Systemic-Functional Grammar

李鸿蕊

M.A.K. Halliday has developed ideas stemming from Firth’s theories in the London School.

His systemic-functional grammar is a sociologically oriented functional linguistic approach and one of the most influential linguistic theories in the 20th century.

Systemic-Functional Linguistics has two components: Systemic Grammar and Functional Grammar.

Systemic GrammarSystemic grammar aims to explain the internal relations in language as a SYSTEM NETWORK, or MEANING POTENTIAL. And this network consists of subsystems from which language users make choices.系统语法的目标是要说明语言作为系统的内部底层关系，它是与意义相关联的可供人们不断选择的若干子系统组成的系统网络，又称 " 意义潜势 " 。 The notion of system is made a central explanatory principle, the whole of language being conceived as a “system of systems”. Halliday defines system as a system of potentials, a range of alternatives.

Systemic Grammar

The axis of chainSurface aspects of grammar, such as sentence structures, linguistic units, and their ranks (sentence, clause, group, word, and morpheme)

The axis of choice Meaning aspects of grammar

Axis of choice (paradigmatic)

Axis of Chain (syntagmatic)

The system of a language is made up of many systems. On a general level, there is the Chain System and the Choice System.

person

First person

Second person

Third person

numbersingular

plural

He eats the apple. All systems have three essential characteristics:1. The terms in a system are mutually exclusive;2. A system is finite

3. The meaning of each term in a system depend on the meaning of other terms in the same system.

Entry conditions:

Terms or options

Functional Grammar

Three metafunctions

ideational function: language construes human experience

interpersonal function: language enacts human relationships

textual function: language creates discourse

Ideational function

The ideational function is to express our experiences of both the physical world and mental world.

The ideational function mainly consists of “transitivity” and “voice”.

Transitivity

Transitivity is a grammatical system.

It “specifies the different types of process that are recognized in the language, and the structures by which they are expressed”.

The basic semantic framework for the representation of process consists of three components: (1) the process itself, (2) participants in the process, and (3)circumstances associated with the process.

及物性是以交待各种过程及其有关的参与者和环境成分来反映语言的概念功能。

ProcessIn English, we make choices between different types of process, participants, circumstances, roles, and members. They are known collectively as the transitivity choices. We first divided the choices into six kinds:

Transitivity

Material process (John kicked the ball)

Mental process (John likes Mary)

Relational Process (John is on the sofa)Behavioural process (John laughed)Verbal process (John said it is cold in the room)

Existential process (There is a cat on the sofa)

Process

1. Material processes: Processes of doing

Material processes are processes of doing. Such a process is expressed by an action verb (e.g. beat 、 break 、 kick), an actor (logical subject) and the goal of the action (logical direct object, usually a noun or a pronoun). Actor and Goal correspond to Agent and Patient. For example:

My brother broke the window. (Actor-Process-Goal)

The girl smiles. (Actor-Process)

Process

2. Mental Processes: Processes of sensing

Two participants: Senser and Phenomenon.

Senser: the conscious being that is feeling, thinking, or seeing.

Phenomenon: what is “sensed” – felt, thought, seen. Three principal subtypes:

(1) perception (seeing, hearing, etc),

(2) affection (liking, fearing, etc),

(3) cognition (thinking, knowing, etc)

e.g. Mary liked the gift. (Senser-Process-Phenomenon)

The gift pleased Mary. (Phenomenon-Process-Senser)

Process

3. Relational Processes: Processes of Being

Two types: the Attributive and the Identifying. ( 修饰型 / 认同型 )

• Attributive process expresses what attributes a certain object has, or what type it belongs to. (Carrier-Process-Attribute)

• Identifying process expresses the identical properties of two entities. (Identified-Process-Identifier)

participant reversible

attributive only one (carrier) No

identifying two Yes

Mary is wise.

* Wise is Mary.

Tom is the leader.

The leader is Tom.

3. Relational Processes: Processes of Being

Halliday points out that in any identifying clause, there is a Token (the more specific category) and a Value (the more general category).

e.g. John is the monitor.

Identified Process Identifier

Token Value

Process

These two relations can be further classified into the Intensive (χ is a ), Circumstantial (χ is at a), and Possessive (χ has a).

Mode

type

attributive identifying

(1)Intensive

（集约的）

(2)Circumstantial

( 环境的）

(3)Posessive

( 属有的）

Sara is wise.

The fair is on a Tuesday.

Peter has a piano.

Tom is the leader; the leader is Tom.

Tomorrow is the 10th; the 10th is tomorrow.

The piano is Peter’s; Peter’s is the piano.

Process4. Verbal Processes: Processes of Saying

• Verbal processes are those of exchanging information.

• Commonly used verbs: “say”, “tell”, “talk”, “praise”, “describe”, etc.

• Participant: Sayer, Receiver, and Verbiage (the verbalization itself or the content of message).

