UNIT 1: An Approach to Academic Written Grammar

This unit describes the building blocks of written grammar: word forms, phrases, and clauses. Unit 1 provides
a way of talking about grammar (a metalanguage) and introduces three important ideas:
 Sentences can be broken into "slots." A sentence is comprised of clauses, and each clause has slots
for a subject, verb, and usually a complement or two. Only certain word forms can fill those slots.
 Grammar is more than a set of rules for what you must write; it is a range of choices for what you can
write.
 Your choices create three levels of meaning at the same time-the content of your sen- tence, your
attitude or relationship with the reader, and the organization of the text.
Michael Halliday, whose functional description of grammar underlies these principles, wrote: "Everything has
to be described before everything else" (Halliday & Matthiessen, 2004, p. 62); therefore, you will see many
cross-references to other parts of this textbook, and you may refer to this unit when you are studying a later
section. In this book, a cross-reference in this format (2.5) means you should refer to Unit 2, Section 5.

1.1 Clause Structure

A. A finite clause is at minimum a subject, a verb, and any objects or complements that the verb requires. A
finite clause expresses a complete idea (finite means "bounded or limited") and can stand alone as a
complete sentence. Table 1.1 shows the basic structure of finite clauses in English. Notice that many slots are
empty but optional, whereas the shaded slots cannot be filled. This table does not show every possible
combination, but it can help you analyze and control academic writing.
Table 1.1 The Slot Structure of Finite Clauses
Adverb/ Subject Finite Verb Other Verbs Complement(s) Adverb/
Prepositional Prepositional
Phrase Phrase

The increased.
frequency
Researchers have studied interventions.
The marker gave us additional
information.
However, the can be explained by several
differences factors.
Their ideas included increasing self- as a first
for efficacy step.
B.
interventions
Only the subject and verb slots are required in all finite clauses. In affirmative state- ments in the present
simple and past simple tenses in the active voice (Sentences 1, 3, 5), there is only one verb (that is, the main
verb is finite), but in all other finite clauses, the verb is an auxiliary (helping) verb, such as be, do, have, or
get and is followed by another verb (Sentence 2) Modal verbs (such as can, may, will) are a type of auxiliary
and can also fill the finite verb slot (Sentence 4) (6.1).
C. Each slot has limits on the type of word, phrase, or clause that can fill it. The subject slot can be a noun, -
pronoun, -ing clause, or sometimes a to infinitive, but not a prepositional phrase (in the study), an adverb
(quickly), or a bare infinitive clause (do research).
D. Complements are the elements that come after the verb and are controlled by the verb. Different types of
verbs allow or require different types of complements. For example, tran- transiti sitive verbs require a direct
object, while linking verbs like include (Sentence 5) allow -ing clauses as complements, although a noun
phrase would also be possible (e.g., an increase in self- efficiency). It is not always easy to guess which
complements are possible after any particular verb; if English is not your first language, a good learner's
dictionary will be very helpful.
E. Non-finite clauses have the same basic structure as finite clauses, but they do not have a finite verb that
is bound or limited, and they do not usually have a subject. This means the hop S it has an verb is in the
infinitive or -ing form. The complement in Sentence 5 is a non-finite clause, for example, because it has an -
ing verb and no subject. When a non-finite clause is used as a subject or object, it is usually in the -ing form,
although a to infinitive is often possible.
(6a) INCORRECT: Provide role models was another suggestion.
(6b) CORRECT : Providing role models was another suggestion.

