218INTERNATIONAL
KJERSTI RONGEN
JOURNAL
BREIVEGA
OF APPLIED
, TRINELD
INGUISTICS
AHL AND ,KVol.
JERSTI
12,FLØTTUM
No. 2, 2002 218
Traces of self and others in research
articles. A comparative pilot study of
English, French and Norwegian research
articles in medicine, economics and
linguistics
KJERSTI RONGEN BREIVEGA
University of Bergen
TRINE DAHL
KJERSTI FLØTTUM
Norwegian School
University of Bergen
of Economics and
Business Administration
This article presents a pilot study which has been undertaken as
preparation for a comparative research project called “Cultural identity in academic prose”. The general aim of the project is to study
which aspects of scientific activity are most important for what we
may call cultural identity in academic writing. Whether such identities are primarily national or discipline-specific is discussed. The
project involves research articles from three disciplines – medicine,
economics and linguistics – and three languages – English, French
and Norwegian. The central questions are related to authorial presence and stance, to the manifestation of other researchers’ voices and
to the authors’ promotion of their own research. This article takes a
linguistic approach, and the pilot study focuses on the use of the
following categories: first person pronouns, metatextual comments,
explicit and implicit references and lexical items. The pilot study comprises 18 research articles; in the large-scale study the corpus will
consist of about 500 articles. In the pilot study presented here the
main finding is that the proposed categories seem to be well suited to
the purposes of the large-scale study. The data also allow some preliminary hypotheses about ‘non-expressive medical researchers’, ‘shy
economists’ and ‘polemic linguists’ to be formulated.
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Introduction
How and to what extent do authors manifest themselves in a research article?
How and to what extent are other researchers given the possibility of manifesting
themselves? How does the writer promote his or her own research?
These are the central questions we have addressed in a pilot study which
has been undertaken as preparation for a comparative research project called
“Cultural identity in academic prose” (in Norwegian: Kulturell identitet i
akademisk prosa, or KIAP).1 The general aim of the KIAP project is to study
which aspects of scientific activity are most important for what we may call
‘cultural identity’ in academic prose. We want to investigate whether such
identities are primarily national (is there for example a specific Norwegian
academic identity?) or whether they are primarily linked to a specific discipline
(e.g. a specific medical academic identity).2 The concept of cultural identity,
which is a very complex one, will be delimited as the set of values and the
cultural basis associated with language and discipline in academic prose. The
KIAP project is based on a linguistic approach, and the central issue will be to
investigate to what extent linguistic and/or textual features are indicative of
national or discipline-specific scientific ‘identities’.
KIAP is a comparative study involving research articles from three disciplines – medicine, economics and linguistics – and three languages – English,
French and Norwegian. The choice of these disciplines is motivated by several
factors: they represent three basic scientific traditions – natural science, social
science and the humanities, and it is reasonable to assume that there are discursive differences between them (Breivega 2000, 2001b). Furthermore, the
project participants are familiar with these disciplines through previous research on academic discourse, acquired expert knowledge or departmental affiliation. As for the languages in question, the status of English as an academic
lingua franca makes it a natural frame of reference for any contrastive study of
academic discourse (see e.g. Mauranen 1993). Norwegian – like the other Nordic languages (cf. Laurén & Myking 1999) – is an interesting academic language
because it is a ‘minor’ language and because so little has been done in the way
of contrastive studies of academic prose which includes Norwegian material;
French is by contrast a ‘major’ language which boasts a considerable scientific
production. Despite this fact, French material, just like Norwegian, has only
been very modestly studied in a contrastive perspective.
The selection of linguistic features or categories which may be relevant to
our study is based on previous research in this domain (Vassileva 1995, 1998,
2000, 2001; Loffler-Laurian 1980; Mauranen 1993) as well as on our own observations and research (Breivega 1999, 2001a,b; Dahl 1996, 1998, 2000b; Fløttum
2000b, 2001a,b). Scientific writing has traditionally been looked upon as objective, matter-of-fact oriented and only marginally characterised by authorial presence, commitment and open argumentation. Previous research has, however,
shown that academic prose is characterised by a number of pragmatic and
context-bound factors and that subjective elements are clearly present (cf. e.g.
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Bazerman 1988; Swales 1990; Hyland 1998a). Today, as researchers are faced
with the ever-increasing competitive production of research articles, making
the marketing of their own research more important, the use of subjective
elements can also be seen as a way of promoting and selling their own results at
the expense of other researchers’ work. This makes authorial stance, including
overt positive and negative evaluations, a typical feature in research articles.
However, such evaluations are not used in the same way and to the same extent
within different languages and cultures or within different disciplines (cf.
Berkenkotter & Huckin 1995). In short, our approach to the study of cultural
identity will consist of a study of linguistic features associated with writer manifestation, writer promotion and manifestation of voices of other researchers in
research articles. Through such linguistic features the writer’s voice, and hence
the set of values on which his or her scientific identity is based, will emerge.
In order to prepare the ground for our large-scale study and to make sure
that we focus on relevant linguistic categories which are present and used in all
the three languages in question, we have carried out a small pilot study comprising 18 articles. In this pilot study, which will be presented here, we focus on
some selected elements related to the three questions formulated at the beginning of this introduction. The questions involve certain lexico-semantic and
functional categories which are related to argumentation and enunciation and
which we consider to be relevant to our study.
