speech, doings, and states of
consciousness. Within this mode, the intrusive narrator is one who not only reports, but also
comments on and evaluates the actions and motives of the characters, and sometimes expresses
personal views about human life in general. Most works are written according to the convention
that the omniscient narrator's reports and judgments are to be taken as authoritative by the
reader, and so serve to establish what counts as the true facts and values within the fictional
world. On the other hand, the omniscient narrator may choose to be unintrusive (non-intrusive)
(alternative terms are impersonal or objective). More radical instances of the unintrusive
narrator, who gives up even the privilege of access to inner feelings and motives, are to be found
in a number of Ernest Hemingway's short stories; for example, "The Killers," and "A Clean,
Well-Lighted Place."
(2) The limited point of view. The narrator tells the story in the third person, but stays inside the
confines of what is perceived, thought, remembered and felt by a single character (or at most by
very few characters) within the story.
II. First-person points of view
This mode, insofar as it is consistently carried out, limits the matter of the narrative to what the
first-person narrator knows, experiences, infers, or can find out by talking to other characters.
We distinguish between the narrative "I" who is only a fortuitous witness and auditor of the
matters he relates; or who is a participant, but only a minor or peripheral one, in the story; or
who is himself or herself the central character in the story
Ill. Second-person points of view
In this mode the story gets told solely, or at least primarily, as an address by the narrator to
someone he calls by the second-person pronoun "you." This form of narration occurred in
occasional passages of traditional fiction, but has been exploited in a sustained way only during
the latter part of the twentieth century and then only rarely; the effect is of a virtuoso
performance.
4.7. Style
Style has traditionally been defined as the manner of linguistic expression in prose or verse—as
how speakers or writers say whatever it is that they say. The style specific to a particular work or
writer, or else distinctive of a type of writings, has been analyzed in such terms as the rhetorical
situation and aim; characteristic diction, or choice of words; type of sentence structure and
syntax (the ordering of words into meaningful verbal patterns such as phrases, clauses and
sentences); and the density and kinds of figurative language (Abrams: 303).
 Style in literature (is) a particular manner of employing language. The term may refer to a
period of literary history (VICTORIAN style), or a genre (tragic style), a profession (legal style),
or to an individual writer (Jane Austen’s style). In the last case, the style is usually regarded as an
index to the mind or personality of the writer (Quinn: 402).
 The distinctive and unique manner in which a writer arranges words to achieve particular
effects. Style essentially combines the idea to be expressed with the individuality of the author.
These arrangements include individual word choices as well as matters such as the length of
sentences, their structure, tone and use of irony (Julien D. Bonn: 162).

UNIT FIVE: BASIC LITERARY TERMS AND FIGURES OF SPEECH

5.1. Personification
A figure related to metaphor is personification, or in the Greek term, prosopopeia, in which
either an inanimate object or an abstract concept is spoken of as though it were endowed with
life or with human attributes or feelings.
5.2. Apostrophe
A FIGURE OF SPEECH in which someone (usually, but not always absent), some abstract
quality, or a nonexistent personage is directly addressed as though present. Characteristic
instances of apostrophe are found in the invocations to the muses in poetry:
And chiefly, Thou, O Spirit, that dost prefer
Before all temples the upright heart and Pure,
Instruct me, for Thou know'st (Holman: 42).
5.3. Metaphor
In a metaphor, a word or expression that in literal usage denotes one kind of thing is applied to a
distinctly different kind of thing, without asserting a comparison. For example, if Burns had said
"O my love is a red, red rose" he would have uttered, technically speaking, a metaphor instead of
a simile (Abrams: 97).
5.4. Simile
A comparison between two distinctly different things is explicitly indicated by the word "like" or
"as." A simple example is Robert Burns, "O my love's like a red, red rose." (Abrams: 97).
A Red, Red Rose BY ROBERT BURNS O my Luve is like a red, red rose That’s newly sprung
in June; O my Luve is like the melody That’s sweetly played in tune. So fair art thou, my bonnie
lass, So deep in luve am I; And I will luve thee still, my dear, Till a’ the seas gang dry. Till a’ the
seas gang dry, my dear, And the rocks melt wi’ the sun; I will love thee still, my dear, While the
sands o’ life shall run. And fare thee weel, my only luve! And fare thee weel awhile! And I will
come again, my luve, Though it were ten thousand mile.
5.5. Irony
In most of the modern critical uses of the term "irony, there remains the root sense of
dissembling or hiding what is actually the case; not, however, in order to deceive, but to achieve
special rhetorical or artistic effects.
Verbal irony (which was traditionally classified as one of the tropes) is a statement in which the
meaning that a speaker implies differs sharply from the meaning that is ostensibly expressed.
The ironic statement usually involves the explicit expression of one attitude or evaluation, but
with indications in the overall speech-situation that the speaker intends a very different, and
often opposite, attitude or evaluation.
"Who speaks so well should ever speak in vain." (Abrams: 133).
5.6. Imagery
This term is one of the most common in criticism, and one of the most variable in meaning. Its
applications range all the way from the "mental pictures" which, it is sometimes claimed, are
experienced by the reader of a poem, to the totality of the components which make up a poem.
An image "is a picture made out of words," and "a poem may itself be an image composed from
a multiplicity of images." Three discriminable uses of the word, however, are especially
frequent; in all these senses imagery is said to make poetry concrete, an opposed to abstract:
(1) "Imagery" (that is, "images" taken collectively) is used to signify all the objects and qualities
of sense perception referred to in a poem or other work of literature, whether by literal
description, by allusion, or in the vehicles (the secondary references) of its similes and
metaphors. The term "image" should not be taken to imply a visual reproduction of the object
referred to; some readers of the passage experience visual images and some do not; and among
those who do, the explicitness and details of the pictures vary greatly. Also, "imagery" in this
usage includes not only visual sense qualities, but also qualities that are auditory, tactile (touch),
thermal (heat and cold), olfactory (smell), gustatory (taste), and kinesthetic (sensations of
movement).
(2) Imagery is used, more narrowly, to signify only specific descriptions of visible objects and
scenes, especially if the description is vivid and particularized.
(3) Commonly in recent usage, imagery signifies figurative language, especially the vehicles of
metaphors and similes. Critics after the 1930s, and notably the New Critics, went far beyond
earlier commentators in stressing imagery, in this sense, as the essential component in poetry,
and as a major factor in poetic meaning, structure, and effect (Abrams: 121)
5.7. Symbol
In the broadest sense a symbol is anything which signifies something; in this sense all words are
symbols. In discussing literature, however, the term "symbol" is applied only to a word or phrase
that signifies an object or event which in its turn signifies something, or has a range of reference,
beyond itself. Some symbols are "conventional" or "public": thus "the Cross," "the Red, White,
and Blue," and "the Good Shepherd" are terms that refer to symbolic objects of which the further
significance is determinate within a particular culture. Poets use such conventional symbols;
many poets, however, also use "private" or "personal symbols." Often they do so by exploiting
widely shared associations between an object or event or action and a particular concept; for
example, the general association of a peacock with pride and of an eagle with heroic endeavor, or
the rising sun with birth and the setting sun with death, or climbing with effort or progress and
descent with surrender or failure. Some poets, however, repeatedly use symbols whose
significance they largely generate themselves, and these pose a more difficult problem in
interpretation (Abrams: 311).
Symbol, a widely used term in many disciplines, referring to the process by which a person,
place, object, or event comes to stand for some abstract idea or condition. As normally used in
literary study, symbol suggests a connection between the ordinary sense of reality and a moral or
spiritual order. It differs from metaphor in that the connection between the subject and its
referent is never explicit; it is left for the reader to discover.
5.8. Allusion
Allusion is a passing reference, without explicit identification, to a literary or historical person,
place, or event, or to another literary work or passage. In the Elizabethan Thomas Nashe's
"Litany in Time of Plague,"
Brightness falls from the air,
Queens have died young and fair,
Dust hath closed Helen's eye,
The unidentified "Helen" in the last line alludes to Helen of Troy. Most allusions serve to
illustrate or expand upon or enhance a subject, but some are used in order to undercut it
ironically by the discrepancy between the subject and the allusion.
5.9. Synecdoche
In synecdoche (Greek for "taking together"), a part of something is used to signify the whole, or
(more rarely) the whole is used to signify a part. We use the term "ten hands" for ten workmen,
or "a hundred sails" for ships and, in current slang, "wheels" to stand for an automobile. In a bold
use of the figure, Milton describes the corrupt and greedy clergy in "Lycidas" as "blind mouths."
5.10. Metonymy
In metonymy (Greek for "a change of name") the literal term for one thing is applied to another
with which it has become closely associated because of a recurrent relationship in common
experience. Thus "the crown" or "the scepter" can be used to stand for a king and "Hollywood"
for the film industry; "Milton" can signify the writings of Milton ("I have read all of Milton")
5.11. Hyperbole and Understatement
The figure of speech, or trope, called hyperbole (Greek for "overshooting") is bold
overstatement, or the extravagant exaggeration of fact or of possibility. It may be used either for
serious or ironic or comic effect.
Famed examples in the seventeenth century are Ben Jonson's gallantly hyperbolic compliments
to his lady in "Drink to me only with thine eyes," and the ironic hyperboles in "To His Coy
Mistress," by which Andrew Marvell attests how infinitely slowly his "vegetable love should
grow"—if he had "but world enough and time." The contrary figure is understatement (the Greek
term is meiosis, "lessening"), which deliberately represents something as very much less in
magnitude or importance than it really is, or is ordinarily considered to be. The effect is usually
ironic (Abrams: 120).
SONG TO CELIA BEN JONSON
Drink to me only with thine eyes,
And I will pledge with mine;
Or leave a kiss but in the cup,
And I’ll not look for wine.
5 The thirst that from the soul doth rise
Doth ask a drink divine;
But might I of Jove’s nectar1 sup,
I would not change2 for thine.
I sent thee late3 a rosy wreath,
10 Not so much honoring thee,
As giving it a hope that there
It could not withered be.
But thou there on did’st only breathe,
And sent’st it back to me;
15 Since when it grows, and smells, I swear,
Not of itself, but thee.

1. Jove’s nectar refers to ambrosia, the drink of the gods in Greek mythology, which
supposedly kept them immortal.
2. Change means “exchange.”
3. Late means “recently.”
To His Coy Mistress Andrew Marvell
Had we but world enough, and time,
This coyness, lady, were no crime.
We would sit down, and think which way
To walk, and pass our long love's day.
Thou by the Indian Ganges' side
Shouldst rubies find;I by the tide
Of Humber would complain. I would
Love you ten years before the flood,
And you should, if you please, refuse
Till the conversion of the Jews.
My vegetable love should grow
Vaster than empires and more slow;
An hundred years should go to praise
Thine eyes, and on thy forehead gaze;
Two hundred to adore each breast,
But thirty thousand to the rest;
An age at least to every part,
And the last age should show your heart.
For, lady, you deserve this state,
Nor would I love at lower rate.
But at my back I always hear
Time's winged chariot hurrying near;
And yonder all before us lie
Deserts of vast eternity.
Thy beauty shall no more be found,
Nor, in thy marble vault, shall sound
My echoing song; then worms shall try
That long-preserved virginity,
And your quaint honor turn to dust,
And into ashes all my lust:
The grave's a fine and private place,
But none, I think, do there embrace.
Now therefore, while the youthful hue
Sits on thy skin like morning dew,
And while thy willing soul transpires
At every pore with instant fires,
Now let us sport us while we may,
And now, like amorous birds of prey,
Rather at once our time devour
Than languish in his slow-chapped power.
Let us roll all our strength and all
Our sweetness up into one ball,
And tear our pleasures with rough strife
Thorough the iron gates of life:
Thus, though we cannot make our sun
Stand still, yet we will make him run.
5.12. Onomatopoeia
Onomatopoeia, sometimes called echoism, is used both in a narrow and in a broad sense.
(1) In the narrow and most common use, onomatopoeia designates a word, or a combination of
words, whose sound seems to resemble closely the sound it denotes: "hiss," "buzz," "rattle,"
"bang." There is no exact duplication, however, of nonverbal by verbal sounds; the perceived
similarity is due as much to the meaning, and to the feel of articulating the words, as to their
sounds. Two lines of Alfred, Lord Tennyson's "Come Down, O Maid" (1847) are often cited as a
skillful instance of onomatopoeia:
The moan of doves in immemorial elms,
And murmuring of innumerable bees.
(2) In the broad sense, "onomatopoeia" is applied to words or passages which seem to
correspond to, or to strongly suggest, what they denote in any way whatever—in size,
movement, tactile feel, or force, as well as sound.
5.13. Oxymoron
A conjoining of opposites or stark contrasts. Etymologically, "pointedly foolish"; a rhetorical
ANTHITHESIS bringing together two contradictory terms. Such a contrast makes for sharp
emphasis. Examples are: "cheerful pessimist," "wise fool," "sad joy ' "eloquent silence."

PART TWO: LITERARY THEORY AND CRITICISM

UNITE ONE: DEFINITION OF LITERARY THEORY AND CRITICISM

1.1. Meaning of Literary Theory
Theory is a set of universal or general principles that distinguish a body of fact or art. Holcombe
(2007, p. 1) defines theories as “philosophical positions, with insights and modes of argument.”
He adds that a theory does not illustrate “absolutes but … possibilities, speculations, elusive
chains of thought.” His definition illustrates the nature of theories. Theories are thus
assumptions. They are conjectural statements. Literary Studies, as an academic domain, exploits
a class of these assumptions in its attempt to account for various meanings projected by literary
texts. The theories applied in literary studies are called literary theories. So what is a literary
theory? Literary theories are fundamental principles which supply insights for analysis of literary
texts. They contain concepts and processes employed in the interpretation and comprehension of
literature. According to the Internet Encyclopedia of Philosophy: Literary theory is the body of
ideas and methods we use in the practical reading of literature. By literary theory we refer not to
the meaning of a work of literature but to the theories that reveal what literature can mean.
Literary theory is the description of the underlying principles, one might say the tools, by which
we attempt to understand literature.
1.2. Meaning of Literary Criticism
According to the Routledge Dictionary of Literary Terms (2006), ‘to criticise’, etymologically,
means ‘to analyse’ and later, ‘to judge’. Criticism is a formal discourse, and there are so many
approaches to it, yet these approaches are not exhaustive but represent the most widely used
contemporary approaches. Literary criticism refers to the analysis and judgment of works of
literature (exercise). It tries to interpret specific works of literature and also helps us to identify
and understand different ways of examining and interpreting them. There is no single approach
to the criticism of literature.
1.3. The Nature and Scope of Literary Theory and Criticism
According to Kelly Griffith (2002), prior to the 20th century, the investigation of the nature and
value of literature had had a long and distinguished history, beginning with Plato and Aristotle
and continuing into modern times with such figures as Sir Philip Sidney, John Dryden, Samuel
Johnson, William Wordsworth, Samuel Taylor Coleridge, and Matthew Arnold. But their
investigations focused primarily on evaluation, not interpretation. They explored what literature
is and praised or condemned works that failed to meet whichever standards they deemed
essential. In The Republic, to cite one extreme example, Plato condemned all literature because it
stirs up the passions-lust, desire, pain, anger- rather than nurtures the intellect.
According to JideBalogun (2011), the history of literature is the history of literary criticism. The
latter as an ally of the former makes creative writing more complementary and helps to
conceptualize the pedagogical import of texts of literature into ideological standpoints. Over the
ages, literary theories have been the weapons for the realization of this crucial obligation of
literary criticism. For Terry Eagleton, in Literary Theory (1996), the emergence of theory was a
‘way of emancipating literary works from the stranglehold of a 'civilized sensibility', and
throwing them open to a kind of analysis in which, in principle at least, anyone could
participate.’ Modern literary theory gradually emerged in Europe during the 19th century and
gained momentum in the 20th century. Eagleton argues that theory is the body of ideas and
methods used in the practical reading of literature. For him, theories reveal what literature can
mean. It is a description of the underlying principles by which we attempt to understand
literature. That is to say, all literary interpretation draws on a basis in theory since it is literary
theory that formulates the relationship between author and work.
Most principles are adopted from other disciplines. For instance, Psychoanalysis is from
Psychology while Marxism is a socio-political theory. However, aspects of the postulations have
since been domesticated and used in literary criticism for textual analysis. Literary criticism has
been in practice since the inception of literature. Whoever reads a work of art and holds an
opinion about its value, consciously or unconsciously, engages in literary criticism. Literary
Criticism, in a broad sense, communicates a notion of judgment but in modern scholarship it
refers more to analysis of literary texts irrespective of the genre. It has to do with disclosing the
meaning content of a work and how that is communicated. In other words, in literary criticism a
critic makes meaning out of a literary work from a given perspective. The critic therefore plays
the role of an interpreter and thus a mediator between a writer and a reader. Its intention is to
educate rather than to judge. Literary criticism is synonymous with literary analysis, literary
appreciation, practical criticism and critical analysis.
Technically, literary criticism is the examination and interpretation of a piece of literature. Such
examination is regulated by several ideas of literary theorists from the classical to the
contemporary period. Literary works easily lend themselves to examination, interpretation,
interrogation, classification and recommendation. In literary criticism these responses are
standardized. Anyadike explains that “Literary criticism consists of the sensitive close reading,
analyses, interpretation and evaluation of a literary text from the perspective of one or a
combination of literary theories” (2001, p. 307).
1.4. Relationships and Distinctions between Literary Theory and Literary
Criticism
Literary theory and criticism are like Siamese twins. Both are components of Literary Study
which also includes Literary History. Literary theory is interested in inventing modules of artistic
regulations designed to guide the production and evaluation of literary works. It generates
philosophies and thus deals with abstractions and that makes it intellectually demanding. Literary
criticism is a practical activity. It entails reading, illustrating and evaluating a work of art on the
basis of ideas advanced by literary theories. Eissa (2012, p. 2) locates the difference between the
two in the fact that they manifest “different objects of investigation.” While literary criticism
investigates as its object one or more literary piece, literary theory investigates as its object, the
various manners in which literary works are considered. Hence while criticism is directly
interested in a literary piece, literary theory is directly concerned with how that literary piece is
examined. Coleman (1999, p. 1) offers a more comprehensive clarification of the difference. In
his terms:
Literary theory, then, is the lens or framework through which a critic views a work, coloring how
they perceive it and what literary features they focus on. Literary criticism is the act of analysis--
and the evaluations critics produce--critiquing a work according to favored theories.”
Thus, theories are conceptual devices employed in criticism. Literary theory aids the reading and
interpretation of literary works and so plays a guiding and supporting role. In criticism, theories
are operationalized. Put differently, abstract concepts are employed in the examination of literary
texts. Theories provide the literary critic with conceptual materials for effective analysis of
literary texts. In criticism, the meanings contained in a piece of work are isolated and this is done
logically. Literary theory and literary criticism are therefore inseparable and are shaped by each
other. Effective study of literature takes place when the two are properly deployed. Literary
theory in itself can be distinguished from criticism, since it concerns itself with the formulation
of concepts. It is a philosophical activity which should underlie criticism but, again, should not
be regarded as part of it. Literary theory refers to a set of principles evolved for the evaluation of
works of literature.
1.5. Why Study Literary Theory and Criticism?
Literary theory and literary criticism are interpretive tools that help us think more deeply and
insightfully about the literature that we read. Literary theory, specifically, refers to the set of
principles evolved for the evaluation of works of literature. Over time, different schools of
literary criticism have developed, each with its own approaches to the act of reading. It is
important that students study literary theory and criticism because both offer different ways of
interpreting works of literature. Each theory offers itself as the most (or the only) accurate means
of understanding human experience. In many instances, advocates of the most popular theories
of the day usually receive the acclamation and respect. However, even within the ranks of any
given critical theory there are countless disagreements among practitioners that result in the
emergence of different schools of thought within a single theory. In fact, the history of every
literary theory is, in effect, the history of an ongoing debate among its own advocates as well as
an ongoing debate with the advocates of other theories. Thus, literary theory and criticism will
help you in “thinking theoretically,” that is, to seeing the assumptions, whether stated or not, that
underlie every viewpoint.
The study of literary criticism contributes to maintenance of high standards of literature. In our
day-to-day life, the study of criticism of literary works enables us to become aware of the present
and past works of literature. Criticism also enables writers to understand the factors that affect
the quality and character of literary works and in this way improve their ability to produce better
works. Literary criticism allows us to see things from different perspectives. It allows us to gain
a far wider insight into a work of literature than from our own perspective. That way, we gain a
greater understanding of the world in which we live. In addition, literary criticism helps readers
develop critical thinking skills. Literary criticism is not an abstract intellectual exercise. It is a
natural human response to literature. The discipline of literary criticism is nothing more than
discourse-spoken or written-about literature. It is a by-product of the reading process.
1.6. Categories of Literary Theory
Literary theory, according to Abram, can be divided into four categories: mimetic theories,
which focus on the relationship between text and universe (by "universe" he means all things of
the world apart from audience, text and author); pragmatic theories, which are interested in the
relationship between text and audience; expressive theories, which are concerned with the text-
author relationship; and objective theories, the most recent classification, which focus on
analysis of the text in isolation. Because nothing exists other than universe, text, author and
audience, any form of theory must fit into one of these four categories, or be a combination of
several. For Abrams, there are author-based theories, reader-based theories, text-based theories,
and theories that propose the text as imitative of the universe.
1.6.1. Mimetic Theory
The Mimetic category is the oldest and according to Abrams, the most primitive of the four.
This category of the aesthetic theories has been traced to Platonic and Aristotelian discourses
(427-347 and 384-322 B.C.). Under this theory, art represents an imitation of portions of life;
nature of things and actions of man. Like in a mirror, in art, the world is reflected. The emphasis
is on accuracy and truth of literary representation and for this, the perspective is broadly
considered as realism. Embedded in this concept is an expression of relationship based on three
factors; world of essence - eternal and unchanging Ideas reproduced in the world of appearance
- the world of sense (natural or synthetic) and replicated in shadows, images and mirrors. This
concept of art lasted into the post-Aristotlean period to the eighteenth century. Critics throughout
this period utilized the expression imitation or synonymous terms including representation, copy,
image, reflection and counterfeiting in the designation of art. Eventually, this critical trend was
modified and the preceding period exhibits a work-to-audience leaning as against a work-to-
universe persuasion. Another category was therefore initiated in literary criticism but this later
class still bears imprints of Plato and Aristotle’s ideas.
1.6.2. Pragmatic Theory
In literary criticism, the term ‘Pragmatic Pole’ represents the ancient tradition initiated by Plato
and Aristotle which focus is the impact of literature on its audience. The Pragmatic perspective
constitutes the prevailing approach of analysis from Horace to the early 19th century and owes a
good deal of its vocabulary to the ancient scholarship. Under this orientation, the effect of a work
of art on the audience constitutes the focus of criticism. A work is therefore examined in line
with its ability to perform the function of providing both instruction and pleasure. The character,
scope and result of that directional transformation is perhaps best articulated in Sir Philip
Sidney’s “The Apologie for Poetry.” In Sydney’s postulation literature imitates in order “to teach
and delight.” This position illustrates the pragmatic approach without totally ignoring the
mimetic element.
1.6.3. Expressive Theory
The Expressive orientation dislodges the mimetic and pragmatic views in the late 18th and early
19th centuries especially with the radical approach of the 1830s Romantics. In that period the
artist transforms from his traditional role as the “mirror,” into the “lamp” as his internal feelings
becomes the major subject of his art. The artist then becomes the primary focus as the source and
subject of his/her work which are considered as the externalizations of the internal. That is, the
writers mind – attitude, feeling and actions. Expressive approach is thus artist-oriented.
Wordsworth, in his 1800 “Preface to the Lyrical Ballads” projects a seminal definition of poetry
as “the spontaneous overflow of powerful feelings.” His view endorses the expressive
perspective in which the writer’s expressions are basically the center.
1.6.4. Objective Theory
The Objective alterative in literary criticism emerges as a modern phenomenon and becomes the
governing approach from the first part of the 20th century. Aristotle’s view, which considers
tragedy as a complete object with cohesive elements designed to elicit certain response from the
audience, influenced this view. Under this orientation, the work of art is, in principle, considered
an independent entity. It is therefore isolated from all previously considered extraneous factors.
Literature is thus examined on the basis of its constitutive and intrinsic qualities. T.S. Eliot and
the New Critics’ ideas approve this approach. “Art for Arts Sake” becomes the conventional
expression of diverse ideas under this approach. T.S. Eliot’s dictum of 1928, that poetry should
be considered mainly as poetry and nothing else, articulates the kernel of this persuasion.

UNIT TWO: ANCIENT CRITICISM. CLASSICAL LITERARY CRITICISM

2. Ancient Criticism. Classical Literary Criticism: Intellectual and Political Backgrounds
Political and Historical Contexts
“Classical” Athens in the fifth century BC – just prior to the time of Plato – was a thriving
democratic city-state with a population estimated at about 300,000. However, this democracy
differed considerably from our modern democracies: not only was it a direct rather than a
representative democracy, it was also highly exclusive. Only the adult male citizens, numbering
about 40–45,000, were eligible to participate in the decision-making process. The rest of the
community, composed of women, resident aliens, and a vast number of slaves, formed a
permanently excluded majority. Even most free men, whether working on the land or in the
cities, were poor and had little hope of economic betterment (LWC, 32). This circumstance,
widespread in the Greek world, was responsible in part not only for class conflict but also for a
perennial struggle between different forms of government.

The philosophies and literary theories of both Plato and Aristotle were integrally shaped by
awareness of these political struggles. The ideals of social equality and democratic structure were
furthered in Athens by leaders and lawgivers such as Solon, who made the classical literary
criticism law courts democratic; Cleisthenes, who organized the political structure into ten
tribes, each represented by 50 members in the Council of the Areopagus; and Pericles, who
instituted pay for people to serve as state officials, so that such service might not be a privilege
of the wealthy. In his funeral oration, Pericles defined democracy as a system in which power
lies in the hands of “the whole people,” “everyone is equal before the law,” and public
responsibility is determined not by class but by “actual ability.”

In all of these historical circumstances, there were at least three developments that profoundly
influenced the nature of literature and criticism, as well as of philosophy and rhetoric. The first
was the evolution of the polis or city-state. The Greeks differentiated between themselves and
the non-Greeks known as “barbarians” primarily by this political structure, the polis, which alone
in their view could allow man to achieve his full potential as a human being. When Aristotle
defined man as a “political animal,” it was this structure that he had in mind. As the scholar M. I.
Finley puts it, the polis was comprised of “people acting in concert, a community,” where people
could “assemble and deal with problems face to face” (LWC, 27–28). As later thinkers such as
Hegel, Marx, and Durkheim reiterated, man’s very being is social and public in its essential
orientation, and his own fulfilment lies in advancing, not sacrificing, the public interest. These
assumptions are common to the otherwise differing literary theories of Plato and Aristotle, who
are both obliged to consider literature as a public or state concern. Finley states that “religion and
culture were as much public concerns as economics or politics . . . the great occasions for
religious ceremonial, for music, drama, poetry and athletics, were the public festivals, local or
pan-Hellenic. With the state thus the universal patron, Greek tragedy and comedy . . . were as
much part of the process of faceto-face discussion as a debate in a legislative assembly” (LWC,
28). Even the internal structure of drama was influenced by the ideal of the polis: the chorus
(whether comprised of a group of dancers and singers, or a single speaking character) was the
representative of the community or polis. As Gregory Nagy so eloquently puts it, the chorus was
a “microcosm of social hierarchy,” and embodied “an educational collectivisation of experience”
(CHLC, V.I, 50). It is clear that literature and poetry had a public, even political, function, which
was largely educational. T. H. Irwin states that “Athenian dramatic festivals took the place of
some of the mass media familiar to us.” No one was more deeply aware than Plato of the cultural
impact of literature. In fact, Irwin points out that the “moral outlook of the Homeric poems
permanently influenced Greek thought,” in ways that conflicted with democratic attitudes.
We might add that Plato – no democrat – also took great pains to counter the influence of Homer
and the poets. Poetry had a primary role in education: children were taught letters for the purpose
of memorizing poetry and ultimately of performing and interpreting it. In the ancient Greek
world, poetry not only had a public nature but also served several functions which have been
displaced in our world by news media, film, music, religious education, and the sciences.
Ironically, as we shall see, the image of Plato himself looms behind some of these long-term
displacements.

