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 Grammar
Systemic 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 system of a language is made up of many systems.
On a general level, there is the Chain System and the
Choice System.
Surface aspects of grammar,
The axis of chain
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)
Entry conditions:
Terms or options
person
First person
Second person
singular
number
plural
Third person
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.
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
“transitivity” and “voice”.
mainly
consists
of
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。
Process
In 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:
Material process (John kicked the ball)
Mental process (John likes Mary)
Transitivity
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
Identified
Token
is
Process
the monitor.
Identifier
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
attributive
identifying
type
(1)Intensive
Sara is wise.
Tom is the leader; the
leader is Tom.
The fair is on a
Tuesday.
Tomorrow is the 10th; the
10th is tomorrow.
（集约的）
(2)Circumstantial
(环境的）
(3)Posessive
(属有的）
The piano is Peter’s;
Peter has a piano. Peter’s is the piano.
Process
4. 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
Material: Action
Category Meaning
Doing: Doing,
Event
Participants
Actor, Goal
happening
Behavioural
Behaving
Mental: Perception
Sensing: seeing
Affection, Cognition
feeling, thinking
Verbal
saying
Sayer, receiver,verbiage
Relational:
Being:
Carrier, Attribute,
Identifier, Identified,
Token, Value
Attribution
attributing
Identification
identifying
Existential
existing
Behaver
Senser, Phenomenon
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
for her.
bought
(Actor Process
a present
Goal
Beneficiary)
Participants
2. 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.
material
process
He climbed the mountain.
(range)
They moved the mountain.
(goal)
mental He likes it. (it specifies the domain of one’s liking)
process
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.
Means refers to the means or instruments whereby a
process takes place.
(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.
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.
Reason represents the reason for which a process
takes place.
Purpose represents the purpose for which a process
takes place.
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)
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:
Middle 中动语态
Voice
active
non-middle 非中动语态
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
Commodity Goods & services
exchange exchanged
information
giving
Offer
Statement
I will show you the
way.
We’re nearly
there.
Command
Question
Give me your hand.
Is this the
place?
demanding
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
Subject
will
finite
never
adjunct
write
the report.
predicator complement
Declarative vs. Interrogative
Grammar
can
confuse
students.
subject
finite
predicator
complement
Mood
Residue
Can
we
find
a solution?
finite
subject
predicator
complement
Mood
Residue
Imperative
(Do)
finite
No subject
Mood
Think
about it!
predicator
complement
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. Rheme
Theme
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
gave the teacher his
homework.
In a small house near the
beach
a woman stood out in the rain.
Give that teapot away
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,
Certainly
Sanity
is a precarious state.
But
surely
the course
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
• Have
• Let’s
about it.
a cup of tea.
have a look at this recipe
Exclamative
• What a nice plant
• How nice
you’ve got!
Helen is!
Unmarked vs. Marked
a.
b.
c.
d.
a.
b.
c.
d.
Unmarked (Theme = Subject):
The two Indians stood waiting.
The Indian who was rowing them was working very
hard.
But I will have some photographs taken.
There was no need of that.
Marked (Theme ≠Subject):
Across the bay they found the other boat.
In February 1979 he was awarded the George Cross
posthumously.
And when you get down there you find he hasn’t
actually got any.
That I don’t know.
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!