Materials and method
In the KIAP project one of the aims is to establish an electronic corpus of about
500 articles. This corpus is under construction, and at the moment of writing it
consists of 110 articles which are relatively evenly distributed across the three
languages and the three disciplines in question. The availability of this corpus
will be a great advantage to the project. The resulting opportunities for automatic searches on selected linguistic features (including collocations) will save a
great deal of time. A crucial issue will be to identify linguistic features which
will easily lend themselves to such a methodological approach (i.e. an automatic
analytical process).
The articles constituting the KIAP corpus have been selected according to
several criteria. They must be published in refereed journals. In order to keep
as many factors as possible under control, we would also like the articles to be
written by native speakers of the respective languages. Furthermore, the corpus
as a whole as well as each subcorpus (consisting of the various combinations of
discipline and language) should represent variation with regard to authorship
and gender. Thus, both single and joint authorship as well as articles by female
and male authors will be represented in the corpus. The first of these two
variation axes is particularly crucial to the KIAP project: one central category
under investigation is first person pronouns, and in order to identify possible
variation patterns in the use of these pronouns it is necessary to establish a
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corpus which provides the opportunity to study this phenomenon in both single
and joint authorship contexts.
In addition to the criteria concerning authorship, there are some disciplinespecific guiding principles. The medical articles should preferably present
experimental and clinical research; we are less interested in articles discussing ‘soft’ issues like social, political, and economic factors affecting health.
The economics articles should preferably not be dominated by numerical data.
Finally, the linguistic articles should preferably discuss linguistic material in
the author’s mother tongue. These discipline-specific criteria are, however, not
absolute.
The pilot study is based on an analysis of 18 research articles, with two
articles from each discipline in each language (see Appendix 1). These have
been coded as follows:
English
Economics
Linguistics
Medicine
French
Economics
Linguistics
Medicine
Norwegian
Economics
Linguistics
Medicine
EngEcon1
EngEcon2
EngLing1
EngLing2
EngMed1
EngMed2
FrEcon1
FrEcon2
FrLing1
FrLing2
FrMed1
FrMed2
NoEcon1
NoEcon2
NoLing1
NoLing2
NoMed1
NoMed2
The electronic corpus has been constructed in parallel with the pilot analysis,
and we have been working both manually and automatically with the texts. We
feel that this was a good way to get to know the corpus. The quantitative results
presented here are very modest, and our aim in the pilot study is primarily to
determine some of the categories which will be used in the large-scale study.
The categories we have studied are related to our initial questions as outlined below.
A. HOW AND TO WHAT EXTENT DO AUTHORS MANIFEST THEMSELVES IN
A RESEARCH ARTICLE?
Here we have basically limited our study to the distribution and frequency of
first person pronouns and metatextual comments.
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First person pronouns
We have studied first person pronouns in different syntactic functions and in
different forms (first person possessives are also included):3
1a) I/we present . . . in my/our study . . .
b) Je/nous présente/-ons . . . dans ma/notre étude . . .
c) Jeg/vi presenterer . . . i min/vår studie . . .
Metacomments
This category is divided in two: locational and rhetorical. The first category
includes expressions which point directly to the text itself or to a part of it, as in
the following examples:
2a) In this article/section I propose the following hypothesis . . .
b) Dans cet article/cette section je propose l’hypothèse suivante . . .
c) I denne artikkelen/delen foreslår jeg følgende hypotese . . .
The second category includes expressions which refer to rhetorical strategies
used in the text, such as introduce, present, summarise, conclude, exemplify,
illustrate:
3a) We conclude that . . .
b) Nous concluons que . . .
c) Vi konkluderer at . . .
Other categories which will be crucial in the large-scale study are related to
modality, but the complexity of that issue made it impossible for us to deal with
it in the pilot study.4
B. HOW AND TO WHAT EXTENT ARE OTHER RESEARCHERS GIVEN THE
POSSIBILITY OF MANIFESTING THEMSELVES?
To find answers to this question we first discuss explicit references in different
forms and then implicit references expressed by polyphonic constructions.
Explicit reference
Explicit references can be realised in different ways. The subcategories we have
studied here are references given in notes, in parenthetical citations with name
and year of publication, through introductions to the reference in the text and
by quotations, illustrated in 4a–d respectively:
4a)
b)
c)
d)
This is shown in several studies . . . [+note number]
This is shown in a recent study . . . (Smith 2000)
In her study related to the external factors, Smith (2000) shows that . . .
Smith (2000) puts it this way: “The external factors are important in . . .”.
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In addition to these categories, we have made a distinction between selfreference and reference to others in each subcategory.
Implicit reference
Researchers may, however, manifest themselves in more subtle ways than through
explicit references. Their presence may be implicit, expressed by polyphonic
constructions like syntactic negation with not/ne . . . pas/ikke in examples 5a–c
below:
5a) The research article is not an interesting object of study.
b) L’article scientifique n’est pas un objet d’étude intéressant.
c) Den vitenskapelige artikkelen er ikke et interessant studieobjekt.
A polyphonic conception of meaning implies that several voices or points of
view are signalled in discourse. In the examples above, two points of view are
presented in the same utterance, one saying that ‘the research article is an
interesting object of study’ and another saying that ‘this is not valid’.5 There
are many constructions that may be studied in this context, but in the pilot
study we have limited this aspect to syntactic negation followed directly by a
sentence introduced by the connectives but, however/mais/men. These contrastive connectives represent a potential polemic related to the presented voices.