The second political development pertinent to literature and criticism lay in the fact that Athens’
predominance in the Greek world did not go unchallenged. The other major power in the Greek
world was Sparta, who counterbalanced Athens’ leadership of the Delian League with her own
system of defensive alliances known as the Peloponnesian League. The struggle between these
two superpowers was not only military but also ideological: Athens everywhere attempted to
foster her own style of democracy, whereas Sparta everywhere encouraged her own brand of
oligarchy. This struggle convulsed the entire Greek world and eventually led to the
Peloponnesian War, which lasted twenty-seven years, beginning in 431 BC and ending with the
utter defeat of Athens in 404 BC. The first twenty-four years of Plato’s life were lived during this
war, and the issues raised by the conflict affected many areas of his thought, including his
literary theory. Even before Athens’ defeat, she had witnessed a brief coup at the hands of the
oligarchical party in 411–410 BC (the regime of the “four hundred”). It was during this
repressive period that Socrates was tried and executed in 399 BC on a charge of impiety. The
Spartans imposed another oligarchy in 404 BC, the so-called regime of the “thirty,” which
included two of Plato’s relatives, Critias and Charmides, who were also friends of Socrates. In
403, however, democracy was restored after a civil struggle. The struggle was effectively
between two ways of life, between the “open-minded social and cultural atmosphere” of
Athenian democracy, and the “rigidly controlled, militaristic” oligarchy of Sparta (CCP, 60–62).
It was this struggle which underlay the opposition between Plato’s anti-democratic and
somewhat authoritarian philosophical vision and the more fluid, skeptical, and relativistic visions
expressed by poetry, sophistic, and rhetoric.
It is in this struggle, as we shall see, that Western philosophy as we know it was born. A third
factor that shaped the evolution of literature in archaic and classical Greece was pan-Hellenism,
or the development of certain literary ideals and standards among the elites of the various city-
states of Greece. Gregory Nagy points out that pan-Hellenism was crucial in the process of the
continuous modification and diffusion of the Homeric poems and of poetry generally. It is well
known that the Iliad and the Odyssey were products of an oral tradition, cumulatively composed
over a long period of time; a given poet would take a story whose basic content was already
familiar and modify it in the process of his own retelling; in turn, he would pass these poetic
skills and this poetic lore down through his own successors. Nagy’s point is that the process of
“ongoing recomposition and diffusion” of the Homeric and other poems acquired a degree of
stability in virtue of the development of pan-Hellenism. The standardization of literary ideals led
to a process of decreasing novelty and “tex tfixation” in “ever-widening circles of diffusion”.
According to Nagy, pan-Hellenism had a number of important consequences.
Firstly, it provided a context in which poetry was no longer merely an expression or ritual re-
enactment of local myths. The traveling poet was obliged to select those aspects of myth
common to the various locales he visited. The word that came to express this “convergence of
features” drawn from myth was aletheia or truth. Hence the concept of “poet” or singer evolved
into the concept of “the master of truth.” The poet becomes the purveyor of truth, which is
general, as distinct from myth, which is local and particular. Interestingly, Nagy etymologically
relates the word mousa or “muse” to mne-, which means “have the mind connected with.” In this
reading, the muse “is one who connects the mind with what really happens in the past, present,
and future” (CHLC, V.I, 29–31). Nagy’s perception is crucial for understanding subsequent
Greek literary theory: the domain of truth becomes an arena of fierce contention between poetry
and philosophy.
A second consequence of pan-Hellenism, furthering the process of standardization, was the
evolution of a certain group or “canon” of texts into the status of classics (CHLC, V.I, 44). It was
in the period of Alexandrian scholarship that the term “criticism” or “judgment” was used to
differentiate between works that deserved to be included within a canon. Nagy points out that in
this era, nine names comprised the “inherited canon of lyric poetry”: Alcman, Stesichorus,
Alcaeus, Sappho, Ibycus, Anacreon, Simonides, Bacchylides, and Pindar. Hence, “a pre-existing
multitude of local traditions in oral song” had evolved into “a finite tradition of fixed lyric
compositions suited for all Hellenes”. The third, related, consequence was the development of
the concept of imitation or mimesis into a “concept of authority.” Mimesis designates “the re-
enactment, through ritual, of the events of myth” by the poet; it also designates “the present re-
enacting of previous re-enactments,” as in the performer’s subsequent imitation of the poet.
Mimesis becomes an authoritative concept inasmuch as the author speaks with the authority of
myth which is accepted as not local but universal, timeless, and unchanging. It becomes an
“implicit promise” that the performer will coin no changes to “accommodate the interests of any
local audience,” and will give rise to “the pleasure of exact performance”. Even after such oral
performance traditions were obsolete, this authoritative or authoritarian ethic of exact mimesis
was preserved in education where the text “becomes simply a sample piece of writing,
potentially there to be imitated by other sample pieces of writing.”

All of these developments outlined by Nagy might be seen as pointing in one general direction:
over the centuries, from Homeric times onward, poetry had acquired an increasing authority,
established in its function as a repository of universal myth and truth, its fixation into a canon of
privileged texts which were no longer open to recomposition but merely to exact imitation or
performance, and the predominating educational role of poetry in this exalted status. A final
point that we can take from Nagy’s splendid account of early Greek views of poetry is that by the
time of Plato, the theater had become the primary medium of poetry, absorbing the repertoire of
both epic and lyric. Tragedy had become the craft of poetry par excellence. The stage is almost
set for our understanding of the literary theories of Plato and Aristotle; before considering these,
we must say a few words about the intellectual currents through and against which these theories
took form.
Intellectual Contexts
The single most important factor in understanding Plato’s conception of poetry is precisely the
authority and status it had achieved by his time. As we have seen, the evolution of this authority
had been multifaceted: poetry claimed to present a vision of the world, of the gods, of ethics and
morality that was true. Poetry was not only the repository of collective wisdom, as accumulated
over the ages, but was also the expression of universalized myth. It had a public function that
was most evident in its supreme embodiment, tragedy, which assumed for the ancient Greeks the
roles of our theologies and religious institutions, our histories, our modern mass media, our
education system, and our various modes of ascertaining truth. There are a number of intellectual
currents which formed the background of the philosophies of Plato and Aristotle. Interestingly,
these currents merged in important ways with the main stream of culture that was comprised by
poetry.
The first of these was sophistic, which arose in fifth-century Athens, and whose major exponents
such as Protagoras and Gorgias were contemporaries of Plato. The second was rhetoric, the art of
public speaking, an art vital to the effective functioning of Athenian democracy. Both the
Sophists and the rhetoricians offered training in public debate and speaking, often for very high
fees; their curriculum aimed to prepare young men of the nobility for political life. While the two
currents, sophistic and rhetoric, were so closely connected that the Sophists were indeed the first
teachers of rhetoric, there was a distinction between them: rhetoric was, strictly speaking,
restricted to the techniques of argument and persuasion; the more ambitious Sophists promised a
more general education extending over the areas considered by philosophy: morality, politics, as
well as the nature of reality and truth (CCP, 64, 66). Plato was opposed to both sophistic and
rhetoric. He objected to sophistic accounts of the world, which were essentially secular,
humanistic, and relativistic.
These accounts rejected the authority of religion and viewed truth as a human and pragmatic
construct. In other words, there was no truth which ultimately stood above or beyond human
perception. What Plato rejects in rhetoric is also based on its alleged exclusion of truth: rhetoric
is concerned not with truth but merely with persuasion, often preying on the ignorance of an
audience and merely pandering to its prejudices rather than seeking a moral and objective
foundation. Clearly, the attitudes of sophistic and rhetoric arise in a democratic environment: just
as in our modern-day democracies, the concept of truth as some kind of transcendent datum is
extinguished; as in our lawcourts, we can argue only that one version of events is more probable
and internally coherent than another. We do not claim that this superior version somehow
expresses an infallible truth. Much of Plato’s philosophy is generated by a desire to impose order
on chaos, to enclose change and temporality within a scheme of permanence, and to ground our
thinking about morality, politics, and religion on timeless and universal truths that are
independent of human cognition. So profound was Plato’s opposition to sophistical and
rhetorical ways of thinking that his own philosophy is internally shaped and generated by
negating their claims. His so-called dialectical method, which proceeds by systematic question
and answer, arises largely in contradistinction to their methods.
What is important for us is that Plato finds the same vision of the world in literature. In fact, he
sees tragedy as a form of rhetoric. T. H. Irwin states that “[i]n attacking rhetoric, Plato also
attacks a much older Athenian institution, tragic drama.” Like rhetoric, tragedy “makes particular
moral views appear attractive to the ignorant and irrational audience” (CCP, 67–68). Jennifer T.
Roberts reminds us of “the important role played in the education of Athenian citizens by
attendance at tragedies. It was tragic drama that afforded Athenians an opportunity to ponder and
debate many of the same issues that arose in Plato’s dialogues.” Hence, for Plato, sophistic and
rhetoric effectively expressed a vision of the world that had long been advanced by the much
older art of poetry. It is not only his dialectical method but also the content of his philosophy that
arises in the sharpest opposition to that vision. What was that poetic vision? It was a vision going
all the way back to Homer: we may recall the squabbling between Zeus and his queen Hera, the
laughable scene with Hephaestus, the disputes between various goddesses such as Athena and
Aphrodite, and in general the often indecorous conduct of the gods. This is a vision of the world
as ruled by chance, a world where “natural processes are basically irregular and unpredictable”
where “gods can interfere with them or manipulate them as they please” (CCP, 52). Plato firmly
rejects this undignified and unsystematic (and perhaps liberal) vision. As many scholars have
pointed out, partly on Aristotle’s authority, Plato’s own ideas were indebted to a pre-Socratic
tradition of naturalism, which attempts to offer an alternative account of the world, one that is
not poetic or mythical or based on tradition but which appeals rather to natural processes in the
service of a rational explanation.
Irwin points out that in agreeing with the pre-Socratics, both Socrates and Plato were challenging
“widespread and deep-seated religious assumptions of their contemporaries.” In rejecting the
Homeric irregular picture of the universe, they, like the naturalists, were rejecting the view that
we incur divine punishment by failing to make the appropriate sacrifices or by fighting on an ill-
omened day or by securing a god’s favor by offering gifts. In Plato’s view, the gods are “entirely
just and good, with no anger, jealousy, spite or lust.” Both of these views, says Irwin, existed in
an unreconciled fashion in Greek tradition (CCP, 52–53). Moreover, like the naturalists, Socrates
and Plato distinguished between mere evidence of the senses, which was “appearance,” and an
underlying reality accessible only through reason (CCP, 54). Hence, Greek philosophy begins
with the application of rational thinking to all areas of human life: “In the lifetime of Socrates
reflection on morality and human society ceased to be the monopoly of Homer and the poets; it
became another area for critical thinking” (CCP, 58). In other words, Greek philosophy begins as
a challenge to the monopoly of poetry and the extension of its vision in more recent trends such
as sophistic and rhetoric. Plato’s opposition of philosophy to poetry effectively sets the stage for
more than two thousand years of literary theory and criticism.
PLATO [B. C. 427-348]
Plato was the most celebrated disciple of Socrates. He lived during the twilight period of Athenian
Art and Literature. The golden Age which saw the creative outpourings of Phidias, Polygnotus,
Aeschylus, Sophocles, Euripides, and Aristophanes was on the decline. Drama and Poetry were
replaced by philosophy and oratory. Parmenides, Empedocles and Socrates were the chief
philosophers and Gorgias, Antiphon, and Lysias were the great orators. The fifth century was the
glorious age for creative activity. The fourth was famous for critical inquiry and analysis. Plato
could not be called a ‘critic’ of literature in any sense of the term. Rather, he had a very low
opinion about all creations of imagination. His area was philosophy and it is the subject of
his great work, the Dialogues.
Dialogues
This work is in question and answer format. There are a number of interlocutors in the work. The
chief among them is Socrates. We can safely assume that the opinions expressed by Socrates are
the opinions of Plato also. In the work, there are scattered references to literature. Plato’s views of
Art are connected to his theory of Ideas

Theory of Ideas & Views of Art

1. Ideas are the ultimate reality. Ideas exist in our mind. [Before we build a house, the Idea of a
house is there in our mind. This Idea is perfect. The house we build may be perfect or imperfect.]
2. Thus the idea is original. The things we see/experience are copies of the Idea. [The house we
live in is a copy of the Idea that was there in our mind. Hence all the things we see around us are
copies of the Idea. Thus all these things are once removed from Idea which is the reality.
3. Art—literature, painting, sculpture etc. are copies of the things we see around us. As stated in
the above paragraph (2), the things we see around us are copies of the Idea. Art, Literature,
Painting and Sculpture copy the things in the outside world which are themselves copies of the
original Idea. Thus they copy a copy. Thus Art, Literature, Painting and Sculpture are twice
removed from reality.
All the things around us are imperfect as they are nothing but copies of the Perfect Idea which is
there in our mind. Art copies the things around us which are already imperfect. Therefore Art is
twice imperfect.
IDEA (Original)—-> the things around us (Copies)—-> painting/poem/sculpture (copies of
copies).
Idea is perfect. Things around us-- imperfect (one time).Painting/poem/sculpture--imperfect
(twice).
Plato admits that art has charm. But this charm makes it more dangerous to individuals and
society. Plato realized that Art can change the mind of people. It could in still a love for beauty.
But very few people used it like that.
Plato’s attack on Poetry

Plato was anxious about the welfare of the individual and the society. He found that poetry did
much damage to both. Therefore he believed that there is much to be condemned than to be
recommended in poetry. He cited some reasons for condemnation of poetry—
1. Art is twice removed from reality.
2. Poetic Inspiration is unreliable——
Poet says things under inspiration which is not based on reason. It cannot be depended upon to
make the individual a better citizen and the state a better organization. Poetry can never take the
place of Philosophy.
3. The Emotional appeal of poetry——
Philosophers as a class took a very dim view of emotions. They never consider emotions as a
safe guide because emotions are just impulses of the moment unlike philosophy which is based
on perennial truths. Poetry is to be condemned because it appealed to the emotions of the readers
than to their intellect.
4. Non-moral character
It treats alike both virtue and vice without regard for moral considerations. Such literature
corrupted both the citizen and the state.
The Function of Poetry
Poetry is pleasing but pleasure should not be taken as the main function of poetry. Truth is the
test of good poetry. Only through truth can poetry mould the character and promote the welfare
of the state. A poet must be a good teacher. Then only he can become a good artist.
Plato’s views on Drama

All Plato’s observations on poetry are applicable to drama. Drama was twice removed from
reality; it appealed to emotions and was indifferent to morality.
1. Appeal to baser instincts——Unlike poetry, drama is staged and the audience experiences it
first-hand. Pleasing the spectator is the main aim of the dramatist. For this he introduces fights
and lamentations in tragedy, and imitations of thunder and cries of beasts in comedy. These
arouse the baser instincts of the spectators.
2. Effects of impersonation——Drama has its impact not only on the audience but also on the
actors. The actors, who impersonate as evil characters like cowards, knaves, and criminals, let
these evil qualities enter into their own nature. At the same time Plato admits that those who act
as good characters may imbibe some of the good qualities into their nature. [Plato is hinting at
the psychological aspects of drama. However, there is very little evidence that a person who is
acting as a villain might become one like that in future or a person who is acting as a hero may
become one in real life.]
3. Tragic and Comic pleasure
Plato speaks about the pleasure aroused by tragedy and comedy. He says that human nature is a
mixture of different feelings—anger, fear, envy, grief, and others—which afford pleasure when
indulged in excess.
Plato believes that no character can be comic unless he is lovable. Plato warns against too
frequent indulgence in laughter as it affects seriousness of conduct required to do great deeds.
However, Plato’s explanation of the pleasure gained from tragedy is not fully convincing.
Plato on style
Essentials of a good speech:--
1. Thorough knowledge of the subject,
2. Knowledge of the art of speaking,
3. Logical Flow of thought, and
4. Knowledge of human psychology to get into the feelings of the hearers.
Estimate of Plato as a critic
Plato had a poor opinion on poetry and drama. But he proves to be an astute critic of both. He
had a thorough knowledge of the nature, function and method of poetry.
Plato was aware of the difference between the truth of poetry and the truth of life. Plato was also
aware of the pleasure generated by tragedy. He was the first to recognize that all art is imitation
or mimesis.Thus for plato, the poet is only an inept imitator of what already exists, he has lost
the license of being a maker or a creator of his work. Additionally, because he is but only a
vector for the muse, the poet lacks the right to be regarded as the vendor and custodian of the
truth.
ARISTOTLE [B.C. 384—322]
Introduction
Aristotle was the most distinguished disciple of Plato. He is believed to have written nearly half
a dozen critical treatises, of which only two survive—Poetics and Rhetoric. Poetics deal with the
art of poetry and Rhetoric deals with the art of speaking.
Poetics

Poetics is not a mere enunciation of the principles of the poetic art. Its conclusions are firmly
rooted in Greek Literature. Poetics is a treatise of about fifty pages containing twenty six small
chapters. It gives the impression of being a summary of his lectures to his pupils, written either
by them or by himself. It is believed to have a second part, which is lost. For it is incomplete and
omits some of the important questions he himself raises which were reserved for a fuller
treatment in the second part. The first four chapters and the twenty-fifth are devoted to poetry,
the fifth in a general way to comedy, epic, and tragedy, the following fourteen exclusively to
tragedy, the next three to poetic diction, the next two to epic poetry, and last to a comparison of
epic poetry and tragedy. Aristotle’s main concern appears to be tragedy, which in his day, was
considered to be the most developed form of poetry.
ARISTOTLE’S OBSERVATIONS ON POETRY
1. Nature
Following Plato, Aristotle calls the poet an imitator. The poet imitates one of three objects
—‘things as they were or are, things as they are said or thought to be, or things as they ought to
be’. Like Plato, he believes that there is a natural pleasure in imitation, which is inborn in man,
constituting the one difference between him and the lower animals. It is the pleasure of imitation
that enables the child to learn his earliest lessons in speech and conduct from those around him.
A poet or artist is a grown up child indulging in imitation for the pleasure it affords.
There is another natural instinct, helping to make him a poet—instinct for harmony and rhythm,
manifesting itself in metrical composition. It is no less pleasing than the first. The poet’s
imitations are not unreal—‘twice removed from reality’—as Plato said. Aristotle believed that
they reveal truths of a permanent or universal kind. Comparing poetry and history, Aristotle says
that it is not the function of the poet to relate what has happened but what may happen.
The poet is different from the historian, not because he writes in verse and the latter in prose.
The historian relates what has happened, the poet relates what may happen
Poetry is more philosophical than history because it expresses higher things.
Poetry expresses the universal, history the particular.
2. Function
Aristotle sees pleasure as the end of poetry. He never says that the function of poetry is to teach.
Teaching is not ruled out if it is incidental to the pleasure it gives. Such pleasure can be regarded
as superior because it serves a dual purpose—that of itself and of civic morality.
3. Emotional Appeal
Aristotle like Plato believes that poetry makes an immediate appeal to the emotions. Taking
tragedy as the highest form of poetry, he says that it arouses the emotions of pity and fear—pity
at the undeserved sufferings of the hero and fear of the worst that may befall him. Plato
considered them as harmful to the growth of the mind. ‘If we let our own sense of pity grow
strong by feeding upon the grief of others, it is not easy to restrain it in the case of our own
sufferings’. Aristotle has no such fear. These emotions of pity and fear are aroused with a view
to their purgation or catharsis.
Everybody has occasions of fear and pity in life. If they go on accumulating, they become an
alien matter in the soul. In tragedy where the emotions are not our own these emotions find a
full and free outlet, relieving the soul of the excess. By showering them on other persons, we
emerge nobler than before. It is this that pleases in a tragic tale, which normally will be
painful. Viewed in this light, tragedy is an art that transmutes the disturbing emotions into what
Milton calls ‘calm of mind all passion spent’. Thus the emotional appeal of poetry is not
harmful but health-giving and artistically satisfying.

ARISTOTLE’S OBSERVATIONS ON TRAGEDY

1. Origin
Poetry can imitate two kinds of actions—the noble actions of good men or the mean actions of
bad men.From the former was born the epic and from the latter the satire. From these in turn
arose tragedy and comedy. Tragedy bears the same relation to the epic as comedy to the satire. It
follows therefore that the epic and tragedy are superior to the satire and comedy, which is related
to the actions of low men.
2. Characteristics
‘Tragedy is an imitation of an action that is serious, complete, and of a certain magnitude; in
language embellished with each kind of artistic ornament, the several kinds being found in
separate parts of the play; in the form of action, not of narrative; through pity and fear effecting
the proper purgation of these emotions’. By serious action Aristotle means a tale of suffering
exciting pity and fear. Action comprises all human activities, including deeds, thoughts, and
feelings. It should be complete or self-contained, with a beginning, a middle and an end. A
beginning is that before which the audience does not need to be told anything to understand the
story. If something more is required the beginning is unsatisfactory. From the beginning follow
the events that constitute the middle. In their turn they lead to those other events that cannot but
issue from them and that lead to none other after them. They form the end. Completeness
implies organic unity or a natural sequence of event that cannot be disturbed.
3. Constituent Parts
Aristotle finds 6 constituent parts in tragedy—Plot, Character, Thought, Diction, Song &
Spectacle Plot is the arrangement of the incidents. It is the chief part of the tragedy. To the
question whether plot makes a tragedy or character, Aristotle replies that ‘without action there
cannot be a tragedy, there may be without character. Character determines men’s qualities. It is
by their action that they are happy or otherwise. Tragedy is written to imitate men in action. It is
by their deeds, performed before our very eyes, that we know them rather than by what the poet,
as the epic, tells of them. Character is next only in importance to plot. Thought is what the
character thinks or feels during his career in the play. It reveals itself in speech.
• Diction is used to accomplish plot, character and thought.
• Song is used as embellishment.
• Spectacle is the least important part of the tragedy. It is the work of the stage mechanic.
4. Structure of the Plot
The plot is the soul of tragedy. Hence the artistic arrangements of its incidents is of prime
importance.
It should have ‘unity of action’. The events comprising the plot will concern only one
man and not more. If they concern more than one man, there will be no necessary
connection between them, as the actions of one man cannot be put down to another. The
episodic plots—those in which the episodes or events follow one another in mere
chronological order— are the worst. Only once Aristotle mentions what is came to be
known as ‘the unity of time’:- ‘Tragedy endeavours as far as possible, to confine itself to
a single revolution of the sun, or but slightly to exceed this limit’ whereas the epic action
has no limitations of time’.
5. Simple and Complex plot
The plot may be simple or complex. In a simple plot there are no puzzling situations. In a
complex plot there will be ‘peripeteia’ and ‘anagnorisis’. ‘Peripeteia’ is a reversal of the
situation, a deed done in blindness defeating its own purpose, a move to kill an enemy recoiling
on one’s own head, the effort to save turning into just its opposite, killing an enemy and
discovering him to be a kinsman. Anagnoisis’ is a change from ignorance to knowledge
6. Tragic Hero-The aim of tragedy is to evoke pity and fear. Hence the actions of the hero must
create these feelings in the minds of the spectators. So the tragic hero cannot be an eminently
good man, hurled from prosperity into adversity, because this totally undeserved suffering will
arouse not pity and fear but shock or revolt that such a thing should happen.
ARISTOTLE’S OBSERVATIONS ON COMEDY
The roots of comedy lie deep in satirical verse as those of tragedy in epic poetry. Satirical verse
itself owes its origin to the earlier phallic songs sung in honour of Dionysus, the god of fertility.
Comedy represents men as worse than they are. Comedy ridicules general vices. By characters
‘worse than the average’, Aristotle does not mean men who are wicked or vicious but merely
men who have ‘some defect or ugliness which is not painful or destructive. Aristotle rules out
malicious pleasure as the basis of comedy. When the pleasure arises not from a personal but a
general weakness and causes no pain whatever either to the victim or to the spectator, there can
be no malice in it. Finally, comedy shares the generalising power of poetry. It represents not
what has happened but what may happen: what is probable in a given set of circumstances.
ARISTOTLE’S OBSERVATIONS ON STYLE

1. The object of writing is to communicate the writer’s meaning. Therefore writing has to
be clear and intelligible.
2. The same mode of writing is not suitable for every occasion. Therefore propriety is
needed in writing.
3. For intelligibility current words are the best, for they are familiar to all, but writing is
an art, it should aim at dignity and charm also
4. Charm can be best attained by the use of unfamiliar words—archaic words, foreign
words, dialect words, newly-coined words—that have an element of surprise and novelty
in them. For the same reason metaphorical use of words, conveying a hidden resemblance
between things apparently dissimilar is to be preferred to the plain. A perfect poetic style
uses words of all kinds in judicious combination.
5. The style of prose is distinct from that of poetry. Poetry uses unfamiliar words to attain
dignity and charm, prose dealing with everyday subjects, can use only familiar or current
words. One kind of charm common for both is metaphor.
6. Prose should avoid multiplicity of clauses, parenthesis, and ambiguous punctuation.
7. Words can be arranged into two kinds of style—loose or periodic. The loose style is
made up of a series of sentences, held together by connective words. In the periodic style
each sentence is a complete whole, with a beginning, an end, and a length that can be
comprehended at a glance.
8. While the loose style is formless, the periodic style has a form that cannot be so easily
tampered with. The loose style therefore is less intelligible than the periodic and also less
graceful. The one just runs on and the other follows a measured course that imparts to tit
the charm of poetry.
 Limitations
1. Aristotle assigns a higher rank to Tragedy than it deserves. The epic in which success
is so difficult to achieve that about a dozen great epics are all that the world can boast of,
is assigned the second rank.
2. Aristotle himself bestowed more praise on Homer’s Iliad and Odyssey for their artistry
in plot, character, thought, and diction than on the same things in his favourite tragedian
Sophocles.
3. The omission of the lyric is almost inexplicable.
4. Aristotle is more concerned with the form of the literary types he deals with than with
their content and so lays down rules only for the former.
LONGINUS

The identity of Longinus (who he was, where and when he lived etc.) is unknown. The famous
treatise On the Sublime is generally credited to him.
On the Sublime-The declared subject of the book is rhetoric but it looks into what constitutes
sublimity in literature.

Sublimity in Literature
Before Longinus, it was thought that the function of poetry was to instruct, or to delight or to
do both, and the function of prose to persuade. Longinus finds this three-word formula.
Instruct, delight and persuade. He discovered that the masterpieces of Greek literature (the epics
of Homer, the lyrics of Sappho and Pindar, the tragedies of Aeschylus and Sophocles, and the
orations of Demosthenes) while they instruct, delight and persuade, were great for a different
reason altogether (their sublimity).
Longinus defines sublimity as: Sublimity consists of a certain distinction and consummate
excellence in expression and it is from this and no other cause, that the greatest poets and prose-
writers have gained their eminence and immortal fame. The effect of a lofty passage is not
merely to convince the reader but to transport him out of himself. ‘Not instruction or delight or
persuasion is the test of great literature, but transport caused by an irresistible magic of
speech’. If the hearer is spell-bound by what the writer says, he can neither think nor feel except
what the writer thinks or feels. Then the work has the quality of the sublime. The influence of the
sublime acts with an irresistible might and get the upper hand with every hearer.
The Sources of the Sublime

Longinus finds five main sources of sublimity, the first two of which are largely the gifts of
nature and the remaining three the gifts of art.
1. Grandeur of thought,
2. Capacity for strong emotion,
3. Appropriate use of Figures,
4. Nobility of diction, and
5. Dignity of composition.
Longinus as a Critic

1. Longinus is not original in many of his ideas as they were already expressed by Aristotle and
others. But in his main thesis—his theory of transport—he rises above all his predecessors,
Greek or Roman. Here he transcends all rules and pleads for a purely aesthetic appreciation of
literature.
2. Longinus admires the Greek Classics not because they observe the rules but because they
excite, move, transport and elevate. And any art that does so is sublime even though it might be
faulty in form. Homer is great in spite of all his formal blemishes.

3. Longinus sees an intimate connection between the greatness of soul and the greatness of
speech. Here he follows Plato, to whom also excellence in art was but a reflection of excellence
of character. Longinus thus is “three characters in one: a classicist in taste, a romanticist in
temper, and an idealist at heart”.
HORACE [65 B.C—8 B.C]
Works of Horace

Two books of Satires, Four books of Odes, Ars Poetica

Ars Poetica was originally known as Epistle to the Pisos. It was Quintilian who gave it the
title, Ars Poetica. This is Horace’s chief critical work. It is a letter in verse offering advice on
literary matters to a father and two sons of the name of Piso. The book follows no method or
plan. It is very brief in keeping with its epistolary form, covering no more than sixteen pages and
less than five hundred lines of verse in the original Latin. Its main topics of discussion are
poetry, poetic style, and drama.
HORACE’S OBSERVATIONS ON POETRY

Nature of Poetry
Horace believed that poetry is not mere imitation alone. He said that a poet ‘often mingles facts
with fancy, putting on something of his own’. He did not like too much fancy on the part of the
poet and added that ‘fiction composed to please should be very near to the truth’.
Function of Poetry
Poetry should inculcate a love of all that is noble in life so that the young men may be
perpetually influenced for good. He synthesized the views of Aristotle and Plato in his views on
poetry. Poets improve and please, unite the agreeable and the profitable and at once delight and
instruct the reader. He believed that great poetry must be both pleasure-giving and morally
improving.
Language of poetry
Horace insists on the right choice of words and their effective arrangement in composition. A
poet is free to use both familiar words and new ones if they satisfy the two requirements of
expression—clearness and effectiveness. If no familiar word is found, the poet has the licence to
invent a new one. New words will be appreciated if they originate from Greek sources. The
poet’s skill lies in making the familiar words appear strange and the strange one familiar.
Nature and Art
Horace also examines the question of the place of genius and art in the success of a poem.
Genius meant natural talent and art meant training. Horace believed that each one of these gifts
needed the other. But like Aristotle he gives more importance to art than to genius.
HORACE’S OBSERVATIONS ON DRAMA

Horace studies drama under three heads—plot, characterization and style. Plot should be
borrowed from familiar material, preferably the known Greek legends in which the story being
already known the author could distinguish himself by originality of treatment. If an untried
theme has to be chosen it has to be consistent from the beginning till the end. It has also to be an
indivisible whole in structure, the middle harmonizing with the beginning, and the end with the
middle. In characterization, the dramatist could either draw on the ancient Greek legends or
invent new characters. Characters were to be true to their traditional prototypes to pass muster
with the audience, and in the latter to be true to themselves. A character who is one at one time
and another at another is not a consistent character unless he persists in his changefulness.
Horace demands truth to life or verisimilitude—‘ A child in a play should behave like a child, a
young man like a young man, a middle-aged man like a middle-aged man, and an old man like
an old man’.