He said that. (Sayer-Process-Verbiage)

The notices tells you to keep quite. (Sayer-Process-Verbiage)

She asked me some questions. (Sayer-Process-Verbiage)

Process

5. Behavioral Processes: Processes of Behaving

• Behavioral processes refer to physiological and psychological activities such as breathing, coughing, dreaming, and crying, etc.

• Generally only one participant — the Behaver (often a human) is involved in these processes.

The girl laughed heartily.

(Behaver- Process-Circumstantial)

He sighed deeply.

(Behaver-Process-Circumstantial)

Process

6. Existential Processes:

Processes of Existing or Happening

It is usually realized by there-construction.

Existent ： an event, an object or a human being.

There was a storm.

(Process-Existent)

On the wall there hangs a picture.

(Circumstance- Process-Existent)

Process Types Category Meaning Participants

Material: Action

Event

Doing: Doing,

happening

Actor, Goal

Behavioural Behaving Behaver

Mental: Perception

Affection, Cognition

Sensing: seeing

feeling, thinking

Senser, Phenomenon

Verbal saying Sayer, receiver,verbiage

Relational:

Attribution

Identification

Being:

attributing

identifying

Carrier, Attribute, Identifier, Identified, Token, Value

Existential existing Existent

Participants

1. Beneficiary

The beneficiary is the one to whom or for whom the process is said to take place. It appears in material and verbal processes, and sometimes in relational processes.

e.g. He gave her a book.

(Actor Process Beneficiary Goal)

He bought a present for her.

(Actor Process Goal Beneficiary)

Participants2. Range

The Range is the element that specifies the range or scope of the process.

It may occur in material, behavioural, mental, and verbal process.

He climbed the mountain.

They moved the mountain.

material process

(range)

(goal)

mental process

He likes it. (it specifies the domain of one’s liking)

Participants

2. Range

Verbal process: the range element expresses the class, quality, or quantity of what is said.

She speaks German. (class)

He asked a difficult question. (quality)

He made a log speech. (quantity)

Circumstances

Extent and Location

Manner (Means, Quality and Comparison)

Cause (Reason, Purpose and Behalf)

Accompaniment

Matter

Role

1. Extent and Location

Extent is related with the notion of distance and duration (a stretch, a period) whereas Location is related with the notion of place and time (a spot, a point). Both of them can express spatial and temporal meanings.

He walked two miles. (Extent: spatial)

He stayed for two weeks. (Extent: temporal)

He studied in the classroom. (Location: spatial)

He gets up at six o’clock. (Location: temporal)

2. Manner

Manner consists of three subcategories: Means, Quality, Comparison.

(1a) The pig was beaten with the stick.(1b) She beat the pig with the stick.

(2a) The pig was beaten by a stick.(2b) The stick beat the pig.

Means refers to the means or instruments whereby a process takes place.

instrument

actor, agent

2. Manner

Quality represents various meanings such as degree.

e.g. It puzzled him too much.

Comparison represents the meaning of similarity or difference. It is typically expressed by a prepositional phrase with like or unlike.

e.g. He worked like a slave.

He signed his name differently.

3. Cause

Three subcategories: Reason, Purpose, and Behalf.

Behalf represents entity, “on whose behalf or for whose sake the action is undertaken”.

He died of starvation. (Cause: Reason)

Let’s go for a walk. (Cause: Purpose)

He put in a word on John’s behalf. (Cause: Behalf)

Reason represents the reason for which a process takes place.

Purpose represents the purpose for which a process takes place.

4. Accompaniment

This semantic element represents the meanings and (positive accompaniment), not (negative accompaniment) as circumstantials. It is expressed by prepositions or prepositional phrase, e.g. with, without, instead of.

e.g. He came with/without her.

He came instead of her.

He set out with/without his umbrella.

5.Matter

This element corresponds to the interrogative “what about?” and is expressed by prepositions or prepositional phrase, e.g. about, concerning, with reference to.

e.g. I worry about her health.

They are talking about the weather.

6. Role

The element corresponds to the interrogative “what is?” and is expressed by prepositions and prepositional phrase, e.g. as, by way of.

e.g. I came here as a friend.

They leave the place untidy by way of protest.

Voice在功能语法中，语态交待某一过程首先与哪一个参与者建立联系。Traditional grammar:

Voice: active vs. passive

Functional grammar:

Voice Middle 中动语态

non-middle 非中动语态

active

passive

middle voice: only one participant involved

The glass broke.

The baby stood up.

non-middle voice: two participants or more

She gave me this book.

The landlady won’t sell.

active: They have sold all the tickets. (actor)

passive: All the tickets have been sold by them. (goal)

He rose to speak, and was listened to with enthusiasm by the great crowd present.

Interpersonal function

The interpersonal function embodies all uses of language to express social and personal relations. This includes the various ways the speaker enters a speech situation and performs a speech act.