C. HOW DOES THE WRITER PROMOTE HIS OR HER OWN RESEARCH?
The third question which we consider in the KIAP project is a complex and
comprehensive one. In fact, the categories and subcategories mentioned above
will also be relevant in the search for answers to this question (see also note 4
on modality). However, in this part of the study we want to focus on how
promoting is done by means of selections from the lexicon. Lexical words like
new, recent, original, useful versus old, traditional, futile (i.e. words that
signal evaluation in one way or another) will be of special interest here. We also
want to look at the collocations where key concepts such as hypothesis, theory,
method and result occur.6 In the pilot study we have limited our analysis to the
words new, recent(ly) and result(s)/finding(s) and their French and Norwegian
equivalents.
Results and discussion
We have studied the distribution and frequency of the different categories
presented above in their local as well as global context, i.e. in the different
article sections such as Introduction, Body, Conclusion (or for the IMRADstructured articles, Introduction, Method/Material, Results and Discussion) and
in the article as a whole.7 We have also studied potential differences between
languages and between disciplines. However, since our pilot corpus is quite
small, there is little point in presenting all these data here. See Appendix 2 for
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the number of occurrences and the frequency of the categories in each article.
Some details in the quantitative data will be commented on below.
Our main finding is that the proposed categories seem to be well suited to
the purposes of the large-scale study. There are, however, some new and more
clear-cut distinctions that need to be developed. Although there are clear individual differences between the articles, we have also observed that it will be
necessary to consider the distribution and frequency of the categories in relation
to the different parts of the articles.
We shall now look at the results and observations for the different categories, related to the three questions presented in the introduction (here marked
A, B and C respectively). The presentation will be illustrated by authentic
examples: elements relevant to question A appear in bold, elements related to B
are underlined and elements related to C are in italics.
A1. FIRST PERSON PRONOUNS
Our results give no general indications about the use of first person pronouns.
There is considerable variation between the articles. The article with the highest
frequency (1 in 62 words) is NoMed1. The following example is taken from this
text:8
Vi benyttet medikamentet ved mye tromber før rekanalisering, lokale eller perifere
tromber etter behandlingen og hvis TIMI 3-blodstrøm ikke ble oppnådd på mistanken
om perifer embolisering. (NoMed1: 6)
It is rather surprising that it is the discipline of medicine which provides us with
this result. We must, however, emphasise here, and for the rest of the quantitative indications, that it is quite impossible to generalise on the basis of such a
small corpus. But the fact that there are such variations is interesting as a
starting point for the large-scale study.
An important observation for the categories to be included in the large-scale
study is that the singular/plural distinction is not sufficient to account for the
French material. In the French articles it will also be necessary to look into the
use of the pronoun on (English: one/you, Norwegian: man/en/ein). To some extent
(for example in the medical and economics articles), it seems that on is used in
the more objective Material/Method sections and that nous, or a combination
nous/on is used in the more subjective Discussion section. In the following text
segment, there is variation between on and nous:
Malgré la différence potentielle . . . , on tient pour acquis que . . . Les ajustements
apportés . . . L’utilisation d’un indice fondé sur un système différent présente toutefois
des inconvénients: nous ne pouvons tenir compte des différences . . . , et nous ne
disposons pas non plus de renseignements sur les différences entre les États-Unis et
le Canada . . . (FrMed2: 7)
Without going into detail here, let us just note that the reference of the on
pronoun (both person and number) will represent a special challenge.
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The I versus we perspective (see note 3) is also an interesting feature, but
again one which will not be discussed in detail here. However, an example from
English can be mentioned:
In this paper I argue that we should abandon a speech act theory
approach . . . (EngLing2: 463)
For the French corpus, it is interesting that first person singular forms are
found at all. Previous research (see e.g. Loffler-Laurian 1980) has tended to
confirm the absence of such authorial presence. What is particularly interesting
is the changing perspective from je to on or vice versa:
Dans un précédent travail (de Vogüé, 1999b), j’ai tenté d’élaborer un modèle . . . Je
donne ci-dessous, à titre d’illustration, trois énoncés . . . . . . . je désignerai . . . Je
vais montrer ici que ces trois configurations . . .
L’enjeu de ce que l’on appelle ici “jugement” est de rapporter le référent à une
catégorie notionnelle. (FrLing1: 32)
This example is also interesting with regard to the context in which the
pronouns appear: je is first used for self-reference, then in relation to three
metacomments. In the next sentence, still in a context of metacomment, the
author switches to on.
In one of the Norwegian linguistic articles, NoLing1, a single-author article,
the frequency of first person pronouns is rather low. However, the contexts in
which these pronouns are used seem to be significant. In the following example,
the pronoun jeg is related to the expressing of a strong personal attitude:
Så langt jeg kan forstå, er denne analysen neppe holdbar. (NoLing1: 28)
‘As far as I can understand, this analysis is hardly tenable.’
In addition, there is an important presence of first person possessives in this
article:
Etter min intuisjon er døs mer marginalt enn kastes, men bedre enn for eksempel
*måttes. (NoLing 1: 10)
These first person possessives occur as premodifications of nouns such as
intuisjon, (‘intuition’), syn (‘view’, ‘attitude’), and språk (‘language’). Hence,
in this linguistic article they occur in contexts where the author is presenting
potentially strong views on the language (use) under study.