Style -For drama, both comedy and tragedy, Horace considered the iambic metre as the most
suitable. He recommended it for two reasons;
1. It is close to dialogue, being nearer the spoken speech than any other metre, and
2. With every second syllable pronounced louder than the first, it could be heard above the din of
the audience.
Dramatic speech should also observe propriety—a god will speak differently from a mortal, a
man from a woman, an aged man from a heated youth, a prosperous merchant from a poor
farmer, a man in grief from a man in joy, an angry fellow from a playful one. ‘If you utter words
ill suited to your part, I shall either doze or smile’.
HORACE’S OBSERVATIONS ON THE SATIRE

Horace considers the satire a new verse-form unknown to the Greeks. He admits that satire
existed in a different form in the Greek comedies. However it is clearly Roman than any other
form. According to Horace, a satirist would have:
 wit or the intellectual faculty to please in an unexpected way
 the faculty to see the fun of things,
 vigour or the power to hit hard, and
 sincerity of expression reflecting the man in the author.

UNIT THREE: LITERARY CRITICISM IN MIDDLE AGES AND RENAISSANCE

3.1. Literary Criticism in Middle Ages

Medieval literature
Medieval, “belonging to the Middle Ages,” is used here to refer to the literature of Europe and
the eastern Mediterranean from as early as the establishment of the Eastern Roman, or Byzantine
Empire about AD 300 for medieval Greek, from the period following upon the fall of Rome in
476 for medieval Latin, and from about the time of Charlemagne and the Carolingian
Renaissance he fostered in France (c. 800) to the end of the 15th century for most
written vernacular literatures. The centuries between the fall of the Roman Empire and the
Renaissance are called the Dark Ages. The Middle Ages [from 12 th century to the Renaissance]
constitute a part of the Dark Ages. The Dark Ages were not wholly dark. In between, there are
visible patches of culture and civilization. King Charlemagne’s rule [from 742 to 814 A.D.] is
an example. In 800 A.D. the Pope himself crowned Charlemagne as the Emperor of the Holy
Roman Empire.
In England, the Dark Ages were marked by the arrival of the Anglo-Saxons who brought with
them their own cultural practices. The rule of the Anglo-Saxon King Alfred was the golden
period of Old English Literature. The great epic, Beowulf, belongs to the Old English period. The
spread of monasticism was one of the important developments of this period. Theological studies
gained importance. Consequently, aesthetic theory was overshadowed by theological and
philosophical scholarship. We can see only one or two thinkers exerting their influence on the
formulation of aesthetic theories during the period.

3.2. CRITICISM IN THE RENAISSANCE

The name Renaissance (“Rebirth”) is given to the historical period in Europe that succeeded the
Middle Ages. The awakening of a new spirit of intellectual and artistic inquiry, which was the
dominant feature of this political, religious, and philosophical phenomenon, was essentially a
revival of the spirit of ancient Greece and Rome; in literature this meant a new interest in and
analysis of the great classical writers. Scholars searched for and translated “lost” ancient texts,
whose dissemination was much helped by developments in printing in Europe from about 1450.
The term ‘Renaissance’ stands for different things for different people. For the students of
literature, the term signifies the rediscovery of the classics of Greece and Rome. Scholars edited,
translated and commented on the classics during the Renaissance. With the fall of
Constantinople in 1453, scholars drifted to many European cities carrying the literary treasures
with them.
With the Renaissance, Europe came into contact with Greek and Latin Classics. This led to an
intellectual/cultural awakening in Europe. Till the Renaissance human activity was centered in
the divine scheme of creation and redemption. Classical writers had placed man in the centre of
the universe and the ideals of ‘Humanism’ spread throughout Europe. Classical styles and genres
created new models of art. In this new type, poise and polish, balance and decorum became key
factors.

I. The complete man

(Sir Thomas Elyot and Roger Ascham)
The Renaissance writers laid down rules for the training of leaders. The Book of the
Governour by Sir Thomas Elyot was one such book aimed at the training of youth for leadership
roles.
a. The Book of the Governour by Sir Thomas Elyot (1490-1546)
This is the first book on English education. It is interesting to note that Elyot recommends
the study of Homer ‘from whom as from a fountain proceeded all eloquence and learning’. He
says that Aristotle recommended the Iliad and the Odyssey to the young Alexander who later
became Alexander, the Great. From the Iliad, Alexander “gathered courage and strength against
his enemies, wisdom and eloquence for consultations, and persuasion to his people and army”.
From the Odyssey he learned “Ulysses’ example to evade deceptions and treacheries, and how to
sift good characters from evil characters.” Elyot, then turns to Virgil. He says that Virgil has a
special appeal to the youth. The youth can benefit much by what Virgil writes about horticulture,
horses, astronomy, hunting, and the like. Aeneid can stimulate boldness, courage and
adventurousness. Elyot speaks about the usefulness of studying Horace. In Horace, there is
much “variety of learning and quickness of sentence”. Elyot recommends Logic, Rhetoric,
Cosmography, History and Moral Philosophy. He also distinguishes mere technical agility from
true eloquence.

Elyot’s defence of Poetry

Elyot defends poets and poetry against the charge that the works of poets contained “nothing but
bawdry”. In defence of poetry, Elyot argues that even comedy can be a morally instructive
mirror of man’s life. He defends Ovid, who is supposed to be the most lascivious among all
poets, stating that “commendable and noble sentences” can be found “in the most wanton
books”. Elyot stands firmly against censorship of what the young must read. In a garden a man
has to tread on nettles when he gathers the good herbs. Similarly, the young reader must be able
to discriminate between good and bad. He would not recommend the teaching of ‘wanton poets’
to all people, but nothing must be excluded from the healthy minded. Along with enlightened
openness, there exists the medieval notion of order and discipline in Elyot. The four elements
——earth, water, air and fire—— must keep their proper place to distinguish order from chaos.
He believes in the greatness of dance and devotes several chapters in defence of dancing. He
says that ordered dance is the true expression of love and it is symbolic of the institution of
marriage. Dance is equated with magnanimity, constancy, honor, wisdom and continence and
these qualities together are what constitute nobility.
b. Roger Ascham (1516- 68)
Ascham was a classical scholar. He was the Latin secretary under Edward IV, Queen Mary, and
Queen Elizabeth. He left a treatise The Schoolmaster, which was published by his widow, two
years after his death. This work does not have the philosophical dimensions of Elyot’s work. His
first book, ‘teaching the bringing up of youth”, contains practical advice. But this advice is
mostly conventional. His criticism of Malory’s Morte D’Artur as a book of “open manslaughter
and bold bawdry” is remembered even today.
Ascham’s second book, ‘teaching the ready way to the Latin tongue’ contains a substantial
section entitled, Imitatio. He says that all languages are learned through imitation. The Italian
poets follow Virgil, and Virgil follows Homer. Cicero follows Plato and Demosthenes and so
on. In conclusion, Ascham argues that mastery of a language is not an accident. There must be
natural aptitude, love of learning, diligence and so on.
THE ART OF POETRY
a. George Gascoigne (1534-77)
Gascoigne was a poet and dramatist. His ‘Certain Notes of Instruction Concerning the Making of
Verse or Rhyme in English’ is a study of English versification. He explains the system of
scansion to some extent, but adds that rolling rhythms and resonant vocabulary are not enough to
write poetry. There must be ‘invention.’ Descriptions that are commonplace and obvious
(‘crystal eye’, ‘cherry lips’) must be avoided. The search for imaginative novelty is the most
difficult thing in writing. Here, Gascoigne lays emphasis on the use of conceits, fanciful turns of
thought and avoidance of the obvious. On the subject of scansion, Gascoigne illustrates the
importance of placing accents correctly.
b. George Puttenham (1529-91)
He is the author of a massive work: The Art of English Poesy. The work was published
anonymously in 1589.The book has a kind of “pedestrian thoroughness”. In the first section ‘Of
Poets and Poesy’, Puttenham says that poets were the first priests, the first prophets, the first
legislators and politicians of the world. He takes up religious poetry, didactic poetry, satirical
poetry, comedy and tragedy, pastoral, historical, love poetry, poetry of lamentation etc. for
consideration. There is little of true critical significance in his views. However, Puttenham shows
sensitivity to praise Wyatt and Surrey. He praises Chaucer for the ‘grave and stately’ meter
of Troilus and Cressida. Gower is praised as a ‘good and grave’ moralist. Sidney is praised for
his pastoral poetry and ‘that other gentleman’ (Edmund Spenser) is praised for Shepherd’s
Calendar. The second book, Of Proportion Poetical, deals with the ocular appeal of stanzas. But
when he takes up scansion, his limitations become clear. He shows metrical insensibility. The
third book, Of Ornament, examines figures of speech with a dogged determination. He makes his
writing lively with anecdotes and digressions. But his poetic sensibility is very limited and he is
blind to the finer points of poetry.
THE DEFENCE OF POETRY
(Stephen Gosson & Sir Philip Sidney)
In 1579 a critical controversy developed in England—the attack on poetry and its defence—
partly occasioned by the impact of the Renaissance. Poetry and drama came under attack from
the Puritans for their ‘harmful’ effect on morals. The attack was led by Stephen Gosson in a
treatise entitled The School of Abuse dedicated without permission to Sir Philip Sidney. The
book is described as a ‘pleasant invective against poets, pipers, players, jesters and such like
caterpillars of the commonwealth’. The book denounces poets as the ‘fathers of lies’ and the
theatre for robbing Greece of gluttony, Italy of wantonness, Spain of pride, France of deceit, and
Dutch land of quaffing’. The title is important for Gosson is not attacking poetry but its abuse.
He concedes that even in his day there are good plays that are morally wholesome.
The School of Abuse -provoked two replies—one from Thomas Lodge and another from Sir
Philip Sidney. Sidney’s work is called Apology for Poetry or The Defence of Poesy, written
probably in 1580. Lodge’s authority is based on the authority of the great poets of antiquity,
Greek, Roman, and medieval, whose achievements belie the abuse hurled on their art by Gosson.
Sidney’s is more reasoned and otherwise more important, and deserves a section to itself. In the
controversy, both parties made abundant use of their classical learning. Those who were against
poetry argued so with the support of Plato while those who were in favor of poetry argued so
with the help of Aristotle. Regular criticism in England began with this argument.

SIR PHILIP SIDNEY

He was the model of an Elizabethan gentleman. Mortally wounded in war and thirsty with excess
of bleeding, he passed on the bottle of water, brought to him to a poor soldier in the same agony
of thirst and death, saying, ‘Thy need is greater than mine’. The Apology was intended as a reply
to the Abuse. Sidney follows Gosson’s line of attack. Gosson has indicted poetry on four
counts-- A man could employ his time more usefully than in poetry. It is the mother of lies. It is
the nurse of abuse. Plato has banished poets from his ideal Republic. Sidney replies to each one
of these charges, drawing on the ancient classics and the Italian writers of the Renaissance. He
draws examples from Homer, Plato, Aristotle, and Plutarch. He also quotes from Cicero, Virgil,
Horace and Ovid.
The Argument of his Book
Sidney’s Apology is a defence of poetry against all the charges levelled against it since Plato.
Sidney’s method is that of a logician. He examines it in whole and in parts. Poetry is the oldest
of all branches of learning. It is superior to philosophy by its charm, to history by its universality,
to science by its moral end, to law by its encouragement of human rather than civic goodness.
Sidney speaks about the various types of poetry.
 The Pastoral pleases by its helpful comments on contemporary events and life.
 The elegy pleases by its kindly pity.
 The satire looks at the pleasant ridicule of folly.
  The comedy pleases by its ridiculous imitation of the common errors of life, the tragedy
by its moving demonstration of the uncertainty of the world.
 The lyric delights us by its sweet praise of all that is praiseworthy, the epic by its
representation of the lofty truths in a lofty manner
Then Sidney takes up four charges levelled against poetry by Gosson. Taking the first that a man
might better spend his time than in poetry, Sidney says that nothing can teach and move better
than poetry. Ink and paper cannot be to a more profitable purpose employed. Next to say that the
poet is a liar is to misunderstand his very purpose. The question of truth or falsehood arises only
where a person tells of facts, past or present. The poet has no concern with these. He merely uses
them to arrive at a higher truth. Hence the poet is not a liar. About the next charge that poetry
abuses men’s wit, Sidney says that this charge is commonly levelled against comedy, lyric, elegy
and epic where love may be one of the chief elements. Sidney argues that we cannot consider
love as a great sin. He further argues that it is not poetry that abuses men but men who abuse
poetry. The nature of a thing is determined not by its misuse but by its right use. The fourth
charge which is associated with the name of Plato is also without foundation. Plato condemned
the poets who abused poetry to misrepresent the Gods. Plato did not blame poetry because he
believed that poetry is divinely inspired. Hence Sidney concludes that Plato is not the enemy of
poets or of poetry but a friend.

Sidney’s Classicism
Sidney’s Apology is the first attempt to apply classical rules to English poetry. In ancient Greece
and Rome the poet was respected as a ‘maker’. He is also considered as a prophet. Sidney
wanted poets in England to be treated like that. Sidney repeatedly stresses the teaching function
of poetry. In this he resembles Plato, Aristotle or Horace. In his definition of poetry he follows
both Aristotle and Horace. ‘Poesy is an art of imitation, for so Aristotle termed it in his word
‘mimesis’……with this end, to teach and delight.’
Sydney as a critic
Though Sydney professes to follow Aristotle, his conception of poetry is different from
Aristotle’s. To Aristotle poetry was an art of imitation for the natural pleasure imitation affords.
To Sidney it is an art of imitation for a specific purpose. It imitates to teach and delight. Those
who practice it are called makers and prophets. Poetry is superior to philosophy, history, law and
science. Sidney differs with Aristotle in the meaning he gives for imitation. The poet according
to Sidney lifts up the world with the power of his own invention. The world of Nature is brazen.
The poet makes it golden. Hence poetry is not mere imitation, it is invention or creation. It
creates a new world altogether for the edification and delight of the reader. Sidney is closer to
Plato also in his view of poetry. Plato had found fault with poetry for being an imitation of an
imitation. The poet imitates objects of Nature which are themselves imitations of the objects in
the external world. Sidney argues that the poet takes the brazen world and makes it golden. In
creating the golden world, the poet imitates the world of Ideas. He does not copy the common
world. It is surprising that this thought does not occur to Aristotle. Thus Sidney answers the
charge levelled by Plato convincingly. He makes poetry what Plato wished it to be—a vision of
the Idea itself rather than its copy and a force for the perfection of the soul. The Apology is not
only a reply to Gosson but it is also a reply to Plato.

UNIT FOUR: MODERN LITERARY THEORY

5.1 Formalism
Formalism is a branch of the ‘theory of art for art’s sake’. Formalist theory regards literature as a
unique form of human knowledge that needs to be examined on its own terms. To analyze a
poem or story, therefore, the formalist critic focuses on the words of the text rather than facts
about the author's life or the historical milieu in which it was written. The critic pays special
attention to the formal features of the text—the style, structure, imagery, tone, and genre. These
features, however, are usually not examined in isolation, because formalist critics believe that
what gives a literary text its special status as art is how all its elements work together to create
the reader's total experience. Art for art’s sake is a movement that appeals to a pure aesthetic
element of form. This includes Russian and new/American/ formalism.
5.1.1. Russian Formalism
It is a type of literary theory and analysis which emerged in the second decade of the twentieth
century. As it was started in St. Petersburg and Moscow, henceforth the name Russian
Formalism. This movement includes some crucial names like Viktor Shklovsky, Boris
Eichenbaum, Roman Jakobson, Jan Mukarovsky, Rene Wellek, Peter Bogatyrev, G. O. Vinokur,
Boris Tomashevsky, Osip Brik and Yuri Tynyanov, who were mainly linguists and historians.
Views literary works mainly as a specialised use of language and draws line of distinction
between the literary (or poetic) and the ordinary, “practical” use of language. It conceives literary
language to be self-focused which means to offer the reader a special mode of experience by
drawing attention to its own “formal” features- that is, to the qualities of “literariness”. It is
literariness which make a given work literary work. Literariness is created through: (a)
Defamiliarization and (b) Foregrounding.
 Viktor Shklovsky is the main figure who talked about ‘defamiliarization’ in his seminal
book ‘Art as Technique (1917). “To defamiliarize is to make fresh, new, strange,
different what is familiar and known.” Defamiliarization, for Russian formalist, is a
product of foregrounding language. Foregrounding is the use of devices and techniques
which push the act of expression into the foreground so that language draws attention to
itself. This can be happened through deviation which include;
• Graphological- is related to the graphic of writing and may be expressed through the
use of capital letter at the middle of the poem, use of inverted letter, fragment sentence
mixture of language, vertical or diagonal writing. Syntactic- is a deviation from
grammatical structure of sentence like, goes home he…Semantic- when the meaning of
words we know become with new meaning…etc. Deviation is the action of departing
from an established norm or accepted standard of language usage. Using figurative
language is another ways of creating defimilarization in literature.
1. Simile: is a figure of speech that compares two things that are different from each
other but have similar qualities. These are generally formed through the usage of the
words ‘as’ or ‘like’. Eg. He is as brave as a lion .Her expression was as cold as ice
2. Metaphore:- Is an implied comparison in which one thing is spoken of in terms of
something else; the figurative term is substituted for or identified with the literal term.
Metaphors are extremely valuable in making an abstract idea clearer by associating the
idea with something concrete that relates to one or more of the senses. Eg. The Lord is
my shepherd; the web of our life is mingled yarn, good and ill together.
5.1.2. New criticism/American formalism
The term was made prominent by John Crowe Ransom in his book The New Criticism published
in 1941. It refers to a kind of movement in literary criticism which developed in the 1920s (for
the most part Americans). Notable critics in this mode were the Southerners, Cleanth Brooks and
Robert Penn Warren, who’s textbook Understanding Poetry (1938) and Understanding Fiction
(1943) respectively.
Main Interpretative Strategies of New Criticism
The New Critics see their method as "scientific." The work is a self-contained phenomenon made
up of "physical" qualities—language and literary conventions (rhyme, meter, alliteration, plot,
point of view, and the like). Cleanth Brooks, claimed that the meaning contained in works of
literature cannot be paraphrased, cannot be separated from the work's form. One can state what a
work is "about" or summaries a work's themes, but a work's meaning is far more complex than
such statements alone. Brooks argued that a work's complexity lies in its "irony" or paradoxes.
A paradox is a statement that seems contradictory, but it is nonetheless true. Statements such as
"the first shall be last" or "you must lose your life to gain it" are paradoxes. Brooks claimed that
good works of literature are filled with paradoxes. The New Critics use their theories about
literature to judge the quality of works of literature. A "good" work, they believe, should contain
a network of paradoxes so complex that no mere summary of the work can do them justice; yet, a
good work should also have unity. The author, they argue, achieves this unity by balancing and
harmonizing the conflicting ideas in the work. The New Critics believe that the language of great
works of literature should be accessible to modern readers. They are confident that well-trained
interpreters could analyze, understand and evaluate works of literature.
Applying Formalism
Character & characterization? What conflicts does the literary text experience? What is the
climax of the story? What is the protagonist’s role in the climax? How is the setting relevant for
this particular story? What is the theme of the story? How do character, plot and setting develop
the story? How does the work use imagery to develop its own symbols? How are the various
parts of the work interconnected?
5.2. Structuralism
Structuralism is a mid-20th century critical movement based on the linguistic theories of
Ferdinand de Saussure (1857-1913) and the cultural theories of Claude Levi-Straus. The Swiss
linguist, Ferdinand de Saussure, postulates that language is a self-contained system or signs
which did not have any logical relation with what it refers to in material or metaphysical planes.
Roland Barthes, vladimir propp, Gerard Genette are proponents of structuralism.
 Principles and Postulations of Structuralist Criticism
• The structuralism literary theory is intimately linked with structural linguistics, drawing a
parallel between the study of literature and that of language. Saussure's key points about the
nature of language broke new ground for studying literature. First, a language is a complete,
self-contained system and deserves to be studied as such. Before Saussure, linguists
investigated the history of languages (how languages evolved and changed through time) and
the differences among languages. For this kind of study, Saussure coined the word
diachronic (literally "through time"). Saussure argued that, instead of history of a language,
linguists should also study how it functions in the present, how its parts interrelate to make
up a whole system of communication. This kind of study Saussure called synchronic ("at the
same time"). Second, Saussure claimed that a language is a system of signs. He defined a
sign as consisting of a sound plus the thing the sound represents. He called the sound the
signifier and the thing represented the signified. Third, Saussure said that the sounds that
make up a language system are arbitrary. Any sound, it does not matter which one, could
represent a given thing. The sound for the concept "tree" varies from language to language,
yet it is conventional. Fourth, any given language is self-contained. The signs that make up a
language have no meaning outside the system of that language. Finally, Saussure
distinguished between the whole system, which he called langue (French for "language"),
and one person's use of the system, which he called parole (French for "word" or "speech").
In the 1930s and 1940s, literary critics in Europe began applying Saussure's ideas and
methods to the study of literature. This application develop a kind of criticism called
semiotics, the systematic study of signs.
• The notions of sign, system, part-whole relationship became dominant features of the artistic
and criticism of literature. Literary structuralism views literary texts as systems of
interlocking signs, and signs are language based. Literature is seen as a sub-system of signs
which derives its livelihood from the ever-complete large system of (language) signs.
Literature is just one way in which language is used; it is the equivalent of parole within the
langue. When they study literature by the concept of sign, the text is seen as sign. The sign is
composed from signifier and signified. The signifier is the surface structure of the text, while
the signified is the deep structure of the text. For structuralist the deep structure is more
important than the surface structure, because for them meaning is found in the deep one. To
 reach at the deep meaning of the text again they use the Levi Strauss’s concept of culture. He
said that culture is a structure governed by a system and that system is binary opposition (an
opposition of ideas), bad-good, dark-light, man-woman, black-white, etc. They believe this
binary opposition is found in the deep structure, and this is the center of the text what
structuralist wants to reach.
5.3. Reader-Response Theory
As its name implies, reader-response criticism focuses on readers’ responses to literary texts.
Reader-response theory did not receive much attention until the 1970s. I.A Richards and M.
Rosenblatt are the main proponents. This school maintains that what a text is cannot be
separated from what it does. Reader-response theorists share two beliefs: (1). That the role of the
reader cannot be omitted from our understanding of literature and (2). That readers do not
passively consume the meaning presented to them by an objective literary text; rather they
actively make the meaning they find in literature. This second belief, that readers actively make
meaning, suggests, of course, that different readers may read the same text quite differently. The
role of the reader is pivotal in the understanding of literature – they can use a psychoanalytical,
structural, feminist, etc. approach to formulate their criticism – in other words, anything goes!
Readers are active in the reading process – they cannot read literature passively – they must react
and therefore bring meaning to the text. Readers are not empty can. They met the text with
various linguistics, religious, cultural, historical…experiences which determines the meaning.
Meaning is an act of reading not text itself, lf You can read in a literary manner or aesthetically.
“In aesthetic reading, the reader’s attention is centred directly on what he is living through during
his relation with that particular text”. Your interpretation changes each time when you read the
same text because your experiences have changed. A community of readers (those with similar
experiences and backgrounds) are likely to read and interpret a text similarly, even if they are not
in complete agreement. The intended reader of a text is the general audience the author is trying
to reach—those who have the ability and perspective to appreciate the author’s intentions. The
resisting reader reads from a perspective that is directly opposed to the author’s. He/ She might
read from the position of the antagonist or marginal character. They are criticized for:
No one controls the meaning of a text. There is no objective party to assist readers if they
don’t agree with one another. Also, there is no objective way for people, such as teachers, to
evaluate responses fairly because how can one person say that another reader’s
interpretation is wrong even though that reader may not really understand the text? On the other
hand they are appreciated for they; Recognizes the importance of the reader and reading as an
intellectual and active activity, and Gives readers the freedom to provide meaning to a text,
allowing for multiple interpretations of a text.
Applying Reader Response
How do you feel about this text? Why did you like/dislikeit?
Explain how the text connects to an experience you havehad.
Why do you think the characters acted as they did? In a similar situation, how would you have be
haved? Who do you think is the intended readerfor this selection?
Create a poem, collage or letter to one of the characters inthe text with whom
you most identify. Explain in your piece why you identify with this character.
5.4. Feminism
The Emergence of Gender/Feminist Criticism
With the rise of feminism in the 1950s and 1960s, feminist critics claimed that, over the years,
men had controlled the most influential interpretive communities. Men wrote the literary
histories and drew up the lists of "great" works of the literary canon. But works by and about
women were omitted from the canon, women authors were ignored, and women characters
misconstrued. Since the 1960s, however, feminist literary critics have successfully challenged
these circumstances. Literary genres practiced by women, such as diaries, journals, and letters,
have gained more respect. Feminist criticism examines the ways in which literary texts reinforce
patriarchy because the ability to see when and how patriarchal ideology operates is crucial to
one’s ability to resist it in one’s life. Elaine Showalter is, a leading feminist critic.
Stages of Development of Feminist Criticism
Scholars have attempted to periodize the stages of emergence of feminist criticism. However, it
should be noted that this categorization is not cast on stone. The first stage of feminist criticism
began with two influential books: Simone de Beauvoir's The Second Sex (1949) and Kate Millet's
Sexual Politics (1970). Both authors criticize the distorted representation of women by well-
known male authors (undo texts). Their works laid the foundation for the most prevalent
approach of this stage, the "images of women" approach. In the second stage of feminist
criticism, beginning in the early 1970s, critics shifted away from works by males to concentrate
on works by females. Elaine Showalter, a prominent critic from this period, called this approach
"gynocriticism." Gynocritics urged women to become familiar with female authors and to
discover their own female language’.When they study gyno texts, they identify three phases.
1. Feminine phase:-female writers imitate dominant male writers. The difference is the sex
of the writer. patriarchal writing
2. Feminist phase:-females write by opposing male writer. Female higher-male lower
3. Female phase:- female writer were looking at female writing and experiences. They
believe that female writers are also the sources of female misrepresentation. The third
stage of feminist criticism rebelled against the "essentialist" assumptions of gynocriticism
with its focus on the cultural creation of identity. It attempts to distinguish between "sex"
and "gender." While sex is the biological difference between males and females, gender
is the cultural difference. Culture determines the traits and behavior that set masculinity
apart from femininity. They argue that many women are "trapped" by the gender traits
assigned to them by culture.
• Application questions
• How and what is the relationship between men and women portrayed? How are male and
female roles defined? What constitutes masculinity and femininity? How do characters
embody these traits? What does the work reveal about the operations (economically,
politically, socially, or psychologically) of patriarchy? What does the work say about
women's creativity?
5.5. New Historicism
New Historicism is a term coined by Stephen Greenblatt. It designates a body of theoretical and
interpretive practices that began largely with the study of early modern literature in the United
States. Lois Tyson (2006) argues that New Historicism emerged in the late 1970s, rejecting both
traditional historicism’s marginalization of literature and New Criticism’s enshrinement of the
literary text in a timeless dimension beyond history.
Theoretical Perspective of New Historicism
The key assumptions of New Historicism, according to Kelly Griffith (2002), are embedded in
its understanding of several related concepts: culture, text, discourse, ideology, the self and
history. These concepts, in turn, establish the New Historicist approach to the study of literature
and are based on structuralist and post-structuralist theories of language. The first term, culture,
is the most important. In an anthropological sense, "culture" is the total way of life of a particular
society—its language, economy, art, religion, and attachment to a location. The New
Historicist’s approach to literary study is based on three things—literature, the author, and the
reader, — and this helps distinguish it from other theoretical approaches. New Historicism
claims that literature is merely a "text" indistinguishable in nature from all the other texts that
constitute a culture.
5.6. Marxism
Emerged in the nineteenth century as a result of the theories of Karl Marx and Friedrich Engels,
concerns itself with the economic struggles for power between the working class and the ruling
class. Believed in an eventual classless society with communal ownership of all natural and
industrial resources. Applied to literature, they provide a means for assessing the social
significance of a text. Marxist criticism believes that literature is one form of cultural production
of a complex society and, as such, reflects the forces shaping the society’s culture. This is to say
that literature is not only a mirror which reflects society, but also a dynamic participant in the
shaping of a culture. Focused on the idea that the lower/working class is always oppressed in a
society.
Applying Marxism
• What or whose ideological values structure the text? How are these evident? Who has
power (and of what sorts) in the texts? How does this power operate and change as the
text progresses? What “master” or dominant social narratives are perpetuated or critiqued
and disrupted in the text? (e.g., the American Dream, whereby, with hard work and
individual effort, a poor person can achieve success). To what degree does the
protagonist or other characters believe in and live by the prevailing social order? At what
point do characters recognize the oppressiveness of the prevailing social order? How do
they respond? What affects their options for changing things? How is social
objectification evident and how does it operate in the text? What are the social forces that
affect the author’s writing or the text’s marketing and reception?
5.7. Post-colonialism
Postcolonialism as a literary theory emerged in the late 19th century and thrived throughout the
20th century. Is Focused on works created by Colonial powers and the impact on those
Colonized Approach is similar to New Historicism/Cultural Studies.Depending on the context in
which it is employed, ‘post’ connotes both ‘a succession’ as well as ‘a transcending of existing
perspectives’. It comes from postcolonial political movement which tries to change the past
experiences of the relationship between colonized and colonizer. In the colonial era there was
universal accepted truth of colonizer over colonized. Postcolonialism try to equalize them.
Postcolonialism is a literary approach that gives a kind of psychological relief to the people (the
colonized) for whom it was born. Postcolonialism sees literature as an avenue to probe into the
history of society by recreating its past experience with the mind of forestalling the repetition of
history. The ultimate for the postcolonial critic is to develop a kind of nostalgia about his
historical moment that produces a new dawn in his society. In another sense, postcolonial
denotes a period of recovery after colonialism as well as a signification of its ongoing cultural
aftermath. Bill Ashcroft aver that postcolonial criticism covers “…all the cultures affected by the
imperial process from the moment of colonization to the present.” Post-colonialism was passed
in different phases.
1st. Condemning white writers for portraying blacks or Asia in undermining way (culture,
personality…)
2nd. Shifting from Eurocentric (literature written by European about Europe superiority) to
Afrocentric (literature by Africans about Africans) literature.
 When postcolonialist study Afrocentric literature; they identify three stages. These are;
 Adopt; in this stage African writers write literary texts like European writers in European
language. the difference is the colour of writers.
 Adapt; writers realize that writing like European style does not represent Africa. The use
English language but Africanize it.
 Adept; writers rebelled from using colonizers language and write by their own language.
 A Post-colonial criticism:
i. Consider a literary text as an instrument of subversion and reversal of the imperialist
artistic and literary values.
ii. Pay close attention to issues of race, ethnicity, class, language, cultural identity
national reinvention.
 iii. Investigate the representation of colonialism and its consequences, especially from
the view point of power relations - the tension between the West and the (former)
colonies and the consequences of such.
iv. Examine the role of the writer in resisting European view of Africa and reconstructing
the image of the continent.
v. Identify representations of Othering, Hybridity and Subalternity in literary works.
Applying Post-Colonialism
• How does the literary text, explicitly or allegorically, represent various aspects of
colonial oppression?
What does the text reveal about the problematic of post-colonial identity, including the
relationship between personal and cultural identity and such issues as double consciousness
and hybridity? What person(s) or groups does the work identify as "other" or stranger? How
are such persons/groups described and treated? Does the text reveal about the politics and/or
psychology of anti-colonialist resistance? What does the text reveal about the operations of
cultural difference - the ways in which race, religion, class, gender, sexual orientation,
cultural beliefs, and customs combine to form individual identity - in shaping our perceptions
of ourselves, others, and the world in which we live? Are there meaningful similarities
among the literatures of different post-colonial populations?
5.8. The Psychoanalytic Theory; Sigmund Freud
Psychoanalysis is a term employed by Freud to designate the dynamic type of Psychology he
developed as a method of analysis and treatment for neurosis. Trained as a doctor and a
practising therapist for what were considered psychological problems, Sigmund Freud not only
invented a whole new discipline and medical mode, psychoanalysis, but also generated concepts
and ideas that have had an enormous impact on literary criticism. Freud emphasized that
language concealed, revealed or modified hidden desires, anxieties and fears. His point was that
desire does not express itself easily because culture does not allow or facilitate it, and we need to
pay attention to language and other forms of symbolic expression—gestures, sounds, facial
expression, writing—to discover it. In order to effectively employ Freud’s theory in the
examination of literary texts, you have to be familiar with some of the most important concepts
developed by the theorist. These include the Unconscious, Human Mind (Id, Ego and Superego),
Defences (especially Repression), Infantile Sexuality and Oedipus Complex.
1. Unconscious
Freud’s concept of the unconscious holds that the mind is constituted by two parts; conscious
and unconscious. Freud speculates that human desires and impulses, which are reserved or
subdued in the unconscious realm of the human mind play, active roles in the behaviour or
attitude of human beings. In other words, an individual’s conscious actions and inactions are
influenced by certain repressed ideas, desires, needs, fear, wishes, conflicts and others which
exist in the unconscious domain. These desires have been repressed as taboo, and find expression
only in art or dreams. Literary characters demonstrate this idea. When we bring all these even
closer to literature, Freud analyzes a work of art the same way he does a dream which he
conceives as an expression of concealed wishes and anxieties. He speculates that the unconscious
freely expresses itself in dreams when the body is asleep. Freud suggests that, like dreams,
literary texts communicate the author’s hidden anxieties and desires. Thus, the author’s
distinctive psychology and neurosis are manifest in his/her creative writing and consequently, a
text becomes a reflection of the author’s mind. For him, the author’s psyche is projected in the
characters.
Freud further postulates that the “dream thoughts” are expressed in unusual forms. They are not
expressed in prosaic language used by human thoughts “but are on the contrary represented
symbolically by means of similes and metaphors, in images resembling those of poetic speech.”
Hence, the psychological substances are covertly expressed, as in dreams, and thus disguised
through symbolisms, condensation and displacement. Symbolisms are repressed materials
displayed in disguise, Condensation represents many ideas or individuals depicted in one image
and Displacement explains the location of anxiety onto a different image through association.
2. The Human Mind
Freud distinguished three components of the human psyche:
1. The ego; is the conscious mind, which we work with, use and are most aware of. It mediates
between the unconscious id and the superego. It is the source of our decision-making and our
rational thought.
2. The super ego; is what can be called our conscience. It is drawn from social settings and
cultural codes and influences the way the conscious works.
3. the id; Freud's favourite territory, is the area of instincts, dreams, desires and all that does not
come to the fore in our consciousness. This is the unconscious.
4. Defences
Freud assert that the forbidden desires or wishes are repressed in the unconscious realm. He adds
that the contents of the unconscious are systematically preserved in the unconscious realm
through a psychic procedure he terms Defences. He assumes that the mind develops a number of
defence mechanisms in a bid to manage its conflicts. They are used by the ego to prevent
anxieties and make the person feel better. In Freudian scholarship, Defences include
Repression, Fixation, Denial, Regression, Sublimation, Selective Memory and Selective
Perception. Repression is the most central of all these Defences. In Repression painful and
disturbing thoughts, memories and socially inappropriate desires are erased from the conscious
realm and repressed in the unconscious. Fixation describes a situation in which the human being
fails to move from one phase of development to the other. Denial is when an individual believes
that a horrible event did not take place or denies the existence of a problem. Regression occurs
when a person returns to a past psychological condition or regresses to a former behavioural
pattern. It entails reliving a past pleasant or unpleasant event in order to take the mind away from
a present problem or condition. Selective Perception is the tendency of human beings to see and
hear only what such a person feels he/she can handle. It has to do with the attempt to ignore or
forget that which may cause emotional distress or contradict previous beliefs.
Infantile Sexuality
Freud later formulates the concepts of infantile sexuality and Oedipus Complex. In his view,
one’s unconscious is influenced by childhood incident which he classifies into developmental
phases. These phases involve a child’s association with parents and with the instinct of desire in
which the child derives pleasure from different parts of the body; first from the mouth, then the
anus and the sexual organ. Therefore, Freud hypothesises that there are three phases of human
development which are Oral, Anal and Phallic. At the oral phase, the infant gains his/her
sexual pleasure from the act of sucking. After this comes the anal phase where the anus takes
over as the site of pleasure and the infant derives pleasure from defecating. At the phallic stage
the location of pleasure changes to the child’s sexual organs. At this point, the child develops a
profound sexual attraction for the parent of the opposite sex and conversely a strong feeling of
hatred for the parent of the same sex. Freud termed this the Oedipus Complex. If a child fails to
move from one phase of development to the other, there happens fixation. According to Freud,
this psychological nature of human being is reflected in literature through character and we can
interpret by using this concept. For example, if a child didn’t pass oral stage properly, he may get
oral fixation and at the end he may express it in smoking cigarette at adult stage. If a child does
not get satisfaction at anal phase, he may reflect that by staying a long period of time in toilet.
In general, dreams and art (Freud) are expressions of childhood desires and fantasies. Art and
dreams are both means of expressing desire, art and dreams are mechanisms of avoiding the
censorship that prohibits desire or its expression and art and dreams bypass consciousness when
they express the repressed. These desires have been repressed as taboo, and find expression only
in art or dreams. Psychoanalytic critics, therefore, adapt this model to read literary texts. Such a
method embarks on unravelling a text's themes to discover an unconscious buried in it. This
unconscious consists of repressed desires, anxieties, fears and paranoia’s. The literary critic's
task is, therefore, to locate this unconscious, which often takes the form of locating sexual
images, sexual codes and anxieties in texts. Psychoanalytic criticism, therefore, explores the
language of the unconscious, of the repressed and the hidden as embodied in literary or cultural
texts such as art or fiction, with particular attention to the repression of sexuality and its desires.
Psychoanalytic criticism uncovers the ‘subject’ of the author as revealed through the images, the
language and the codes of her/his work. It asks questions of the author's attempts to conceal
her/his desires and drives, and the cultural codes that force her/him to do so.
PART THREE: INTRODUCTION TO LANGUAGE AND LINGUISTICS

