杨忠 系统功能语法讲义(AN INTRODUCTION TO FUNCTIONAL GRAMMAR杨忠讲义)

Session One

1. Branches of linguistics and schools of linguistics

●Branches of linguistics are divided by reference to object of study, i.e.

the subject matter of language as a phenomenon, seen as composed of many aspects or facets.

●Schools of linguistics are divided by perspectives and methodology.

2. Formalism and functionalism of Post-Saussurean Western linguistics

●Logico-philosophical vs. rhetorical-ethnographic orientations of

linguistic studies in Western countries---language as rule or language as resource

●Differences in perspectives between formalism and functionalism

Starting- point View of

object of

study

Linguistic

production

as

Unit

of

analysis

Linguistics

close to

Formal ism Going-in

Through

form

Language

as an

abstract

system

Automation

(rules like

machine)

sentence Logic,

psychology,

philosophy

Function- alism Going-in

Through

meaning

Language

in use

Choice

(system

network,

meaning

potential)

Clause,

text

Anthropology,

sociology

3. Functionalism as a stream of linguistics

●Functionalism in Europe

The Prague School:

Major achievement — phonemic analysis

Representatives — V. Mathesius （马西/泰修斯）

N.S. Trubetzky（特鲁别茨科依）[Russian]

A. Martinet （马丁内）[French]

The Copenhagen School:

Major achievement — text/ discourse analysis

Representative — L. Hjelmslev (1899 -1965) [叶尔姆斯列夫] The London School:

Major achievement — theory of context

Systemic-functional grammar Major representatives —J. R. Firth (1890-1960) [弗斯] (British)

M.A.K. Halliday（1925-）

●Functionalism in the U. S. A.

Major achievement—linguistic relativity;

Conitive grammar;

Cognitive semantcs;

Conceptual metaphor

Representatives — F.Boas (1858-1942)

E.Sapir (1884-1939)

B.L.Whorf (1897-1941)

Fillmore

Langacker

Lakoff

Talmy

●Functionalism in China

11 annual conferences held(7th held in NENU)

; China Association of Functional Linguistics

4. The meaning of the term function

●Organic/ constitutive function

●Role function

●Speech functions (as purpose or intention)

●Metafunctions (as broad categories of meanings)

The theory of metafunctions is the cornerstone of systemic- functional linguistics

5. Tenets of functional approach to language(as generalised by Butler, C.S. 2003. Sturcture and Function: A Guide to Three Major Structural-functional Theories. Amsterdam/Philodelphia: John Benjamins)

(1) An emphasis on language as as means of human communication in social and psychological contexts;

(2) Rejection of the claim that the language system(the grammar) is arbitrary and self-contained, in favour of functional explanation in terms of

cognition, socio-cultural, physiological and diachraonic factors;

(3) Rejection of the claim that syntax is a self-contained system, in favour of an approach where semantic and pragmatic patterning is regarded as central;

(4) Recognition of the importance of non-discreteness in linguistic description and, more generally, of the importance of the cognitive dimensions;

(5) A consern for the analysis of texts and their contexts of use;

(6) A strong interest in typological matters;

(7) The adoption of a constructionist rather than an adaptionist view of language acquisition.

Session Two

1.What is system?

●Definition

―A group of related parts that work together as a whole for a particular purpose‖ ( Longman Dictionary of Contemporary English)

―同类事物按一定的关系组成的整体‖(《现代汉语词典》)

---Traffic lights as system of symbols：

Stopping --- red

Slowing down --- amber

Going --- green

( Now at main crossroads there are also arrows for right and left turns, so the system is changed )

---Chess as a system

---The difference between chess and language

●Features

---Elements

---Wholeness

1) The idea of system as a concept in linguistics is first expounded in Course in General Linguistics, where system refers to langue, understood as the syntagmatic relation(linear).

“What is language?

―Language,[……], is a self-contained whole and a principle of classification‖（Saussure1959:9）

But the meaning of system is different in Halliday‘s theory of grammar.

2) The conception of system appeared in Halliday‘s early publications:

Halliday, M.A.K(1956 )Grammatical Categories in Modern Chinese. Transitions of the Philological Society, 1956. pp. 177-224. Reprinted in Kress(ed.)( 1976).