The following two examples, taken from NoEcon2, have the first person
singular pronoun jeg, but this is not related to the expression of a personal view
or attitude (‘I [will] start by . . .’):
Jeg vil starte med å se på prisfrikonkurransemarked. (NoEcon 2: 44)
og
produksjonsutviklingen
Jeg starter med å se på et perfekt kartell . . . (NoEcon 2: 50)
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A final comment should be made about the medical texts. The typical medical
article (see Breivega 2001b), adhering to the IMRAD structure, seems to be a
description of actions rather than a discussion presenting different views or attitudes. The following examples may serve as illustrations of this phenomenon:
Vi benyttet medikamentet ved mye tromber før rekanalisering, . . .
Vi behandlet andre årer hos ti pasienter.
Allerede i dag utfører vi angioplastikk i samme prosedyre som den diagnostiske
undersøkelsen for de fleste pasientene.
Dette løste vi ved at vakthavende kardiolog og en sykepleier fra overvåkingsavdelingen
var med. (NoMed1: 6)
These examples constitute the we-context in presenting the authors as acting
subjects. The comments are descriptions of the actions which have been carried
out to obtain the results presented (cf. the verb forms benyttet ‘used’, behandlet
‘treated’, utfører ‘perform’ and løste ‘solved’).
In general we consider the study of first person pronouns in different forms
and syntactic functions and in various semantico-pragmatic contexts to be interesting as regards distribution and frequency. On the basis on this pilot study,
we can in fact conclude that authorial presence signalled by the use of first
person pronouns represents an important contribution to the determination of
cultural identity in academic discourse.
A2. METACOMMENTS
Like the previous category, the analysis of the metacomments gives us no clear
indications about the use of this kind of authorial presence. The only fact that
can be mentioned is that metacomments do not seem to be very frequent. No
clear distinction has been observed between languages or between disciplines,
and rhetorical comments in particular seem to be rare. The frequency of the
two categories taken together varies from 120 (EngEcon1) to 578 (FrLing2).9
The relatively low frequency of metacomments in the linguistic articles (except
NoLing2) is rather surprising. Previous research (see for example Breivega
2001b) gives reason to expect more. On the other hand, we are not very surprised by the finding that in one of the medical articles there is just a single
metacomment (NoMed2):
Treffsikkerheten for cintigrafi er vist i tabell 1. (NoMed 2: 4)
Here are some other examples:
Locational
Table 1 shows the demographic characteristics and the frequency of adverse outcomes in the study group. (EngMed1: 4)
In Section 3 we assume parameter values for technology such that multinationals do
not exist . . . (EngEcon1: 212)
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Les deux méthodes mentionnés ci-dessus . . . (FrMed2: 3)
‘The two methods mentioned above . . .’
I dette arbeidet vil vi beskrive våre erfaringer fra angiografilaboratoriet . . . (NoMed
1: 1)
‘In this paper we will describe . . .’
Rhetorical
Summarizing, we find that there is divergence of country endowments if t is sufficiently low . . . (EngEcon1: 229)
However, as far as the early modern form of the variety is concerned, we conclude
that the shape of New Zealand English, a fascinating laboratory for the study of
linguistic change, can be accounted for . . . (EngLing1: 316)
Je donne ci-dessous à titre d’illustration . . . (FrLing1: 32)
‘I give the following as an example . . .’
Eg presenterer først generelle reglar, deretter meir spesielle reglar som overstyrer
dei generelle reglane . . . (NoLing2: 34)
‘I present first . . .’
The French example (FrLing1: 32) is in fact typical of the rhetorical metacomments in that both a locational (ci-dessous) and a rhetorical one (donne . . . à
titre d’illustration) are combined in the same sentence. As all these examples
show, metatextual expressions tend to co-occur with a first person pronoun.
In one of the articles, NoEcon1, the main function of first person pronouns
(vi) seems to be the realisation of different metastatements. In fact, the occurrences of vi are to a surprisingly low degree related to the expression of the
author’s personal view:
I første del av denne artikkelen ser vi på en stilisert markedskontekst hvor en
regulert dominerende aktør møter konkurranse fra en uregulert konkurrent med
markedsmakt. (NoEcon1: 138)
‘In the first section of this article we look at . . .’
Such observations will be subject to more careful analysis in the large-scale
study. In any case, personal pronouns and metacomments are instances of writer
manifestation, since they are indications or traces of a person ‘behind’ the text
who organises the content. It is symptomatic that definitions of metadiscourse
often include modality constructions and other traces of authorial presence
(see e.g. Vande Kopple 1985: 83), and previous research on meta-expressions
in academic discourse has often been carried out along these lines (see e.g.
Hyland 1998b). However, in the KIAP project we will treat personal pronouns,
metatextual expressions and modality constructions as separate features. We
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justify these distinctions by referring to the importance of studying the different
kinds of presence which they manifest.
Our pilot study has also revealed that it may be fruitful to establish a third
category of metacomments. This category may be called instructions to the
reader and is related to how the article should be read. Such instructions
manifest themselves by more or less deontic expressions such as il faudra/on
devra (‘it is necessary/one must’), cela vise à préciser que . . . (‘it aims to specify
that’), or as in the following authentic examples:
The important point to note is that . . . (EngEcon1: 230)
Note that in our model . . . (EngEcon2: 265)
Il est à noter que . . . (FrMed1: 3).
