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Christian Matthiessen. 1995. Lexico-grammatical cartography:
English systems. Tokyo: International Language Sciences
Publishers.
Address: International Language Sciences Publishers, Series
Editor: Fred C.C. Peng, Mitaka PO Box 26, Mitaka-shi, Tokyo 181,
Japan.
Preface
This book is intended as a survey of the major regions of the
'meaning-making' space of English grammar: such a survey needs a
map - hence the notion that grammatical theory can serve as a
theory for drawing the map (or indeed, maps reflecting different
projections). Although the notion of grammar is often taken for
granted, we have to recognize that the question of what
constitutes grammar is determined by the theory used to explore
it. The first step in approaching the grammar of English or any
language is thus to decide how it is to be construed. There are
two major alternatives here. We can try to understand grammar as
a resource for expressing and making meanings - as a subsystem in
language seen as a meaning potential; or we can see it as a rule
system - as a subsystem in language seen as a rule system. The
latter conception underlies the various types of formal grammar
(phrase structure grammar with expansions and reinterpretations)
that have been developed in the last thirty years or so. The
former is associated with functional theories of grammar and it
is the perspective that will be explored here by means of a
particular functional theory of grammar, systemic-functional
theory developed by M.A.K. Halliday and other systemic linguists.
The difference between the two interpretations of grammar is
fundamental; they foreground different aspects of grammar as the
base upon which the system of grammar is built - for some
comparison, see Section 1.10 below.
As a resource, grammar is organized as a large set of
inter-related options - the alternative strategies available to
the language user for expressing and making meanings. These
options are realized (expressed) by means of structural
specifications and grammatical and lexical items. Grammatical
structure is thus not an end in itself but has evolved to serve
to express complex combinations of options (and this can be seen
very clearly in a developmental perspective when we explore how
children learn how to mean). The grammatical options are
meaningful so a description of them shows what a speaker can
mean, using the grammar. The grammar construed in this way is
represented by means of the system network of systemic-functional
theory. I will show how this works in some detail below.
The interpretation of English is based on Halliday's work and
this document is intended to be read together with his (1985/
1994) Introduction to Functional Grammar (IFG) as a companion
volume. IFG focuses on grammatical structures - more specifically
function structures, but the principle underlying the
organization of the grammar is choice - the grammar as resource
for wording meanings. It is also intended as a descriptive
companion volume to Matthiessen & Halliday (forthcoming),
where the focus is on systemic theory (including grammatical
theory). Only the first part of the present work is theoretical
is concerned directly with theory; the remainder presents a
realization of theory in the interpretation of English. Finally,
it complements Martin (1992) stratally - whereas the present book
focuses on lexicogrammar, Martin's book, English Text,
focuses the higher stratum of (discourse) semantics.
This book is a survey of the lexicogrammatical resources of
English. It is organized around the system itself, not around
arguments about alternative interpretations of the system. There
is certainly plenty of evidence for the interpretation adopted
here (and in IFG); but weighing this evidence in the form of
serious, explicit argumentation would take up the space of
another book and would require another type of organization. A
book illustrating systemic argumentation and comparing
alternative interpretations is being prepared - but it is another
kind of book. Naturally, the present work can be criticized for
not engaging in long arguments about alternative interpretations
- but a serious, considered response can only be another type of
book, the book being prepared. The present book uses the system
of English grammar as its organizing principle; a book exploring
alternative interpretations in depth would have to follow quite a
different basic principle of organization. For any phenomenon
being interpreted, it would have to shunt constantly along the
various dimensions of the grammatical system such as axis
(paradigmatic vs. syntagmatic), metafunction (ideational: logical
/ experiential vs. interpersonal vs. textual), and rank (clause
vs. group/phrase vs. word vs. morpheme) to identify alternative
possible interpretive locations within the overall system and to
bring out evidence from various angle along these dimensions.
