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Functional Grammar – An Introduction for the SFL Student
Maria Freddi
Chapter 1 – Grammar between text and context
The text-context connection
Language takes place in context. The meanings we construct in using language are strictly linked to both the cultural and situational context in which language is used. Language is a set of lexico-grammatical choices realizing certain meanings and being expressed through the phonic or graphic matter. This relation between meanings, the way they are worded and expressed with sounds/symbols constitutes the linguistic level. This level is embedded in a situation of use and in the culture that produced it. This graph seeks to represent the mapping of the three levels of analysis onto each other ( context , semantics and lexico-grammar ).
It represents the relation between text and context in more detail with the three variables of the context of situation ( Field , Tenor and Mode ), the three corresponding meanings ( Ideational , Interpersonal e Textual ) and the resources available in the grammar repertoire of English speakers to exchange those meanings ( transitivity , mood – modality – appraisal , thematic structure – cohesive devices ). 1) The context of culture Halliday claims that any evaluation of a text requires an interpretation also of its context ( 1994 ). So, in order to analyse language in use, a theory of grammar has to take into consideration also the context , both situational and cultural. The context of culture can be understood in terms of the beliefs, ideas and ideologies, worldviews and value systems that are constructed in language. The model puts together context, meaning and grammar realizations: we understand the meanings of sentences because we know lexis and grammatical structures and this makes it possible to communicate, even if sometimes interpretation is ambiguous; in the same way, we understand the meanings of speakers because we know something of the culture in which texts are embedded. 2) The context of situation In modern linguistics, context refers to the non-verbal environment and generally includes who’s talking to whom, when and where and how. Halliday derives his notion of the context of situation from the anthropologist Malinowski ( 1923 ): the situation in which words are uttered can never be passed over as irrelevant to the linguistic expression. According to Hallidayan linguistics , the context of situation can be described by three variables : Field ( campo d’azione ) : both the kind of social activity carried out and the topic or subject-matter. Answer the question: What’s going on? Tenor : the people involved in the language event, the more permanent ( social roles or statuses ) and more temporary ( discourse role ) relations established. Answer the question: Who’s taking part? Mode : the function accorded to the text and the rhetorical aim. Answer the question: How’s the language being used? The mode includes: Channel of communication : phonic (ex: face-to-face communication, radio, telephone, etc.) or graphic (ex: book, newspaper, written note, scientific article, etc.), or some combination of the two (ex. CD-ROM); Medium : degrees of spoken-ness / written-ness , whether the text is more lexically dense ( high incidence of lexical VS grammatical words ) and packaged (ex: nominalised strings ), or more lexico-grammatically intricate (in
Matthiessen and Halliday in 1997 observe that at this stage in the history of humankind, we need a richer theory of grammar to meet the challenges of the age of information. To the new needs of our society and new purposes of langyage use corresponds a new theory of language.
The Grammar-Meaning connection
The founder of the theory is Halliday ( 1994 ): Language is a semiotic system: meaning is creatd in language. “Functional” means that we are foregrounding the role of grammar as a resource of construing meaning. The claim that meaning is created in language hints at the pholosophical issue of the locus of meaning and the relation between language, meaning, thought and reality. The clam that grammar is considered a resource for making meaning entails that grammar equals meaning and vice versa. There is circularity between meanings and grammar in that meanings are realizes in and by the grammar, which means that they are accessible to speakers only via grammar and that grammar has an internal meaning creating role. So: Functional grammar focuses on language use; It is descriptive , more than prescriptive, in its examination of actual occurrence of spoken and written language and the context of their use; It aims at showing how meaning is made and understanding and interpreting texts.
Chapter 2 – Ways with words
The rank scale
The rank scale or the constituent structure of grammar is defined as the layered part- whole relationship that occurs among the units of grammar ( Halliday – 1994 ). Larger units are made up out of smaller units (sentences consists of clauses, which consist of groups of words, which, in their turn, consist of words, which, in their turn, of morphemes). A Text is a meaningful instance of language, a coherent whole that makes sense to someone that knows the language. It is indeterminate in length. It consists of one or more clause(s) : a group of words with at least one Verb/Verbal Group. Clauses can also have Noun / Nominal Groups ( NG ), Adjectival Groups , Adverbial Groups ( AG ) and Prepositional Phrases ( PP ). These are made up of at least one word. Words have both content (lexical) and function (grammatical): they are made up of at least one morpheme. Morphemes are the smallest distinctive unit of grammar having meaning. TEXT – CLAUSE – GROUP – WORD – MORPHEME The clause is the basic unit of analysis in this model and is considered to be representative of the text. Each clause can be broken down into groups and phrases. EXAMPLE : We at Kier recognise the importance in exectuing the construnction works here at 20 King Street, in a safe hazard free environment for both the general public and local business.