语言可以用来与他人进行交往， 建立和保持人际关系。语言还具有表达说话者的身份，地位，态度，动机，及其对事物的推断，判断和评价等功能。

This function is realized by mood and modality.

Speech roles and functions

Role in exchange

Commodity exchanged

Goods & services information

giving Offer

I will show you the way.

Statement

We’re nearly there.

demanding Command

Give me your hand.

Question

Is this the place?

Mood

A: The duke’s given away that teapot, hasn’t he?B: Oh, has he?A: Yes, he has.B: No, he hasn’t!A: I wish he had.B: He hasn’t, but he will.A: Will he?B: He might.

Mood: Subject + Finite.Residue: Predicator, Complement & Adjunct

The boy will never write the report. Subject finite adjunct predicator complement

Declarative vs. InterrogativeGrammar can confuse students.

subject finite predicator complement

Mood Residue

Can we find a solution?

finite subject predicator complement

Mood Residue

Imperative

(Do) Think about it!

finite No subject predicator complement

Mood Residue

modality

Modality specifies if the speaker is expressing his judgment or making a prediction.

情态指的是说话者对自己所讲的命题的成功性和有效性的判断。 Modalization: (information) 从可能性或经常性角度来看信息的可靠

性Probability: 可能性阶 （ possible, probable, certain)

Usuality: 经常性阶 （ sometimes, usually, always)

1. 限定性情态动词 That will be John.

2. 表示概率或频率的情态副词 That’s probably John.

3. 两者并用 That will probably John.

Modulation: （ Goods & Service ）在命令中，涉及听话者执行某一行为的职责和义务

Obligation: 责任阶 （ allowed, supposed, required)

在提供中，关系到说话者实施某一行为的倾向和意愿Inclination: 倾向性阶 （ willing, anxious, determined)

1. 限定性情态动词 You should take it.

2. 被动词组 You are supposed to know that.

3. 形容词 I am anxious to help him.

The textual metafunction

"The textual metafunction creates discourse"

The textual function refers to the fact that language has mechanisms to make any stretch of spoken or written discourse into a coherent and unified text and make a living passage different from a random list of sentences.

Theme vs. Rheme

Cohesion

Theme vs. RhemeTheme

the starting point of the message.

first constituent in the clause

Simple theme ( 单项主位：只包括表示概念意义的成分）

The boy

In a small house near the beach

Give that teapot away

gave the teacher his homework.

a woman stood out in the rain.

if you don’t like it

Theme Rheme

Multiple Themes（复项主位：除了概念意义，还包括表示语篇意义和人际意义的成分）

Well,

But

Certainly

surely

Sanity

the course

is a precarious state.

starts tomorrow.

Textual Interpersonal Experiential

THEME RHEME

Theme Choice in the Non-Declarative

Wh-Questions• What happened to her?

Yes/No Questions• Did he tell you where I was?

Imperative• Don’t cry about it.• Have a cup of tea.• Let’s have a look at this recipe

Exclamative• What a nice plant you’ve got!• How nice Helen is!

Unmarked (Theme = Subject): a. The two Indians stood waiting. b. The Indian who was rowing them was working very

hard. c. But I will have some photographs taken. d. There was no need of that.

Marked (Theme ≠Subject):

a. Across the bay they found the other boat.

b. In February 1979 he was awarded the George Cross posthumously.

c. And when you get down there you find he hasn’t actually got any.

d. That I don’t know.

Unmarked vs. Marked

Cohesion

Grammatical cohesion: reference, ellipsis, substitution, conjunction.

Lexical cohesion: repetition, synonymy/ antonymy, hyponymy/meronymy, collocation

1. Reference:

( 人称代词，指示代词，比较词语如 more, other 等）John works in the Department of English. He

teaches linguistics.

John has passed the exam. This is what I have been told.

This is no good. I’d like to have the other one.

2. Ellipsis ( 省略交际双方可根据上下文填补的成分 )

My father planned and my brother built all these houses.

How old are you, boy? —— Seven, sir.

Substitution ( 用一个简单成分替代另一个成分） Has John passed the exam?

—— I think so.

I have lost my watch.

—— Get a new one.

Conjunction ( 通过连接成分体现语篇中各种逻辑关系，如 and, but, because, therefore, however)

Repetition

Gentlemen may cry peace, peace — but there’s no peace.

The journey which has brought me to Peking has been a very long one. Long when measured in miles. Long when measured in time.

synonymy/ antonymy

Everyone cheered. The leader acknowledge the applause.

He fell asleep. What woke him was a loud crash.

hyponymy/meronymy

After an hour or so— the sun was rapidly sinking, the white clouds had turned red, the hills were violet, the woods purple, the valleys black.

A big tree with a thick trunk and outspread branches was nearby.

Collocation

Shake your chains to earth like dew

which in sleep have fallen on you!