Systemic argumentation can thus never be local to some particular
area of the grammar; it has to be global relative to the overall
system of grammar in its stratal environment - global in the
sense that all the implications of an interpretation of
particular phenomenon have to be followed up along the dimension
through which the interpretation relates it to other phenomena.
Matthiessen (in press) illustrates this principle with respect to
TENSE in English. It is also worth emphasizing that arguments
about the interpretation of any linguistic phenomenon in the
present framework can be derived from its location in the overall
system.
Grammar is really shorthand for lexicogrammar, the unified
resource of grammar and lexis (vocabulary). It becomes possible
to see this unity when both grammar and lexis are interpreted as
resources and the network of options that make up the resources
is represented: grammatical options tend to be more general and
lexical ones more delicate. That is, lexis is the more delicate
part of lexicogrammar (just as lexical semantics is the more
delicate part of semantics and grammatical semantics is the more
general, less delicate part). Grammatical options are realized by
means of grammatical structure and grammatical items (such as the,
and, who ), whereas lexical choices are realized by
lexical items (such as admire, impress, symbol, brand
); but there is no clear boundary here: grammatical structures
have lexical implications and lexical items go together lexically
(collocate) in particular grammatical structures. And when we
look across languages, we find considerable fluidity between
lexis and grammar in various domains such as time. The
traditional view handed down to us according to which grammar and
dictionary are 'separate books' thus has to be questioned. In
fact, the dictionary is a way of compiling information about
lexis in lexicogrammar - it is one way of viewing the resources
of lexis; it's a list of the items that realize lexical choices,
but that's all. I will give some indication of lexical
organization in relation to grammatical organization in Chapter
4.
In this book, I will survey the grammar of English in terms of
the system network - that will be the primary cartographic tool.
I will organize this survey in such a way that the presentation
of the grammar can also serve as a brief reference source. To
this end, I will provide a map of the system network in Chapter 2
and then follow the map systematically in Chapters 3 through 7.
In Chapter 1, I will present the aspects of systemic-functional
theory needed in the rest of the discussion. In Chapter 2, I will
give an overview of the whole map of the lexicogrammar. The
remaining chapters are devoted to the major domains. Chapters 3,
4, 5, and 6 deals with clauses, both complex clauses and simple
ones, and Chapter 7 deals with groups and phrases.