- We at Kier : 1 Nominal Group - recognise : 1 Verbal Group - the importance in exectuing the construnction works here at 20 King Street : 1 Nominal Group - in a safe hazard free environment : 1 Prepositional Phrase - for both the general public and local business : 1 Prepositional Phrase EXAMPLES OF VERBAL GROUP : - We recognised : Lexical Verb (or Predicator) + Finite [-ed, Simple Past] - We have recognised : Finite [have, present] + Lexical Verb + [-ed, Perfect] (or Predicator) - We should have recognised : Finite (should, Modal Auxiliary) + [have, Present]
- Lexical Verb + [-ed, Perfect] (or Predicator) EXAMPLES OF ADVERBIAL GROUPS : - They left the room quickly. - They seldom come to Italy. - They come to Italy very rarely. - They don’t come to Italy quite often enough for their tastes. Each group in its turn can be broken down into words. - We at Kier : 1 Nominal Group, 3 Words - recognise : 1 Verbal Group, 1 Word
Pre-Modification: Epithet and Classifier The noun can be modified to the left by various elements, particularly Deictics (both specific and non-specific), Demonstratives , Possessives , Epithets and Classifiers. EXAMPLES :
- A book : Non-Specific Deictic + Thing - The book : Specific Deictic + Thing - My book : Possessive + Thing - The two books : Specific Deictic + Numerative + Thing - The two most fascinating books : Deictic + Numerative + Epithet (subjective) + Thing - Those big reference books : Demonstrative + Epithet (objective) + Classifier + Thing Classifier + Thing structure is of particular importance in technical and scientific texts : adjectives, but also nouns and participles, often functions as classifiers. EXAMPLES : ecological problems , living organism , virtual-reality generator , quantum theory , information technology. Difference between : - A fascinating movie : Epithet (objective or subjective quality) - A De Niro movie : Classfier (= what kind/type?) Post-Modification : Qualifier The elements modifying the Noun to the right are called Qualifiers. These are often Prepositional Phrases or a clause providing additional defining or circumstantial information about the Thing. EXAMPLES : - Those Book with colourful pictures : Demonstrative + Thing + Qualifier - A Room [with a View] : Non-Specific Deictic + Thing + Qualifier (PP with Deictic + Thing) - Follow this street [around the corner] : Demonstrative + Thing + Qualifier (PP with Deictic + Thing) - The ticket man [at the train station] directed them to the platform : Specific Deictic + Classifier + Thing + Qualifier (PP with Deictic + Classifier + Thing) - People [[who have been involved in the accident]] have simply broken all the rules : Thing + Qualifier (ambedded defining relative clause) - The woman [at the reception desk] stood with folded arms : Specific-Deictic + Thing + Qualifier (PP with Deictic + Classifier + Thing) - The news [[(that) you gave me yesterday]] cheered me up : Specific-Deictic + Thing + Qualifier (ambedded defining relative clause) - A moving work [of great sensitivity] : Non-Specific Deictic + Epithet + Thing + Qualifier (PP with Thing) - At the time of her marriage, Mrs. Johnson was a young lady [of eighteen] : Non-Specific Deictic + Epithet + Thing + Qualifier (PP with (Deictic) + Thing)
Embedded PPs are in single square brackets ; embedded clauses are signalled by double square brackets.
Paradigmatic and Syntagmatic
Lexis and Grammar are inseparable : LEXCO-GRAMMAR Matthiessen and Halliday in 1997 say something about the distinction and dynamic relationship betwen these 2 axes: System and structure theorize the axes of organization in language, namely the paradigmatic or vertical axis and the syntagmatic or horizontal axis. System is a point of choice (Indicative VS Imperative within the Mood system, or Past VS Future within the Tense system), whereas structure is a sequence of combinatory possibilities , a sort of patterning. The concept of choice is fundamental in language: a paradigm is the list of options from which a speaker makes a choice. Each choice or selection the speaker makes ( vertical dimension ) contributes to the wording and thus affects the structure ( horizontal dimension ). Language is multifunctional : there is a range of semantic functional labels which reflect the fact that word classes do not express only the kind of meaning and can have more than one function. EXAMPLE : The duke (S) gave (V) my aunt (IO) this teapot (DO) > Both my aunt and this teapot are NGs, but their function within this clause is very different.
