Introduction to SFL Grammar & Discourse 1

Study Guide 2018

Carmel Cloran

Transitivity Review

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1 Revision: Interpreting and representing experience: the experiential metafunction

In expressing our experiences, we talk about what was done, who did it, and (optionally) where,

when, why or how etc the doing was done. So in describing the experiential meaning expressed by the

clause, we use the categories Process (what was done), Participant (who did it) and Circumstance where,

when, why or how etc.

1.1 Processes

When we consider the syntagmatic relations (co-patterning of language features) into which words

expressing processes enter we find that, in English, the apparently countless number of events

(processes) in which entities participate are organized into just 5 types (some of which have sub-

categories). Thus

Process type typical present

tense form

Participant example

i) Material continuous unrestricted The people are walking quickly.

ii) Behavioural continuous living The children are watching a movie.

iii) Mental simple conscious My dog loves icecream.

iv) Verbal simple signaller He says it’s going to rain.

My watch says it’s 2 o’clock

v) Relational simple unrestricted This is a beautiful flower.

The fact that a particular present tense form and a particular type of participant characterizes each

category of process does not mean that we cannot use another present tense form or another type of

participant with each category, e.g. They walk quickly. In using the simple present tense with Material

processes, however, we add a new element of meaning: that of usuality or habituality; thus They walk

quickly implies that walking quickly is something that they do not only now but always (i.e.

usually/habitually).

1.1.1 Sub-categorisation of Process types

Material processes can be sub-categorised into two types: i) creative, and ii) transformative. Halliday

& Matthiessen (2004: 184-185) note that with creative material clauses, the process brings into

existence the Actor, e.g. A figure emerged out of the mist

A figure emerged out of the mist

Actor Pro: Material Circumstance

Alternatively, it may be the Goal that is brought into existence by the process, e.g. They built a cubby

house

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They built a cubby house

Actor Pro: Material Goal

This coming into existence may suggest an analysis of the clause as existential (relational). However,

note that the verbs expressing material processes take the present-in-present tense form (A figure is

emerging even as we speak / they are building a cubby house) whereas relational processes (including

existential) take the simple present tense form.

In transformative material clauses, the Actor or Goal already exist but are changed in some

aspect as an outcome of the process. For example, in They painted the house, the Goal - the house -

already exists but is transformed by the process1. The outcome of the transformation may also be

separately specified as an Attribute, e.g. They painted the house red. Thus a specified Attribute is the

result of the process - resultative Attribute (as in the example):

They painted the house red

Actor Pro: Material Goal Attribute

This sub-cateogirsation of material processes is shown in the network:

material process

Mental & Relational processes may be sub-categorised as shown in the networks below:

mental process

Halliday & Matthiessen (2004:210) give an example of verbs that express processes in the various

subcategories of mental clauses:

1 (contrast this with He painted a portrait which is a creative type of material process since the portrait comes into

existence by virtue of being painted).

cognition, e.g. know, think, consider

reaction

perception, e.g. see, hear,

desiderative, e.g. want, wish etc

emotive, e.g. like, love, hate etc

creative

transformative

Attribute specified

Attribute not specified

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Relational processes are subcategorised as attributive, identifying and existential:

There are further subcategories of Attributive and Identifying relationals which we will consider in

section 1.3 iii.

1.2 Participants in Processes

Material the doer of the action = the entity affected by the action = the entity involved but not affected by the action = the entity benefiting from the action =

Actor;

Goal;

Range (Scope);

Beneficiary.

Behavioural the doer of the behaviour the entity involved but not affected by the behaviour =

Behaver

Range;

Mental the being who senses, reacts or perceives = the entity that is sensed, reacted to or perceived =

Senser

Phenomenon

Verbal the sayer = what is said = the entity spoken to = the entity spoken about =

Sayer

Verbiage

Receiver

Target

Relational: Attributive the entity described = the description =

Carrier

Attribute

Identifying the entity identified the identifying feature

Identified

Identifier

Existential the entity whose existence is proposed Existent

attributive

relational identifying

existential

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1.3. A word about…..

i) Mental Processes

When that which is thought, felt, sensed etc is expressed by a ranking clause, e.g. We decided to go

home, the second ranking clause is not a Phenomenon but is related to the first by the logical relation

of projection. Only mental and verbal processes can project another clause.

clause 1 clause 2

Senser Process Phenomenon

We cherish our liberty

and (we) enjoy being free

Mental processes are reversible: we can reverse the order of Senser and Phenomenon by choosing a

synonymous verb, e.g. I like exercise versus Exercise attracts me.