Halliday, M.A.K, 1961 Categories of the Theory of Grammar. In Word, vol. 17, 3: 241-292.

Halliday, M.A.K, 1963. ?Class in relation to the axes of chain and choice in language‘.Linguistics.No.2

In these articles, Halliday put forward four fundamental categories of grammar: unit（单位）, class(类别), structure （结构）and system（系统）. In addition, there are three scales（阶）: rank（级）, exponence（标示）, delicacy(精密度).

“韩礼德对语法的两大部分‘范畴’和‘阶’做了比过去全面成熟的归纳和阐述，对语言学界产生深远的影响，被公认为‘阶与范畴’（scale and category grammar）语法的发端。两年后，韩礼德又发表了‘类与语

言中的连接轴和选择轴的关系’一文，进一步阐述阶和范畴的关系。（胡壮麟，朱永生，张德禄，李战子，《系统功能语言学概论》，2005。）(阶与范畴有什么区别？)

Units

Text

Clause

Scale of rank Group/phrase

Word

Morpheme

Scale of delicacy

Least delicate most delicate

Primary structure secondary structure

Scale of exponence

Primary class secondary class

Example：All the three top students are accepted.

All the three top students Are accepted.

S p

NG

D M H

VG

D pre D mid D post

3) ―System is a set of options‖. Grammar is a system network. System is primary, structure is secondary. Structure is the realization of choice relations.

4) Why is system primary?

---Language as a resource is a system of systems; categories are hierarchical.

---Choices out of certain purposes/intensions

2. What are the fundamental differences in formalism and functionalism in grammatical description?

Formalism vs Functionalism

●Perspectives: intraorganism vs interorganism

●Focus: chain relations vs choice relations

●Goal: Both are explanatory & descriptive;

to describe and explain:

How does one speak? Vs How do people talk?

3. The fundamental difference between function and metafunction

— Level of abstraction in description and explanation.

4. Semiological interpretation of the three metafunctions

1) Different theories of metafunction proposed byB. Malinowski(马林诺

夫斯基), K. Buhler（比勒）and M.A.K. Halliday.

B. Malinowski（1923）（Anthropological）K. Buhler（1923）

(psychological)

M.A.K. Halliday（1972，1985，1994）

（Linguistic）

Pragmatic 实用功能Representational 表

达功能

Ideational 概念功能

Phatic function寒暄功

能Expressive 表情功能

Interpersonal 人际功能Conative 意欲功能

Magical function 巫术

功能

Referential 所指功能Textual 语篇功能

2) Ideational and interpersonal functions are more essential functions( see Hallida y 1994: xiii)

All language are organized around the main kinds of meaning, the ideational or reflective, and the interpersonal or active. These components are the manifestations in the linguistic system of the two very general purposes which underlie all uses of language: (i) to understand the environment and (ii) to act on the others in it. Combined with this is the third metafunction.

Session Three: Discussion of Chapter Four

1. The fundamental argument for a functional analysis

●Communication as interaction or exchange of meanings.

●Communication is not just unidirectional, not just passing

information.

Please consider the connotation of ?talk‘ and ?speak‘.

2. The general framework for exchange of meanings/functions

Giving Information (statement)

Goods & services (offer)

Demanding Information (question)

Goods & services (command)

3. The definition of Mood(语气成分)

●?The subject and finite‘make up a component of the clause that is

called Mood.—a structural definition

●The component of a clause that realizes the interactive function.

Eg.--- The president has turned down the proposal, hasn‘t he?

---(a)Yes, he has.

(b)No, he hasn‘t.

(c) Oh, has he?

(d）No，he has n‘t. But he will.

(e) He hasn‘t, and he won‘t.

4. The structure of Mood in different types of English Clauses:

(1) Summary

Types of clause Mood Structure Declarative

?I am leaving.‘

S F

Interrogatives Yes-no

?Are you leaving?‘

F S

Wh-

Wh- as S

?Who is leaving?‘

S F Wh- not as S

?Why are you

leaving?‘

F S

Imperatives unmarked

?L eave here!‘

?Don‘t leave here!‘

(F) marked

?You leave here!‘

?Don‘t you leave

here!‘

(F) S

(2) More about the finite in imperatives (pp.48-49)

●Why generally there is no finite in imperatives?