- My aunt is the Indirect Subject , expressing the Beneficiary of the action expressed by the Verb. - This teapot is the Direct Object , or Goal of the action. EXAMPLE : The duke (S) gave (V) this teapot (O) to my aunt (A) > The form has changed. - My aunt has become a PP ( to my aunt ), while the function is the same, that is Beneficiary of the action. According to Halliday , the duke is Subject in a threefold sense : 1) Grammatical Subject ( Subject ): that of which something is being predicated, having number and person agreement with the Verb. 2) Logical Subject ( Actor ): the doer of the action.
The communicative or speech functions are variously construed in the clause by means of grammatical choices made within the Mood system. There are at least 3 standard ways of make an offer. There is one particular component of the clause that is involved in the grammatical variation that occurs and that is essential for carrying the exchange between the speakers and hearers forward. This is called the Mood Block. The Mood Block It is made up of 2 parts, each of which has a particular semantic contribution to make to the clause: 1) Subject : the Grammatical Subject (that of which something is being predicated, having person and number agreement with the Verb). 2) Finite : the part of a Verbal Group which expresses
- Tense (Past, Present, Future) - by reference to the time of uttering, or Modality (Can, Could, Must, ecc…) - Polarity (Positive, Negative validity) Finiteness is expressed by a verbal operator, which is either temporal or modal. In some instances the finite element and the lexical verb are fused into a single word (for example: unmarked declarative simple past – She left her old job ). EXAMPLES : The duke gave that teapot to my aunt : Subject give + [Past] The forms of the verb Do ( does/doesn’t, did/didn’t, ecc…) function as Finite in interrogative, negative and contrastive clauses: EXAMPLES : Do you know Stella? – No, I don’t (know her). The Residue: Predicator, Complemet, Adjunct The other main component of the structure of Mood is the Residue, which consists of elements of three kinds: the Predicator , the Complement and the Adjunct. Predicator : the non-finite, the Verbal Group minus the Finite – the main temporal information or the modal operator. - The duke is drinking : Subject – Finite – Predicator Complement : the Object or Complement of many other grammars. It is the element that has the potential of being the Subject, but it is not. It is typically realized by a Nominal Group or an Adjectival Group. - The duke is drinking his cup of coffee : Subject – Finite – Predicator – Complement Adjunct : an element giving extra information about the other elements of the clause. It is typically realized by an AG or Prepositional Phrase. - The duke never drinks coffee in the evening : Subject – Finite + Predicator + Complement + Adjunct There are also elements outside the Mood and Residue structure:
Vocatives : Stella, can you get the dog out? Expletives : Get that bloody dog out! Conjunctions and Conjunctive Adjuncts : And don’t let the dog in again! The ordering of Subject and Finite shows whether information/goods and services are being given or asked for. What goes in the Mood Block is dictated by the mood type. The Mood Block has a clearly defined semantic function : it carries the burden of the clause as an interactive event ( Halliday - 1994 ). Examples of the clause as an interactive event are the dialogues between principals and the semi-improvised interactions between actors and audience. EXAMPLES of how the order of Subject and Finite can change the mood. INDICATIVE DECLARATIVE : Subject – Finite
- I (Subject) don’t (Finite) drink (Predicator) coffee (Complement) in the evening (Adjunct/Circumstantial) - I don’t = Mood Block – drink coffee in the evening = Residue INDICATIVE INTERROGATIVE – Yes/No question : Finite – Subject - Do (Finite) you (Subject) drink (Predicator) coffee (Complement) in the evening (Adjunct/Circumstantial)? - Do you = Mood Block – drink coffee in the evening? = Residue INDICATIVE INTERROGATIVE – Wh-question with Wh-element as Subject : Wh – Finite - Who (Subject) drank (Finite [-ed] + Predicator) my coffee (Complement) INDICATIVE INTERROGATIVE – Wh-question with Wh-element as Circumstance : Finite – Subject - Where (Adjunct/Circumstantial) did (Finite) I (Subject) put (Predicator) my coffee (Complement)? - Where (Residue) did I (Mood Glock) put my coffee (Residue)? INDICATIVE INTERROGATIVE – Wh-question with Wh-element as Complement : Finite – Subject - What (Complement) do (Finite) you (Subject) drink (Predicator)? - What (Residue) do you (Subject) drink (Residue)? The Modality System Modality can be defined as the grammatical resource by which speakers/writers communicate degrees of their opinions: it can be seen as the intermediate space between the positive and the negative poles, or, the various kinds of indeterminacy that fall in between.