These two types of mental processes Halliday (e.g.1994) calls the ‘like’ type (I like exercise) and the

‘please’ type (Exercise attracts me). As shown in the analyses above, the order of functions in an

active voice ‘like’ type clause is Senser ^ Process ^ Phenomenon and in an active voice ‘please’ type

clause is Phenomenon ^ Process ^ Senser.

ii) Verbal processes

Very often, we quote the words that someone spoke (direct speech), or we reformulate what they said

(indirect speech). In such cases, the saying (what was said) is often in the form of a clause, e.g.

When the saying is in the form of a clause, it cannot be considered a constituent of the verbal process

clause; rather it is related to the clause containing the verbal process by the logical relationship of

projection, i.e. the verbal process projects the second clause that expresses the saying (either directly

or indirectly).

We will consider the concept of projection when we examine the relationship between clauses

(projection is Topic 7).

iii) Relational Processes

Attributive and identifying relational process clauses each have 3 sub-categories. Since the 3-way sub-

classification applies to both types, the situation is best represented as shown in the network.

1 Senser Process Phenomenon 2 Phenomenon Process Senser

I like exercise. versus Exercise attracts me.

Sayer Process the saying

They announced that an inquiry would be held

He commented, “My client cannot be blamed for the weather”

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a) Attributive:

e.g. Carrier Process Attribute

The house is beautiful. description

The house is on the hill. circumstance

I have a house possession

b) Identifying:

In identifying processes, the functions of Identified and Identifier only make sense in the context of

the text in which they occur so in order to illustrate them, they are contextualised in the examples:

A: Your brother is younger than you, isn’t he?

B: No, my brother is the eldest in the family

A: What’s the date of today?

B: Yesterday was the 3rd,

so today is the 4th

A: Is this pen yours?

B: No, but the book is mine

The order of Identified and Identifier can be reversed, e.g.

This reversibility is a characteristic of Identifying relational process clauses and is one of the ways in

which we can distinguish them from the Attributive type of relationals which cannot be reversed.

However, when we change the order of participants there are consequences:

the clause is no longer active but has become passive. In order to show this fact, we need to replace

the verb with one of its synonyms, e.g. The eldest in the family is represented by my brother.

the participant functioning as Subject in the Mood structure of the clause changes.

Identified Process Identifier intensive

my brother is the eldest in the family

Identified Process Identifier circumstantial

today is the 4th.

Identified Process Identifier possession

the book is mine.

Identifier Process Identified

the eldest in the family is my brother

possessive

intensive

attributive

circumstantial

identifying

Relational

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The Participant functions in the relational clauses considered so far are expressed by simple nominal

groups; however, in academic texts, we often find relational clauses having much longer and more

complex Participants, e.g.

She has difficulty functioning in the executive team

Aboriginal literature has political purposes as well as the spiritual and social ones of [[understanding

the dilemma of their people and their communities.]]

The analysis shows the ‘heavy’ nominal groups functioning as Attribute:

She has difficulty [[functioning in the executive team]].

Carrier Process: relational Attribute

Aboriginal literature has political purposes as well as the spiritual and social ones of [[understanding the dilemma of their people and their communities.]]

1.4. Theme predicated clauses (cleft sentences)

Academic texts often have sentences that begin with It + a form of the verb ‘to be’ followed by a long

nominal group. In these sentences, all the information in the clause is shunted into the second

participant – usually an Identifier. While they contain a lot of information, these sentences are often

clauses simplexes, e.g.

It is the name of Lenin [[which remains as arguably the most significant in Russian history.]].

It is the name of Lenin [[which remains as arguably the most significant in Russian history.]].

Identified Process:relational Identifier

It is this aspect of control [[which is important]]

It is this aspect of control [[which is important]]

Identified Process:relational Identifier

These are called “cleft sentences” in tradition grammar; Halliday (1994:58-60) calls them Theme

predicated clauses because their structural pattern contributes to the Thematic organisation of the

clause; Halliday also notes that their purpose is to set up a contrast, e.g. It is this aspect of control

which is important not the other (aspect) (see Halliday & Matthiessen 2004: 95-98 for discussion).