Chapter 1: Preliminaries: notes on systemic-functional theory
1.1 Stratification 1
1.2 The level of lexicogrammar 8
1.2.1 Distribution of lexicogrammar according to rank and
metafunction 8
1.2.2 Paradigmatic and syntagmatic organization 9
1.3 Metafunctional diversification 13
1.4 'Alongside' the system network: realization statements 15
1.5 'Above' the system network: semantic considerations 21
1.5.1 Multifunctionality of semantics 22
1.5.2 Basic semantic unit: text 23
1.5.3 Grammatical metaphor 25
1.6 Beyond the linguistic system: context 26
1.6.1 Functional diversification of context 27
1.6.2 The metafunctional correspondence between context and
language 29
1.6.3 Context and instantiation 30
1.6.4 Register 32
1.6.5 Other kinds of variation 34
1.7 Semogenesis 36
1.7.1 Instantiation and logogenesis 36
1.7.2 Logogenesis, ontogenesis and phylogenesis 38
1.7.3 Grammaticization 38
1.8 Approaches to text organization 40
1.8.1 Generic Structure Potential 40
1.8.2 Rhetorical Structure Theory 43
1.8.2.1 Rhetorical organization of text 43
1.8.2.2 An example 43
1.8.2.3 Characterization of rhetorical relations 44
1.9 English and other languages 45
1.10 Systemic functional theory and other theories 48
1.10.1 Language as resource, language as rule 49
1.10.2 Summary of Systemic Functional Grammar 51
1.10.3 Characterizing formal grammar 52
1.10.4 Repercussions outside grammar 53
Chapter 2: Overview of the grammar
2.1. Overview 55
2.2. Rank, basic classes and the root of the system network 57
2.2.1 The organization of the grammar by rank 57
2.2.2 Rank: clauses 59
2.2.3 Rank: groups/ phrases 60
2.2.4 Rank: words 63
2.3. Metafunction: functional components in the matrix 64
2.3.1 Metafunction and functional region 65
2.3.2 The metafunction-rank map 67
2.3.3 Experiential resources 67
2.3.4 Logical resources 69
2.3.5 Interpersonal resources 71
2.3.6 Textual resources 72
2.3.7 Relationship to Halliday's Introduction to Functional
Grammar 74
2.4. Extensions of the grammatical potential 75
2.4.1 Extensions by rankshift and transcategorization 75
2.4.1.1 Rankshift 75
2.4.1.2 Transcategorization 77
2.4.2 Metaphorical extensions 77
2.4.3 Textual considerations 80
2.4.4 Lexis in lexicogrammar 82
2.4.4.1 Lexis and rank 84
2.4.4.2 Lexis and metafunction 84
2.4.4.4 Textual lexis combined with ideational lexis 87
2.5. The grammatical system mapped out and analysis and
alternative interpretations 89
Chapter 3: Clauses and clause complexes
3.1. Location of clauses in overall system 92
3.2. Clauses - logical resources: CLAUSE COMPLEXITY 97
3.2.1 The two primary systems 97
3.2.2 Systemic recursion in clause complexing 105
3.2.3 Types of PROJECTION and EXPANSION 106
3.2.4 Systemic probabilities 114
3.2.5 Textual considerations 115
3.2.5.1 Relative ordering and thematic significance 116
3.2.5.2 THEME PREDICATION in hypotactic clause complexes 118
3.2.5.3 ELLIPSIS/ SUBSTITUTION in clause complexes 119
3.2.6 Semantics considerations: sequences and rhetoric 121
3.2.6.1 Sequences 121
3.2.6.2 Rhetorical organization 127
3.2.7 Complexing at lower ranks 131
3.2.8 Typological outlook 133
3.2.8.1 Two types of clause complexing 134
3.2.8.2 Division of labour 135
3.2.9 Clause-complexing in discourse 136
Text (1): Planning 136
Text (2): Reasoning: Neighbour's baby 137
Text (3): Tests 138
Text (4): Dachshund text 139
Text (5): Procedure: Recipe 140
Text (6): Narrative: Benjamin goes to hospital 140
Text (7): News report 140
Text (8): Persuasion 141
Chapter 4: Clauses - simple: experiential
4.0 Survey of simple clauses 142
4.1 Introduction to experiential resources 148