Can also expresses Capacity or Ability , a category of Modality which doesn’t fit into either the Epistemic or Deontic type. SEMI-MODALS : need , dare. Are always Finite and always part of the Mood Block; Can have Subject – Finite numer agreeement; Form interrogatives with/without do :
- Do you need to do it? – Need you do it? Form negatives with/without do : - He doesn’t need to do it – He needn’t do it. SEMI-MODALS : have + to infinitive – used + to infinitive Are always Finite and always part of the Mood Block; Form interrogatives with/without do : - He didn’t use to go there. MODAL ADJUNCTS : Probability : probably , possibily , maybe , certainly , ecc… Usuality : usually , sometimes , never , ecc… Willingness : willingly , readily , gladly , ecc… Obligation : definetely , absolutely , ecc… Temporality : yet , still , once , already , ecc… Typicality : occasionally , generally , ecc… Those elements can function as Mood Adjuncts as they tend to occur within the Mood Block oh which they are part, between the Subject and the Finite. EXAMPLES : - I still haven’t found what I’m looking for. - He definitely won’t be there on time. The same Adjuncts, depending on the position they have and on the extension of their meaning, together with the intonation patterns with which they are uttered can also function as Comment Adjuncts , as in: - Definitely, he won’t come. Other examples of hem are: unfortunately , hopefully , surprisingly , of course , in my opinion , frankly , to be honest , apparently , no doubt , provisionally , ecc… Comment Adjuncts can be moved much more freely within the clause than Mood Adjuncts. They are typically positioned at the beginning , in the middle or at the end of the clause, and are separated from the rest by a comma, or commas. The main difference between these 2 types of Interpersonal Adjuncts is in the scope of their meaning : Mood Adjuncts are limited to the Verbal Group; Comment Adjuncts refer to the whole clause.
The Appraisal System (attitudinal lexis and lexical choices)
Appraisal Systems are defined by Martin ( 2000 ) as the lexico-grammatical resources used to express and negotiate emotions, judgements and evaluations , together with resources for amplifying and engaging with these evaluations. The most basic type of Appraisal is the indication of whether the speaker/writer thinks that something is good or bad. Appraisal Systems give us realization of interpersonal semantics : they have to do with how interlocutors feel, the judgements they make about others’ behaviour and the value they place in the various phenomena of their experience. They can be either explicit or implicit : It is explicit if there is a clear linguistic marker of the evaluation going on, if there is an element appraised , usually in the immediate vicinity of the appraisal, and as long as a specific appraiser is retrievable in the text. The major system of Appraisal is Attitude , which is broken down into: Affect , Judgement and Appreciation. Affect : as the resource for construing human emotions and the physical expressions that are evidence of such emotions, it is centrale to the other 2 sub-types. It is the common core from which the others derive. Judgement constructs evalutations of human behaviour expressing either social sanction or social esteem.
- It is so infair that she did that. - He is always frank in his dealings with his colleagues. - So, Liza Minelli and David Gest have split up. Such a bizarre, disfunctional union of freaks could only end one way: divorce. - You have worked determinedly to achieve what is now coming your way. - Vivienne Westwood and Jean-Paul Gautier were the first to show the newly empowered aggressive woman on their catwalks. Appreciation is the evaluation of objects and products according to the aesthetic principles or social value. - Clear definition , powerful arguments , beautiful vase , old-fashioned concept , incredible mess , profound implications , catastrophic policies , fun game , spectacular sunrise.