UNIT ONE: THE NATURE OF HUMAN LANGUAGE

1. Introduction
In nature we find numerous kinds of communication systems, many of which appear to be
unique to their possessors, and one of them is the language of the human species. (Smith and
Miller, 1968: 265). The ability to exchange information is shared by all communication systems,
and a number of non-human systems share some features of human language. The fundamental
difference between human and non-human communication is that animals are believed to react
instinctively, in a stereotyped and predictable way. Mostly, human behavior is under the
voluntary control, and human language is creative and unpredictable. It is generally assumed that
only humans have language.
1.1. What is Language?
There is no universally accepted definition about language. However, different linguists attempt
to define what language means. Language is the source of human life and power. It is a system of
conventional spoken or written symbols by means of human beings as a member of social group
and participants in its culture and communication. The possession of language perhaps more than
any other attribute, distinguishes humans from other animals. It is purely human and non-
instinctive method of communicating ideas, emotions, and desires by means of a system of
voluntarily produced symbols (Sapir, 1921). Bloch & Trager (1942: 5) state that “a language is a
system of arbitrary vocal symbols by means of which a social group cooperates”. Hall (1968:
158) states that language is “the institution whereby humans communicate and interact with each
other by means of habitually used oral-auditory arbitrary symbols “.
The act of learning language does the child become a human being (Fromkin, 2003:3).
According to this tradition, we all become human because we all know at least one language.
Chomsky (1957: 13) considers language “to be a set (finite or infinite) of sentences. Each
sentence is finite in length and constructed out of a finite set of elements “. Unlike other
definitions, it is meant to cover much else besides natural languages. But, according to Chomsky,
all natural languages, in either their spoken or their written form, are languages in the sense of
his definition: since (a) each natural language has a finite number of sounds in it (and a finite
number of letters in its alphabet-on presumption that it has an alphabetic writing system); and (b)
although there may be infinitely
many distinct sentences in the language, each sentence can be represented as a finite sequence of
these sounds (or letters). When we know a language, we can speak and be understood by others
who know that language.
• Knowing a language means being able to produce new sentences never spoken before and to
understand sentences.
• Knowledge of a language enables us to combine words to form phrases and combine phrases to
form sentences.
• Knowledge of language enables us to know certain sound sequences, signify certain concepts
or meanings. When we know a language, we know words in that language, that is the sound units
that are related to specific meaning.
1.2. Linguistic Competence and Performance
Linguistic competence is the potential ability of a speaker based on their knowledge of their
language. Sasure refers to this as langue. Linguistic performance is the actual spoken ability of a
speaker. This includes phonetic, syntactic and other speech performance. Sasure refers to this as
parole. For centuries scientists and philosophers have drawn basic distinction between
competence and performance. Competence refers to one's underlying knowledge of a system,
event, or fact. It is the non-observable ability to do something, to perform something.
Performance is the overtly observable and concrete manifestation or realization of competence. It
is the actual doing of something: walking, singing, dancing, speaking. In technological societies
we have used the competence performance distinction in all walks of life. In our schools, for
example, we have First Language Acquisition assumed that children possess certain competence
in given areas and that this competence can be measured and assessed by means of the
observation of elicited samples of performance called "tests" and "examinations."
In reference to language, competence is one's underlying knowledge of the system of a language
its rules of grammar, its vocabulary, all the pieces of a language and how those pieces fit
together. Performance is actual production (speaking, writing) or the comprehension (listening,
reading) of linguistic events.
Chomsky separates competence and performance; he describes ‘competence’ as an idealized
capacity that is located as a psychological or mental property or function and ‘performance ‘as
the production of actual utterances.’ In short, competence involves knowing the language and
performance involves doing something with the language. The difficulty with this construct is
that it is very difficult to assess competence without assessing performance. The knowledge
(linguistics competence) is different from behavior (linguistics performance).
• Linguistic competence is the potential ability of a speakers’ language knowledge.
• It refers to the speaker’s underlying knowledge of a system, event, or fact.
• It is non observable ability to do or to perform something.
• It is unconscious knowledge of languages.
• It is described as an idealized capacity or psychological or mental property.
• Competence involves individual knowledge of the language.
• Linguistic performance is the actual spoken ability of a speaker.
• Performance is the overtly observable and concrete manifestation of competence.
• Performance is actual production (speaking, writing) or the comprehension (listening, reading)
of linguistic events.
• It is described as the production of actual utterances.
• Performance involves the actual doing of something with the language.
1.3. Characteristics (design features) of human language
It is generally believed that human beings are the sole species capable of developing language
thanks to their intelligence and appropriate structure of the vocal tract. It is clear, however, that
animals are also capable of communicating in their own way. Language is special system for
communication. It is a very complex phenomenon and very difficult to define precisely.
However, the following lists of descriptive characteristics are called design features.
A. Arbitrariness
In the case of human language, words mean something; they refer, for example, to events or
objects in the world. Words are arbitrary. In other words, the form of the sign is not related to its
meaning. Although all humans have the vocal organs necessary to make the sounds of all
languages, individual languages do not use all of these. Even the speech sounds of a language are
arbitrary.
For example, in English sometimes one sound [k] is represented by more than one letter (k in
kite, or c in cut), or different sounds [i] and [ai] are represented by the same letter (i in dig or
dine). It is one of basic features of language. Words have no principles and systematic
connections with what they mean. For example: The first three numbers in English are one, two,
three, but neither language has the "right" word for the numerals or anything else, because there
is no such thing (Bolton, 1982: 5). Arbitrariness is a characteristic of a sign languages as well as
spoken language. In sign languages some visual signs are iconic, they look like what they but
most signs give not the slightest clue to their meaning. (Fasold,Connor-linton,2006:5)
It is generally the case that there is no "natural" connection between a linguistic form and its
meaning. For example, from the word ‘dog’ one cannot look at the shape of the English word
and determine it has a natural meaning. The form of linguistic has no natural or 'iconic'
relationship with that four-legged barking object out in the world. Recognizing this general fact
about language leads us to conclude that a feature of linguistic signs is their arbitrary relationship
with the objects they are used to indicate. The word or sound and the thing it denote has no
natural connection, which means one, cannot inform what the meaning of a word is simply by
looking at it.
B. Duality (Infinite combinations)
Duality (double articulation) means the property of consisting two levels of structure, such as
that units of the primary level are included in elements of the secondary level and each of the two
levels has its own principles of organization. (Lyons, 1981: 21) Languages organize and combine
sounds and arrange words according to principles to create infinite possibilities. This very
important characteristic of human language is called duality of patterning also known as double
articulation and means that a conveniently small number of meaningless elements can be
combined to form a large number of meaningful elements.
The sounds do not convey meaning by themselves. Their sole function is to combine with one
another to make units which do have a particular meaning. It is because the smaller, lower-level
elements are meaningless while the larger, higher-level, unit in general, if not invariably, have a
distinct and identifiable meaning that the elements are described as secondary and the units as
primary.Such primary units found in all communication systems, but it is not necessarily these
units are made up of elements. Only if a system has both units and elements that it has the
property of duality. Apparently, most animals’ communication systems do not; and those that
doare such that the units are not combined with one another in ways that words are combined
with one another to form sentences and phrases in all human languages. (Lyons, 1981: 21) The
advantage of duality is obvious. For instance, out of thirty or forty sounds if these primary units
can be combined systematically in different ways the number of various signals that can be
transmitted and consequently the number of various messages is increased enormously there is
no end to the number of distinct language signals that can be constructed in particular language.
(Lyons, 1981:21)
Language is organized at two levels or layers simultaneously. There is the physical level in the
term of speech production. In this level one can produce individual sounds, like /n/, / b/ and /I/,
as individual sounds, none of these separate forms has any actual meaning. When one produces
those sounds in a certain combination, as in bin, one has another level producing a meaning
which is different from the meaning of the combination in nib, so, one has different meanings. In
fact, this duality of levels is one of the most economical characteristics of human language
because one is capable of producing a very large number of sound combinations (e.g. words)
which are different in meaning with only a limited set of different sounds. (Yule ,1985;25)
Language arranges sounds in different pattern to form different meaningful units. For example:
by using the English alphabet of 26 letters, millions of words can be formed (produced).
C. Displacement
Displacement is one of features of language that refers to the capability to speak not only about
things that happened at the time and place of talking, but also about another situation, real or
unreal, past or future. (Wiśniewski, 2007) Human language users can refer to past and future
time and other locations. This characteristic of human language is called displacement. It allows
the users of language to talk about events and things which do not exist in the immediate
environment. Generally animal communication lacks this characteristic. Therefore, it used to
express that happened in the past, happening and will happen.
D. Discreteness
The sounds of human language are different. This means that the meaning of words varies due to
sound difference. Let us have and look at example the English words cat and can these two
words have different meaning because of the distinction between the sounds /t/ and /n/. If
someone says can instead of cat the resulting word will have different meaning this property of
the elements of a signal can be analyzed as having definable boundaries, with no graduation
continuity between them. A speech is a continuous stream of sound, but speakers of a language
are able to segment this continuous stream into a definite number of discrete units. For example:
Dog = d/o/g language is called discreteness.
E. Variability
Variability is one of the most important and admirable properties of language. The language that
people use varies depending on who's speaking and the situation in which they are speaking.
Variation is the gist of information which is also known as difference and diversity. Without
variation in sound and frequencies, there would be no language. Language variability allows
people to communicate far more than the semantic content of the sentences and words they utter.
The variability of language is indexical. By the variety of language, people let the world know
who they are. After saying just a few words, people reveal their geographical and social status
origins. To signal membership, people also use their variety of language in a range of
overlapping social groups as male or female, as a teenage or an adult, as a member of a particular
ethnic group.
Language variation is also used by people to communicate the situation and purpose in which
they are talking. A priest uses different language forms through a sermon than through the social
hour after a church service, playing different roles at work. People speak differently to inferiors
than to superiors, and differently through meetings than in coffee breaks. Parents speak to their
children and even to other people's children in a different way to adults.
F. Cultural transmission
Human language is learned, not born. Human language can transfer from one generation to next
generation. People transfer language from one generation to another, this property of language is
called cultural transmission.
G. Productivity
It refers to the creative capacity of language users to produce and understand an indefinitely
large number of sentences. There is no theoretical limit to the length of words, or the number of
words, or the number or length of sentences. All linguistic structures are made up of constituents
(words or groups of words that function as a unit). More complex units can enter structures
where simpler ones are possible. The importance of productivity has been showed in the recent
linguistic literature, especially by Chomsky. According to Chomsky, children at their early age,
are able to make utterances that they never heard before is a proof that language is not learned
only by means of stimulation and memorization. (Lyons, 1981: 22)
The productivity of language comes from more than just the ability of speakers to form new
words. (Fasold and Connor Linton, 1981: 4) By applying the grammar rules of the language,
humans can generate limitless number of combinations. This is one way in which humans differ
from animals. Human beings can say anything they like in any context. This includes the saying
the wrong thing; speaking about something that has already happened, inventing something, or
telling lies. Sentences can become indefinitely long, by adding modifiers (A great big huge
beautifully designed, skillfully constructed, well-located new building …) or by including one
sentence in another, over and over again (He said that she said that I said that they believe that
you told us that …). Since languages place no limits on the use of these recursive processes, all
languages are potentially infinitely productive. (Fasold and Connor Linton, 1981)
1.4. The origin of human language
Many religions provide an account of the origin of language. According to the Judeo-Christian
tradition, God gave to Adam in the Garden of Eden dominion over all the animals, and Adam's
first exercise of this dominion consisted in naming them. The fact that there are now many
languages rather than just one is explained in the story of the Tower of Babel: linguistic diversity
is a punishment for human arrogance. But when secular explanations for natural phenomena
began to be sought to supplement or replace religious ones, it was inevitable that a secular
explanation was sought for the origin of language too. Even though there is no direct and clear-
cut evidence about the origin language, different linguists could jot down the following sources.
1. The divine source: In most religions, there appears to be a divine source that provides
humans with language. In an attempt to rediscover this original divine language, a few
experiments have been carried out, with rather conflicting results. The basic hypothesis seems to
have been that, if human infants were allowed to grow up without hearing any language around
them, then they would spontaneously begin using the original God given language.
2. The natural sound source: The suggestion is that primitive words have been imitated from
the natural sounds which early men and women heard around them. The early human tried to
imitate the sound and used it to refer to the thing associated with the sound.
The fact that all modern languages have some words with pronunciations that seem to echo
naturally occurring sounds could be used to support this theory. In English, cuckoo, splash, bang,
boom, rattle, buzz, hiss, screech, and forms such as bow-wow are imitated sounds. In fact, this
type of view has been called the bow-wow theory of language origin. While it is true that a
number of words in any language are onomatopoeic (echoing natural sounds), it is hard to see
how most of the soundless as well as abstract things in our world could have been referred to in a
language that simply echoed natural sounds.
3. The genetic source: Scholars look for something more powerful than small physical
adaptations of the species over time as the source of language. Children who are born deaf (and
do not develop speech) become fluent sign language users, given appropriate circumstances very
early in life. This seems to indicate that human offspring’s are born with a special capacity for
language. It is innate, no other creature seems to have it, and it isn‘t tied to a specific variety of
language. The investigation of the origins of language then turns into a search for the special
language gene that only humans possess.
4. The social interaction source: Another proposal involving natural sounds has been called the
“yo-he-ho” theory. The idea is that the sounds of a person involved in physical effort could be
the source of our language, especially when that physical effort involved several people and the
interaction had to be coordinated. So, a group of early humans might develop a set of hums,
grunts, groans and curses that were used when they were lifting and carrying large bits of trees or
lifeless hairy mammoths. Early people must have lived in groups, if only because larger groups
offered better protection from attack.
Human sounds were produced, and must have had some principled use within the life and social
interaction of early human groups. This is an important idea that may relate to the uses of
humanly produced sounds.
1.5. Functions of human language
Functions of language refer to using language as primary means of communicating our thoughts.
It is natural for many people that it is often difficult to recognize what impact of language
function. The main functions of language can be stated as the following. The major (macro)
functions of language are the over general use of language. It includes:
• idealization function
• poetic function
• Textual function
• Interpersonal function
1.5.1. Idealization function of language
This function of language refers to the conceptualizing processes involved in our mental
activities. This function of language enables us to understand what happens around us.
1.5.2. Poetic function
This function of language refers to the ability to manipulate language in a creative way with the
use of jokes and metaphors.
1.5.3. Textual function
This function of language refers to the importance of language to create a long utterance or
pieces of writing which are both cohesive and coherent such as literary works.
1.5.4. Interpersonal function
This function of language refers use of language to communicate with other people. In addition,
it enables to project the speakers in the desired way and to represent the speaker.
Unit Two: Linguistics
2.1. Definition and Scope of linguistics
Linguistics is concerned with the nature of language and communication. Some of the definitions
of linguistics are listed as follows:
1. Linguistics observes language in action as a means for determining how language has
developed, how it functions today, and how it is currently evolving. (G. Duffy)
2. Linguistics is concerned with the nature of human language, how it is learned and what part it
plays in the life of the individual and the community. (S. Pit Corder)
3. Linguistics tries to answer two basic questions: a. What is language? b. How does language
works. (Jean Aitchison)
Linguistics is the scientific study of language or the study of language is conducted within the
field of linguistics. (Victoria A. Fromkin) A linguist studies the structure of language: how
speakers create meaning through combinations of sounds, words, and sentences that ultimately
result in texts extended stretches of language (e.g. a conversation between friends’ speech, and
an article in a newspaper).
Linguistics is multidisciplinary; specialists in many disciplines bring their own expertise to the
study of language. Psychologists, for instance, are interested in studying language as a property
of the human mind; they have contributed many insights into such topics as how people acquire
language. Anthropologists, on the other hand, have been more interested in the relationship
between language and culture, and early work by anthropologists provided extremely valuable
information about language.
Linguists could reconceptualize the notion of human language, and greatly expand the number of
languages subjected to linguistic analysis. Other disciplines like sociology, psychology,
philosophy, and others have likewise brought their interests to the study of language. Linguists
may know only one language, or may know several, or may even study a language they do not
know at all. What they are trying to study are the ways in which language is organized to fulfill
human needs, as a system of communication.
There is a difference between a person who knows many languages (called a polyglot), and a
linguist, who studies general principles of language organization and language behavior, often
with reference to some actual language or languages.
2.2. Linguistics as a science and an art
Linguistics can be understood as a science in both general and specific terms. Linguist studies
the components of language, e.g. observing the occurrence of speech-sounds, or the way in
which words begin or end. Language, like other phenomena, is objective because it is observable
with the senses, i.e., it can be heard with the ear, it can be seen when the vocal organs are in
movement, or when reading words on a page.
Observation leads to processes of classification and definition. In science, each observable
phenomenon is to be given a precise explanation. Its nature has to be described completely.
Linguistics observes the features of language, classifies these features as being sound features of
particular types, or words belonging to particular classes on the basis of similarity or difference
with other sounds and words. But while linguistics shares some of characteristics of empirical
science, it is also a social science because it studies language which is a form of social behavior
and exists in interaction between human beings in society.
Language is also linked to human mental processes. For these reasons, it cannot be treated
always as objective phenomena. Thus, linguistics is both an empirical science and a social
science. In fact, it is a human discipline since it is concerned with human language; so it is part
of the study of humanities as well. This includes the study of literature, and appreciation of the
beauty and music of poetry. In understanding language, human kinds can understand themselves.
Moreover, since every branch of knowledge uses language, linguistics is central to all areas of
knowledge. In regard to linguistics, the traditional distinctions of science, art and humanities are
not relevant. Linguistics has natural links with a wide range of academic disciplines.
2.3. Scope of Linguistics
Linguistics today is a subject of study, independent of other disciplines. Before the twentieth
century, the study of language was not regarded as a separate area of study in its own right. It
was considered to be a part of studying the history of language or the philosophy of language,
and this was known not as linguistics but as philosophy.
So, linguistics is a modern name which defines a specific discipline, in which we study language
not in relation to some other area such as history or philosophy, but language as itself, as a self-
enclosed and autonomous system, worthy of study in its own right. It was necessary at the
beginning of the growth of modern linguistics to define this autonomy of the subject; otherwise,
it would not have been possible to study the language system with the depth and exhaustiveness
which it requires.
However, now we acknowledge that while linguistics is a distinct area of study, it is also linked
to other disciplines and there are overlapping areas of concern. The main concern of modern
linguistics is to describe language, to study its nature and to establish a theory of language. That
is, it aims at studying the components of the language system and to ultimately arrive at an
explanatory statement on how the system works. In modern linguistics, the activity of describing
the language system is the most important so modern linguistics is generally known as
descriptive. But linguistics has other concerns as well, which fall within its scope and these
include historical and comparative study of language. These differ from the descriptive approach
in their emphasis; otherwise, these approaches also involve description of language.
Unit Three: Micro Branches of linguistics
Language is a phenomenon with many layers, from the sounds that come out of people’s mouths
to the meanings those sounds express. The field of linguistics is composed of sub-fields, and
most professional linguists become specialists in one or more of those sub-fields. The major sub-
fields are the following:
➢ Phonetics
➢ Phonology
➢ Morphology
➢ Syntax
➢ Semantics
➢ Pragmatics
3.1. Phonetics: What is Phonetics?
Phonetics is the scientific study of speech sounds. Phoneticians study both the production of
speech sounds by the human speech organs (articulatory phonetics) and the properties of the
sounds themselves (acoustic phonetics). Thus Phonetics studies language at the level of sounds:
How sounds are articulated by the human speech mechanism and received by the auditory
mechanism, how sounds can be distinguished and characterized by the manner in which they are
produced.
Branches of phonetics
Phonetics has three sub branches. These are: articulatory phonetics, acoustic phonetics and
auditory phonetics. The general study of the characteristics of speech sounds is called phonetics.
Articulatory phonetics is the study of how speech sounds are made or articulated. Other areas
of study are acoustic phonetics, which deals with the physical properties of speech as sound
waves in the air, and auditory phonetics (or perceptual phonetics) which deals with the
perception, via the ear, of speech sounds.
3.2. Phonology
Phonology is essentially the description of the systems and patterns of speech sounds in a
language. It is in effect based on a theory of what every speaker of a language unconsciously
knows about the sound patterns of that language. Phonology is concerned with the abstract or
mental aspect of the sounds in language rather than with the actual physical articulation of
speech sounds.
Phonology is about the underlying design, the blueprint of each sound type, which serves as the
constant basis of all the variations in different physical articulations of that sound type in
different contexts. Phonology is concerned with the abstract set of sounds in a language that
allows us to distinguish meaning in the actual physical sounds we say and hear. Each one of
meaning-distinguishing sounds in a language is described as a phoneme.
3.3. Morphology: What is Morphology?
Morphology is the study of word, internal structure of words and the make-up of words.
Morphologists study the following questions such as: what determines when words change form?
How can we get root of a word separated from its affixes (e.g. walk, walks, walking, and walked
as the same word)?
Morphology studies the patterns of formation of words by the combination of sounds into
minimal distinctive units of meaning called morphemes. A morpheme cannot be broken up
because if it is, it will no longer make sense. Morphology deals with the rules of combination of
morphemes to form words, as suffixes or prefixes are attached to single morphemes to form
words. It studies the changes that take place in the structure of words, e.g. the morpheme ‘ take’
changes to took and taken these changes signify a change in tense.
The level of morphology is linked to phonology on the one hand and to semantics on the other. It
is clear in the above example of ‘take’ that the change to ‘took’ involves a change in one of the
sounds in this morpheme. It also involves a change in meaning: ‘take’ means the action take +
time present and ‘took’ means the action take + time past. So, morphological change often
involves changes at the levels of both sound and meaning.
Word forms may consist of a number of elements. We can recognize that English word forms
such as talks, talker, talked and talking must consist of one element talk, and a number of other
elements such as -s, -er, -ed and -ing. All these elements are described as morphemes.
Morpheme is a minimal unit of meaning or grammatical function. Units of grammatical function
include forms used to indicate past tense or plural, for example. In the sentence ‘The police
reopened the investigation’ the word reopened consists of three morphemes. One minimal unit of
meaning is open, another minimal unit of meaning is re- (meaning again) and a minimal unit of
grammatical function is -ed (indicating past tense).
3.3.1 Free and bound morphemes
Free morphemes can stand by themselves as single word for example, open and tour.
Free morphemes can generally be identified as the set of separate basic word forms such as
nouns, adjectives, verbs, etc. When they are used with bound morphemes attached the basic word
forms are technically known as stems. For example:
Undressed carelessness
un-
dress
-ed
Care
-less
-ness
prefix
stem
Suffix
Stem
suffix
suffix
bound
free
Bound
Free
bound
Bound
3.3.2 Lexical and functional morphemes
Free morphemes divided into two categories. The first category is that set of ordinary nouns,
adjectives and verbs that carry the ‘content’ of the messages we convey. These free morphemes
are called lexical morphemes and some examples are: girl, man, house, tiger, sad, long, yellow,
sincere, open, look, follow, and break. We can add new lexical morphemes to the language
rather easily, so they are treated as an ‘open’ class of words. Other types of free morphemes are
called functional morphemes. Examples are and, but, when, because, on, near, above, in, the,
that, it, them. This set consists of the functional words in the language such as conjunctions,
prepositions, articles and pronouns.
3.3.3 derivational morphemes and inflectional morphemes.
Derivational morphemes are used to make new words or to make words of a different
grammatical category from the stem. For example, the addition of the derivational morpheme -
ness changes the adjective good to the noun goodness.
The noun care can become the adjectives careful or careless by the addition of the derivational
morphemes -ful or -less. A list of derivational morphemes will include suffixes such as -ish in
foolish, -ly in quickly, and the -ment in payment. The list will also include prefixes such as re-,
pre-, ex-, mis-, co-, un-, and many more.
The second set of bound morphemes contains what are called inflectional morphemes. These are
not used to produce new words in the language, but rather to indicate aspects of the grammatical
function of a word. Inflectional morphemes are used to show if a word is plural or singular, if it
is past tense or not, and if it is a comparative or possessive form. English has only eight
inflectional morphemes (or inflections). These are listed here:
3.3.4 Words and word-formation processes
• Etymology: The study of the origin and history of a word is known as its etymology.
• Coinage: the invention of totally new terms. The most typical sources are invented trade names
for commercial products (aspirin, nylon, vaseline)
• Borrowing: the taking over of words from other languages.
• Compounding: The process of joining two words to produce a single form is compounding.
(fast-food)
• Blending: is typically accomplished by taking only the beginning of one word and joining it to
the end of the other word. (brunch (breakfast/lunch), motel (motor/hotel)
• Clipping: occurs when a word of more than one syllable is reduced to a shorter form. (gasoline
is still used, but most people talk about gas)
• Backformation: Typically, a word of one type (usually a noun) is reduced to form a word of
another type (usually a verb). enthuse (from enthusiasm)
• Acronyms: are new words formed from the initial letters of a set of other words. These can be
forms such as CD (compact disk) or VCR (video cassette recorder) where the pronunciation
consists of saying each separate letter.
3. 5. Syntax: What is syntax?
The word ‘syntax’ comes originally from Greek word and literally means ‘putting together’ or
‘arrangement’. Tallerman (2011: 1) states that “syntax means the rules of sentence construction,
that governs how words group together to make phrases, clauses and sentences”. Syntax is the
study of sentence and phrase structure rules. That means the relationship between words in a
sentence is governed by syntactic rules commonly known as phrase structure rules.
The notion of syntactic rules enables us to capture an intuition about the constituency and
hierarchical structure of phrases and sentences.
The analysis of syntax is accurate description of the sequence or ordering arrangement of
elements in the linear structure of the sentence.
3.5.1 Generative grammar
Linguists have attempted to produce a particular type of grammar that has a very explicit system
of rules specifying what combinations of basic elements would result in well-formed sentences.
Indeed, Chomsky seems to have taken the view that the essential structure of language can be
expressed in mathematical terms:
The mathematical perspective helps to explain the meaning of the term ‘generative’, which is
used to describe this type of grammar.If the sentences of a language can be seen as a comparable
set, then there must be a set of explicit rules that can produce all those sentences. Such a set of
explicit rules is a generative grammar.
3.5.2 Syntactic structures
A generative grammar defines the syntactic structures of a language. The grammar will generate
all the well-formed syntactic structures (e.g. sentences) of the language and will not generate any
ill-formed structures. This has been called the ‘all and only’ criterion, that is all the grammatical
sentences and only the grammatical sentences will be produced. The grammar will have a finite
(i.e. limited) number of rules, but will be capable of generating an infinite number of well-
formed structures. In this way, the productivity of language (i.e. our ability to create totally novel
yet grammatically accurate sentences) would be captured within the grammar.
3.6. Semantics: What is Semantics?
Semantics is the study of the meaning of words, phrases and sentences. In semantic analysis,
there is always an attempt to focus on what the words conventionally mean, rather than on what
an individual speaker might want them to mean on a particular occasion. This technical approach
is concerned with objective or general meaning and avoids trying to account for subjective or
local meaning. Linguistic semantics deals with the conventional meaning conveyed by the use of
words, phrases and sentences of a language.
3.6.1 Meaning
The meanings of words in a language are normally included in characterizing the conceptual
meaning and less concerned with the associative meaning of the words. Conceptual meaning
covers those basic, essential components of meaning that are conveyed by the literal use of a
word. Some of the basic components of a word like needle in English might include thin, sharp,
steel instrument. These components would be part of the conceptual meaning of needle.
However, different people might have different associations or connotations attached to a word
like needle. They might associate it with pain, or illness, or blood, or drugs, or hard to find, and
these associations may differ from one person to the next. These types of associations are not
treated as part of the word’s conceptual meaning.
Poets, novelists, advertisers and lovers may be very interested in using words in such a way that
certain associative meanings are evoked and literary critics often write about this aspect of
language use.
3.6.2 Semantic features
One obvious way in the study of semantics, not all well-formed structured sentences contain
acceptable meaning in the study of language. According to the basic syntactic rules, we have
well-formed structured English language sentence.
Subject Verb/ Object
The hamburger/ ate/ the boy.
This sentence is syntactically good, but semantically odd. Since the sentence The boy ate the
hamburger is perfectly acceptable. The kind of noun that can be the subject of the verb ate must
denote an entity that is capable of ‘eating’.
The noun hamburger does not have this property and the noun boy does. We can make this
observation more generally applicable by trying to determine the crucial element or feature of
meaning that any noun must have in order to be used as the subject of the verb ate. Such an
element may be as general as ‘animate being’.
Features such as +animate, −animate, +human, −human, +female, −female, for example, can be
treated as the basic elements involved in differentiating the meaning of each word in a language
from every other word.
To provide the crucial distinguishing features of the meanings of a set of English words such as
book, horse, boy, man, girl, woman, we could begin with the following diagram.
book horse boy man girl woman
Animate
−+++++
Human
−−++++
Female
−−__++
Adult
−+−+−+
From a feature analysis like this, we can say that at least part of the meaning of the word girl in
English involves the elements [+human, +female, −adult].We can also characterize the feature
that is crucially required in a noun in order for it to appear as the subject of a particular verb,
supplementing the syntactic analysis with semantic features.
3.6.3. Semantic roles
Semantic roles (also called ‘thematic roles’). The following lists are semantic roles.
* Agent and theme
* Instrument and experience
* Location, source and goal
Agent and theme
The entity that performs the action known as an agent, whereas the entity that is involved in or
affected by the action is called the theme (or sometimes can be the patient). Agents and themes
are the most common semantic roles. Although agents are typically human (The boy), they can
also be non-human entities that cause actions, as in noun phrases denoting a natural force (The
wind), a machine (A car), or a creature (The dog), all of which affect the ball as theme.
-The boy kicked the ball.
-The wind blew the ball away.
-A car ran over the ball.
-The dog caught the ball.
The theme is typically non-human, but can be human (the boy), as in the dog chased the boy. In
fact, the same physical entity can appear in two different semantic roles in a sentence, as in the
boy cut himself. Here the boy is agent and he is theme.
Instrument and experience
If an agent uses another entity in order to perform an action, that other entity fills the role of
instrument. In the sentences “The boy cut the rope with an old razor and he drew the picture
with a crayon”, the noun phrases an old razor and a crayon are being used in the semantic role
of instrument. When a noun phrase is used to designate an entity as the person who has a feeling,
perception or state, it fills the semantic role of experiencer. If we see, know or enjoy something,
we‘re not really performing an action (hence we are not agents).We are in the role of
experiencer. In the sentence “The boy feels sad,” the experiencer (The boy) is the only semantic
role. In the question, Did you hear that noise? The experiencer is you and the theme is that noise
Location, source and goal
A number of other semantic roles designate where an entity is in the description of an event,
where an entity is (on the table, in the room) fill the role of location.
Where the entity moves from is the source (from Chicago) and where it moves to is the goal (to
New Orleans), as in “We drove from Chicago to New Orleans”. When we talk about transferring
money from savings to checking, the source is savings and the goal is checking.
3.6.4 Lexical relations
Subfields of semantics are lexical semantics, which is concerned with the meaning of word
relationship. The meaning of each word can be characterized in terms of its relationship to other
words. This approach is used in the semantic description of language and treated as the analysis
of lexical relations. The lexical relations have been exemplified as synonymy (conceal/hide),
antonyms (shallow/deep) and hyponymy (daffodil/flower).
Types of Lexical relations
• Synonymy
Two or more words with very closely related meanings are called synonyms. They can often,
though not always, be substituted for each other in sentences. With much the same meanings
like, broad/wide, buy/purchase, cab/taxi, car/automobile, couch/sofa, freedom /liberty. We
should keep in mind that the idea of ‘sameness’ of meaning used in discussing synonymy is not
necessarily ‘total sameness’. There are many occasions when one word is appropriate in a
sentence, but its synonym would be odd. Synonymous forms may also differ in terms of formal
versus informal uses.
• Antonyms
Two forms with opposite meanings are called antonyms. Some common examples are the pairs:
alive/dead, big/small, fast/slow, happy/sad, hot/cold, long/short, male/female, married/single,
old/new, rich/poor, true/false.
Antonyms are usually divided into two main types, ‘gradable’ (opposites along a scale) and
‘non-gradable’ (direct opposites). Gradable antonyms, such as the pair big/small, can be used in
comparative constructions like I’m bigger than you and a pony is smaller than a horse. Also, the
negative of one member of a gradable pair does not necessarily imply the other. For example, the
sentence, my car isn’t old, doesn’t necessarily mean My car is new. With non-gradable
antonyms (also called ‘complementary pairs’), comparative constructions are not normally used.
We don‘t typically describe someone as deader as or more dead than another. Also, the negative
of one member of a non-gradable pair does imply the other member. That is, My grandparents
aren’t alive does indeed mean My grandparents are dead. Other non-gradable antonyms in the
earlier list are the pairs: male/female, married/single and true/false.
• Hyponymy
When the meaning of one form is included in the meaning of another, the relationship is
described as hyponymy. Examples are the pairs: animal/dog, dog/poodle, vegetable/carrot,
flower/rose, tree /banyan. The concept of ‘inclusion’ involved in this relationship is the idea that
if an object is a rose, then it is necessarily a flower, so the meaning of flower is included in the
meaning of rose. Or, rose is a hyponym of flower. When we consider hyponymous connections,
we are essentially looking at the meaning of words in some type of hierarchical relationship. We
can say that horse is a hyponym of animal or cockroach is a hyponym of insect. In these two
examples, animal and insect are called the super ordinate (= higher level) terms.
Two or more words that share the same super ordinate term are co-hyponyms. So, dog and horse
are co-hyponyms and the super ordinate term is animal. The relation of hyponymy captures the
concept of ‘is a kind of’, as when we give the meaning of a word by saying, an asp is a kind of
snake.
Sometimes the only thing we know about the meaning of a word is that it is a hyponym of
another term. That is, we may know nothing more about the meaning of the word asp other than
that it is a kind of snake or that banyan is a kind of tree. It is worth emphasizing that it is not
only words for ‘things’ that are hyponyms. Words such as punch shoot and stab, describing
‘actions’, can all be treated as co-hyponyms of the super ordinate term injure.
• Homophones and homonyms
When two or more different written forms have the same pronunciation, they are described as
homophones. Common examples are bare/bear, meat/meet, pail/pale, right/write, and
to/too/two. Homonyms are words that have separate histories and meanings, but have
accidentally come to have exactly the same form.
We use the term homonyms when one form (written or spoken) has two or more unrelated
meanings, as in these examples: bank (of a river) bank (financial institution), bat (flying
creature) bat (used in sports), mole (on skin) mole (small animal), pupil (at school) pupil (in the
eye), race (contest of speed) race (ethnic group).
• Polysemy
Polysemy can be defined as one form (written or spoken) having multiple meanings that are all
related by extension. Examples are the word head, used to refer to the object on top of your
body, on top of a glass of beer, person at the top of a company or department, and many other
things. Other examples of polysemy are foot (of person, of bed, of mountain) or run (person
does, water does, colors do). In most dictionaries, bank, mail, mole, and sole are clearly treated
as homonyms whereas face, foot, get, head and run are treated as examples of polysemy. Of
course, it is possible for two forms to be distinguished via homonymy and for one of the forms
also to have various uses via polysemy. The word date (a thing we can eat) and date (a point in
time) is homonyms. However, the point in time kind of date is polysemous in terms of a
particular day and month (on a letter), an arranged meeting time (an appointment), a social
meeting (with someone we like), and even a person (that person we like). So, the question how
was your date? It Could have several different interpretations.
• Metonymy
The relatedness of meaning found in polysemy is essentially based on similarity. There is
another type of relationship between words, based simply on a close connection in everyday
experience. That close connection can be based on a container–contents relation (bottle/water,
can/juice), a whole–part relation (car/wheels, house/roof) or a representative–symbol
relationship (king/crown, the President/the White House). Using one of these words to refer to
the other is an example of metonymy. Many examples of metonymy are highly conventionalized
and easy to interpret. However, other examples depend on an ability to infer what the speaker has
in mind and it needs sense of expression often depends on context, background knowledge and
inference.
• Collocation
One way to organize our knowledge of words is simply on the basis of collocation, or frequently
occurring together.
In recent years, the study of which words occur together and their frequency of co-occurrence
have received a lot more attention in corpus linguistics. A corpus is a large collection of texts,
spoken or written, typically stored as a database in a computer. Those doing corpus linguistics
can then use the database to find out how often specific words or phrases occur and what types of
collocations are most common. In collocation words tend to occur with other words. For
example, when you say hammer, you will say nail. If you say table, you say chair, and needle
elicits thread and salt elicits pepper.
3.7. Pragmatics
In addition to conceptual meanings, there are other aspects of meaning that depend more on
context and the communicative intentions of speakers. The study of what speakers mean, or
speaker meaning is called pragmatics. Pragmatics deals with the contextual aspects of meaning
in particular situations. As distinct from the study of sentences, pragmatics considers utterances,
i.e. those sentences which are actually uttered by speakers of a language.
3.7.1 Context
There are different kinds of context. One kind is described as linguistic context, also known as
co-text. The co-text of a word is the set of other words used in the same phrase or sentence. The
surrounding co-text has a strong effect on what we think the word probably means.
The relevant context is our mental representation of those aspects of what is physically out there
that we use in arriving at an interpretation. Our understanding of much of what we read and hear
is tied to this processing of aspects of the physical context, particularly the time and place, in
which we encounter linguistic expressions. If we see the word BANK on the wall of a building in
a city, the physical location will influence our interpretation. If the word bank is used in a
sentence together with words like steep or overgrown, we have no problem deciding which type
of bank is meant. Or, if we hear someone say that she has to get to the bank to withdraw some
cash, we know from this linguistic context which type of bank is intended.
The relevant context is our mental representation of those aspects of what is physically out there
that we use in arriving at an interpretation. Our understanding of much of what we read and hear
is tied to this processing of aspects of the physical context, particularly the time and place, in
which we encounter linguistic expressions.
3.7.2. Deixis
There are some common words in our language that can’t be interpreted at all if we don’t know
the context, especially the physical context of the speaker. These are words such as here and
there, this or that, now and then, yesterday, today or tomorrow, as well as pronouns such as you,
me, she, him, it, them. Some sentences of English are virtually impossible to understand if we
don’t know who is speaking, about whom, where and when. For example: You’ll have to bring it
back tomorrow because she isn’t here today. Out of context, this sentence is really vague. It
contains a large number of expressions (you, it, tomorrow, she, here, today) that rely on
knowledge of the immediate physical context for their interpretation. Expressions such as
tomorrow and here are obvious examples of bits of language that we can only understand in
terms of the speaker’s intended meaning. They are technically known as deictic expressions,
from the Greek word, which means ‘pointing’ via language.
We use deixis to point to people (him, her, them), called person deixis. Words and phrases used
to point to a location (here, there, near that) are examples of spatial deixis, and those used to
point to a time (now, then, last week) are examples of temporal deixis. All these deictic
expressions have to be interpreted in terms of which person; place or time the speaker has in
mind. We make a broad distinction between what is marked as close to the speaker (this, here,
now) and what is distant (that, there, then). We can also indicate whether movement is away
from the speaker’s location (go) or toward the speaker’s location (come).
3.7.3. Inference
An inference is additional information used by the listener to create a connection between what
is said and what must be meant. If X is the name of the writer of a book, then X can be used to
identify a copy of a book by that writer. Similar types of inferences are necessary to understand
someone who says that Picasso is in the museum or we saw Shakespeare in London or Jennifer is
wearing Calvin Klein.
Anaphora
We usually make a distinction between introducing new referents and referring back to them. We
saw a funny home video about a boy washing a puppy in a small bath. The puppy started
struggling and shaking and the boy got really wet.
When he let go, it jumped out of the bath and ran away. In this type of referential relationship,
the second (or subsequent) referring expression is an example of anaphora (referring back). The
first mention is called the antecedent.
So, in our example, a boy, a puppy and a small bath are antecedents and ‘The puppy’, the boy,
he, it and the bath are anaphoric expressions. Anaphora can be defined as subsequent reference
to an already introduced entity. We use anaphora in texts to maintain reference. The connection
between an antecedent and an anaphoric expression is created by use of a pronoun ( it), or
repetition of the noun with the (the puppy).
3.7.4. Presupposition
What a speaker (or writer) assumes is true or known by a listener (or reader) can be described as
a presupposition. If someone tells you your brother is waiting outside, there is an obvious
presupposition that you have a brother. If you are asked, why did you arrive late? there is a
presupposition that you did arrive late. And if you are asked the question, when did you stop
smoking? there are at least two presuppositions involved. In asking this question, the speaker
presupposes that you used to smoke and that you no longer do so. Questions like this, with built-
in presuppositions are very useful devices for interrogators or trial lawyers.
If the defendant is asked by the prosecutor, okay, Mr. Smith, how fast were you going when you
ran the red light? there is a presupposition that Mr. Smith did in fact run the red light. If he
simply answers the How fast part of the question, by giving a speed, he is behaving as if the
presupposition is correct. One of the tests used to check for the presuppositions underlying
sentence involves negating a sentence with a particular presupposition and checking if the
presupposition remains true.
Whether you say My car is a wreck or the negative version My car is not a wreck, the underlying
presupposition (I have a car remains true despite the fact that the two sentences have opposite
meanings. This is called the ‘constancy under negation’ test for identifying a presupposition. If
someone says, I used to regret marrying him, but I don’t regret marrying him now, the
presupposition (I married him) remains constant even though the verb regret changes from
affirmative to negative.
3.7.5 Speech acts
A speech act in linguistics and philosophy of language is an utterance that has performative
function in language and communication. We use the term speech act to describe actions such as
‘requesting’, ‘commanding’, ‘questioning’ or ‘informing’. We can define a speech act as the
action performed by a speaker with an utterance. If you say, ‘I will be there at six’ you are not
just speaking, you seem to be performing the speech act of ‘promising’.
3.7.6 Discourse Analysis
In linguistics, the term “discourse” refers to a structural unit larger than the sentence.
Discourse analysis is defined as:
1. Concerned with language use beyond the boundaries of a sentence/utterance,
2. Concerned with the interrelationships between language and society
3. And as concerned with the interactive or dialogic properties of everyday communication.
At this level, we analyze sentential and inter-sentential links that form a connected or cohesive
text. Cohesion is the relation established in a sentence between it and the sentences preceding
and following it, by the use of connectives such as and, though, also, but etc. and by the manner
in which reference is made to other parts of the text by devices such as repetition or by use of
pronouns, definite articles, etc. By studying the elements of cohesion we can understand how a
piece of connected language can have greater meaning that is more than the sum of the
individual sentences it contains.
Summary
Micro branches of linguistics include phonetics, phonology, morphology, semantics, pragmatics
and discourse. These branches of linguistics study the different aspects of languages. Phonetics
and phonology are concerned with speech sounds. Morphology studies words, the internal
structures of words and the various word formation processes. Both semantics and pragmatics
are concerned with meanings of words, phrases, and sentences as well as meanings according to
speaker. Discourse studies language usage.

