CHAPTER II: REVIEW OF LITERATURE

1.1. Review of previous studies

According to “An analysis of substitution in the story ‘The Garden of Paradise’ by Hans
Christian Andersen” (Nasri Anderson, Diana Chitra Hasan), subsitution is indicated as
one of the interesting topics to be used in research, therefore as a writer, it is highly
recommended to research types of grammatical cohesion, especially substitution on other
objects such as films, speech, or novels.
Result of the study “Substitution in the linguistics of text and grammatical thought”
(2021), it is proven that substitution is one of the consistency mechanisms that contribute
to the quality of the texts used in it. It is one of the mechanisms that achieve an increase
in the effectiveness of texts, as it activates the structure of shared information within the
text world.
The study also determined the idea of substitution in the textual linguistic research in
which the correspondence relationship between the substituted and the substituted is
manifested, and depends on the idea of exclusion and substitution, that is, excluding one
description and substituting another for it. It achieves the coherence of the text parts by
replacing the elements.
1.2. Review of theoretical background
1.2.1. The concept of discourse
The concept of discourse has been paid considerable attention to by several linguists
since 1952. Nunan D., (1993) defined discourse as a stretch of language consisting of
several sentences, which are perceived as being related in some way. Sentences can be
related, not only in terms of the idea they share, but also in terms of the jobs they perform
within the discourse - that is in terms of their functions.
Discourse is language that is functional - language that is doing some job in some context
as opposed to isolated words or sentences. Discourse can be spoken, written or in any
other medium of expression.
Discourse is a unit of language in use. It is not a grammatical unit, like a clause or a
sentence.
Discourse is a semantic unit, a unit not of form but of meaning. A discourse does not
consist of sentences; it is realized by, or encoded in sentences (Halliday M.A.K & Hasan
R., 1976)
 1.2.2. The concept of cohesion
The concept of cohesion is closely connected with discourse. Cohesion, a property of any
successful text, is also present in spoken language. It is defined as the grammatical and
lexical relationship between different elements of a text.
1.2.3. Cohesion within the sentence and discourse
According to Halliday & Hasan (1976), this is because the cohesive strength of
grammatical structure is so great that always make the sentence hang together. The effect
of cohesion in discourse is more outstanding and the meaning is more obvious than that
within the sentence.
1.2.4. Types of cohesion
Ho Ngoc Trung has shown that cohesion is concerned with formal surface structures
created by syntactical and lexical means. Correspondingly, there are two types of
cohesion: grammaltical cohesion and lexical cohesion.
Grammatical cohesion is the surface marking of semantic links between clauses and
sentences in written discourse, and between utterances and turns in speech.
According to Halliday M.A.K & Hasan R (1976), grammatical cohesive devices include:
reference, substitution, ellipsis and conjunction. However, in this study, we only focus on
analysing Substitution.
1.3. Substitution
1.3.1. Definition
There are many definitions to the notion of substitution; we have mentioned those of
famous linguists and grammarians.
Substitution is regarded as a process by which we can replace a linguistic item by another
within a larger unit (Hartmann and Stork, 1972:225). Halliday and Hassan agree that
"substitution is the replacement of one item by another"(1976:88). They also consider it
as a process within a text. On the other hand, Quirk etal (1985:863) say that "substitution
is a relation between pro-form and antecedent whereby the pro-form can be understood to
have 'replaced' a repeated occurrence of the antecedent".
Crystal (1991:335) also describes substitution as a process or result of replacing one item
by another at a particular place in a structure. He also believes that" a word which refers
back to a previously occurring element of structure (such as the pronoun 'he' in ' The man
came in'. He was cross) may be called a substitute word" (ibid).
Substitution represents the second type of grammatical consistency mechanisms in
Halliday and Hassan (Muhammad, 2006), and before it acquires textual normative
consistency set by de Beaugrand for the textuality of texts (2).
Substitution is one of the methods used in some texts by the two texts to contribute to
linking the parts of the text to each other, and their consistency. Other or another
installation site.
Halliday considered a good replacement paper as opposed to the referral, which is a
moral relationship located in the semantic level, that is, the difference between them in
the level (Azza, 2007). On the other hand, as it is achieved by means of linguistic forms
such as (pronouns, denoting nouns, and comparative words), as well as substitution,
although it is considered a phenomenon related to the grammatical and lexical level, but
it is also governed by moral semantic rules that contribute to the completeness and
consistency of the meaning (Muhammad, 2001), and this is proven by what Mentioned
by Dr. Ahmed Afifi said: ((When we talk about substitution, we must talk about semantic
continuity, that is, the presence of the replaced element in the subsequent sentence))
(Robert, 2007).
1.3.2. The Types of Substitution
Substitution is the replacement of a word or phrase with a “filler” word (such as one, so,
or do) to avoid repetation.
Substitution