1.2 Noun Phrase Structure

A. Noun phrases can be used as subjects, objects, or objects of prepositions. In academic writing, the noun
phrase is often long and complex, containing the substance of the sentence. The verb may be relatively
simple, but it controls the structure of the clause.
B. Like clauses, noun phrases have a structure of slots, which can be filled by different types of words. Only
the main noun (called the head noun) is always required. Every other slot depends on the type and meaning
of the head noun (see Table 1.2).
Table 1.2 The Structure of Noun Phrases
Modifiers Qualifiers
Head (Reduced)
(Adverb +) Noun Prepositional
Quantifier Determiner Noun Modifier Embedded
Adjective(s) Phrase
Clause
Florida
college choice
Simple
a model
dynamic
of college
the problems
choice
facing the
a few of the problems
panther
initially
institutions
identical
most Florida panthers

C. Prepositions (such as in, on, to, by, for) have certain restrictions:
Prepositions can be followed by: Prepositions cannot be followed by:
 noun phrases (in the experiment)  that noun clauses and other finite clauses
 pronouns (for them) (NOT nutritionists agree with
 -ing non-finite verbs and clauses (by consumption of sugar should be
increasing the volume; such as drawing) reduced)
 wh- noun clauses (advertisers are  to infinitives (NOT colleges worry about to
interested in who is watching certain retain students)
shows)  adjectives (NOT a problem of frustrated
Notice that noun phrases inside prepositional phrases follow the same structure as any other noun phrase.
The noun phrase is, therefore, very flexible and is used in academic writing to "pack" large amounts of
information.
D. It is possible to write very long noun phrases by using all the available slots.. The head nouns in Examples
7-9 are in bold.
(7) the development of innovative, superstrong, yet light and damage- tolerant materials
(8) the building blocks of larger hierarchical structures with the strength and ductility of the smaller
objects
(9) the relationship between self-esteem, coping strategies, and changes in self-efficacy following
defeat in a tie-break competition
These long noun phrases are common in professional academic writing but should be used cautiously and
only when the meaning is clear.
E. Identifying the head noun is especially important in the subject slot because the verb agrees with the head
noun (4.8). Looking at the head noun also helps choose the correct article, a, an, the, if needed (articles are
discussed further in Unit 5).

1.3 Word Form

A. Many words exist in families of nouns, verbs, adjective, and adverbs. Many words do not have all four
family members, while others have one form for two family members or two or more different words for one
family member (Table 1.3).
Table 1.3 Word Families
Noun Verb Adjective Adverb
experience experience Experiential experimentally
experienced
consideration consider considerate,considerable considerately
research research
researcher

B. Related words can be quite different in meaning; for example, considerate means "kind or compassionate"
and is only loosely related to the verb consider, meaning "to think about."
C. Other parts of speech include prepositions (at, to, on, above, against), pronouns (I, me, my, mine), and
conjunctions (because, when, if). Even these words can have multiple func-tions: since can be a preposition
(since 2005) or a conjunction (since records began).
D. It is important to choose the right word form because some slots in the clause or noun phrase are limited to
certain parts of speech.
1. The subject of a clause cannot be a prepositional phrase, adverb, or adjective.2
(10a) INCORRECT: In England is a ratio of one social worker per 500 clients.
(10b) CORRECT : In England, there is a ratio of one social worker per 500 clients.

2. Adverbs can modify adjectives or verbs but not nouns.

(11a) INCORRECT: The university is subject to quickly changes in the environment.
(11b) CORRECT : The university is subject to quick changes in the environment.
(11c) CORRECT : The university is changing quickly
 3. Adverbs can modify most verbs, adjectives, and clauses, but not usually linking verbs such as be
(1.7).
(12a) INCORRECT : It is clearly that bioethanol is not a solution.
(12b) CORRECT : It is clear that bioethanol is not a solution.
(12c) CORRECT : Bioethanol is clearly not a solution

4. Non-finite verbs (i.e., in the -ing or to infinitive forms) can be used as subjects, but not finite or base
forms (the base form is the infinitive without to).
(13a) INCORRECT: Understand this phenomenon is important for many reasons.
(13b) CORRECT : Understanding this phenomenon is important for many reasons.

5. A noun phrase cannot consist of an article plus an adjective.

(14a) INCORRECT: The experiment was a successful.
(14b) CORRECT : The experiment was a success.
(14c) CORRECT : The experiment was successful.