1. 5. A further note on participant functions

i) Initiator of Material process clauses

In some Material processes, there may be a participant who has an executive function via which the

process is initiated, e.g. The terrorist made the bomb explode where the participant who initiates

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the process is The terrorist and the process is the verbal group complex made..explode. Thus the

analysis is:

The terrorist made the bomb explode

Initiator

Process

Actor

…Material

ii) Token & Value in Relational identifying process clauses

These labels are ways of describing the function of the two main participants (Identified and the

Identifier) in identifying relational clauses. Consider the following pair:

My brother is the eldest versus The eldest is my brother

Their experiential meaning is the same but in each the Subject/Theme is different. Which of the two

participant functions - Identified or Identifier is the Token and which is the Value varies according to

whether the clause is in the active or the passive voice. The basic rule of thumb is that Token is mapped

onto Subject in the active voice. The problem is that the typical identifying relational verb – be – has

no passive form so we need to substitute a verb which is synonymous2, e.g. represent

Additional participants in Relational process clauses:

iii) Beneficiary: A Beneficiary may occur as an additional participant in a relational attributive

process clause, e.g. The textbooks cost me $30

The textbooks cost me $30

Carrier Pro: Rel: Circ Beneficiary Attribute

2 Some synonyms of the verb “to be” and “to have”:

becomes, turns into, grows into, gets, remains, stays (as), keeps, seems, appears, qualify (as), turns out, ends up, looks, represents, forms, constitutes, characterises, represents, corresponds, means, concerns, occupies, owns,

belongs to, includes, excludes, involves, contains, comprises, consists (of), owes, deserves, lacks, provides

ACTIVE My brother represents the eldest (doesn’t he?)

Token Pro: Rel: Id Value

Subject Finite Pred Complement

PASSIVE The eldest is represented by my brother (isn’t it?)

Value Pro: Rel: Id Token

Subject Finite Pred Complement

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iv) Attributor: An additional participant may occur where the one who assigns the attribute – the

Attributor - is made explicit, e.g. The bookshop charged me $30 for the textbooks.

We can then leave out the Attributor by making the clause passive:

I was charged $30 for the textbooks

Beneficiary Pro: Rel: Circ Attribute Carrier

v) Assigner: A similar situation can arise with Identifying relational processes, e.g. The parents called

their baby Jemima - but the label of the participant function here remains Assigner:

1.6 Summary of process types and associated participant functions

The types of processes and participants are summarised in the following network (note that some

participant functions - e.g. Range – can occur in a variety of process types)

material

doing

behavioural

process mental

verbal

other

existential

relational

attributive

identifying

The bookshop charged me $30 for the textbooks

Attributor Pro: Rel: Circ Beneficiary Attribute Carrier

The parents called their baby Jemima

Assigner Pro: Rel: Id Token Value

Initiator Actor Goal Beneficiary Range (Scope)

Behaver Range

Senser Phenomenon

Sayer Verbiage Receiver Target

Existent

Carrier Attribute Attributor Beneficiary

Identified Identifier Token Value Assigner

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1.7 Middle versus Effective clauses

How many participants are there in a clause? This depends on

1. the verb expressing the process; and

2. the voice of the clause.

Some processes are inherently single participant processes, e.g.

The dog barked frantically.

The students arrived early.

The tired men slept.

In traditional grammar these single participant processes are called intransitive verbs. Other verbs

must take at least two participants, e.g. the verb receive - The hero received a reward. Such verbs are

called transitive in traditional grammar. Still other processes can be expressed in such a way that either

one or two participants may be expressed, i.e. either intransitively or transitively, e.g.

The boat sailed.

The boy sailed the boat.

Halliday uses the terms middle process clauses for those in which only a single participant is

expressed and effective process clauses for those in which two or more participants occur.

An effective cause can be active or passive, e.g.

The boy fed the dog = active

The dog was fed by the boy. = passive

In an effective passive clause, the ‘do-er’ may be omitted, e.g. The dog was fed. This does not make

the clause a middle clause since it is capable of taking a second participant; it is still effective even

though only a single participant is actualized.

Reading Halliday 1994: 106-160; Halliday & Matthiessen 2004: 178-259

Martin, Matthiessen & Painter 1997: 114-127

Bloor & Bloor 1995 : Chapter 6

Complete Portfolio task: 1.1 – 1.4

clause

middle, e.g. the boat sailed

effective

active, e.g. the boy sailed the boat

passive, e.g. the boat was sailed by the boy

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Portfolio tasks

“The child is born into a society already keyed for his coming. A system exists into which he must be

assimilated if the society is to sustain itself. If his behaviour cannot, after a period of time, become predictable

to a degree expected in that society, he must be specially treated. In some societies the nonassimilator will be

allowed to die; in others he may be given special institutionalised treatment. This special treatment can range

from deification to incarceration. But, ultimately, the goal is the same: to make the child’s behaviour

sufficiently predictable that the society can go about the rest of its business.” (Birdwhistell 1970:6 cited in

Butt, 1989:108)

A Segment the text extract into ranking clauses. Proceed as follows:

1. highlight the verbal groups;

2. identify the lexical verb;

3. underline the nominal groups and prepositional phrases;

4. Decide if the verbal group is functioning within an embedded clause, i.e. a clause that is occurring as a

Qualifier in a nominal group, for example. If it is, then the clause is embedded and should be enclosed in

square brackets [[ ]] and not separated from the nominal group in which it is embedded. If the verbal

group is not functioning within an embedded clause, then it is a ranking clause.