Nominal Verbal Clausal

(one / ones) (do / so) (so / no

1.3.2.1. Nominal Substitution

Nominal substitution is the use of a substitute item to replace the Head noun of a
corresponding noun phrase. The noun that is presupposed is always a count noun; there is
no substitute form for mass noun. In English the following items can occur as nominal
substitutes:
(i) one(s)
(ii) (the) same
(i) one/ones as substitutes for a nominal group head:
Substitute one/ones always holds the position of Head in a nominal group and is always
used in place of a word which itself functions as Head of a nominal group. Substitute
one/ones can have their own new modifying elements, for example:
-‘I feel chilly,’ he said. ‘I didn't feel strong enough to walk to the next bench But this
one's not so comfortable.’
A: He's a useless doctor - completely useless
B: Why don't you get a new one?
(4 Taste of Murder by Suc Arengo)
-There are some new tennis balls in the bag. These ones 've lost the bounce.
-‘That proves you have a wicked heart; and you must pray to God change it: to give you
a new and a clean one: to take away your heart stone and give you a heart of flesh.’
(Jane Eyre by Charlotte Bronte)
The substitute one/ones is a marker of a grammatical relation since its presence in the
Head slot always implies that a particular noun functioning as Head of the nominal group
in the preceding discourse has been replaced and that the noun to fill this Head slot can
be found, usually, in the previous sentences. Therefore, most of the instances of the
substitute one/ones are anaphoric.
(ii) The same:
Unlike the substitute one(s) which can replace only the head noun the same can substitute
for the whole nominal group:
A: I'll have two poached eggs on toast, please.
B: I'll have the same.
(Halliday M.A.K & Hasan R., 1976)
The presupposed item of the same could also be an adjective:
A: John sounded rather regretful.
B: Yes, Mary sounded the same.
Here are some expressions with the same:
-Say the same (replaces the fact)
+ We can trust Smith. I wish I could say the same of his partner. (~that we can trust...)
-Think the same:
A: John thought it was impossible.
B: Yes, I thought the same. (~ that it was impossible)
(Halliday M.A.K & Hasan R., 1976)
-The same is true of/for:
Packaging groceries was unstimulating, to say the least. The same was true for my
unchallenging work at a machine in the factory. (~that it was unstimulating).
(Reading and Writing Short Essays by Morton A. Miller)
- The same applies to.../The same goes for...
A: His speech didn't say anything new, did it?
B: The same applies to most political speeches. (~that nothing new is said)
(Halliday M.A.K & Hasan R., 1976)
-Do the same:
The people left the train and began to look for They wanted to ride horses to Allahabad.
Fogg and Sir Francis did the same.
(Around the World in Eighty days by Jules Verne)
-Be/copula Vs + the same:
Charles is now an actor. Given half a chance I would have been the same.
A: These grapefruit smell more bitter than the last ones we had.
B: They taste the same.
(Halliday M.A.K & Hasan R., 1976)
 1.3.2.2. Verbal Substitution
Verbal substitution is expressed through:
(i) Do
(ii) Do so
(iii) Do it/ Do that
(i) Verbal substitute Do
Generally speaking, it can substitute for all kinds of verbs except auxiliaries ‘be’ and
‘have’ in the sense of 'possess', for example:
A: Does Granny look after you every day?
B: She cannot do at weekends because she has to go to her house.
A: Have they removed their furniture?
B: They've done the desk, but that's all so far.
(Halliday M.A.K & Hasan R., 1976)
- He got into his sleeping bag and stretched his hand out for the candle Whew,' he said,
I'm glad that's over, Thomas. I've been feeling awfully bad about it. It was only too
evident that he no longer did.
(The Quiet American by Graham Greene)
-“Perhaps I readjusted the time in my mind. Perhaps I'd corrected my watch that day. I
sometimes do.”
(The Quiet American by Graham Greene)
It should be noted that a finite operator followed by substitute do is never in the reduced
form. (* he'll do)
(ii) Do so
When combined with anaphoric so, do is salient and likely to carry the tonic. Do so is
more formal than do. Here are some examples:
- You did not shout to the stork at dinner yesterday! If you had done so, he would have
shown his other leg, too!
(333 Funny Stories from all four Corners of the World by Vu Dinh Phon
-"Jane, your little feet are bare; lie down and cover yourself with my quilt."
I did so: she put her arm over me.
(Jane Eyre by Charlotte Brontë)
Eddie bent over Levine's backpack, ran his fingers along the tears in the fabric. As he did
so, a large rat jumped out from the pack.
(The Lost World by Michael Crichton)
-Go and stand by the door, out of the way of the mirror and the windows.'
I did so, not at first aware what was his intention.
(Jane Eyre by Charlotte Brontë)
When the mood of the presupposing clause is interrogative or imperative, (only do so is
possible for the reason that do always caries prominence in such cases:
a. Haven't you done so?
Shall I call the doctor? b. When will you do so?
c. Please do so, as soon as possible.
As a substitute for non-finite verbs, do so is often more acceptable th substitute do:
-I finally called on him. To do so seemed only courteous.
(iii) Do that/ do it
Do that / do it is informal as compared with do so, for example:
-My master's going round the world. He says that he's doing it for a bet.
(Around the World in Eighty days by Jules Verne)
-‘Jim, darling,’ she cried, ‘don't look at me that way. I had my hair c off and sold it