One can discuss whether such expressions should be placed in the metacomment
group; however, this issue will not be pursued further here.
B1. EXPLICIT REFERENCE
Perhaps the most conspicuous manifestations of the voices of other researchers
are in the form of explicit references to their works. The general finding of our
pilot study is that references are indeed an important part of academic discourse.
References made by the author to insights gained through earlier work is a
characteristic feature of the three languages and disciplines we have studied.
In general, it seems that the medical articles tend to display a relatively high
frequency with regard to explicit reference; however, medical researchers do
not let other researchers manifest themselves in the text – they are only referred
to in endnotes, by name, title and year of publication (see also Salager-Meyer
1998).
The linguistic articles show particularly great variation in the total frequency
of references (for NoLing1 the frequency is 53, highest of all the articles, and
for FrLing1 the frequency is 396, the lowest). In addition, variation with regard
to the kind of reference is important (see below). Our pilot study indicates that
there seems to be more variation between disciplines than between languages. It
also seems worthwhile to study the distribution of references with regard to the
different sections of the articles.
As mentioned above, explicit references can be realised in different ways;10
we have studied the following subcategories (presented with examples):
a) References given in notes:11
Smoking is one of the strongest risk factors for adverse perinatal outcomes,
(16) . . . (EngMed1: 6)
Au Québec, les anomalies congénitales représentent la deuxième cause de mortalité
prénatale et la sixième cause, . . . , de mortalité prématurée1. (FrMed1: 1)
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Den største ulempen ved trombolytisk behandling er manglende reperfusjon hos
bortimot 30–40% (1). (NoMed1: 1)
b) References given in parenthetical citations with name and year of publication:
In emerging markets free deposit insurance extended to banks in newly liberalised
financial markets has long been cited as a source of instability in financial markets
(McKinnon and Mathieson, 1981; Hanson and de Melo, 1983; DiazAlejandro, 1985;
Corbo et al., 1986; Baliño, 1991; McKinnon, 1991; Velasco, 1991). (EngEcon2: 266)
Ceux-ci [des critères] permettent de comparer les distributions de revenus au vu de
certains critères et notamment la taille (ATKINSON, BOURGUIGNON [1987],
MAURIN [1986]). (FrEcon1: 270)
Det norske genussystemet har, som alle andre genussystem som er analysert til no,
(jf. Corbett 1991), ein semantisk kjerne. (NoLing2: 35)
c) References with introductions:
Dixit and Norman (1980) further increased the generality of basic factor-proportions
theory and clarified the problem of factor-price equalization (FPE), in particular by
deriving a factor-price equalization set within a traditional Edgewoth box. (EngEcon1:
210)
This contention is supported by Bauer (1999), who supplies very strong lexical evidence in favour of the mixed origins of New Zealand English. (EngLing1: 308)
De nombreuses formes fonctionnelles sont estimées dans la littérature (voir LECHENE
[1993] pour un survey sur ce sujet). (FrEcon1: 271)
Afin de disposer d’estimateurs convergents, on utilise une méthode proposée par
CHAMBERLAIN [1984] qui consiste à se ramener à un modèle dans lequel . . .
(FrEcon1: 272)
Med Corbetts Gender frå 1991 kom synet på genustilordning som grammatisk
komponent inn i det lingvistiske rampelyset . . . (NoLing2: 32)
Dobrin (1997) hevdar at genustilordningsreglane står i eit hierarkisk tilhøve til
kvarandre . . . (NoLing2: 32)
d) References with direct quotations:
. . . according to de Klerk (1996: 10), who writes that “the two basic formative
elements of modern South African English were the largely vernacular settlements of
the 1820s and the largely standard-speaking Natal settlement of the 1840s”. (EngLing1:
312).
Comme le souligne Walras, “on n’offre pas pour offrir, . . .” [Walras (1874), p.76].
(FrEcon2: 119)
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Hocketts definisjon er: “Genders are classes of nouns reflected in the behaviour of
associated words” (Hockett 1958: 231). (NoLing2: 29)
As mentioned above, in addition to these categories, we have made a distinction between reference to works by the article author(s) (self-reference) and
reference to works by other scholars (reference to others) in each subcategory.
The following are examples of self-reference in category c, introduced reference:
One major result of this paper, that multinationals occur when countries are similar
in size and relative endowments, is also found in our 1998 paper (Markusen and
Venables, 1998). (EngEcon1: 213)
Nous avons montré, dans Gosselin (1996a et b, 1999a et b), que les conflits
sont . . . (FrLing2: 63)
Våre tidligste erfaringer ble beskrevet i 1998 (8), og resultater fra angioplastikk hos
pasienter som overlevde hjertestans ble publisert i 1999 (9). (NoMed1: 1)
It will be particularly interesting to study these self-references related to the
(non-)use of first person pronouns. For example, note the author’s (Gosselin’s) use
of the construction with lequel to refer to himself and his own research in the
following example (compared to the use of nous in example FrLing2: 63 above):
Des propositions en ce sens sont avancées par Martin (1987) avec l’opposition entre
temps de re/de dicto, Klein (1994) qui propose de . . . , Gosselin (1996a) selon lequel
le conflit entre instructions se résout . . . , Sthioul (1998) qui reprend à Genette
(1972) le concept de “focalisation interne”. (FrLing2: 55–6)
As for references to other researchers, it will be interesting to study their
lexical context in order to answer the questions about promotion (are references to others used to support one’s own research or to refute work by other
researchers?).