UNIT FOUR: MACRO BRANCHES OF LINGUISTICS

Introduction
This unit raises the macro branches of linguistics such as psycholinguistics, sociolinguistics,
applied linguistics, historical linguistics, neuro-linguistics, comparative linguistics,
computational linguistics, anthropological linguistics, and documentary linguistics. There are
many areas of human activity and knowledge in which language plays a part and linguistics is
useful in these areas. The study of language in relation to many areas of knowledge where it is
relevant, has led to the growth of many branches of linguistics. Thus, the scope of linguistics has
grown to include these branches.
Like other sciences, linguistics has a ‘pure’ or ‘theoretical’ aspect which is concerned with the
building of theories about language and with description and analysis of particular levels of
language such as phonology and syntax without regard to any particular applications that these
may have. It also has an ‘applied’ aspect which is concerned with the application of that
knowledge in areas such as the learning and teaching of languages, or correction and
improvement of speech disorders, or in helping us to appreciate the use of language in literature.
Thus, applied linguistics covers many of the branches of linguistics that explore the practical
application of the theories, concepts and analyses provided by linguists. All the applications are
first and foremost based on a thorough description of languages.
Whether it is speech therapy, psychiatry, literary criticism, translation, what all these fields of
application have in common is the necessity for descriptions of the various languages involved.
Various branches of linguistics have grown because language is intimately related both to the
inner, world of man‘s mind and to the outer world of society and social relationships. Each of
these aspects has led to the study of psycho-linguistics and sociolinguistics respectively.
4.1. Psycholinguistics: What is Psycholinguistics?
Psycholinguistics is the study of how language is processed in the mind, addressing such
questions as how we can hear a string of language noises and make sense of them, how children
can learn to
speak and understand the language of their environment as quickly and effortlessly as they do, or
how people with pathological language problems differ from people who have normal language.
Psycholinguistics is concerned with the learning of language at various stages: the early
acquisition of a first language by children and later stages in acquisition of first and other
languages. Psycholinguists attempt to answer questions such as whether the human brain has an
inborn language ability structured in such a way that certain grammatical and semantic patterns
are embedded in it, which can explain how all human beings are capable of learning a language.
This exploration may lead us to determining whether all the languages in the world have some
‘universal’ grammar that lies in the mind of every human being and is transformed in particular
situations to produce different languages. Psycholinguistic studies in language acquisition are
very useful in the area of language teaching because they help teachers to understand error
production and individual differences among learners.
One specialized area within psycholinguistics is neuro-linguistics that studies the physiological
basis of language and language disorders such as aphasia, loss of memory, etc. Another relation
of language with mind is that of logic. It was held by some ancient philosophers that the human
mind is rational and capable of thinking logically and, therefore, language too is logically
ordered and rational. Others held that, just as irrationality is present in the mind, irregularity or
anomaly is present in human language. Since language is a mental phenomenon, it is mental
processes which are articulated in language behavior. Psycholinguistics studies these mental
processes, processes of thought and concept formation and their articulation in language, which
reveal a great deal about the structures of human psychology as well as of language.
Cognitive psychology is the area which explores how meanings are understood by the human
brain, how syntax and memory are linked, how messages are ‘decoded’ and stored.
Psycholinguistics also studies the influence of psychological factors such as intelligence,
motivation, anxiety etc. on the kind of language that is understood and produced. For instance, in
the case of errors made by a speaker, there may be psychological reasons which influence
comprehension or production that are responsible for the occurrence of an error. Our perception
of speech sounds or graphic symbols (in writing) is influenced by the state of our mind.
One kind of mental disability, for example, results in the mistakes made by children in reading
when they mistake one letter for another (Dyslexia). Psycholinguistics can offer some insights
and corrective measures for this condition.
4.2. Applied linguistics
Applied linguistics is an interdisciplinary field of study that identifies and finds solution to
language related problems. It is a part and parcel of linguistics. It focuses on the practice and use
of linguistics principles and research results. Applied linguistics includes language acquisition,
language education, psycholinguistics, language development, neurolinguistics, anthropological
linguistics, cognitive linguistics, computational linguistics and documentary linguistics.
4.3. Sociolinguistics
Sociolinguistics is the study of how Language is used in society; addressing such questions as
what makes some dialects more prestigious than others, where slang comes from and why it
arises, or what happens when two languages come together in bilingual communities.
The branch of linguistics that deals with the exploration of the relation between language and
society is known as sociolinguistics. Sociolinguistics is based on the fact that language is not a
single homogeneous entity, but has different forms in different situations. The changes in
language occur because of changes in social conditions, for example, social class, gender,
regional and cultural groups. A particular social group may speak a different variety of a
language from the rest of the community. This group becomes a speech community.
Variation in language may occur because the speakers belong to a different geographical region.
Taking the example of English, we find that it is not a single language but exists in the form of
several varieties. One kind of English is called R.P. (or Received Pronunciation). This kind of
English is used in the south west of England and particularly associated with the universities of
Oxford and Cambridge and the BBC. It is an educated and formal kind of English. But there are
other varieties of English, such as the English that is spoken in the north of England, in
Yorkshire and Lancashire; in Scotland (Scottish English); Wales (Welsh English), etc. A less
educated variety of English is that spoken by working class people in London often called
Cockney English. Then there are the varieties of English spoken by people of different countries
around the world, e.g. American English, and Australian English.
Sociolinguistics is the study of language variation and change how varieties of language are
formed when the speakers belong to a geographical region, social class, social situation and
occupation, etc. Varieties of a language that are formed in various geographical regions involve a
change in the pronunciation as well as vocabulary. Such changes result in the formation of a
distinctly different variety of the language or a dialect.
Sometimes these changes may be present within the same geographical region due to the social
differences between different economic sections, e.g. working class and aristocracy. These
changes result in class-dialects.
In sociolinguistic studies, we consider the linguistic features of these dialects such as lift (British
English) to elevator (American English). The study of the demarcation of dialect boundaries
across a region and of specific features of each dialect is called dialectology. One dialect may be
demarcated from another by listing a bundle of features which occur in a particular region. The
point at which a certain feature (of pronunciation or vocabulary) ceases to be prevalent and gives
way to another feature is a dialect boundary or ‘isogloss’.
Dialects may acquire some importance and prestige and evolve into distinct languages. This
usually happens when they are codified, e.g. in written and literary forms, and their grammar and
lexicon are standardized. Usually this happens when the dialect is given political and social
importance. That is why it is said a language is a dialect with an army, and navy. Sociolinguists
chart the evolution of such changes.
Variation in language may also be due to the specific area of human activity in which language is
used. Again taking the example of English, this language is used in different fields of law,
religion, science, sports etc. In each of these areas there is a specific vocabulary and manner of
use of English, which defines the legal language, the scientific language etc. This variety of
language according to its use is called register. Sociolinguists examine the particular
characteristics of different registers, i.e. legal register, scientific register, etc., to see how these
differ. This kind of study is useful because it enables us to understand how language-use is tied
to a social context. The notion of register is important in showing that language use in
communication is not arbitrary or uncontrolled, but is governed by rules of situational and
contextual appropriateness.
The sociology of language includes the study of attitudes to language held by social groups, for
instance, they may consider some languages or dialects as more (or less) important. It includes
the planning of language education, e.g. which languages should be the medium of instruction,
which language should be taught as second language; and language policy, i.e. which languages
are legally and constitutionally recognized and what status they are given. The sociology of
language is thus linked with other aspects of our social world, such as the political, economic,
educational aspect, etc.
4.4. Anthropological Linguistics
The evolution of language in human society and its role in the formation of culture; is another
aspect of language society and culture, this is studied in anthropological linguistics. The
structure of language has a social and cultural basis in the same way as other customs,
conventions and codes such as those related to dress, food, etc. Each culture organizes its world
its own way, giving names to objects, identifying areas of significance or value and suppressing
other areas. Language becomes a way of embodying the world view and beliefs of a culture, and
the things that culture holds sacred; for example, a culture in which family relationships occupy
the most significant position will have many kinship terms in their language, with each
relationship specified by a particular term. If you compare the kinship terms in English such as
grandfather, grandmother, uncle, aunt, etc. with kinship terms in Urdu, you will find that there
are many more such terms in Urdu specifying particular relationships such as a paternal /
maternal grand-father. In addition to these basic sub-fields there are a number of ‘hyphenated’
fields of Linguistics, which use the ‘tools’ of the basic fields.
4.5. Neuro-linguistics
Neuro-linguistics is the study of the actual encoding of language in the brain, addressing such
questions as what parts of the brain different aspects of language are stored in, how language is
actually stored, what goes on physically in the brain when language is processed, or how the
brain compensates when certain areas are damaged.
4.6. Computational linguistics
Computational linguistics refers to learning and understanding a language involves computing
the properties of language that are described in phonology, syntax, and semantics from what is
heard. The challenge of describing how this is possible connects linguistics with computational
issues at a very fundamental level.
How could syntactic structures be computed from spoken language, how are semantic relations
recognized, and how could these computational skills be acquired? Computational linguists
attempt to answer these questions.
4.7. Comparative and historical linguistics: (Diachronic and Synchronic linguistics)
A diachronic study or analysis concerns itself with the evolution and change over time of that as
historical linguistics. A synchronic study or analysis, in contrast, limits its concern to a particular
moment of time. Thus, synchronic linguistics takes a language as a working system at a
particular point in time without concern for how it has developed to its present state. The extent
to which synchronic study really does as it take a frozen slice of history for study is itself not
absolute: to talk of a system necessarily implies movement and interaction, and movement and
interaction take place in time.
4.8. Documentary linguistics
Documentary linguistics is macro branch of linguistics, concerned with the making and keeping
of records of the world’s languages and the patterns of use. This emergence has taken place
alongside major changes in the technology of linguistic data representation and maintenance;
alongside new attention to linguistic diversity; alongside an increasing focus on the treats to that
diversity to the endangerment of languages and language practices around the world.
Summary
Macro branches of linguistics are applied linguistics, psycholinguistics, sociolinguistics,
anthropological linguistics, historical linguistics, neuro linguistics, computational linguistics and
documentary linguistics. Applied linguistics is a branch of linguistics that identifies and
overcome language related problems. Psycholinguistics is a macro branch of linguistics that
studies how speech is produced and comprehended and various psycholinguistics processes.
Sociolinguistics is also a macro branch of linguistics that deals with the connection between
society and language; it also deals with dialects and other societal phenomena of language.