because I couldn't have lived through Christmas witho giving you a present. It'll go out
again - you wouldn't mind, will you I just had to do it.’
(The Gift of the Magi by O' Henry)
-‘Go on’’, I said, ‘I'm in a quiet mood, that's all. Perhaps we'd better cancel that dinner’.
No, don't do that.
(The Quiet American by Graham Greene)
Structurally, while do so is not possible in the passive, do it / do that can be seen in this
voice:
I told someone to feed the cat. Has it been done?
Note also the difference between (do it) and (do so) in the following example:
- Bob's getting his house painted, and moreover, he wants me to do it.
- Bob's getting his house painted, and moreover, he wants me to do so
2.3.2.3. Clausal Substitution
Clausal substitution is expressed through so and not. Used as a clausal substitute, so
presupposes a whole clause, and it takes not as its negative equivalent:
'The man's wearing good clothes. Phileas Fogg said. "The newspapers say so.
The forecast says it's going to be hot tomorrow. If not, I shall stay at home and write
letters.
A: And you, professor- you won't tell anyone?
B: Of course not.
There are three environments in which clausal substitution takes place, namely
(i) report
(ii) condition
(iii) modality
(i) Substitution of reported clauses
Substitution of reported clauses happens when so/not follows such verbs as appear,
assume, believe, expect. fancy. guess, hope, imagine, presume. seem, suppose, think,
understand, fear, be afraid.
Here are some examples:
A: She didn't understand him a bit.
B: No, I guess not
A: Will she have to see the doctor again?
B: Yes. I expect so...
-And yet it seems so natural. After all you are my best friend.
It's kind of you to say so.
I would marry you if I could. Phuong
I think so, but my sister does not believe it.
(The Quiet American by Graham Greene)
(ii) Substitution of conditional clauses
Substitution of conditional clauses occurs when so / not is accompanied by if and
supposing:
-These were obviously quick, intelligent animals, yet they fought continuously. Was that
the way their social organisation had evolved? If so, it was a rare event.
(The Lost World by Michael Crichton)
-They had nothing to accuse him of but pride: pride he probably had and if not, it would
certainly be imputed by the inhabitants of a small market-town where the family did not
visit.
(Pride and Prejudice by Jane Austen)
(iii) Substitution of modalized clauses
Substitution of modalized clauses takes place when so/not is preceded by adverbs of
modality. There are two sets of modal adverbs:
(i) High degree of certainty: certainly, of course, absolutely, surely, definitely,
obviously....
(ii) Low degree of certainty: perhaps, maybe, possibly, probably, presumably...
Whereas the second set can go with so and not, the first set can be combined with only
not. Here are some examples:
-‘Mary,’ she grasped, ‘that painting looks exactly like you. Don't you tell me you've been
posing in the nude!’
Certainly not! Mary stammered, blushing
(333 Funny Stories from all four Corners of the World by Vu Dinh Phong)
1.4. Literature
1.4.1. The author
Enerst Hemingway was an American novelist and short-story writer, awarded the Nobel
Prize for Literature in 1954. He was noted both for the intense masculinity of his writing
and for his adventurous and widely publicized life. His succinct and lucid prose style
exerted a powerful influence on American and British fiction in the 20th century.
He was born on July 21, 1899, in suburban Oak Park, IL, to Dr. Clarence and Grace
Hemingway. Ernest was the second of six children to be raised in the quiet suburban
town. His father was a physician, and both parents were devout Christians. In this
context, Hemingway's childhood pursuits fostered the interests that would blossom into
literary achievements.
A consummately contradictory man, Hemingway achieved a fame surpassed by few, if
any, American authors of the 20th century. The virile nature of his writing, which
attempted to re-create the exact physical sensations he experienced in wartime, big-game
hunting, and bullfighting, in fact masked an aesthetic sensibility of great delicacy. He was
a celebrity long before he reached middle age, but his popularity continues to be
validated by serious critical opinion.
1.4.2. The work
The Old Man and The Sea centres on an old Cuban fisherman named Santiago, who has
not caught a fish for 84 days. The family of his apprentice, Manolin, has forced the boy to
leave the old fisherman, though Manolin continues to support him with food and bait.
Santiago is a mentor to the boy, who cherishes the old man and the life lessons he
imparts. Convinced that his luck must change, Santiago takes his skiff far out into the
deep waters of the Gulf Stream, where he soon hooks a giant marlin. With all his great
experience and strength, he struggles with the fish for three days, admiring its strength,
dignity, and faithfulness to its identity; its destiny is as true as Santiago’s as a fisherman.
He finally reels the marlin in and lashes it to his boat.
However, Santiago’s exhausting effort goes for naught. Sharks are drawn to the tethered
marlin, and, although Santiago manages to kill a few, the sharks eat the fish, leaving
behind only its skeleton. After returning to the harbour, the discouraged Santiago goes to
his home to sleep. In the meantime, others see the skeleton tied to his boat and are
amazed. A concerned Manolin is relieved to find Santiago alive, and the two agree to go
fishing together.