B2. IMPLICIT REFERENCE
We restricted the pilot analysis to syntactic negation with not/ne pas/ikk(j)e
followed by the contrastive or concessive connectives but, however/mais/men.
This is of course a very limited selection, and we did not expect to find many
occurrences. However, our small corpus did turn up some tokens, which implies
that it may be interesting to look for this polemic construction in the large-scale
study. Here are some examples:
Ils [ces résultats] montrent en effet que ce n’est pas tant la présence de l’enfant . . . qui
réduit l’aisance financière, mais que celles-ci étaient déjà moindre auparavant.
(FrEcon1: 290)
Det har ikke vært behov for å innkalle ekstra personell under prosedyren, men det
har vært nyttig med flere enn to til stede. (NoMed1: 6)
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We also observed a relatively high frequency of negations alone. This result
lends further support to the hypothesis according to which polyphonic constructions indicate not only an exchange of views but an exchange which is
polemic. This is of interest to our general question about the existence of
cultural identity in academic prose. Finally, we found many other traces of
polyphony which require further analysis in the same perspective, such as
connectives other than the ones identified here.
C. LEXICAL PROMOTION
The findings in this part of our pilot study are rather meagre, and we have therefore chosen not to present them quantitatively. Some comments are, however,
relevant.
We selected the lexemes new, recent(ly) and result(s)/finding(s) and their
French and Norwegian equivalents. The material displayed occurrences of all
of these. We also found support for our hypothesis that it would be fruitful to
study key words like method, data/materials, results etc. in a textual perspective. We need to examine their use and context with a view to identifying semantic
isotopies, both positive and negative ones. In addition, we must be careful to
distinguish between the good/bad dimension on the one hand and the dimension
involving author(s)/other researchers on the other. An occurrence like ‘interesting result’ can refer to the findings reported in the article itself or to findings
obtained by other researchers; in the same way, a ‘new method’ can refer to the
method used by the author or to a method used by other researchers. We also
have to make other distinctions regarding the relation between the expression
used and its semantic reference. In the KIAP project our main concern will be
expressions used to describe the actual research process as well as the writing
process itself, rather than expressions used to describe various aspects of the
object of study. Hence, the following example where the author mentions a new
verb (det . . . nye verbet) in Norwegian is not very interesting to our study:
Vi finner også en viss evidens ved det relativt nye verbet synse. (NoLing1: 19)
We end this section with some further examples from our material which
clearly indicate the importance of the lexical dimension of the study:
Our findings in non-smoking mothers suggest that the positive associations previously reported among first births might simply reflect inadequate adjustment for
confounding variables. (EngMed1: 6)
In addition to the new results we derive, we hope that combining these themes in a
single framework provides a useful synthesis of a number of strands in modern
international economics. (EngEcon1: 212–3)
This result provides a link between Krugman’s work on economic geography
(Krugman, 1991) and more conventional trade models. (EngEcon1: 231)
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En combinant ces données . . . , nous croyons ainsi obtenir des résultats plus
précis . . . (FrMed1: 2)
Le résultat n’est guère surprenant pour le diplôme, mais moins immédiat en ce qui
concerne . . . (FrEcon1: 286)
Ce nouvel argument sera un élément de la détermination du processus de
consommation. (FrEcon2: 129)
Helt nylig er det foreslått å benytte et paraplyfilter (Angioguard) for å hindre perifer
embolisering, det samme som nylig er tatt i bruk ved angioplastikk av halskar.
(NoMed1: 6)
Likevel synes ikke disse fordelene å være avgjørende for et godt resultat.
(NoMed2: 6)
Examples like these are directly relevant to our question C, related to the
promotion of one’s research, but also to question A, related to the manner in
which authors manifest themselves. A final example illustrates the use of interesting lexical items other than the ones analysed in the pilot study:
L’idée traditionnelle . . . se trouve donc ici réfutée . . . (FrLing1: 36)
Conclusion
In this article we have presented the main goals and research questions of the
KIAP project, as well as our very preliminary findings based on a small pilot
study of 18 texts. With this pilot study as our basis, in addition to related
research in the field of academic discourse, we hope to be able to carry out a
large-scale study with the intention of shedding some light on different cultural
identities in academic prose. The main emphasis of the analysis will be on the
individuals (i.e. the writer(s) and other researchers) ‘behind’ the research activity
and their specific attitudes, opinions and values, as realised by specific linguistic
expressions.
Some of the hypotheses12 which we would like to investigate can be formulated
as follows:
• Medical researchers are non-expressive writers who do not let other researchers be heard in their texts.
• Economists are shy writers who avoid promoting themselves by means of
personal pronouns in connection with stating personal opinions.
• Linguists are polemic writers who involve several other researchers in the
text, often to refute their points of view.
The results which have been obtained so far do not indicate any clear language
differences, possibly apart from the very low frequency of first person singular
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pronouns in French.13 This will of course be investigated further in the largescale study. However, even at this point it seems that our initial hypothesis
(Fløttum 2001c) – that cultural identity is more likely to be related to discipline
than to language – will find support in our material (see the hypotheses above).