6. Beware of irregular adjectives and adverbs.

(15a) INCORRECT: Companies have to protect their well reputations.
(15b) CORRECT : Companies have to protect their good reputations.

1.4 Verbs and Complements

A. Verbs can be categorized by their meaning. Different types of verbs describe different kinds of experiences:
Action verbs describe events, reporting verbs report speech and ideas, and linking verbs show how things
are related. Each type of verb allows or requires different types of subjects and complements. 3 Therefore, the
choice of verb controls the structure of the clause.
B. Verb complementation is a tricky area for learners of English in particular. The follow- ing types of errors
are covered elsewhere in Grammar Choices but are collected here for easy reference:
1. It is adjective for someone to do something. This form of infinitive complement structure (3.5) is often
produced incorrectly.
(16a) INCORRECT: Teenagers are easy to access social media.
(16b) CORRECT : It is easy for teenagers to access social media.

2. There is/are functions as a subject-verb finite clause, which means any other verb in the sentence
needs to be treated carefully, often as a relative clause (3.2).
(17a) INCORRECT: There are no data support this claim.
(17b) CORRECT : There are no data which support this claim.
(17c) CORRECT : There are no data supporting this claim.

3. A small number of reporting verbs do not allow a that noun clause as a complement (1.6). They
include: support, present, discuss, describe, oppose.
(18a) INCORRECT: The research supports that taxation changes consumer behavior.
(18b) CORRECT : The research shows that taxation changes consumer
 (18c) CORRECT : The research supports the impact of taxation on consumer behavior.

4. All sentences must have a main (finite) verb. This is often a problem with the transition words for
example, for instance, and such as (2.7).
(19a) INCORRECT: Cell phones have replaced the functions of many other devices. For example,
taking photographs, reading magazines, and telling the time.
(19b) CORRECT : Cell phones have replaced the functions of many other devices, for example,
taking photographs, reading magazines, and telling the time.

5. After a modal verb, the main verb must be in the base form, without an -s or -ed ending (6.1).
Remember that the modal cannot be the only verb in the clause.
(20a) INCORRECT: Further research could investigate the causes of this phenomenon.
(20b) CORRECT : Further research could investigate the causes of this phenomenon.
(20c) INCORRECT : This solution may risky.
(20d) CORRECT : This solution may be risky.

6. The verbs make and let are complemented by a verb in the base form, without to. However, they can
also be replaced by verbs that are more specific in academic writing (make could be force, require,
cause, lead to, let could be allow, permit, enable, facilitate).
(21a) INCORRECT: Globalization will make countries to specialize.
(21b) CORRECT : Globalization will make countries specialize.
(21c) BETTER : Globalization will force countries to specialize.

1.5 Action Verbs

A. When an action verb is used, something (the agent) acts upon something (the goal), sometimes for
something else (the recipient). The terms agent, goal, and recipient describe the function of a word in the
clause.
B. Most action verbs are transitive and have both an agent and a goal, although the agent is often omitted in
the passive voice (see 4.6). Very few verbs are truly intransitive, meaning they have no goal and cannot be
followed by a direct object. Many intransitive verbs also have a transitive form or are used with a
prepositional phrase or adverb that could be consid- ered an indirect object.
(22) The experiment started. (intransitive)
(23) We started the experiment. (transitive)
(24) We listened to the interviews. (required prepositional phrase)
There is a difference in meaning between Sentences 22 and 23. When the verb start is transi- tive (Sentence
23), there is a human agent that causes the experiment (the goal) to start. The experiment appears to start by
itself when the verb is intransitive (Sentence 22). Using a non- human agent can be very useful if you write in
a discipline that discourages the use of personal pronouns (I and we).
C. A small number of verbs are ditransitive, or double-object verbs. This means they allow an indirect object
that identifies the recipient of the action. These verbs have the basic mean- ing of give, such as leave, bring,
show, tell, lend, or sell.
(25) These overseas experiences gave me a sense of personal confidence.