UNIT FIVE: LANGUAGE ACQUISITION

Introduction
This unit raises language acquisition: first language acquisition, basic requirements and stages in
first language acquisition, the difference between language acquisition and language learning as
well as acquisition and learning barriers.
5.1 Defining Language Acquisition
Language acquisition refers to the process of natural assimilation, involving intuition and
subconscious learning. It is the product of real interactions between people in environments of
the target language and culture, where the learner is an active player. It is similar to the way
children learn their native tongue, a process that produces functional skill in the spoken language
without theoretical knowledge. It develops familiarity with the phonetic characteristics of the
language as well as its structure and vocabulary, and is responsible for oral understanding, the
capability for creative communication and for the identification of cultural values. In acquisition-
inspired methodology, teaching and learning are viewed as activities that happen on a personal
and psychological level. The acquisition approach praises the communicative act and develops
self-confidence in the learner.
Language acquisition is based on the neuro-psychological processes (Maslo, 2007: 41).
Language acquisition is opposed to learning and is a subconscious process similar to that by
which children acquire their first language (Kramina, 2000: 27). Hence, language acquisition is
an integral part of the unity of all language (Robbins, 2007: 49). Moreover, acquisition is the
process by which humans perceive and comprehend language, produce and use words and
sentences to communicate. Language acquisition is very similar to the process children use in
acquiring first and second languages. It requires meaningful interaction in the target language.
The speakers are concerned not with the form of their utterances but with the messages they are
conveying and understanding. Error correction and explicit teaching of rules are not relevant to
language acquisition (Brown & Hanlon, 1970; Brown, Cazden, & Bellugi, 1973). Language is
extremely complex, yet children already know most of the grammar of their native language(s)
before they are five years old. Children acquire language without being taught the rules of
grammar by their parents
5.2 Basic requirements & stages of first language acquisition:Language acquisition concerns
how humans learn to understand and represent the world they live in using language. The
language can be spoken and written or it can be a manual language such as sign language. There
are three key elements in language acquisition: syntax, phonetics and vocabulary. Phonetics
concerns how written letters sound. The words a person uses and their meanings are called
vocabulary.
5.3 Defining Language Learning
The concept of language learning is linked to the traditional approach to the study of languages
and today is still generally practiced in high schools worldwide. Attention is focused on the
language in its written form and the objective is for the student to understand the structure and
rules of the language, whose parts are dissected and analyzed. The task requires intellectual
effort and deductive reasoning.
Language-learning inspired methods are progressive and cumulative, normally tied to a preset
syllabus that includes memorization of vocabulary. It seeks to transmit to the student knowledge
about the language, its functioning and grammatical structures, its contrasts with the student’s
native language, knowledge that hopefully will produce the practical skills of understanding and
speaking the language.
Language learning is a conscious process. It is the product of either formal learning situation or a
self-study programme (Kramina, 2000: 27). Hence, language learning is an integral part of the
unity of all language (Robbins, 2007: 49) Conscious language learning, on the other hand, is
thought to help a great deal by error correction and the presentation of explicit rules (Krashen &
Seliger, 1975). If the learners firstly are aware of this difference, they can solve the problem
much more easily.
5.4. Difference between acquisition and learning
There is an important distinction made by linguists between language acquisition and language
learning. Children acquire language through a subconscious process during which they are
unaware of grammatical rules. This is similar to the way they acquire their first language.

They get a feel for what is and what isn’t correct. In order to acquire language, the learner needs
a source of natural communication. The emphasis is on the text of the communication and not on
the form. Young students who are in the process of acquiring English get plenty of on the job
practice. They readily acquire the language to communicate with classmates.
Language learning, on the other hand, is not communicative. It is the result of direct instruction
in the rules of language. And it certainly is not an age-appropriate activity for your young
learners. In language learning, students have conscious knowledge of the new language and can
talk about that knowledge. They can fill in the blanks on a grammar page. Research has shown,
however, that knowing grammar rules does not necessarily result in good speaking or writing. A
student who has memorized the rules of the language may be able to succeed on a standardized
test of English language but may not be able to speak or write correctly.
5.5. Interrelationship between acquisition and learning and its implications
First, we ought to consider that languages are complex, arbitrary, full of ambiguities, in constant
random and uncontrollable evolution. Therefore, the grammatical structure of a language is too
complex and abstract to be categorized and defined by rules. Even if some partial knowledge of
the functioning of the language is reached, it is not easily transformed into communication skills.
What happens in fact is the opposite: to understand the functioning of a language with its
irregularities is a result of being familiar with it. Rules and exceptions will make sense and
grammar, word choice and pronunciation will be employed appropriately if it “sounds” right.
Language analysis and the deductive, rule-driven study of grammar are not only ineffective to
produce communicative ability, but also frustrating. It is much easier and more enjoyable to
acquire a language than it is to learn a language.
5.6. Introversion vs. extroversion in language learning
The effect of grammar knowledge on a learner’s communicative competence depends
significantly on that person’s personality. People who tend to be introverts, that show a lack of
self-confidence will benefit from understanding the grammar of the language and its
irregularities. The result can be even adverse; in the case of languages with a high degree of
irregularity […] the student who is insecure by his nature will develop a block that discourages
spontaneity due to his awareness from experience that there is a high probability of making an
error.
On the other hand, people who tend to be extroverts, who talk too spontaneously, improvising all
the time, also benefit little from learning. Their monitoring function is almost inoperative and
subject to an impulsive personality that manifests itself without much concern with accuracy.
The only ones who benefit from learning are people whose personalities are midway between
introvert and extrovert, and manage to apply the monitoring function in a moderate and effective
form. However, this monitoring will only function if there are three simultaneous conditions:
• Concern with form (Knowledge of the rules): The learner must be concerned with
correctness of the linguistic form in addition to the content of the message.
• Time availability: When producing language, the learner must have enough time to assess the
alternatives provided by the applicable rules.
5.7. Barriers of language acquisition and learning
1. Age and the efficiency of acquisition vs. learning
The majority of studies as well as the experience of those in the field of SLA indicates that the
lower the age the easier, the faster and the more complete the learning will be. In the same way
that age is a determining factor in foreign language learning in general; it is also a determining
factor in the level of efficiency of acquisition and learning. Disconsidering individual differences
like personality, motivation, hearing, and taking the normal learner as a sample, we can say that
the lower the age, the more efficient acquisition will be over learning. At the same time, learning
demonstrates to be partially efficient only during the age of intellectual maturity.
2. Personality
A child’s personality does not usually make that much of difference in the acquisition of the first
language. But it makes a huge difference in the learning process of the second language. In the
second language learning process, the learners with an introvert personality usually make slow
progress than the learners with an extrovert personality.
3. Culture
The first language is one of the most important factors of a person’s culture. But a second
language is not that important in anyone’s culture. However, the second language has some
effects on the culture of a person but not significant enough to be counted as an element of that
culture.
4. Motivation
It is an important factor for the second language learning. A learner with a good motivation to
learn a second language is likely to learn that language faster. But the acquisition of the first
language does not require any motivation because it is a natural phenomenon. The first language
is acquired subconsciously and there is no need for motivation to acquire it.
5. Mother Tongue
The first language is the mother tongue of a person. The second language learning depends a lot
on the structure of the first language is similar to the second language; it will be easy and fast for
the learners to internalize it. For instance, an English native speaker will find Dutch easier to
learn that Hindi as a second language.
A first language and a second language both have their effects on each other. However, as it
is stated, the first language is natural and has a solid base in a person’s intellectual and
psychological development. The first language is not affected by the second language as
much as the second language is affected by the first language.

PART FOUR: TRANSLATION AND INTERPRETATION

UNIT ONE: PERSPECTIVES ON TRANSLATION

1. Introduction:
Translation is a set of actions performed by the translator while rendering the source (original)
text (ST) into another language. Translation is a means of inter-lingual communication. The
translator makes possible an exchange of information between the users of different languages
by producing in the target language (TL or the translating language) a text which has an identical
communicative value with the source (original) text (ST). The translating process includes two
mental processes understanding and verbalization. First, the translator understands the contents
of ST. That is, reduces the information it contains to his own mental program, and then he
develops this program into TT. The translating process has to be described in some translation
models.
A model is a conventional representation of the translating process describing mental operations
by which the source text.
People often confuse translation with interpretation. While both services involve adapting from
one language to another, there are a number of important differences.
Interpretation is the transference of meaning between spoken languages, while translation is the
transference of meaning between written languages.
Interpreting occurs in real time. Because translation involves the written word, it typically takes
place long after a text is created, which gives the translator time to access resources (dictionaries,
glossaries, subject matter experts, etc.) to produce an accurate and effective end document.
Both translators and interpreters are faced with the challenge of making metaphors, analogies,
and idioms understandable to the audience in the target language. However, interpreters must
also capture tone, inflection, voice quality, and the other intangible elements of the spoken word
and convey those meaningfully to the audience.
1.1. What is translation?
The word translation is a noun that refers to the process of converting words from one language
to another while retaining the meaning in both languages. Translation means saying a word or
phrase in another language meaning the same as the original. It means to paraphrase, conversion
and transformation.
Translation is the action of interpretation of the meaning of a text, and subsequent production of
an equivalent text, also called a translation, that communicates the same message in another
language.
The text to be translated is called the source text (ST), and the language it is to be translated into
another language is called the target language (TL); the final product is sometimes called the
"target text" (TT).
Translation must take into account constraints that include context, the rules of grammar of the
two languages, their writing conventions, and their idioms. A common misconception is that
there exists a simple word-for-word correspondence between any two languages, and that
translation is a straightforward mechanical process. A word-for word translation does not take
into account context, grammar, conventions, and idioms.
Translation is where one language is written into another language so that people can understand
it. There are several free online translators to help with translating.
Translation means rendering something into another language or into one's own from another
language. It can also be described as the act or process of translating a text from one language
into another.
1.1.1. Translation and interpretation
Translation is the changing of written language as a reader in different ways, whereas
interpretation is changing orally spoken language as a speaker in different ways. The similarity
between translation and interpretation is that both are language parts, they need interpreter and
speaker as a skill. Translation is a written communication in a second language having the same
meaning as the written communication in first language. Interpretation or interpreting is the
intellectual activity that consists of facilitating oral or sign language communication either
simultaneously or consecutively between two or more speakers who are not speaking or signing
the same language.

1.1.2. Types of translation

 Word-for-word translation: in which the SL word order is preserved and the words
translated singly by their most common meanings, out of context.
 Literal translation: in which the SL grammatical constructions are converted to their
nearest TL equivalents, but the lexical words are again translated singly, out of context.
 Faithful translation: it attempts to produce the precise contextual meaning of the original
within the constraints of the TL grammatical structures.
 Semantic translation: which differs from 'faithful translation' only in as far as it must take
more account of the aesthetic value of the SL text.
 Adaptation: which is the freest form of translation, and is used mainly for plays
(comedies) and poetry; the themes, characters, plots are usually preserved, the SL culture
is converted to the TL culture and the text is rewritten.
 Free translation: it produces the TL text without the style, form, or content of the original.
 Idiomatic translation: it reproduces the 'message' of the original but tends to distort
nuances of meaning by preferring colloquialisms and idioms where these do not exist in
the original.
  Communicative translation: it attempts to render the exact contextual meaning of the
original in such a way that both content and language are readily acceptable and
comprehensible to the readership.
1.1.3. Types of interpretation (interpreting)

There are different types of interpreting. But the following are the most common types of
interpreting

 Media interpreting It is provided particularly for live Television coverage such as press
conference, live or taped interviews with political figures, musicians, artists, sport men or
people from business circle.
 Conference interpretation
It is the interpretation of official meeting.
 Medical interpreting
It consists of communication among medical personnel and patient and his or her family
facilitated by an interpreter.
 Legal and court interpreting
It occurs in courts of justice, administrative tribunals ( a type of court with the authority
to deal with a particular problem) or disagreement.
 Sign language interpreting
Here an interpreter will render the speaker’s meaning expressed into the sign or an
interpreter will render the meaning expressed in signs into the spoken language.
 Escort /guide/ interpreting
In this type of translation an interpreter accompanies a person or delegation on a tour on
visit or to a meeting or interview.
 Focus group/marketing/ interpreting
An interpreter sites in a sound proof booth (a small enclosed place where, you can do
something privately) or in an observers’ room with clients.

1.1.4. Modes of interpretation

Modes of interpreting can be simultaneous and consecutive.

Simultaneous interpretation is giving immediate response at the same time. In other language,
(1) the interpreter renders the message in target language as quickly as he or she can formulate it
from the source language while the source language speaker continuously speaks.(2) It should
only be done into ones “A” language. (3) Listen and interpreting as the speaker progresses
through the message. Simultaneous interpreting is the most common mode used by sign language
interpreters.

Consecutive interpretation is the process of interpreting or the interpreter gives response with a
gap between interpreter and source speaker.

(1) It is commonly done into the interpreters “A” and “B” languages.
(2) The interpreter takes notes while listening to a speech then does his/her
interpretation during pauses.
(3) The interpreter speaks after the source language speaker has finished speaking.
(4) Listen and take notes as the speaker progresses through the message.

1.2. Equivalence: Semantic and Stylistic Rule

What is translation equivalence?
Translational equivalence is the similarity between a word (expression) in one language and its
translation in another. This similarity results from overlapping ranges of reference.

Dynamic equivalence and formal equivalence are terms of translation.

The two terms have often been understood as fundamentally the same as sense-for-sense
translation (translating the meanings of whole sentences) and word-for-word translation
(translating the meanings of individual words in their more or less exact syntactic sequence).
The terms "dynamic equivalence" and "formal equivalence" are originally coined to describe
ways of translating and the two approaches are applicable to any translation of any text.
Formal equivalence tends to emphasize fidelity to the lexical details and grammatical structure
of the original language.
Dynamic equivalence, by contrast, tends to favor a more natural rendering, for instance when
the readability of the translation is more important than the preservation of the original
grammatical structure. Dynamic equivalence is the quality of a translation in which the message
of the original text has been so transported into the receptor language that the response of the
receptor is essentially like that of the original receptors.
Dynamic equivalence includes logos (meaning and structure), ethos (the reader's assumption
about the text's authority) and pathos (how the reader feels about the text).
Recently, scholars prefer the term "functional equivalence". The term "functional equivalence"
suggests not just that the equivalence is between the function of the source text in the source
culture and the function of the target text (translation) in the target culture, but that "function"
can be thought of as a property of the text. It is, however, possible to think of functional
equivalence too in the larger (dynamic/intercultural) context as about more than the structure of
texts as about how people interact in cultures.
Degrees of equivalence
Theoretically equivalence is attainable and equivalence takes the form of subcategories that are
realized at different layers of translation.
1. Optimum translation
It refers to the highest level of approximation to SL the closest equivalence degree attainable
given the circumstances, the linguistics and extra linguistics resources actually available to the
translator. The TT is said to be when it looks the ST.
2. Near optimum translation
It refers to the case whether the ST super ordinate goal and sub goals are cohesively rendered to
TT, but do not reach readability of the optimal degree from a textual point of view.
3. Partial translation
It refers to the case in which the ST is partially rendered to the TT that is the translator partially
translates the text’s super ordinate goal.
It should be stated that the readability and correctness of the TT do not mean its preservation of
the ST, because the TT might be read fluently without conveying the ST goal.
4. Weaker translation and stronger translation
In weaker translation in the ST goals are reproduced.
5. Poor translation: in poor translation the readability is the core problem. The TT may or may
not save the ST super ordinate goal. It is read with great difficulty by the receptor. Poor
translation occurs when the translator is unable to transfer the ST goals into readable TT.
6. Mistranslation
It occurs when the TT is neither readable nor keeps the super ordinate goal of the ST.
7. Zero equivalence translation
It occurs when there is no one equivalent between ST and the TT. Equivalence in translation
can be measured by degrees that range from optimal equivalence to zero equivalence. These
degrees might be measured by levels of distance from the ST super ordinate goal. While
optimum equivalence is considered as the highest level in equivalence/ the most nearest degree
from the ST. Zero equivalence is related to the lowest degree of equivalence or the most distant
from the ST goal.
Meaning from stylistic point of view
Stylistic is a domain where meaning assumes paramount importance. The term is applied to not
only to words, word combinations, sentences but also to the manner of expressions. In stylistics
meaning is important to discriminate shades of meaning to atomize, the meaning, the
component parts which are called semes (the smallest unit of which meaning the word is
consists).
A casual issue for stylistic studies is the ability of a word to be polysemous i.e. to comprise
several lexical meanings. Stylistics is more subjective in the perception of meaning of words
unlike other branches of linguistics.

1.3. Description and prescription,

1.3.1. Prescriptive
Prescriptive rules are rules of grammar that are intended to tell people how they should speak or
write according to established standard.
Every language is governed by rules in this sense; this does not mean that every speaker of
English language follows exactly the same rules.
Some prescriptive rules of English
Do not split the infinitives
Example
Do not say: I wanted to carefully to her why the decision was made.
Say: I want to explain her carefully why the decision was made.
Do not use double negation
Example
Do not say: I did not do nothing.
Say: I did not do anything.
Do not end sentences with preposition
Example
Do not say: a preposition is not good word to end a sentence with.
Say: a preposition is not a good word with which to end a sentence.
Do not use in place of whom
1.3.2. Descriptive grammar
It is the study of how people actually speak. Descriptive has its own goal to describe what the
native speakers of a language do.
1.4. Translation Process and product
1.4. 1. Translation as a process
Translation is a complex dichotomous and cumulative process that involves a host of activities.
In translation there are three major activities:
• Transfer of data from the source language to the target language
• Synchro-analysis of text and translation and research of subject-matter
• Continuous self-development and learning.
Translation as a product is a written text in a target language as the end result of a translation
process for a source-language text. The translator is mainly a “message conveyor.”
Thus a translation may be understood as the process whereby a message is expressed in a
particular source language linguistically transformed in order to be understood by readers of the
target language. Actually, the translator is conveying the meaning expressed by the original
writer so the end reader gets a translated text that is faithful to the source text in meaning.
Phases of Translation:
There are three phases in translation
 The First Phase: Analysis of the source text.
 The Second Phase: Transfer of the text into the target language.
 The Third Phase: Revision of translation.
Analysis of the source text:
The goal of this stage is complete understanding of the SL text. This may include a number of
steps:
1. General Reading of the source text;
2. Underlining the difficult words;
3. Looking up the difficult words in a dictionary;
4. Close reading of the source text after understanding the difficult words;
Transfer of the text into the target language:
At this stage, the translator tries to write a draft translation & follow certain steps:
1. Writing a draft translation of the text in the target language.
2. Paying special attention to the grammar and spelling of the target text.
3. Including all the details mentioned in the source text.
4. Trying to make the target text as original as possible and sound natural not translated.
Revision of the translation:
This stage aims at giving a correct and final translation as a target text. Revising of the
translation when it is completed and trying to make it better by editing it:
1. Make sure that all the details of the source text are found in the target text.
2. Check the spelling and grammar of the target text.
3. Try to make the translated version sounds natural in its target language form.
4. Read the translation after finishing the corrections without referring to the source text to
emphasize the naturalness of the target text.
1.5. The Translator and the Process of Communication
Just like definitions of translation, there are also various opinions concerning the nature of
translation such as "Translation is a science." "Translation is an art." Translation is a language
activity.Translation, in essence, is basically a kind of communication. As a matter of fact,
translators and translation theorists worldwide have long realized the essence of translation as a
kind of communication. Since translation in essence is a kind of communication, equivalence
between the source text and the target text naturally becomes an essential requirement. It is
generally agreed that the fundamental requirement of any kind of communication is to guarantee
that the message is adequately transmitted from the source to the receptor. Similarly, in
translation, the translator should try his best to reproduce the closest equivalent message of the
original text in the target text so that the target text reader can understand the source message
adequately; otherwise, translation as a kind of communication would end in failure. Therefore, it
might be safe to say that the essence of translation as a kind of communication calls for the
necessity of equivalence in translation. In this procedure a translator replaces SL text through
equivalents in TL text.
1.5.1.Who is translator?
A translator is an individual who fluently reads, writes, and speaks a minimum of two languages,
and renders (translates) written words into another language. A translator is a person who
accompanies you to a country in which you don't naturally speak the language of that country.
A person who translates texts from one language to another - government documents, reports,
tourist leaflets, children's books, novels, plays, poems, essays, school textbooks etc.
Translators are people who know more than one language and are fluent in the ones they know.
They are able to translate words from one language and speak them fluently in the other
language. Translators generally specialize in a category, for example, science, social work, law,
medicine, technical, poetry, geography, art. Terminology is specific to various subjects, so it
helps when a translator is familiar with a specific subject.

1.5.2.What are the things the translator supposed to do during translation?

Translation is not simply a matter of looking up words in a dictionary one by one if it was that
simple, we could all do it.

The reason why it’s complex is that languages express ideas in different ways with different
grammatical structures, different word orders and different nuances of meaning. A good
translator is one who can understand the “ideas” being conveyed by the source text, and then
reformulate them in the target language so that they sound as if they had originally been written
by a native speaker of the target language. To do this, the translator needs to have a mastery of
both languages and great flexibility of thought.

Another essential factor is experience. Translators get better at their job with experience not just
experience of translating, but also real-life experience. A translator needs to have excellent
general knowledge and research skills, as well as a very keen eye for detail.

Finally, a good translator should know his or her limits. The knowledge required to translate a
complex medical, legal or engineering text takes years to acquire it is not something you can
learn overnight. Good translators know that in order to do a text full justice, they need to have
knowledge of the relevant field and terminology.
1.5.2.1. Who is an interpreter?
An interpreter is a person who converts a thought or expression in a source language into an
expression with a comparable meaning in a target language either simultaneously in "real time"
or consecutively after one party has finished speaking. The interpreter's function is to convey
every semantic element (tone and register) and every intention and feeling of the message that
the source-language speaker is directing to target-language recipients. Language interpretation or
interpreting is the facilitating of oral or sign-language communication, either simultaneously or
consecutively, between users of different languages.
1.5.2.2. Who is a good interpreter?

A good interpreter is a person who has

1. The knowledge of the general subject of the speeches that are to be interpreted.
2. General erudition and intimate familiarity with both cultures.
3. Extensive vocabulary in both languages.
4. The ability to express thoughts clearly and concisely in both languages.
5. An excellent note-taking technique for consecutive interpreting.
6. At least 2-3 years of experiences for simultaneous interpreting.
Criteria for a good translation/good product/
A good translation is one that carries all the ideas of the original as well as its structural and
cultural features.

1. A good translation is easily understood.

2. A good translation is fluent and smooth.
3. A good translation is idiomatic.
4. A good translation conveys the literary subtleties of the original meaning.
5. A good translation distinguishes between the metaphorical and the literal meaning.
6. A good translation reconstructs the cultural/historical context of the original meaning.
7. A good translation makes explicit what is implicit in abbreviations, and in allusions to
sayings, songs, and nursery rhymes.
8. A good translation will convey, as much as possible, the meaning of the original text
Shafey (1985: 93) suggests other criteria for a good translation; these include three main
principles:
1. The knowledge of the grammar of the source language plus the knowledge of vocabulary,
as well as good understanding of the text to be translated.
 2. The ability of the translator to reconstitute the given text (source-language text) into the
target language.
3. The translation should capture the style or atmosphere of the original text; it should have
all the ease of an original composition.
Translation problems
Translation problems can be divided into linguistic problems and cultural problems:
1. The linguistic problems include grammatical differences, lexical ambiguity and meaning
ambiguity.
2. The cultural problems refer to different situational features. This classification coincides six
main problems in translating from one language to another language and vice versa; these are
lexicon, morphology, syntax, textual differences, rhetorical differences, and pragmatic factors.

1.5.3. The communication process made by a translator

Translation is a communication process that involves the transfer of a message from a source
language to a target language. Text linguistics is useful for the analysis of the translation process
and the transfer of meaning from one language to another.
The translator, before being a “writer” as such, is primarily a “message conveyor.” In most cases,
translation is to be understood as the process whereby a message expressed in a specific source
language is linguistically transformed in order to be understood by readers of the target language.
Therefore, no particular adapting work is usually required from the translator, whose work
essentially consists of conveying the meaning expressed by the original writer.
The translator sometimes finds it necessary to reconsider the original wording in order to better
understand the source text and be able to render it in the target language. This is the moment
when the translator becomes an active link in the communication chain; the moment when
communication skills are called upon to enhance the effect of the original message.

UNIT TWO: THE TRANSLATOR’S SKILLS

Linguists use the distinction between competence and performance to illustrate the intuitive
difference between accidentally saying swam and the fact that a child or non-proficient speaker
of English may not know that the past tense of swim is swam and say swam consistently.
Chomsky separates competence and performance; he describes ’competence’ as an idealized
capacity that is located as a psychological or mental property or function and ‘performance’ as
the production of actual utterances. In short, competence involves “knowing” the language and
performance involves “doing” something with the language.
2.1. Ideal Lingual competence
Linguistic theory is concerned primarily with an ideal speaker-listener, in a completely
homogeneous speech-community, who knows it (the speech community’s) language perfectly
and is unaffected by such grammatically irrelevant conditions as memory limitations,
distractions, shifts of attention and interest, and errors (random or characteristic) in applying
knowledge of the language in actual performance (Chomsky, 1965:3).
2.2. Expertise
Translation expertise aims to draft a map of the cognitive aspects of the process of professional
translating, an aim shared by many empirical activity.
According to Ericsson (1996) expertise is a person who performs an operation or a set of
operations in a limited domain with exceptional results when compared to others capable of
performing the same operation. Expertise generally implies useful and large amounts of
knowledge and fluent action, and it may depend on abstractions such as individual mental
models, rather than on knowledge alone.
2.3. Acknowledge base
The theory of translation provides the translator with the appropriate tools of analysis and
synthesis makes him aware of what he is to look for in the original text, what type of information
he must convey in TT and how he should act to achieve his goal. In the final analysis, however,
his trade remains an art. Translation activities of a translator are characterized by a great variety
of types, forms and levels of his responsibility. The translator:
 has to deal with works of the great authors of the past and of the leading authors of today,
with intricacies of science fiction and the accepted stereotypes of detective stories;
 must be able to cope with the elegancy of expression of the best masters of literary style;
 has to preserve and fit into a different linguistic and social context in the original text by
a great variety of language devices: neutral and emotional words, archaic words and new
coinages, metaphors and similes, foreign borrowings, dialectal, jargon and slang
 expressions, stilted phrases and obscenities, proverbs and quotations, illiterate or
inaccurate speech, and so on and so forth;
 has to tackle complicated descriptions and reports on new discoveries in science or
technology invented. His duty is to translate diplomatic representations and policy
statements, scientific dissertations and brilliant satires, maintenance instructions and
after-dinner speeches, etc.
2.4. Inference mechanisms
Inference Mechanism is an effective mechanism to be used as a way of deduction to decide if a
question is deductible starting from a Knowledge base described in the presentation language
chosen. The inference is starting from something well-known or assumed to conclude or to
decide. Inferences or conclusions established starting from well-known or coherent and logically
assumed facts.
The reasoning process therefore, involves the realization of inferences, starting from well-known
facts. To carry out inferences means to derive new facts starting from a facts set known as true.
One of the reasons that translators have difficulty with inferring meaning from a particular cotext
and context: they understand each word but are not able to understand a longer phrase because of
local rather than global processing. In some cases the translator needed a confirmation to reduce
his/her uncertainty (“Do I understand this sentence/clause/phrase correctly? Am I on the right
track?”). Some phrases were problematic because of insufficient context (lists, single
occurrences of polysemous words), ambiguity, and the translator’s insufficient knowledge to
explicate a language.
Among the inference systems the following two systems are mentioned:
1. Direct inference systems: They apply a reasoning mechanism “forward”: starting from well-
known results (the axioms and the premises in the case of reasoning proof) they apply inference
rules successively until arriving to the formula to prove.
2. Indirect or refutation inference systems: They apply an indirect reasoning mechanism based
on the reduction to absurdity technique: to demonstrate that a formula is valid it starts from its
negation and inferences are carried out until arriving to a contradiction.
2.5. Communicative competence and its components
Communicative competence: communicative competence is a linguistic term which refers to a
language learners’ second language ability. According to Dictionary of Language Teaching and
Applied Linguistics, Longman, communication competence can be described as the ability not
only to apply the grammatical rules of a language in order to form grammatically correct
sentences but also to know when and where to use these sentences and to whom.
Communicative competence is a term coined by Dell Hymes in 1966 in reaction to Noam
Chomsky’s (1965) notion of “linguistic competence”. Communicative competence is the
intuitive functional knowledge and control of the principles of language usage.
In other words, a language user needs to use the language not only correctly (based on linguistic
competence), but also appropriately (based on communicative competence). Of course, this
approach does not diminish the importance of learning the grammatical rules of a language. In
fact, it is one of the four components of communicative competence: linguistic, sociolinguistic,
discourse, and strategic competence.