To conclude, we would like to emphasise the linguistic approach undertaken
in KIAP. This we hope will be a fruitful contribution to a research field where
previous research has been predominantly conducted along diachronic, pedagogical, literary and rhetorical lines (cf. Bazerman 1988; Swales 1990; Hertzberg
1995; Ventola & Mauranen 1996; Flyum 1996). The aim of the project is twofold: we want to present quantitatively valid results with regard to the frequency of use and distribution of different categories, and we want to present
results based on the qualitative study of selected categories, such as the use and
context of first person pronouns, metacomments, various types of explicit and
implicit reference, various lexical items and modality constructions.
Notes
1. The project was partly financed by the Meltzer foundation for five months in 2001
and will be financed by the Research Council of Norway during 2002–2004. Kjersti
Fløttum is the project leader of KIAP.
2. Another important goal in the KIAP project will be to establish an electronic corpus
consisting of about 500 research articles. A third goal will be to identify linguistic
features which can be used in the generation of acceptable summaries of argumentative research articles (see Dahl 2000a,b).
3. We consider the study of the use of first person pronouns rather than noun phrases,
third person pronouns or impersonal constructions – in different syntactic functions
and in different forms – to be interesting regarding their distribution and frequency. In our study, however, the degree of authorial presence signalled by the use
of first person pronouns is interesting in itself, as a contribution to the determination of cultural identity in academic discourse. For example, previous research
indicates that French authors are less visible on the surface of the text than English
authors (cf. Vassileva 1998). The I versus we perspective, as Vassileva puts it, is
another interesting contrastive feature.
4. Modality is a very complex concept which can be defined and delimited in several
ways. In some linguistic traditions the concept of modality is more or less exclusively
associated with expressions of possibility, necessity, permission and obligation (i.e.
epistemic and deontic modality). Other approaches take a broader and almost allinclusive view of modality which would seem to cover “the set of linguistic phenomena which signal the presence of man in language” (Herslund 1989: 7; see also
Loffler-Laurian 1980; Palmer 1986; Hunston & Thompson 2000). Our working definition of modality will represent a stance somewhere in between these extremes,
covering linguistic categories which signal the speaker’s attitude towards the
propositional content. This will also allow us to include in our study attitudes other
than the strictly epistemic and deontic. However, we wish to restrict modality to
expressions signalling some kind of attitude, thus excluding authorial presence per
se (e.g. the mere use of first person pronouns). We will consider the following two
main types of modality: epistemic modality (i.e. attitudes on the scale ‘certain’ vs.
‘uncertain’, ‘true’ vs. ‘false’) and evaluative modality (i.e. attitudes on the scale
‘good’ vs. ‘bad’). As regards epistemic modality constructions, we want to focus
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5.
6.
7.
8.
9.
10.
11.
12.
13.
KJERSTI RONGEN BREIVEGA, TRINE DAHL
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especially on the phenomenon of hedging, which is very common in academic writing (see Zuck & Zuck 1986; Hyland 1998a).
The concept of polyphony originates from Bakhtine (1970), and a genuinely linguistic version of the theory of polyphony was proposed by Ducrot (1984). The study of
this kind of implicit presence of other researchers will be based on more recent
work within the NOS-H project “Linguistic and literary polyphony” by Nølke (1994,
2001) and Fløttum (1999, 2000a).
In the KIAP project we will carry out a basically lexico-semantic analysis of lexical
words used in the research articles, taking our cue from the works of Dahl (1998,
2000b) on the lexical patterns in research articles (see Hoey 1991). These lexical
patterns will be subjected to a more thorough semantic analysis based on Rastier’s
interpretative theory of semantics (Rastier 1987, 1997; Malrieu & Rastier in press).
The content of the lexical words chosen in order to convey a message or an information package can be specified in semantic features (semes). Such semantic features
can be realised through different lexical choices. When specific semantic features
are repeated, semantic chains or isotopies will be formed. We especially wish to
identify positive isotopies (phenomena which are described positively) and negative
isotopies (phenomena which are described negatively).
As for the division of the articles into different sections, we see clear discipline
differences: the medical articles are organised according to a strict IMRAD pattern,
while the linguistic articles are divided into sections with thematic subtitles. The
economics articles seem to be situated somewhere between, without a strict IMRAD
structure but sometimes with subheadings which are related to this structure.
Page references for the medical articles refer to the electronic version of these
articles.
NoMed2 has only one metacomment; this result seems to be rather exceptional and
is therefore not taken into consideration when it comes to the comparative aspect.
Our investigation of reference practices in the research articles will primarily be
based on Rosier (1999), a monograph on citations and reported speech in French,
on Tuomarla (1999), a study of the same phenomena in French scientific prose, and
on various other studies carried out within the international research network CIDIT for studies on citation and reported speech strategies.
It is important to distinguish notes which give only bibliographical references (mostly
in medical articles) from notes which contain information or comments of other
kinds.
These hypotheses are of course very general and rather categorical. However, there
are clear indications in the material we have analysed so far, as well as in previous
research and observations, which point in the directions suggested.
However, even in single-author linguistics articles in Norwegian the use of the singular form jeg/eg is rare.
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[Received 17/2/02; revised 20/5/02]
Kjersti Fløttum
Department of Romance Studies
University of Bergen
Øysteinsgate 1
N-5007 Bergen
Norway
e-mail: kjersti.flottum@roman.uib.no
Appendix 1 – Pilot study material
(The medical articles were accessed on the internet, so no page numbers are
given for them here.)