4.1.1 Decomposition and configuration 148
4.1.2 Classification and models 153
4.2 General organization: experiential regions 155
4.3 'Nuclear' TRANSITIVITY: PROCESS TYPE and AGENCY 156
4.4 The major process types 161
4.5 Topological agnation across PROCESS TYPE 168
4.6 AGENCY in particular 174
4.7 PROCESS TYPE: material 179
4.7.1 Material grammar 179
4.7.2 Towards material lexis 187
4.7.2.1 Survey of subtypes 187
4.7.2.2 Behavioural processes 192
4.7.2.3 Collocational patterns in material clauses 193
4.8 PROCESS TYPE: mental 195
4.8.1 Mental grammar 195
4.8.2 Towards mental lexis 207
4.8.2.1 Survey of mental lexis 207
4.8.2.2 SENSING: perceptive 209
4.8.2.3 SENSING: cognitive 211
4.8.2.4 SENSING: emotive 212
4.8.2.5 Collocational patterning in cognitive and emotive clauses
214
4.9 PROCESS TYPE: verbal 216
4.9.1 Verbal grammar 216
4.9.1.1 VERBALIZATION 217
4.9.1.2 ADDRESS 223
4.9.2 Towards verbal lexis 225
4.9.2.1 Lexical spread in verbal clauses 225
4.9.2.2 Collocational patterns in verbal clauses 226
4.10 PROCESS TYPE: relational 227
4.10.1 General relational grammar 227
4.10.2 Typological outlook 246
4.10.3 Towards relational lexis 247
4.10.3.1 Survey of relational lexis 247
4.10.3.2 Ascriptive intensive relational processes in particular
249
4.10.3.3 Collocational patterns in relational clauses 251
4.11 'Circumstantial' TRANSITIVITY 251
4.11.1 Circumstances and participants 252
4.11.2 Circumstantial systems 255
4.11.2.1 'Projecting' circumstances 257
4.11.2.2 'Expanding' circumstances 259
(i) 'Enhancing' circumstances 259
(ii) Extending circumstances 263
(iii) Elaborating circumstances 264
4.11.3 Circumstance and PROCESS TYPE 265
4.11.4 Process with circumstantial relation 265
4.11.5 Process 'incorporating' generalized circumstance 268
4.12 Semantic considerations 268
4.13 Transitivity selections in discourse 277
Text (1): Recipe 277
Text (2): Guide book 277
Text (3): Narrative: Benjamin goes to hospital 277
Text (4): News article: Disco boat disaster 278
Text (5): Extract from C. S. Peirce, Logic as semiotic: the
theory of signs 278
4.14 Typological outlook on TRANSITIVITY 280
4.14.1 Construing ideationally - two modes 280
4.14.2 Participant / process complementarity 282
4.14.2.1 Complementarity of participant and process 282
4.14.2.2 Complementarity in location of marking of transitivity
roles 284
4.14.2.3 Degree of differentiation and separation of participants
and process 287
(i) Meteorological processes 287
(ii) Less clearly established types of participant - Range 287
(iii)Variability in separateness of tokens of participant types
289
4.14.3 Further participants 291
Chapter 5: Clauses - simple: interpersonal
5.0 Clauses - interpersonal resources 293
5.1 INTERPERSONAL STATUS: free clauses - MOOD systems 301
5.1.1 MOOD systems 301
5.1.1.1 The most general MOOD systems 303
5.1.1.2 MOOD selection in discourse 310
Text (1): extract from natural conversation 311
Text (2): Extract from dramatic dialogue 311
Text (3): Extract from Pinter's Birthday Party 313
5.1.1.3 Indicative clauses 317
5.1.1.4 Imperative clauses 327
5.1.1.5 Indicative and imperative clauses: MOOD TAG 330
5.1.1.6 Minor clauses 336
5.1.2 Semantic considerations: SPEECH FUNCTION and exchange 337
5.1.2.1 Moves selecting for SPEECH FUNCTION 337
5.1.2.2 Speech functional metaphors 340
5.1.2.3 Exchanges 344
5.1.3 A note on MOOD and KEY 349
5.1.4 Typological outlook: MOOD across languages 358
5.2 INTERPERSONAL STATUS: bound clauses 362
5.2.1 Systems in bound clauses 362
5.2.2 Semantic considerations: projected propositions &