1.6 Reporting Verbs

A. Reporting verbs describe what people say, think, feel, or want. Although they are com- monly followed by
noun clauses (3.3), other complements are possible with certain verbs. The patterns for some common verbs
are provided in Table 1.4. Note that your choice of reporting verbs can reflect your attitude toward the ideas
you are reporting.
Table 1.4 Complements of Common Reporting Verbs in the Active Voice
Finite Noun to Infinitive
Noun Phrase -ing Clause
Clause Clause
He suggested
He suggested a He suggested
suggest doing
solution. that we do it.
something.
I recommend
I recommend I recommend I recommend
recommend that you buy the
the book buying the book you to the book.
book
We claim that We claim to
We claim
claim we have have
victory.
succeeded. succeeded.
The illustration Table 1 shows
Table 1 shows shows the the results to be
Table 1 shows
show that the results researcher signifi-cant.
the results
are significant conducting the
test.

B. When you have a choice between clause structures, consider these principles:
1. Using a finite clause often produces a longer sentence than using a non-finite clause and is
grammatically more complex. Non-finite clauses are often preferred in aca-demic writing (Biber et al.,
1999, p. 755).
2. Some choices permit or require the introduction of an indirect object (I recommend you to buy the
book).This can improve clarity but may be inappropriate in some academic fields.
3. Some choices can reduce redundancy by omitting unnecessary participants (We claim to have
succeeded is more concise but expresses the same idea as We claim that we have succeeded).
4.This sentence pattern appears to be rare.
C. A small number of reporting verbs do not allow a that noun clause, including support, present, describe,
criticize, oppose, and discuss.
D. Some reporting verbs allow or require an indirect object. Thus, the choice of verb also affects the amount
and type of information that can be included in the clause. Some of the most common reporting verbs in
academic writing are summarized in Table 1.5.

Table 1.5 Indirect Objects with Reporting Verbs

No Indirect Object Required Indirect Optionai Indirect Optional Indirect
Object (no Object (without Object (with
preposition) preposition) preposition)
believe, think, tell, convince, show, teach, warn, agree (with), say (to),
wonder, realize, inform, persuade, promise, caution, prove (to), admit (to),
notice, discover, find, remind ask, answer, write argue (with), explain
assume, suspect, (to), claim (to), suggest
doubt, recommend, (to), comment (to),
 note, add point out (to), report
(to), respond (to)
(26) The social (27) One other (28) The results (30) Most models
worker realized that grant tries to show that this option agree that elevated
the mother was persuade students is not a realistic temperatures will
extremely skeptical. that cheating is alternative. decrease soil moisture.
wrong. (31) We must also
(29) We need to
agree with him that it is
show children that
confusing and
there can be mixed
misleading.
emotions.