EngEcon1
James R. Markusen & Anthony J. Venables (2000) The theory of endowment, intra-industry and multi-national trade. Journal of International Economics 52: 209–34.
EngEcon2
Michael P. Dooley (2000) A model of crises in emerging markets. The Economic Journal 110: 256–72.
EngLing1
Peter Trudgill, Elizabeth Gordon, Gillian Lewis & Margaret Maclagan (2000)
Determinism in new-dialect formation and the genesis of New Zealand English.
Journal of Linguistics 2: 299–318.
EngLing2
Diane Blakemore (2000) Indicators and procedures: nevertheless and but.
Journal of Linguistics 3: 463–86.
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EngMed1
Gordon C.S. Smith & Jill P. Pell (2001) Teenage pregnancy and risk of
adverse perinatal outcomes associated with first and second births: population
based retrospective cohort study. British Medical Journal.
EngMed2
Helen Bedford, John de Louvois, Susan Halket, Catherine Peckham,
Rosalinde Hurley & David Harvey (2001) Meningitis in infancy in England
and Wales: follow up at age 5 years. British Medical Journal.
FrEcon1
Stéfan Lollivier (1999) Coût de l’enfant et hétérogénéité individuelle: l’apport
des données de panel. Annales d’économie er de statistique 54: 269–91.
FrEcon2
Patrick Jolivet & Audrey Aknin (2000) Consommation et développement
durable: définition d’une problématique. Economie Appliquée 3: 117–33.
FrLing1
S. de Vogüé (2000) Calcul des valeurs d’un énoncé au présent. Travaux de
Linguistique 40: 31–54.
FrLing2
L. Gosselin (2000) Présentation et représentation: les rôles du “présent
historique”. Travaux de Linguistique 40: 55–72.
FrMed1
Robert Choinière, Michel Pageau & Marc Ferland (1999) Prévalence et
disparités géographiques de certaines anomalies congénitales au Québec:
Comparison des méthodes d’estimation. Maladies chroniques au Canada
2.
FrMed2
Claudine Laurier, Wendy Kennedy, Jean-Luc Malo, Michèle Paré,
Daniel Labbé, André Archambault & André-Pierre Contandripoulos (1999)
Taux et coût des hospitalisations pour l’asthme au Québec: Analyse des
données de 1988–1989, 1989–1990 et 1994–1995. Maladies chroniques au
Canada 2.
NoEcon1
Øystein Foros og Jan Yngve Sand (1999) Asymmetrisk regulering innen
telekommunikasjon. Norsk Økonomisk Tidsskrift 113: 137–56.
NoEcon2
Lars Lindholt (2000) Noen dynamiske modeller for oljemarkedet. Norsk
Økonomisk Tidsskrift 114: 43–64.
NoLing1
Hans-Olav Enger (2000) Verbendelsen –s i norsk bokmål: Bøying eller
avledning? Norsk Lingvistisk Tidsskrift 18: 9–35.
NoLing2
Trond Trosterud (2000) Genustilordning i norsk er regelstyrt. Norsk
Lingvistisk Tidsskrift 19: 29–58.
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NoMed1
Nils-Einar Kløw, Bjørn Bendz, Jan Eritsland, Pavel Hoffman, Sindre
Stavnes, Knut Haakon Stensæth, Edmund Søvik, Magne Brekke og Arild
Mangschau (2001) Angiografiske resultater av primær angioplastikk ved akutt
hjerteinfarkt. Tidsskrift for den Norske Lægeforening 7.
NoMed2
Hans H.Wasmuth, Roald J. Guleng, Peter KraneYsteng, Erling Saltrøe og
Trond Velde Bogsrud (2001) Preoperativ parathyreoideascintigrafi ved
primær hyperparatyreoidisme. Tidsskrift for den Norske Lægeforening 19.
Appendix 2 – KIAP pilot study
EngEcon1-j
EngEcon2-s
EngLing1-j
EngLing2-s
EngMed1-j
EngMed2-j
FrEcon1-s
FrEcon2-j
FrLing1-s
FrLing2-s
FrMed1-j
FrMed2-j
NoEcon1-j
NoEcon2-s
NoLing1-s
NoLing2-s
NoMed1-j
NoMed2-j
Total
words
1st p. pronouns
total/freq.
8773
7280
8427
10056
2257
2593
7750
4600
9100
5200
2550
3500
5157
7100
7700
8000
1850
2500
88/ 100
28/ 260
126/ 67
57/ 176
16/ 141
2/1297
2/ 388
37/ 124
18/ 506
22/ 236
14/ 182
9/ 389
55/ 94
14/ 507
54/ 143
85/ 94
30/ 62
24/ 104
French on
total/freq.
Metacomments
total/freq.
References
total/freq.
74/ 105
4/1150
114/ 80
31/ 168
8/ 318
21/ 167
73/ 120
19/ 383
26/ 324
23/ 437
8/ 282
9/ 288
23/ 337
16/ 288
27/ 337
9/ 578
5/ 510
11/ 318
38/ 136
37/ 192
28/ 275
63/ 127
8/ 231
1/2500
31/286
43/169
52/162
76/132
39/ 58
23/133
48/161
68/ 68
23/396
53/ 98
30/ 85
29/121
32/161
52/137
144/ 53
49/163
22/ 84
46/ 54
s = single author j = joint authors freq. = average of 1 occurrence in x no. of words
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