proposals 368
5.3 POLARITY 370
5.3.1 POLARITY systems 370
5.3.2 POLARITY and MOOD 376
5.3.3 Semantic considerations 378
5.3.4 Typological outlook on POLARITY 379
5.4 MODAL ASSESSMENT 380
5.4.1 Range of modal assessments 380
5.4.2 System of MODAL ASSESSMENT 382
5.4.3 MODAL ASSESSMENT and MOOD 384
5.4.4 Modal assessment in discourse 385
5.5 MODALITY 386
5.5.1 Systems of MODALITY 386
5.5.2 Modality selections in discourse 393
Text (1): extract from Shaw's Too True to be Good 393
Text (2): Interview 394
Text (3): Persuasive written text 395
5.5.3 Semantic considerations 395
5.6 VOCATION 396
Chapter 6: Clauses - simple: textual
6.0 Clauses - textual resources 397
6.1 CONJUNCTION 401
6.1.1 CONJUNCTION systems 402
6.1.1.1 Type of expansion 402
6.1.1.2 Internal vs. external orientation 405
6.1.1.3 Relative ordering of Conjunctive 406
6.1.2 CONJUNCTION in discourse 407
Text (1a): Recipe 407
Text (1b): Recipe 407
Text (1c): Recipe 407
Text (2): Argumentative exposition 408
Text (3): Entry 408
6.1.3 Semantic considerations: relations in text 409
6.2 THEME 411
6.2.1 THEME systems 414
6.2.1.1 Textual and interpersonal THEME systems 414
6.2.1.2 Survey of ideational THEME systems 417
6.2.1.3 Ideational THEME systems: THEME MATTER 425
6.2.1.4 Ideational THEME systems: THEME PREDICATION 429
6.2.1.5 Ideational THEME systems: THEME SUBSTITUTION 436
6.2.1.6 Ideational THEME systems: THEME IDENTIFICATION 438
6.2.1.7 Ideational THEME systems: selection from outside clause
439
6.2.2 Realization of Theme - its internal characteristics 440
6.2.3 THEME selections in discourse 442
Text (1): narrative - Benjamin goes to hospital 442
Text (2): Extract from guidebook 443
Text (3): Factual report - Tyrannosaurus 445
Text (4): Persuasion 446
Text (5) Instruction - recipe 446
Text (6) News report 446
6.2.4 Semantic considerations: method of development etc. 446
6.2.4.1 Contextualization based on the method of development 447
6.2.4.2 Contextualization not based on method of development 456
6.2.5 Typological outlook on THEME 456
6.3 VOICE 459
6.3.1 VOICE systems 459
6.3.2 VOICE selections in discourse 462
6.3.3 Semantic considerations 463
6.4 CULMINATION 467
6.4.1 CULMINATION systems 467
6.4.2 Semantic considerations 469
6.5 INFORMATION in spoken English 469
6.6 ELLIPSIS/ SUBSTITUTION 472
6.7 Clauses - unification of metafunctional strands 478
Chapter7: Groups/ phrases
7.0 Introduction to groups/ phrases 483
7.0.1 The location of groups/ phrases in the overall system 483
7.0.2 Prepositional phrase vs. (adverbial) group 488
7.1 Phrases: prepositional 489
7.1.1 Complex prepositional phrases 489
7.1.2 Simple prepositional phrases 491
7.1.2.1 Experiential resources 492
7.1.2.2 Interpersonal resources 495
7.1.2.3 Textual resources 496
7.1.2.4 Typological outlook 497
7.2 Groups 498
7.3 Groups: nominal groups 503
7.3.1 Logical resources for COMPLEXING 503
7.3.2 Simple nominal groups 505
7.3.3 Ideational resources - naming things and qualities 510
7.3.3.1 General ideational systems 511
7.3.3.1.1 SELECTION systems 511
7.3.3.1.2 INDIVIDUATION 512
7.3.3.1.3 NOMINALITY 513
7.3.3.2 Logical perspective: generalized MODIFICATION 514
7.3.3.3 Experiential perspective: domains of experience 515
7.3.3.3 .1 CLASSIFICATION systems 517
7.3.3.3.2 EPITHESIS systems 519
7.3.3.3.3 QUALIFICATION systems 520
7.3.3.3.4 THING TYPE systems 522
7.3.3.3.5 Metaphorical nominal groups 527
7.3.3.3.6 THING TYPE and experiential functional potential 529
7.3.3.3.7 Textual considerations 530
7.3.3.3.8 CLASS AT HEAD 532
7.3.4 Interpersonal resources 533
7.3.5 Textual resources 537