EXAMPLE :
- My sister made a delicious cake with white icing. - My sister with white icing made a delicious cake. Types of Processes : Material : of the external world; Mental : of the internal world; Relational : relating parts of experience. There are also other categories located at the boundaries, namely behavioural , verbal and existential. The Cover of Halliday ( 1994 ): MATERIAL PROCESS ( of doing ): doing ( to )/ acting , creating / changing , happening ( being created ). Actor : the one which perpetrates – is responsible for the action; Goal : the one to whom/which the Process is extended, to whom/which something is being done; Range : what specifies the scope of the doing. EXAMPLE :
I left :
- left : Verbal Group, Material Process (a doing confined to the doer of the action ) - I : Nominal Group, a Participant (the doer of the action functioning as Actor ) I left Cambridge. - left : Verbal Group, Material Process (a doing directed to a receiver of the action ) - I : Nominal Group, a Participant (the doer of the action functioning as Actor ) - Cambridge : Nominal Group, a Participant (the receiver of the action , functioning as Goal ) Since nothing is really done to the receiver of the action, namely the element Cambridge , it is more accurate to call it Range rather than Goal. I left Cambridge by car al 9.. - left : Verbal Group, Material Process (a doing directed to a receiver of the action ) - I : Nominal Group, a Participant (the doer of the action functioning as Actor ) - Cambridge : Nominal Group, a Participant ( Range ) - by car : Prepositional Phrase, a Circumstance of ( Manner ) Means - at 9.30 : Prepositional Phrase, a **Circumstance of Time The Grammar of Material Processes
- Transitive VS Intransitive clauses
- Participants: Actor and Goal
- Participants: Beneficiary and Range
- Tense
- Transitive VS Intransitive clauses** The Goal has been defined as the element to which the Process is extended, thus: clauses with Material Process and 1 Participant (the Actor ) are intransitive ; clauses with Material Process and 2 Participants ( Actor and Goal ) are transitive. In this way, Transitivity can be seen in terms of Extension VS Non-Extension of the Process. EXAMPLE : - The smoke rises from his cigarette : 1 Participant = Actor - You should raise your hands : 2 Participants = Actor and Goal EXAMPLES IN HALLIDAY (1994) – Transitive clauses: active into passive
- They have cancelled the show. - have cancelled : Material Process, active Verbal Group, transitive clause - They : Subject + Actor
The unmarked option for Material Processes is the Present Continuous ; The marked option is the Present Simple , signalling a general, habitual action. EXAMPLES :
- They are building a house – They build a house. - I am eating an apple – I eat an apple, to keep the doctor away. MENTAL PROCESSES ( of sensing ): seeing , feeling , thinking Senser : the one who senses, perceives, feels. This first Participant is always human / humanlike or personified , so it is credited with consciousness. Phenomenon : the thing or fact which is sensed, perceived, felt. It can be not only a person or a thing ( phenomenon of our experience ), but also a Fact (that is more of what is called a meta-phenomenon – something that is constructed as a sort of pre-packaged Participant) typically in the form of an embedded that- clause. EXAMPLES : Stella liked her new hairstyle. - liked : Mental Process - Stella : Senser - her new hairstyle : Phenomenon This computer doesn’t like me. - doesn’t like : Mental Process - this computer : Senser - me : **Phenomenon The Grammar of the Mental Process
- Participant: Senser
- Participant: Phenomenon
- Projection
- Tense
- Bidirectional Semantics
- Participant: Phenomenon** It can be not only a person or a thing ( phenomenon of our experience ), but also a Fact (that is more of what is called a meta-phenomenon – something that is constructed as a sort of pre-packaged Participant) typically in the form of an embedded that- clause. EXAMPLES FACT AS PHENOMENON : - He realized that ( the fact ) he had make a mistake ( the fact ). - He realized ( the fact ) that she had left. - ( The fact ) that she isn’t here worries me.
3. Projection Mental Processes can project what was traditionally known as Reported and Direct Speech. EXAMPLES : - Stella thought ( that ) it was a wonderful gift – that clause = Reported Speech - Stella thought to herself: “This is a wonderful gift” – quote = Direct Speech The different between Projection and embedded fact is that the latter is merely entering into the Process without being projected by it. 4. Tense The unmarked Present Tense for Mental Process is the Present Simple ; The marked option is the Present Continuous , signalling the inceptive meaning of the Process. EXAMPLES : - I don’t understand you – I am not understanding you very well ( inceptive – at the current time ) - I enjoy classical music – I am enjoying this music, it’s performed greatly. 5. Bidirectional Semantics Mental Processes can be realized in 2 directions: either the Senser or the Phenomenon can be grammatical Subject, still keeping the clause in the active voice. EXAMPLES : I admired the piano performance. - I : Subject + Senser - the piano performance : Object + Phenomenon The piano performance impressed me. - The performance : Subject + Phenomenon - I : Object + Senser In these 2 examples, the grammatical role within the Mood-Residue structure change, while the representational functions stay the same. Verbs of like type : like , enjoy , fear , wonder at , not understand , believe , admire , ecc… Verbs of please type : please , delight , frighten , amaze , puzzle , convince , impress , ecc… RELATIONAL PROCESSES ( of being ): having attribute , having identity , symbolizing. In this case, a relation is set up between two entities. There are three types of relation: Intensive , Possessive and Circumstantial. Each type can be either Attributive or Identifying. EXAMPLES :