1.7 Linking Verbs

A. Linking verbs do not describe any action or event. Instead, they express what something is or is related to.
They are frequently used in academic and scientific writing because they allow writers to link one concept
(usually a noun phrase) to a value, fact, or idea.
(32) The operation lasted two hours.
(33) The rate remained stable.
(34) The proportion of the Chinese population with tertiary education has always been small relative to
the entire population.
B. The complement of a linking verb is called a subject complement because it complements- or adds to the
meaning of the subject. The complement may take many forms, depending on the meaning of the clause, but
it must always be equivalent to the subject in some sense.
(35a) INCORRECT: Reactions to the new policy were variety.
(35b) CORRECT : Reactions to the new policy were varied.
It is correct to describe reactions as varied (Sentence 35b), but the reactions are not a variety me of anything
(Sentence 35a).
C. Some linking verbs describe a characteristic of the subject (Eggins, 2004, p. 240), such as be, have,
become, turn (into / out), keep, stay, remain, seem, grow, appear, look, sound, feel, measure, weigh, cost,
ensure, vary (in), and differ (in). These verbs are not usually written in Dear the passive voice (4.6).
(36) The results seem clear,
(37) The size of the sample became an important consideration.
D. Another function of linking verbs is to link a word to its definition or to a statement about its identity (Eggins,
2004, p. 241). Some common verbs are: be, have, mean, suggest, show, represent, define, indicate,
correspond to, constitute, resemble, refer to, reflect, comprise, feature, make, illustrate, express, stand for,
name, call, prove, consider, signify, and act as. When functioning in this way, linking verbs may be used in the
passive voice.
(38) C refers to the cost of the product.
(39) The reasons include the increase in demographic diversity.
(40) The process is called fossilization.
(41) The demand for gas is represented by the symbol d.
E. Linking verbs sometimes take noun clauses as complements (3.4). However, the common verbs appear
and seem can also use it as an empty subject (Sentence 44).
(42) The data indicate that the condition is genetic.
(43) One explanation is that higher drug use prompts more frequent testing.
(44) It appears/seems that the new policy is effective. [The new policy appears/seems effective.]
F. The linking verb be is generally reversible when there are nouns in both the subject and chuyển đổi
complement slot: this means that the subject and the complement can be switched without a change in
meaning (although it will change the textual meaning; see 1.8). However, most other linking verbs cannot be
reversed in this way.
(45) CORRECT: A student's score is the number of correct answers.
(46) CORRECT: The number of correct answers is a student's score.
(47a) CORRECT; One car weighs 500 pounds. Bange
(47b) INCORRECT: 500 pounds weighs one car. [not reversible]

1.8 Three Levels of Meaning

A. Writers can often choose between different clause structures and word forms.
(48a) Some people say that consumers are spending less money.
(48b) Consumers are said to be spending less money.
(48c) Consumers appear to be spending less money.
In one way, these three sentences have the same meaning because they describe the same phenomenon.
However, the sentences also have different meanings: Sentence 48a focuses on some people, while the
other two are exclusively about consumers. Sentences 48a and 48b put responsibility for the claim on
someone else, whereas the writer takes more responsibility for the claim in Sentence 48c.
B. Linguists who follow Halliday's "functional grammar" (Halliday, 1994) explain this phe- Tap lan nomenon
by arguing that grammar creates three layers of meaning simultaneously:
1. facts, things, and experiences (experiential meaning-what happened?)
2. your attitudes and evaluations (interpersonal meaning-what do you think about it?)
3. the organization of the text (textual meaning-how will you present it?)
Therefore, Sentences 48a-c all had similar experiential meaning but different interpersonal and textual
meanings because the message was organized differently and the sentences showed different levels of
confidence in the claim about consumers.
C. Functional grammar, which underlies the approach to grammar taken in this textbook, is interested in what
grammar does in your writing (its functions), rather than what it is (the "rules" of grammar). As you write, you
are making choices at all three levels of meaning all the time. For example, consider these sentences.
(49a) This study gives concrete evidence to support policies that ban smok- ing in public places.
(49b) Concrete evidence supports policies that ban smoking in public places.
(49c) A ban on smoking in public places is supported by evidence from this study.
(49d) This study tells us that smoking should be banned in public places.
Again, the experiential meaning is similar in all four sentences, but a writer might choose each sentence for
different reasons. Looking at organization first (the textual meaning), Sentences 49a and 49d are about the
study, Sentence 49b focuses on the evidence, and Sentence 49c talks directly about the ban on smoking.
Notice the choice of the passive voice in Sentence 49c, which allows the writer to move the evidence to the
end of the sentence, where it might be developed in further sentences (8.1). In terms of interpersonal
meaning, the choice of tells in Sentence 49d introduces an indirect object (us), making the sentence more
conversational tuns dam and less appropriate for most academic contexts. Sentence 49b seems most direct,
using sup- ports as an action verb without mentioning the source of the evidence.