1. Linguistic competence is the knowledge of the language code, i.e. its grammar and
vocabulary, and also of the conventions of its written representation (script and orthography).
The grammar component includes the knowledge of the sounds and their pronunciation (i.e.
phonetics), the rules that govern sound interactions and patterns (i.e. phonology), the formation
of words by means of inflection and derivation (i.e. morphology), the rules that govern the
combination of words and phrases to structure sentences (i.e. syntax), and the way that meaning
is conveyed through language (i.e. semantics).
2. Sociolinguistic competence is the knowledge of socio-cultural rules of use, i.e. knowing how
to use and respond to language appropriately. The appropriateness depends on the setting of the
communication, the topic, and the relationships among the people communicating.
Moreover, being appropriate depends on knowing what the taboos of the other culture are, what
politeness indices are used in each case, what the politically correct term would be for
something, how a specific attitude (authority, friendliness, courtesy, irony etc.) is expressed etc.
3. Discourse competence is the knowledge of how to produce and comprehend oral or written
texts in the modes of speaking/writing and listening/reading respectively. It knows how to
combine language structures into a cohesive and coherent oral or written text of different types.
Thus, discourse competence deals with organizing words, phrases and sentences in order to
create conversations, speeches, poetry, email messages, newspaper articles etc.
4. Strategic competence is the ability to recognize and repair communication breakdowns
before, during, or after they occur. For instance, the speaker may not know a certain word, thus
will plan to either paraphrase, or ask what that word is in the target language. During the
conversation, background noise or other factors may hinder communication; thus the speaker
must know how to keep the communication channel open. If the communication was
unsuccessful due to external factors (such as interruptions), or due to the message being
misunderstood, the speaker must know how to restore communication. These strategies may be
requests for repetition, clarification, slower speech, or the usage of gestures, taking turns in
conversation etc.
2.6. Meaning and Translation
Meaning is the base for translation. In translation we transfer meaning /message/ from one
language to another i.e. from source language to target language. Meaning is something signified
or conveyed. Oxford dictionary defines the word meaning as “what meant by a word, concept,
text and in action.”
The study of meaning in a language is called Semantics. Semantics is the study of meaning
expressed by elements of any language, characterizable as a symbolic system. Ferdinand
de Saussure, one of the structuralism scholars introduces seven dichotomies in the effort to
understand language, one of them is significant and signifier dichotomy. The first term refers to
the form of language which is involved in a collection of phonemes, or in other words
significant is the acoustic form of language or the basic form of phonological system of a
language. Moreover, the second term refers to the mental image of a language; mental image
refers to the intended meaning of it. De Saussure tried to tell us that in a language there must be
symbols and thing that it's symbolized. The symbol can be so vary, it can be written, oral, and
image, and the things represented by those symbols are generally called meaning.
2.6.1. Types of Meaning
Many linguists state the different categories of meaning. According to Geoffrey Leech (1974)
there are at least seven types of meaning .Those are: Conceptual meaning (logical or denotative
meaning), Connotative meaning, Social meaning, affective meaning, reflected meaning,
Collocative meaning and thematic meaning.
2.6.1.1 The logical or denotative meaning
It refers to the dictionary meaning which indicates the concepts. In reading many different words
have the same conceptual meanings. Take the word walk as an example, the conceptual meaning
or the primary dictionary meaning is to move forward by placing one foot in front of the other.
There are also a few other words that, according to the dictionary, mean to move forward on
foot, etc. Conceptual meaning is synonymous with primary, central, logical, cognitive or
denotative meaning of a word. It is the first ordinary meaning listed in dictionaries which is not
affected by the context or emotional overtones associated with the act of communication. There
is an assumed shared conceptual meaning of every word of a language. There is a universal
implication of the conceptual meaning.
It is possible to express the conceptual meaning of a word using contrastive semantic features.
Such features indicate the attributes present and those that are absent. If a feature is present, it is
specified as [+]; if absent, it is [-]. These contrastive features specifying the attributes of the
words provide the necessary criteria for the correct use of words.
2.6.1.2. The connotative meaning
Connotative meaning contains elements of the conceptual meaning of a word and the
individual’s personal interpretation of what is communicated. That interpretation is based on the
personal experience of the hearer. This means that connotative meaning varies with the
experience of people in communication. It may also vary from society to society. There are
additional semantic features that are associated with connotative meaning. Thus, a great deal of
the meaning of idioms and figurative expressions derive from connotation. There are symbols in
literature which have different connotations in different cultures. For instance, the connotations
for the word snake could include evil or danger.
2.6.1.3. The social or stylistic meaning
When a particular pattern of speech, language variety or speech form is associated with a specific
social context, stylistic or social meaning is achieved. It is common knowledge that a speaker’s
choice of words and structures reveals his or her social, regional, geographical or even economic
background. The choices can also reveal the level of familiarity between the speaker and the
hearer.
Emphasis is usually on the different stylistic variations open to language users. It refers to the
usage of language by society which has big proportions in determining the meaning that certain
speaker has to use and wants to convey, those factors include social class of the speaker and
hearer and the degree of formality. Only part of the social meaning of a conversation is carried
by words. Take saying hello or talking about the weather. Often such talk has little dictionary
meaning. It is a way of being friendly or polite.
2.6.1.4. The thematic meaning
Thematic meaning is communicated in which the message is organized in terms of order and
emphasis.
It relates or constitutes to a topic of discourse; the meaning that the word conveys something that
is connected with the theme of something also categorized as associative meaning.
According to Charles Morris, there are three types of meanings: referential meaning (the
relationship between signs and entities in the world), pragmatic meaning (the relationship
between signs and their users; and intra-lingual meaning (the relationship between different
signs; it includes phonological meaning, graphemic meaning, morphological or lexemic
meaning, syntactic meaning, and discoursal or textual meaning).
2.6.1.5. Reflected meaning
Reflected meaning relates to expressions with multiple meanings. Words with several meanings
(i.e. polysemous words), have reflected meaning. It refers to terms which have more than one
meaning surfaces at the same time, so there is a kind of ambiguity. There is, however, a
dominant meaning among these several meanings. As a particular sense of a word begins to
assume prominence, all other senses begin to be de-emphasized and with time, these other senses
disappear.
2.6.1.6. Affective meaning
Affective meaning is communicated by the feeling and attitude of the speaker/writer.
It refers to the speaker’s feeling / attitude towards the content or the ongoing context. It is
important to remember that each individual will have a different affective meaning for a word.
As such, only the person using a word will be aware of the particular affective meaning that they
hold with the word.
Affective meaning is related to the feelings and attitudes of the speaker towards the subject or the
audience. This meaning is achieved by the choice of words. Certain words suggest positive
feelings such as love, attraction, happiness, exciting etc.
Some others stir up negative reactions disgusting, nauseating, disappointing, etc. Interjections
like ah! Oh! Uh! mmn! Often suggest the emotional state of the mind. Other words like darling,
daddy, mummy etc. give an impression of endearment.
2.6.1.7. Collocation Meanings
Collocative meaning is communicated through association with words which tend to occur in the
environment of another word.
It refers to the associations a word acquires on account of the meanings of words which tend
to occur in its environment. In other words, it is that part of the word-meaning suggested by the
words that go before or come after a word in question, for instance, heavy news (a piece of sad
news); heavy schedule (a very tight schedule); fast color (the color that does not fade); fast friend
(a reliable friend); fast woman (a lady of easy virtue), etc.
Collocation is the natural association and sequence of words in longer structures. Collective
meaning is therefore the meaning of a lexical item deriving from other lexical items. The
collocative meaning of lexical items in a language is based on related semantic fields.

UNIT THREE: SEMANTIC THEORIES AND THEIR IMPLICATION FOR

TRANSLATION
Palmer (1976: 85) says that the total meaning of a word can be seen in terms of a number of
distinct elements or components of meaning.
3.1. The componential theory of meaning
Components have a distinguishing function and serve to distinguish the meaning of a lexeme
from that of semantically related lexemes, or more accurately they serve to distinguish among
the meanings of lexemes in the same semantic domain. To determine the meaning of any form
contrast must be found; there is no meaning apart from significant differences. The same is true
for the meanings of words. They have meaning only in terms of systematic contrasts with other
words which share certain features with them, but contrast with them in respect to other features.
Nida (1975: 32) has categorized the types of components into two main types (i.e. common
component and diagnostic or distinctive component).
a. Common component. This is the central component which is shared by all the lexemes in the
same semantic domain or lexical field.
b. Diagnostic or distinctive components.
They serve to distinguish the meaning from the same domain.
Common and Diagnostic Components of the words: man, woman, boy, and girl in the semantic
domain of man, woman, boy, and girl, [human] is the common component, and they are
distinguished by [adult], [male], [female] as the diagnostic components. The meanings of the
individual items can then be expressed by combinations of features. These words all belong to
the semantic field of ‘human race’ and the relations between them may be represented by the
following matrix:
Man + [human] + [adult] + [male]
Woman + [human] + [adult] - [male]
Boy + [human] - [adult] + [male]
Girl + [human] - [adult] - [male]
3.2. The truth conditional theory of meaning
Truth conditional theory of meaning tends to meaning (at least the meaning of assertions) as the
same as or reducible to their truth conditions. This theory of meaning tries to define the meaning
of a give proposition by explaining the truth conditions, particularly, when statement is true. For
example: “Snow is white “true if and only if snow is white, so the meaning of snow is white.
In short, the truth conditional theory of meaning states that the meaning of a proposition is given
by its truth conditions.
3.3. Contextual theory of meaning
This theory is developed by German scholar, Wittgenstein (1953). This theory of meaning is also
known as usage theory or operational theory of meaning. The major motivation was fear that the
meaning of certain classes of words could be lost if meaning were treated as just entities.
According to the theory, the meaning of a word or an expression is determined by the context of
its use. It is the effect created by a linguistic unit within a given context that expresses its full
meaning.
3.4. Grice’s theory of cooperative principle
People interact with one other. The principle describes how effective communication in
conversation is achieved in common social situations and is further broken down in to the four
maxims of quality, quantity, relevance and manner.
1. Maxim of quality/ be truthful/
Say only what you believe to be true
Say only what you have evidence for
Make your contribution truthful and sincere.
Do not say what you believe to be false
Do not say that for which you lack adequate evidence
2. Maxim of quantity / quantity of information/
Provide sufficient information.
Make your contribution as informative as is required
Do not make your contribution more informative than required
3. Maxim of relation/ relevance /
Make your contribution relevant to the interaction.
Indicate any way that it is not.
4. Maxim of manner/be clear/
Avoid obscurity of expression
Avoid ambiguity
Be brief
Be orderly

UNIT FOUR: WRITTEN TEXTS AND THEIR STANDARDS OF TEXTULAITY

Barthes elaborates by saying that “all texts refer to one another and are connected through the
existence of Text. Each text refers back differently to the infinite set of the already
written”. Text is the original words of something written, printed, or spoken, in contrast to a
summary or paraphrase. It is coherent stretch of language that may be regarded as an object of
critical analysis.
Text is a stretch of language, either in speech or in writing, which is semantically and
pragmatically coherent in its real-world context. A text can range from just one word (e.g. a
SLOW sign on the road) to a sequence of utterances or sentences in a speech, a letter, a novel.
4.1. What is a text?
Text is a linguistic structure woven out of words or signs. A text contains meaning which is
open to interpretation. Sometimes a text can mean anything that we can “read” or analyse, such
as fashion, or a map. However, most times we come across the word “text” it has an explicitly
literary meaning. The term was first used to denote parts of the Bible studied by scholars, or the
body of a literary work which was subject to the scrutiny of editors and bibliographers.
Text may be defined as a relatively independent and hierarchically structured linguistic unit
(macrostructure) which reflects a complex state of affairs and has a specific communicative
intention. The state of affairs may refer to the real world or to the world of imagination and
fiction. A text is a sequence of paragraphs that represent an extended unit of speech. Texts are
classified in to genres on the basis of the intent of the communication.

Text genre Communicator’s intent

Narrative Tell about sequence of events
Procedural Give instruction on how to some thing
Expository Explaining some thing
Hortatory Encourage someone to do something.
Descriptive List the characteristics of something or
someone.

Text is defined as a communicative occurrence that meets seven standards of textuality.

1. Cohesion 5. informativity
2. Coherence 6. situationality
3. Intentionality 7. Inter-textuality
4. Acceptability

Dressler (1981) defines text as a communicative occurrence that meets seven standards of
textuality. These standards of textual communication are: cohesion, coherence, intentionality,
acceptability, informativity, situationality and intertextuality. Moreover, Hatim defines a text as a
stretch of linguistic material that maps on the surface a set of mutually relevant communicative
intentions.
4.2. What are standards of texuality?
1. Cohesion is the glue that holds a piece of writing together. It is that we create a sense of flow
in our sentences. It is the glue that gives a paragraph unity. Cohesive devices certainly include
transitional words and phrases such as therefore, further, more, or for instance that clarify for
readers the relationships among ideas in a piece of writing. Repletion of a key words and use of
reference words are also need for cohesion. One way to create this flow is by linking each
sentence to the one before the principle of old-new chaining.
2. Coherence
Coherence can be thought as how meaning and sequences of ideas related to each other. The
ideas tie together smoothly and clearly. Coherence requires linking sentences so that they merge
into unified passage. To establish the links the reader need the following methods.

 Limit the number of topics.

 Try to provide one consistent topic string
 Make the topic evident by
- Using transitional words or phrases.
- Repeating key words.
3. Intentionality: concerns the text procedure attitude that the set of occurrence should constitute
a cohesive and coherent text instrumental in fulfilling the procedures intentions.
Example:
To distribute knowledge to attain a GOAL specified in a PLAN.
Intentions of text procedures;
Intention to reduce a text whose language configuration is cohesive and coherence;
All the ways in which text procedures utilize texts to pursue and fulfill their intentions;
4. Acceptability: concerns the text receivers’ attitude that the set of occurrences should
constitute a cohesive and coherent text having some use or relevance for the receiver. Example
To acquire knowledge or provide co-operation in a plan relies on Grice maxim or situationality.
5. Informativity: concerns with the extent to which the occurrences of the presented text are
expected versus unexpected or known vs unknown. Informativity refers to provide adequate
information.
Example
The sea is water is not informative but it becomes informative in more complex statement. The
sea is water only in the sense that water is the dominant substance of living organism.
6. Situationality: concerns the factors which make a text relevant to situation of occurrence.
Situationality is sometimes subject to negotiation by participants.
7. Intertextuality: concerns the factors which make the utilization of a text depend on
knowledge of one or more previously encountered texts. The production reception of a given text
depends up on the participant’s knowledge of other texts.
4.3. Lexical Links
In linguistics lexical meaning is the meaning of a word in relation to the physical world to
abstract concepts without reference to any sentence in which the word may occur.

It is the meaning of the base morpheme independent of its use within a sentence. It is the
meaning of content word that depends on the nonlinguistic concept it is used to express. It is the
meaning of the word considered in isolation from the sentence containing it and regardless of it
grammatical context.

PART FIVE: DISCOURSE ANALYSIS

UNIT ONE: INTRODUCTION

The term discourse analysis is very ambiguous. The term “discourse analysis” is polysemic.
Before trying to define discourse analysis, it is important to define the term discourse. Originally
the word 'discourse' comes from Latin 'discursus' which denoted 'conversation, speech.'
Discourse is generally seen as “language in use.” Johnstone (2002: 2) defines discourse as
“actual instances of communication in the medium of language.” Discourse can also be seen as a
continuous stretch of spoke or written language larger than a sentence, often constituting a
coherent unit (Pustejovsky 2006). It is also commonly referred to as connected speech or writing.
The term discourse has several definitions. In the study of language, discourse often refers to the
speech patterns and usage of language, dialects, and acceptable statements, within a community.
It is a subject of study in peoples who live in secluded areas and share similar speech
conventions.

Discourse analysis does not presuppose a bias towards the study of either spoken or written
language. On the one hand, it refers to the close linguistic study, from different perspectives, of
texts in use. On the other hand, discourse refers to socially shared habits of thought, perception,
and behavior reflected in numerous texts belonging to different genres.

Discourse is being extended at all areas as linguistics. It is the text linguistics perspective. Text
linguistics as a different discipline has mainly been associated with written text. Discourse is the
umbrella term for either spoken or written communication beyond the sentence. Any more
detailed spelling out of such a definition typically involves reference to concepts of language in
use, language above or beyond the sentence, language as meaning in interaction, and language in
situational and cultural context.

1.1 Definitions of discourse analysis

Discourse analysis is defined as:

 Concerned with language use beyond the boundaries of a sentence/utterance,

 Concerned with the interrelationships between language and society
 And as concerned with the interactive or dialogic properties of everyday communication.

Discourse Analysis is the field of study analyses connected speech or writing beyond the limits
of a single sentence at a time. Discourse analysts examine spoken, sign and written language,
and may focus on any aspect of linguistic behavior, from the study of particular patterns of
pronunciation, through word choice, sentence structure and semantic representation, to the
pragmatic analysis of how we organize speech encounters (and any combination of these in
spoken, written and signed discourse).

In linguistics discourse analysis is naturally connected with speech or written discourse.

Roughly speaking, it attempts to study the organization of language above the sentence or above
the clause, and therefore to study larger linguistic units, such as conversational exchanges or
written texts. It follows that discourse analysis is also concerned with language use in social
contexts, and in particular with interaction or dialogue between speakers.

Discourse analysis is sometimes defined as the analysis of language 'beyond the sentence. In
linguistics, the term “discourse” refers to a structural unit larger than the sentence. Discourse
minimally involves more than one sentence, and the sentences must be contingent. Just as every
string of words is not a sentence, not every sequence of utterances is considered a “ text.” For
discourse, there are requirements of relevance in form and especially in meaning. Texts can be
created by more than one participant, as in conversation, or in various forms of monologue, most
notably narrative and exposition.

1.2 Spoken and written discourse

Discourse has been traditionally divided into spoken and written discourse
based on the medium used to convey information. Differences between spoken and written
discourse:

Manner Spoken Written

1. Manner of A) Due to the speed and manner A) Writing is a slower activity; thus,
production of production, less forethought, authors have the time to mould their
planning and prior organization ideas into a more complex, coherent
goes into speech. and integrated whole using
B) Spoken text is transient complicated lexical and syntactic
unless it is recorded. Therefore, devices.
it is imperfect and it is always B) Written texts are relatively
possible to do on-line editing permanent and this enables them to be
and negotiate meaning. surveyed and consulted. These texts
are the products of copious drafts,
which involve extensive checking and
editing. The relative permanence of
written texts also allows them to be
portable.
2. Contextual C) The interlocutors share the C) Written texts are decontextualized
features same Spatio-temporal context. or autonomous as they cannot depend
Communication thus shows an on the addressee’s contributions or on
‘on-line’ monitoring, which other contextual clues. There is no
benefits from the addressee’s common situation, as in face-to face
immediate feedback and the interaction. The situation has to be
abundance of contextual cues inferred from the text. Also, the words
(visual clues such as body need to convey all shades of meaning,
language and gestures; auditory which in spoken text are relayed by
clues like variation in tone of paralinguistic cues.
voice, hesitations, pauses, etc.).
3. Linguistic D) The syntax in spoken D) In written language the sentences
features language is typically less are complete, and better structured
 structured than that of written with embedded clauses.
language; for example, spoken E) Extensive use of metalingual
language contains incomplete markers to mark relationships between
sentences, fragments of speech, clauses; for example, temporal
and little subordination. markers like when, while; logical
connectors such as besides, moreover,
E) Rare use of metalingual however, etc.
markers. The markers seem to be
replaced by fillers, such as ‘er’,
‘umm’, ‘hmmn’, and logical
connectors like and, but, then,
etc.
1.3 Approaches to discourse analysis

Approach means the adoption of one or more combination of the ways to certain aspects of the
total discourse reality. Discourse Analysis can be categorized into internal and external
approaches.

a. The internal approach focuses on: looking for internal rules that native speakers use to
generate grammatically correct sentences. Isolated sentences, grammatically well-formed,
without context and Invented or idealized.
b. The external approach focuses on: asking how we use language to communicate, any
stretch of language felt to be unified, achieving meaning, in context and observed.

In discourse Analysis there are varieties types of approaches developed from various sources.
These are analyzed under four main headings: rules and principles, contexts and cultures,
functions and structures, and power and politics.

1.3.1 Rules and principles

These include speech act theory, politeness theory and conversation analysis. Develop speech
acts or the communicative functions of sentences in conversation. For example; using utterances
to report events, make statements about the requested information or action, or to prohibit action.
Adjust one’s language to fit the social context of the conversation in keeping with cultural
conventions and social roles. Emerge conversational skill in face-to-face verbal interaction.

These include knowing when and how to take a turn in conversation; how to initiate, elaborate,
or terminate a topic, and how to respond to a speaker in keeping with the pragmatic constraints
set by the preceding utterance. These involve issues of politeness, formality, and the age or status
of one’s listener in what have been called “styles” or “registers” of speech.

1.3.2 Contexts and cultures

These are focused on ethnography of communication and interactional sociolinguistics. In

cultural differences ethnography of communication offers a framework for the study of speech
events, seeking to describe the ways of speaking associated with particular speech communities
and to understand the role of language in the making of societies and cultures. It involves both
(verbal and non-verbal) understanding of culturally specified ways of communicating and the
various beliefs and attitudes.

Interactional sociolinguistics aims at replicable analysis that accounts for our ability to interpret
what participants intend to convey in everyday communicative practice. It pays particular
attention to culturally specified contextual presuppositions, to the signals of “contextualization
cues” such as code and style switching, and prosodic and lexical choices.

1.3.3. Functions and structures

These are grouped as text models of language and grammar approaches to text in systemic-
functional linguistics. It provides a comprehensive theory of text analysis. Language is not seen
as an autonomous system but as part of the wider socio-cultural context, as “social semiotic”; the
aim is to look into language from the outside and specifically, to interpret linguistic processes
from the standpoint of the social order.

Grammar is seen as meaning potential a “potential” that is functionally determined by the need
of speakers and writers to simultaneously represent experience (the ideational function), manage
their relationship with their co-participants (the interpersonal function) and produce dialogue or
monologue, whether spoken or written, which is cohesive and coherent (the textual function).
1.3.4. Power and politics

These approaches focus on critical analysis and necessarily share with the concern of Pragmatic
and sociolinguistic approaches. Aims to lay the “hidden effects of power,” the kind of effects
may stigmatize the vulnerable, exclude the marginal, naturalize privilege and, through the simple
contrivance of presenting ideology as common sense. Concerns with issues of identity,
dominance, resistance, and with seeking out evidence in text especially to media and advertising
texts, political documents and speeches of class, gender, ethnic and other kinds of bias.

1.4 Discourse as Action

In real life we do not produce and participate in the same kinds of discourse all the time. Our
communication takes various forms to orient ourselves in different ways. All different activities
are predictably associated with certain situations and speech events that is discourse structure,
which exhibit conventional speech acts, settings, topics, participants’ purpose and other context
features. Different speech events are associated with different topics. The more conventionalized
speech act or event is the more expectations we seem to have about setting, participant role and
internal structure within a given culture too; discourse structure varies in different social,
professional, age, gender group, etc. The situational, social, and cultural varieties of speech acts
and events have been mainly documented by sociolinguistic research on the expression of
politeness theory.

1.4.1 Identifying Speech act theory

Every sentence we make is designed to perform certain functions. Such functions include, just
informing people about something, warning, ordering somebody or a group of people to do
something, questioning somebody about a fact, thanking somebody for a gift or an act of
kindness, and so forth. When we utter statements, we expect our listeners to recognize and
understand the functions such statements are meant to perform. For instance, when we ask a
question, we expect our addressee to realize that we are requesting for information. If they failed
to appreciate our intention, then we can say they have ‘misunderstood’ us. This is what is termed
as a speech act. The theory of speech act, therefore, states that whenever we utter a statement, we
are attempting to accomplish something with words.

Utterance Form Function

Did you see him yesterday? Interrogative Question

My son is a medical doctor. Declarative Statement
Shut the door, please. Imperative Command

Other examples of utterances that perform some speech act.

 pronounce you husband and wife (uttered by a pastor when joining a couple together)
 I hereby sentence you to ten years in jail (uttered by a judge in a court)
 I promise to pay you by month end (uttered by a debtor to a creditor)

1.4.1.1 Performative verbs

Performative verbs are verbs used to indicate that certain acts are meant to be performed by the
utterance. For instance, each of utterances 1–3 above has a performative verb – pronounce (1);
sentence (2), and promise (3). There are several other verbs in English that can be considered as
performative verbs. They include the following:

1.4.2 Politeness theory

Politeness is one of the most important factors in language use. Users of every language practice
politeness in one form or the other. In our daily interactions, we have ways of speaking to and
addressing people that shows that we have some form of respect for them. There are ways we
speak to our friends and there are ways we speak to people we are not familiar with. We are
more polite in our use of language in formal settings than informal settings.

Politeness is a kind of disposition we have towards other people that makes us not to want to hurt
their feelings or do things that we know will make them feel unwanted. When we speak to
others, we try to be polite in the kinds of things we say to them by carefully choosing our words.
We are tactful and nice in what we say, even when we do not sometimes mean it.
We choose our words to fit the different occasions we experience every day. Even when we say
things that are not too polite, especially when they are not said deliberately, we try to apologize.
We are quick to recognize it when people are not polite in their speech because we have a sense
of what it means to be polite when we address other people.

For instance, respect is a form of politeness. In our culture, the greeting is considered as part of
politeness, especially when we are meeting people for the first time in a day or after a very long
time, or even people we have never met before. We are more polite with people we are meeting
people for the first time that we are with people we are familiar with. We are also more polite in
formal situations than in informal ones. We are more polite when we speak with people older
than us than we are with people who are our contemporaries or people who are junior to us. It is
important to note that what constitutes politeness differs from one culture to another. For
instance, it is impolite for a child to speak where adults are speaking in the Ethiopia culture
unless such a child was permitted to do so.

1.4.2.1 Face and Politeness

The most relevant concept in politeness is faced. Face refers to the respect an individual has for
himself or herself. According to Brown and Levinson (1986), speakers develop politeness
strategies to maintain their self-esteem. One’s face is one’s public self-image. Every person has
an emotional sense of self that they want every other person to recognize. So, when we are
polite, we have shown awareness of another person’s face. If you say things that make people
embarrassed or uncomfortable or something that threatens another person’s self-image, you are
said to have employed a face-threatening act (FTAs).

Politeness strategies are developed to deal with FTAs. For instance, if one uses a direct
imperative to demand something from somebody, the impression you are creating is that you are
better placed socially than the person, i.e., you have a more superior social power than the
person. It is alright to use direct imperative for people who have lower social power than to use
the same for people who are socially superior to. To do the latter is to use an FTA. On the other
hand, when you say something that lessens the possible threat to another person’s face, you are
said to be performing a face-saving act.
Everybody has what Brown and Levinson call a negative face and a positive face. A negative
face is a tendency in a person to be independent and have freedom from imposition. When a
speaker says I am sorry to bother you for instance to someone he is trying to make an inquiry
from, then he/she has used a face-saving act that emphasizes the addressee’s negative face. A
face-saving act that emphasizes the addressee’s positive face draws attention to a common goal,
e.g., such a person is likely going to make a statement such as You and I have a common problem
or We can do it together.

UNIT TWO: DISCOURSE IN COMMUNICATION

People primarily and essentially communicate through combinations of language units that
themselves constitute distinct units of expression; these are called combinations of language
units or texts. The combination of speech, writing, gesture, posture and these whole integral
linguistic organization and action can be defined as texts. The text that must be combinations of
meaningful units derived from the rules of a specific language suggests the combination of sound
(phonemes), form (morphemes), syntax and semantic of a language.

Notice: - the following combination of well-formed sentences.

A: Excuse me, could you tell me where fourth street is?

B: Thank you, so much.

Thank you so much is not the answer by any means; the answer you expect from stranger in the
street when asking for direction in such context the combination of the sentence could not be
meaningful. This leads us to a fundamental tenet of linguistics combination is not only say things
with language, we also do things or we perform actions. Our sentence is not just grammatically
complete units in isolation, but communicative units are used in context to perform functions.