5. Insert a clause boundary // at the end of each ranking clause.

6. Write the text as clauses into the table below and number each of the ranking clauses.

cl text in clauses

1

2

TASK 1.1: revision of clauses and groups

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B Using your clause segmentation, locate the multi-word verbal groups then correct your clause

segmentation if necessary.

C locate and list in the table below the multi-word nominal groups.

If these are embedded within a propositional phrase, enclose them in single square brackets. For example, in

clause 1, the prepositional phrase into a society already keyed for his coming contains a multi-word nominal

group which I have enclosed in single square brackets: into [a society already keyed for his coming]

clause multi-word nominal group 1 the child

1 into [a society already keyed for his coming]

E In the table below, identify the elements of these nominal groups

Deictic1 Deictic2 Epithet Classifier Thing Qualifier

1 The child

1 a society already keyed for his coming

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TASK 1.2: revision of transitivity

segment the texts i) Language Development; and ii) How to deal with a

terrorist attack into ranking clauses & recover any ellipsis

analyse the transitivity (Processes, Participants & Circumstances). The first

ranking clause of each text is analysed for you.

Language Development

An infant’s language typically develops alongside his physical development. A basic communication system is

recognised by those close to the child when there is a constant correlation between a sound (expression) and some

content (purpose).

From the outset, this early symbol system has no words or grammar; rather it is a proto-language since it has

only two strata - meaning and expression. Because it has no grammar, the individual signs cannot be combined with

one another.

For each individual infant, this elementary communication system is unique and can be understood only by

his/her intimates (the primary care-giver /mother). The child's system is therefore a shared language because those

close to him/her understand it; however, caregivers always respond to the child in their own mother tongue.

Around 8 to 16 months of age the child begins to crawl and thus this physical activity coincides with the

development of his/her symbolic activity. It is in this sense that the child’s linguistic system develops along with

locomotion.

This stage of language development is called the proto-linguistic stage.

1 An infant’s language typically develops alongside his physical development.

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How to deal with a terrorist attack Michael Leunig Strange Creatures.Viking 2003

In the next few weeks you will probably be confronted by a terrorist so here’s what to do. The Full Nelson wrestling

hold is probably still the most effective means of dealing with the most determined attacker. You must quickly leap behind

your opponent, place your arms under his armpits and join your hands behind his neck. Now exert pressure with your

hands, forcing him to bend over. Still maintaining the pressure, ride up on his back and call upon him to give up or desist.

He will probably do so. If the terrorist is defiant or fails to respond, keep bending over until assistance arrives.

1 In the next few weeks you will …. be confronted by a terrorist

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TASK 1.3

Label each of the clauses in Language Development and How to deal with a

terrorist attack as either middle or effective;

identify the effective clauses as either active or passive

clause middle /effective

active /passive

1 1 An infant’s language typically develops alongside his physical development. middle

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1 In the next few weeks you will probably be confronted by a terrorist

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TASK 1.4

Segment the poem The People’s Treasure into ranking clauses (ignore line

breaks);

recover any items presupposed by ellipsis;

Analyse the transitivity (Processes, Participants & Circumstances) of the

clauses in the poem

The People's Treasure.

Michael Leunig

http://curlyflat.net/cathyspage.htm

1. They're privatising things we own together.

They're flogging off the people's common ground.

And though we're still connected by the weather

They say that sharing things is now unsound.

2. They're lonelifying all the public spaces.

They're rationalising swags and billabongs.

They're awfulising nature's lovely places,

Dismantling the dreaming and the songs.

3. Their macho fear of flabby soft sensations

Makes them pine for all things hard and lean.

They talk of foreign market penetrations

And throbbing private sectors.

It's obscene.

4. They're basically unloving types of creatures

With demons lurking underneath their beds.

You'll notice that a necktie always features

To keep their hearts quite separate from their heads.

5. So if they steal away the people's treasure.

And bring the jolly swagman to his knees.

They can't remove the simple common pleasure

Of loathing public bastards such as these.

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