7.3.5.1 DETERMINATION 538
7.3.5.2 'POST-DETERMINATION' 543
7.3.5.3 'NUMERATION' 544
7.3.5.4 SUBSTITUTION/ELLIPSIS 545
7.3.6 Nominal groups in discourse 546
Text (1): Coleridge's Kubla Khan 546
Text (2) : Exposition: economics text 548
7.4 Groups: adverbial groups 551
7.5 Groups: verbal groups 554
7.5.1 Complex verbal groups 555
7.5.1.1 Projection 557
7.5.1.2 Expansion 558
7..3.1.3 Verbs in different environments 560
7.5.1.4 Typological outlook 561
7.5.1.5 Verbal group complexes in discourse 562
7.5.2 Simple verbal groups 563
7.5.2.1 Overview 563
7.5.2.2 TENSE 565
7.5.2.2.1 The TENSE system 566
7.5.2.2.2 Semantic considerations 569
7.5.2.2.3 TENSE selections in discourse 570
Text (1): Narrative - default: simple past 572
Text (2): Narrative - default: simple past 573
Text (3): News report 574
Text (4): News report (prediction) 575
Text (5): Travel itinerary 575
7.5.2.2.4 TENSE and PROCESS TYPE 576
7.5.2.2.4.1 Representing 'present' time: simple present vs.
present-in-present 577
7.5.2.2.4.2 Examples of unmarked and marked selections in general
578
Symbols and conventions
1. The use of fonts in this book 580
2. Systemic representation - symbols & conventions 580
2.1 System & system network 581
2.2 Realization 582
Appendices
Appendix 1: Further readings 584
A1.1 Grammar 584
A1.2 Theoretical foundations and representation 585
A1.3 Grammar in discourse analysis 585
A1.4 Languages other than English 585
A1.5 Reference sources 587
Appendix 2: Using Systemic Functional Grammar 587
A2.1 Ontogenetic perspective: how a child learns how to mean 588
A2.2 Work on the lexicogrammar itself 589
A2.3 Computational modelling 593
A2.4 Text and register (functional varieties) 594
A2.5 Language, society and ideology 595
A2.6 Verbal art (stylistics) 596
A2.7 Educational linguistics 597
Appendix 3: Glossary 597
Appendix 4: Summary charts of systems discussed 617
A4.1 Clauses 619
A4.1.1 Complex clause 619
A4.1.2 simple clauses: experiential - TRANSITIVITY 620
A4.1.3 simple clauses: interpersonal - MOOD, MOOD PERSON, etc.
621
A4.1.4 simple clauses: textual- CONJUNCTION & THEME 623
A4.2 Groups/ phrases 625
A4.2.1 prepositional phrase 625
A4.2.2 groups: nominal group 627
A4.2.3 groups: adverbial group 629
A4.2.4 groups: verbal group 629
Appendix 5: Ambiguity 630
A5.1 Ambiguity across ranks 632
A5.2 Ambiguity within rank across metafunctions 633
ideational / interpersonal 633
ideational / textual 633
A5.3 Ambiguity within rank & metafunction across systemic
terms 634
A5.3.1 clause - ideational 634
A5.3.2 clause - interpersonal 635
A6.1 Instruction: Recipe 636
Clause - complex: logical 636
Clause - simple: experiential, interpersonal & textual 637
Group, nominal: textual 641
Generic structure and grammatical patterns 642
A6.2 Persuasion: California Common Cause 642
Clause - complex: logical 643
Clause - simple: experiential, interpersonal & textual 644
Clause: textual - THEME 649
Clause: interpersonal - MOOD TYPE 649
Clause: interpersonal - MOOD PERSON 650
Clause: interpersonal - MODALITY 651
A6.3 News report: Disco Boat Disaster 651
Clause - complex: logical 653
Clause: textual - THEME & VOICE 657
Clause: textual - CONJUNCTION 659
Clause: experiential - TRANSITIVITY 661
Group, verbal: interpersonal (MODALITY) & logical (TENSE) 667
A6.4 Narrative: Benjamin Goes to Hospital 669
Clause - complex: logical 669
Clause - simple: textual (THEME) 675
Clause - simple: experiential (TRANSITIVITY) 676
Groups, verbal: logical (TENSE) 690
Clause - simple: interpersonal 694
Groups, nominal: experiential (THING TYPE) 694
References 707