2.1. Differentiating the discourse situation and the socio-semiotic approach

Language has supernatural power; when we speak or write we craft what we have to say to fit the
situation or context in which we are communicating. But, at the same time, how we speak or
write creates that very situation or context. It seems, then, that we fit our language to a situation
or context that our language in turn helped to create in the first place.
We continually and actively build and rebuild our world not just through language, but through
language use in tandem with actions, interactions, non-linguistic symbol systems, objects, tools,
technologies, and distinctive ways of thinking, valuing, feeling, and believing. Sometimes what
we build is quite similar to what we have built before; sometimes it is not. But language in action
always and everywhere is an active building process. Whenever we speak or write, we always
and simultaneously construct five things or five areas of reality:

1. The meaning and value of aspects of the material world: give the material world certain
meanings.

2. Activities: We talk and act in one way and we are engaged in formally opening a committee
meeting; we talk and act in another way and we are engaged in “chit-chat” before the official
start of the meeting.

3. Identities and relationships: we are speaking and acting as “chair’’ of the committee; the next
moment we speak and talk in a different way and we are speaking and acting with peer/colleague
to another.

4. Connections: we talk and act so as to make what we are saying here and now in this way we
should admit more minority listeners connected to or relevant to what we said previously.

5. Semiotics: we talk and act what and how different symbol systems and different forms of
knowledge count, so as to make the knowledge and language of lawyers relevant (privileged), or
not, over everyday language.

There are also tools of inquiry relevant to how we build identities and activities and recognize
the identities and activities that are being built around us. The tools of inquiry introduced here
are most certainly caught up with all the other building tasks:

1. Situated identities: that is, different identities or social positions we enact and recognize in
different settings.

2. Social languages: that is, different styles of language that we use to enact and recognize
different identities in different settings and different sorts of things make certain sorts
of meaningful connections in our experience.
3. Discourses: in which we humans integrate language with non-language matter such as
different ways of thinking, acting, interacting, valuing, feeling, believing, and using symbols,
tools, and objects in the right places and at the right times so as to enact and recognize different
identities and activities.

4. Conversations: important themes that have been the focus of a variety of different texts and
interactions.

2.2 Discourse types

There are traditionally four different types of discourse, namely argument, narration, description,
and exposition. Discourse is generally understood to encompass almost any type of
communication whether written or oral, and there are some cases in which entire papers or
speeches depend on just one style; most of the time, though, authors, writers, and speakers use
two or more methods at once. Different types are usually better suited for different
circumstances, and there are usually some pretty distinguishable features of each. The goals tend
to be different, as well. Most of the time writers and speakers will use the methods they think
will be most effective at getting their points across and reaching their intended audiences.

2.2.1. Argumentation

It is the process of supporting or ignoring arguer’s views, theories and suggestions.

Argumentative writing or speaking is when the writer or speaker is attempting to convince an
audience that his or her opinion is correct, typically by using logic and appealing to the
audience’s sense of reason. Almost anything can use this form, from essays and lectures to
sermons and political speeches. In an argument, the writer or speaker begins with a thesis, which
is a clear, explicit statement of beliefs or opinions. Evidence must then be presented in a clear
and orderly way. If a listener accepts the evidence, he or she should agree with the thesis.

In most cases argumentation is not the same as persuasion, though the two are commonly
confused. The difference usually has to do with tactic, and many linguistic experts see persuasion
more as a matter of style and voice than an actual level of discourse. Argument-driven writers or
speakers present evidence to get the audience to logically agree with their point of view on a
certain topic.
Persuasion, however, is designed to get an audience to both accept a particular point of view and
to actually act on that belief. For example, a successful argument might make the audience agree
with a particular political candidate’s stance on an issue, but successful persuasion should make
the audience vote for that candidate.

2.2.2. Description

It is presentation of how something looks like. When people use description, they generally rely
on one or more of the five human senses to describe something so that it becomes instantly
memorable and relatable. It is usually used to help the audience visualize people and places, but
it can also put the audience in a particular mood or create a certain type of atmosphere. The
writer or speaker uses nouns and adjectives to give the readers and listeners a sense of what
something is like materially.

2.2.3. Exposition

The tool known as “exposition” is designed to inform the audience about a particular topic that
can extend into texts like essays, theses, summaries, etc. There are several different expository
tools writers and speakers can use, including definition, analysis, compare and contrast, problem
and solution and cause and effect. There are many strengths and weaknesses associated with
each type of exposition, and each type has a completely different purpose. For example, giving
someone the definition of a word provides one type of information, whereas comparing and
contrasting two differing opinions often paints a really different picture.

2.2.4. Narration

The main goal of narrative writing or speaking is usually to tell a story, often in order to make
the audience feel differently about a certain topic. Narratives might take the form of a play,
novel, folk tale, memoir, or myth. This type of communication usually appeals to an audience’s
humanity, often by drawing on common experiences or emotions that are easily relatable or by
depicting circumstances that pique the imagination. Narrative analysis is one of the best and
extensively researched areas of the multidisciplinary study of discourse. It is the encoding of
previous experience that took place at a specific point or over a specific interval in a past time
story world. Narratives are associated with events that happened in the past. Narratives events
are produced not in a vacuum, but as part of social instructions on specific situations, for specific
goals and purposes.

2.3 Identifying the variety of functions and forms, every day and literary language and
electronic discourse

Of course, discourse production does not take place in a vacuum, but is an integral part of a
communicative context. For speakers to be able to fit what they say into the context; they must
have a memory representation of that context that is a context model. This model contains
information about the speech participants and their goals, and about the type of social situation
involved. The context model also controls style and content hence information must be retrieved
from the situation model. Some topics are forbidden in some situations. Furthermore,
communicative goals must be accomplished by the utterance of a discourse in a given context
(e.g., assertion, threat, or accusation).

2.3.1. Form and Function

Form is concerned with syntactic structure up to the sentence level, i.e., the arrangement of
morphemes and words into the larger units of group, clause, and finally, sentence. Form is also
concerned with the relationship between words within clauses and sentences. For example, “I’m
taller than you” is different from “You’re taller than I am”. Inverting “I” and ‘you’ around the
comparative adjective changes the propositional meaning of the sentence. Function however, is
concerned with the utterance’s purpose, i.e., what the utterance is meant to achieve. For example:

Father: Get the tools down off the shelf.

Son: You’re taller than I am!

The son uttered “You’re taller than I am” for the purpose of refusing to comply with a command.

This is a very different function of than that of:

A: Which of us is taller?

B: You’re taller than I am

Where, “You’re taller than I am” functions to provide information to a question. Nothing about
the form, that is the syntactic structure of the utterance itself, or the relation between the words
within it, allowed us to predict its function.

Form is not wholly divorced from function. Hymes (1972) observes that ‘how something is said
is part of what is said.’ For example:

I. shut the door.

II. Can you shut the door?

The above clauses have the form-classifications of, (I.) imperative and (II) interrogative, but both
could be assigned the functional classification of ‘directive’.

The ‘directive’ function of the above stem from the verb ‘shut’ and whatever follows (‘the door’,
‘the window’ ‘your mouth’ etc.). While example II above looks like an inquire that could be
paraphrased as “Are you willing to shut the door?” this Can you equals Are you willing
paraphrase is faulty in for example, “Can you be quiet” does not equal “Are you willing to be
quiet”.

Yet, in the case of II, the grammatical items (forms) preceding ‘shut’ do have a purpose, namely,
a ‘politeness function’. This is what Searle (1975) calls an indirect speech act. That is, an
utterance with an underlying base function performed indirectly by the performing of what, on
the surface, could be another speech act (function) form.

In the case of II, a directive function is indirectly performed by an interrogative form, which are
often used for inquires (‘questions’), rather than directly by an imperative. Listeners interpret
what a speaker functionally means or implies. According to Grice (1975), for an utterance the
speaker fulfils four maxims:

1. Relation, i.e., make your contribution be relevant.

2. Quality, i.e., make your contribution truthful and sincere.

a) Do not say what you believe to be false

b) Do not say that for which you lack adequate evidence

3. Quantity, i.e., provide sufficient information.

a) Make your contribution as informative as is required

b) Do not make your contribution more informative than required

4. Manner, i.e., make your contribution brief, present it in an orderly fashion

a) Avoid obscurity of expression

b) Avoid ambiguity

c) Be brief

d) Be orderly

There are various conditions under which these maxims may be violated or infringed upon. One
of these is instrumental to the explanation of how implicatures are being communicated.

2.3.2. Electronic discourse and literary language

The concept of discourse has conventionally been thought of and taught in terms of written and
spoken discourse. However, the advent and global use of information technology in the 20th
century has seen the emergence of a new discourse which is electronic discourse. It is found in e-
mails, Internet-relay chats (IRC), and homepages which are used to communicate across time
and geographical borders. According to Yates (2001), electronic discourse refers to the
‘imaginary space created by the Internet in which people interact and form social relationships.

In many so-called first world countries, accessing the Internet by means of a computer or a smart
phone, etc. has become an everyday activity for many people. In only little more than twenty
years of publicly accessible Internet access, the use of computer-mediated forms of
communication has developed from primarily information websites and email exchanges to
highly interactive and social forms of Internet use. In Crystal’s (2011: 149) words, “the Internet
is the largest area of language development we have seen in our lifetimes”. Similarly, Yus (2011)
stated that, “in the past, Internet-mediated communication was basically text-based, and even
nowadays the text typed by users is essential in virtual interactions”. As such, linguists started to
study language use and by now we can look back on research from two decades.
One of the reasons for this could be the difficulty in categorizing this new kind of discourse
because it is neither purely written nor spoken, but shares features of both types of discourse
simultaneously. Literary language is a language which is used in literary criticism and general
discussion on some literary works. Before the 18th century the language of literature was totally
different from the language which was used by the common man in spoken or written. So,
literature was not easy to understand for a common man. Only highly qualified and educated
people could enjoy the reading of literature. So, literature was far away from the reach of the
common people.

2.4 Discourse markers

2.4.1 What are discourse markers?

Discourse markers are linking words or phrases used in speaking and writing that direct the flow
of the conversation or discourse in various ways. In writing, they tend to be formal and used in
academic writing. Whereas in speaking, they are informal and used for different functions such
as directing our listener or showing interest.

Discourse markers are interesting because they have more function than meaning. They are often
referred to as ‘sign posting’ language because they are used to order and sequence what we say,
to start and end a conversation and to change or mange atopic. In this way, we help our listeners
to follow what we are saying more clearly. Some of the discourse markers are: Addition
(moreover, in addition…) cause and effect (as a result, because…) comparison (similarly,
resembling…) contrast (although, however…) generalization (in general, on the whole…)
emphasis (surely, especially…) illustration (for example, for instance…) time makers and
sequence (first, previously…) repetition (in other words, to clarify…) conclusion (to summarize,
to sum up…).

According to Laurel, Brinton (1990:47) justification, discourse markers are generally used

* To mark a boundary in discourse (shift/partial shift in topic),

* To serve as a filler or delaying tactic,

* To affect an interaction or sharing between speaker and hearer,

* To mark either fore grounded or back grounded information.

The function of signaling a range of textual relations between units is shared by a wide and
heterogeneous set of linguistics elements.

2.5. Identifying Cohesion, Coherence and Rhetorical Structure Theory

Speakers have to organize the structure and content of what they want to say (discourse) and
express everything in a coherent way, as well as in accordance with what they suppose their
listeners know or don’t know. From the structural point of view, the focus of discourse analysis
is on the explicit connections between sentences that create cohesion or on the elements of
textual organization that are typical of different text types (storytelling, commentary,
instructions, opinion expressing etc). Rhetorical Structure Theory argues that ideal relations are
crucial to the effective functioning of the text as a whole. According to Rhetorical Structure
Theory relation can be identified on more than one level. Structure refers to the force that keeps
the sentence together in a certain configuration. It implies to the part-whole relations as they
appear in the sentences and the limited number of possible configurations.

2.5.1 Cohesion

Cohesion is the network of lexical, grammatical, and other relations which link various parts of a
text. These relations organize and, to some extent, create a text, for instance, by requiring the
reader/listener to interpret words and expressions by reference to other words and expressions in
the surrounding sentences. Cohesion is a surface relation and it connects together the actual
words and expressions that we can see or hear. The five main cohesive devices in English are:
reference, substitution, ellipsis, conjunction, and lexical cohesion.

My father once bought a Lincoln convertible. He did it by saving every penny he could. That car
would be worth a fortune nowadays. However, he sold it to help pay for my college education.
Sometimes I Think I’d rather have the convertible.

There are connections present here in the use of pronouns, which we assume are used to maintain
a reference (via anaphora) to the same people and things throughout father – he – he - he; my –
my – I; Lincoln it. There are lexical connections such as a Lincoln convertible – that car – the
convertible, etc.
2.5.2 Coherence

Coherence works together with cohesion. Coherence refers to the continuity of ideas in a text and
the relations between them. When sentences, ideas, and details fit together clearly, readers can
follow along easily, and the writing is coherent, ie, the ideas tie together smoothly and clearly. A
text is coherent when the ideas are seen to hang together and present the text as a united whole.
Coherence goes beyond just the connection of the sentences, but that of the whole idea. The two
terms, cohesion and coherence are the two primary ways of signaling textuality. Some ways of
signaling cohesion in a text are through the use of pro-forms that indicate co-reference, definite
articles, ellipsis, repetition, connectives or conjunctions, substitution and so forth.

2.6 Rhetorical Structure Theory

Rhetoric is the energy inherent in emotion and thought, transmitted through a system of signs,
including language, to others to influence their decisions or actions. When we express emotions
and thoughts to other people with the goal of influencing (persuading) them, we are engaged in
rhetoric.

This section identifies five distinguishing characteristics of rhetorical discourse, the marks the art
of rhetoric leaves on messages. Rhetorical discourse characteristically is (1) planned, (2) adapted
to an audience, (3) shaped by human motives, (4) responsive to a situation, and (5) persuasion-
seeking. Not all writing or speaking that might meaningfully be termed rhetoric clearly satisfies
all of these criteria, but the criteria will serve as a starting point for identifying, understanding
and responding to rhetorical discourse. We begin by considering rhetoric's most fundamental
quality.

UNIT THREE: CONVERSATIONAL ANALYSIS

Conversational analysis (commonly abbreviated as CA) is an approach to the study of social
interaction, embracing both verbal and non-verbal conduct, in situations of everyday life. As its
name implies, CA began with a focus on casual conversation, but its methods are subsequently
adapted to embrace more task and institution-centered interactions, such as those occurring in
doctors' offices, courts, law enforcement, help lines, educational settings, and the mass media. As
a consequence, the term 'conversation analysis' has become something of a misnomer, but it has
continued as a term for a distinctive and successful approach to the analysis of social interaction.
Conversation Analysis studies naturally-occurring talk and shows that spoken interaction in
systematically ordered in all its facets (Atkinson and Heritage 1984: 21-27). It is distinct from
discourse analysis in focus and method. Its focus is on processes involved in social interaction
and does not include written texts or larger socio-cultural phenomena. Its method is aimed at
determining the resources that the interactional participants use and rely on to produce
interactional contributions and make sense of the contributions of others.

Thus, Conversational Analysis is neither designed for, nor aimed at, examining the production of
interaction from a perspective that is external to the participants' own reasoning and
understanding about their circumstances and communication. Rather the aim is to model the
resources and methods by which those understandings are produced.

3.1. Identifying turn-taking principles

In conversation, participants are constrained to issue their utterances in allocated turns, and enlist
various mechanisms to obtain them. In multi-party conversation the mechanisms are found to be
more complicated where 'current speaker selects next' is a possibility, and how frequently
individual utterances are tailored for their turn 'sequential implicativeness'. The possibility of
obtaining not only the next turn, but a series of turn (required for example in telling a joke or
story) is documented in analyses of announcements and story prefaces. A certain economy in
conversation could be located in the process whereby turns are allocated.

3.2 Narratives

3.2.1 Differentiating the structure of narratives and Narrative imagining

Theorists of narrative have long been in agreement that there are at least two levels in a narrative
conversation: Something happens and this something is related in a certain way. There is, in
other words, a WHAT (What is told?) to be considered and a HOW (How is it told?). These two
levels have been given different names by different critics. In structuralism terminology the
WHAT of the narrative is called story, the HOW is called discourse. These two levels are
further subdivided & analyzed as follows:

Story: The story consists of events (things that happen) and so-called existents, the characters
that make things happen or have things happen to them and the setting, meaning the place where
things happen. Events can be either brought about actively, in which case they are called actions
(one character kills another one), or they just happen (someone dies of a heart-attack). Each of
these elements can be approached with different tools of analysis (story/plot, character, space).

3.3 Argumentation

3.3.1 Identifying the notion of argumentation

Argumentation theory, or argumentation, is the interdisciplinary study of how conclusions can be

reached through logical reasoning; that is, claims based, soundly or not, on premises. It includes
the arts and sciences of civil debate, dialogue, conversation, and persuasion. It studies rules of
inference, logic, and procedural rules in both artificial and real world settings. Argumentation
includes debate and negotiation which are concerned with reaching mutually acceptable
conclusions. Therefore, Argumentation theory studies the production, analysis and evaluation of
argumentation with a view of developing adequate criteria for determining the validity of the
point of departure and presentational layout of argumentative discourse.

3.4 Identifying the structure of argumentation and the pragma-dialectical approach

Argumentation is a speech act complex aimed at resolving a difference of opinion.

It is a verbal and social activity of reason carried out by a speaker or writer concerned with
increasing (or decreasing) the acceptability of a controversial standpoint for a listener or reader.

Typically, an argument has an internal structure, which comprises the following elements:

 a set of assumptions or premises

 a method of reasoning or deduction and
 a conclusion or point.

An argument must have at least two premises and one conclusion. Often classical logic is used as
the method of reasoning so that the conclusion follows logically from the assumptions or
supporting premises. In its most common form, argumentation involves an individual and an
interlocutor/or opponent engaged in dialogue, each contending differs positions and trying to
persuade each other. Other types of dialogue in addition to persuasion are eristic, information
seeking, inquiry, negotiation, and so on.
For example:

 Socrates is a person.
 All people are mortal.
 Therefore, Socrates is mortal.

In a critical discussion, one language user (the 'protagonist') expresses a standpoint and another
language user (the 'antagonist') expresses doubt with respect to this standpoint or advances a
contradictory standpoint. The protagonist defends his standpoint by putting forward
argumentation, and if confronted with critical reactions, further argumentation to support his
prior argumentation. The difference of opinion is resolved when either the antagonist is
convinced by the protagonist's argumentation and accepts the defended standpoint or the
protagonist withdraws his standpoint as a result of the antagonist's critical reactions.

Pragma-dialectics is an approach to argumentation initiated by Frans van Eemeren and Rob

Grootendorst in the 1970s.

UNIT FOUR: PERSUASION

In many cases, speeches are simply used as a way of telling a story or to deliver a message. In
this sense, if the speaker isn’t careful, it’s easy to make the speech feel one directional. However,
when a speaker gives a speech of persuasion, they intend to enact a response in the audience, or
‘receiver of the message’, creating multiple channels of communication. These types of speeches
can range anywhere from a political debate to a simple sales pitch.

4.1. Discourse and cognition

It is important to make some points clear to avoid some common misunderstandings. To make
sense of a moment, you have to recognize the identities and activities involved in it. People
engage in such work when they try to make visible to others (and to themselves, as well) who
they are and what they are doing. People engage in such work when they try to recognize others
for who they are and what they are doing. People engage in such work within interactions,
moment by moment. They engage in such work when they reflect on their interactions later.
They engage in such work, as well, when they try to understand human interaction as
researchers, practitioners, theoreticians, or interventionists. This is what I call “recognition
work.” Sometimes such recognition work is conscious, sometimes it is not. Sometimes people
have labels they can articulate for whose and what’s they recognize, sometimes they don’t.
Sometimes they fight over the labels, sometimes they don’t. And the labels change over time.

4.1.1. Identifying theories of persuasion and Persuasive tools

The common goal in persuasive speech is to influence the audience’s view on a certain subject
whether that means changing their opinion completely or simply strengthening already existing
view. In order to accomplish this, speakers use a variety of arguments and strategies, most of
which can be summed up into the three rhetorical appeals: ethos, logos, and pathos. When used
effectively, these three appeals can be powerful tools for achieving a speaker’s persuasive goal.

A. Ethos: In a persuasive speech, it’s not simply enough to capture our audience’s attention;
the speaker must also quickly establish their credibility. This can be done using the
ethical appeal known as ethos.
B. Logos: is an appeal to logic or reason. The principal role or purpose of logos is to identify
and simplify its means. Logos are clear and simple graphical elements. Logos provides
visual perception and comprehension.
C. Pathos is an appeal to emotion. Speakers use pathos to evoke an emotional response of
their audience. Sometimes it is a positive emotion such as happiness, an image of people
may enjoy themselves. Some speakers use negative emotion such as pain. Pathos can also
include emotions like, fear and guilty.

4.1.2. Identifying Modeling discourse production

Depending on a number of constraints, language users, so speak, read off relevant propositions
from their situation models, and thus construct the semantic representations, or text base, that
underlies a discourse. According to (Butterworth, 1980) the major components of the theory of
discourse production are: Context Model and Control System.

 The Context Model: Of course, discourse production does not take place in a vacuum,
but it is an integral part of a communicative context. For speakers to be able to fit what
they say into the context, they must also have a memory representation of context that is
a context model. This model contains information about the speech participants and their
 goals, and about the type of social situation involved. The context model controls style
and content hence what information may or must be retrieved from the situation model.
Some topics are forbidden in some situations. Hence, context models monitor the
strategic searches through episodic memory (what models are relevant?) as well as within
models (what information about the situation should be mentioned?)
 The Control System: This system regulates the flow of information between short-term
memory and long-term memory. It specifies what kind of models and scripts must be
activated and which of their fragments must actually be retrieved for production. In
addition, control system contains the kind of speech act and communicative goals which
must be accomplished by the utterance of a discourse in a given context (e.g., assertion,
threat, or accusation), both at the local level of individual speech acts, or at the global
level of macro-speech acts that control a longer stretch of discourse.

4.1.3. Product and process analysis

Human language activity unfolds mainly along the two dimensions of the spoken and the written
word. The former is commonly known as “conversation”; the latter comprises is often referred to
as “literature.” Together, they constitute the principal ways in which humans produce text. In
addition to the spoken, oral text, with its corresponding competence (often called “orality” or
“oracy”); there are the written productions (mainly literary texts).

4.1.4. Processing and prior knowledge

In the literature about reading and writing the term prior knowledge plays a very central role. It is
the conceptual knowledge that enables interactants to communicate with one another via the
written or spoken text. Marr and Gormley (1982: 90) define prior knowledge as “knowledge
about events, persons, and the like which provides a conceptual framework for interacting with
the world.” Schallert (1982) further expands the notion to refer to everything a person knows,
including tacit and explicit knowledge of procedures and typical ways of expressing information.
Alexander et al. (1991) develops a conceptual framework of knowledge including domain and
discipline knowledge as part of general content knowledge, and knowledge of text structure,
syntax and rhetoric as part of one’s discourse knowledge.

4.1.5. Aspects of processing

One view of discourse processing is as an extension of sentence processing. The basic aspect of
discourse comprehension which has been emphasized in the psychology of discourse processing
is the predominantly semantic nature of the processes involved. Understanding a text basically
requires that a language user, i.e., a hearer or reader, assigns a semantic structure to the
respective units of the text. In discourse comprehension, we also have a process of global
interpretation. Such a global interpretation is necessary in order for the reader to be able to
establish the theme, topic or gist of a text or a passage of a text. When we read and understand a
sequence of sentences of a text, we will know or try to know what the sequence, as a whole, is
about. This kind of global interpretation is made explicit in terms of semantic macro-structures.
Such macro-structures are also sequences of propositions, but at another level of interpretation.

4.1.6 Modeling discourse processing

People create mental models based upon the discourse, the situation, and the purposes they have
to serve. So, people trying to understand and create mental models of ponds, logs, fish, and
turtles so that they can estimate where they are in relation to each other. According to (Just and
Carpenter 1980, 1987) proposal, readers create mental models for each utterance; they read in
order to help them parse and understand it. They can change the model if the next word is not
what was expected in the model so far. Mental models begin, in effect, with the generic
information represented in schemas, and add visual and spatial relationships to represent
instantiations of a scene or event. Mental models can also represent dynamic events.

4.1.7. Metaphor in cognitive research

Cognitive psychology ought to be focused on the public uses of words and other symbolic
devices that active people use to carry out all sorts of projects. Some of the concepts appropriate
for analyzing linguistic interactions, such as syntax and semantics, may have a metaphorical use
in nonlinguistic contexts.

“Conversation” can be given an extended role as the leading metaphor for making sense of those
aspects of episodes that seem to be mediated by other symbolic devices. Since conversation is
literally a subtle symbolic public activity, often but not always directed to some overt or covert
end, and occurring within the bounds of certain conceptions of what is a possible conversation, it
ought to serve as a model for all types of meaningful interpersonal Interaction.
4.2. Discourse and culture

Discourse analysis grows out of critical, socio-cultural, socio-logical, or historical analysis. In

most analysis of discourse as text, the analysis seeks to position itself as well as the discourse
being studied within a broader socio-cultural or historical context. Perhaps the central tenet of
this line of thought is that social practice and discourse are mutually constitutive phenomena.
That is, social practices are understood as being constituted in and through discursive social
interaction while at the same time those social interactions are taken as instantiations of pre-
existing social practices.

Through discourse, intercultural and cross-cultural communications are studied. There is

sometimes an ambiguity in the use of the terms “intercultural” and “cross-cultural”
communication. We take “intercultural communication” to signal the study of distinct cultural or
other groups in interaction with each other. That is to say, the comparative analysis of the groups
between them arises in the framework as part of the interaction of members of different groups
with each other, and the analyst’s role is to stand outside of the interaction and to provide an
analysis of how the participants negotiate their cultural or other differences.

4.3 The Sapir-Whorf Hypothesis

A. Sapir

The Sapir-Whorf hypothesis proclaimed the influence of language on thought and perception.
This, in turn, implies that the speakers of different languages think and perceive reality in
different ways and that each language has its own world view. The issues this hypothesis raised
not only pertain to the field of linguistics but also had a bearing on Psychology, Ethnology,
Anthropology, Sociology, Philosophy, as well as on the natural sciences.

For Sapir, language does not reflect reality but actually shapes it to a large extent. Thus, he
recognizes the objective nature of reality; but since the perception of reality is influenced by our
linguistic habits, it follows that language plays an active role in the process of cognition.

B. Whorf
Whorf’s formulation of the linguistic relativity hypothesis is more radical than Sapir’s but it is
the one that is referred to as the Sapir-Whorf hypothesis. This hypothesis is not homogeneous as
its name would indicate. Whorf stated that the world is presented in a kaleidoscopic flux of
impressions which has to be organized by the linguistic system in our minds. This would seem to
make the objective world into something totally subjective for Whorf. Whorf extended his
master’s (Sapir’s) ideas, and went much further than saying that there was a predisposition in
Whorf’s view, the relationship between language and culture was a deterministic one.

4.4. Critical discourse analysis

Critical discourse analysis (CDA) is a type of discourse analysis that primarily studies the way
social power abuse, dominance, and inequality are enacted, reproduced, and resisted by text and
talk in the social and political context. Critical discourse analysts take explicit position, and
understand, expose, and ultimately resist social inequality.

CDA is not so much a direction, school, or specialization next to the many other approaches in
discourse studies. Rather, it aims to offer a different mode or perspective of theorizing analysis,
and application throughout the whole field. We may find a more or less critical perspective in
such diverse areas as pragmatics, conversation analysis, narrative analysis, rhetoric, stylistics,
sociolinguistics, ethnography, or media analysis, among others.

4.5. Gender

The study of discourse and gender is an interdisciplinary endeavor shared by scholars in

linguistics, anthropology, speech communication, social psychology, education, literature, and
other disciplines. The study of gender and discourse not only provides a descriptive account of
male/female discourse but also reveals how language functions as a symbolic resource to create
and manage personal, social, and cultural meanings and identities.

Goffman (1967: 5) explores gender and discourse as an organizing component of social

interaction. For example, women tended to use irony and rhetorical questions in place of direct
criticism (Just why would you know how to sew? implying Of course you wouldn’t), which both
de-emphasized negative messages and emphasized in-group solidarity. Although both women
and men used hedging particles in cases of genuine doubt, only women used them to hedge the
expression of their own feelings. Goodwin (1978) points out that the girls can and do use the
forms found in boys’ play in other contexts (for example, when taking the role of mother in
playing “house”), emphasizing that gender-related variations in language use are context-
sensitive.

4.6. Racism is a stigmatizing headword and political “fighting word” that seems to be on almost
everyone’s lips today. Perhaps this is because the meaning of “racism” has become
extraordinarily expanded and evasive.

There is talk of a genetic, biological, cultural, ethnopluralist, institutional, and everyday racism at
the top of an elite racism, racism in the midst of old and a new or neo-racism of a positive racism
and differentialist racism.

The starting point of a discourse analytical approach to the complex phenomenon of racism is to
realize that racism, as both social practice and ideology, manifests itself discursively. On the one
hand, racist opinions and beliefs are produced and reproduced by means of discourse;
discriminatory exclusionary practices are prepared, promulgated, and legitimated through
discourse. On the other hand, discourse serves to criticize, delegitimate, and argue against racist
opinions and practices, that is, to pursue antiracist strategies.

4.7. Intercultural communication

In most analysis of discourse as text, the analysis seeks to position itself as well as the discourse
being studied within a broader sociocultural or historical context. At the same time, those
broader studies of social practice are coming to ground themselves in the close analysis of
concrete texts. That is, social practices are understood as being constituted in and through
discursive social interaction while at the same time those social interactions are taken as
instantiations of pre-existing social practices.

Intercultural communication and cross-cultural communication are problematical in relationship

to discourse analysis in that they have developed out of a conceptually wider range of disciplines
including anthropology, sociology, social psychology, speech communication, management or
business communication, and even international political science. Key elements of intercultural
communication are the production of complementary schism genesis, contextualization cues, and
the problematizing of reified cultures and other groups.