Not open to negotiation. The finite is used for negation or emphasis once it appears.

●If negotiative in meaning, a question tag is added. In this case, the

finite is not ?normal‘ finite in its range of functions.

e.g. Don‘t tell anyone, will you? ( not do you?)

?Let‘s‘ and ?let us‘ may take different tags.

e.g.: Let us call you Lao Wang, will you?

Let‘s start now, shall we?

5. The meanings of Subject and Finite

―Subject is something by reference to which the proposition can be affirmed or denied.‖(Halliday and Mathiessen, 2004: 117)

―The subject is often described as the constituent defining the topic of the sentence--- that which the sentence is about and which it presupposes as its point of departure.‖ (Quirk et al. 1985:79)

―The division, (Subject, Predicate), however, has more to do with the statement as a logical category than with the structural facts of grammar.‖Subject —expresses the entity that the speaker wants to make responsible for the validity of the proposition.

Proposition is“the basic unit of logical analysis, characteristically stated by a declarative sentence and the bearer of truth-value true or false. Many theorists identify propositions with statements. Both are distinguished from sentences, but some philosophers wish to eliminate propositions as abstract entities in favour of sentences. If both kinds of entity are accepted, all proposition are sentences or expressed by sentences. Only declarative sentences generally express propositions, although sentences of interrogative,

imperative and other forms have propositional content.”

Finite —makes it possible to negotiate about the validity of the proposition.

The finite signals three kinds of ?claims‘about the validity of the proposition:

(1) For what time in relation to that of speaking the proposition is valid.

(tense)

e.g. —Is he the present?

— He was.

(2) Whether the proposition is about positive or negative validity. －

( polarity)

e.g. －You have been here, I think.

－No, I haven‘t.

(3) To what extent the proposition is valid. (Modality)

e.g. －He may come today.

－He has.

6. Subject of Chinese

（一）主语定义

“主语指出主体事物，指明‘谁’或‘什么’‖。

―在一般情况下，一个小句需要有个主语，不然所述说的这种那种情况下不知道是针对谁或针对什么“(邢福义1997)

(二)主语的语义类型

（1）施事主语---所指事物施行谓语所表述的行为

“妈妈在切肉。‖

（2）受事主语---所指事物承受谓语所表述的行为

“盘子买来了。”

“土豆烧好了”

(3) 用事主语---所指事物具有提供使用的内涵

“这把刀子切牛肉。”

“这个盘子装牛肉。”

（？）“刀子切钝了。”

（4）于事主语---所指事物表示行为发生的位置（？）

“盘子边爬着一只蟑螂。”

“刀子上刻着几个字。‖

―土豆里长了很多虫子。“

（5）断事主语---所指事物是谓语所断定的对象

“这个碗是我的。”

“这块地不属于你们工厂。”

“这位先生不象本地人。”

（6）描事主语---所指事物是谓语所描写的对象

“这个孩子很机灵。”

“这块土地平坦而又肥沃。‖

（这个类型划分是基于“什么/谁”与“怎么”之间的意义关系）（三）若干问题

（1）潛化主语

有的主语潛入了前面的分句或前面的状语。这是潛化主语。潛化主语是一种意会主语，即可以依赖上下文意会，不能再主语位置上直接补出。

“如果你不这样做，必将引起不良后果。”

“经过这次会议，统一了大家的认识。‖

(2) 话题和主语

话题也叫主题，是讲语用问题时用的概念。这个概念跟语法系统中的主语有些纠缠。

话题指的就是新情况所要述说的对象。其主要特点：第一，占据一句话的开头地位；一般重读。

“昨天晚上，他进过这间屋子。‖

“这个经历了无数磨难的老头儿，他的承受力实在惊人。‖

―为了子孙后代的幸福，我们必须保护环境。“

Sesssion Four

1. Chinese interrogatives

(1) Types of question in Chinese

(a) Question- word questions

---- This type of question can be functionally characterized as a

request for specific information. It is similar to wh- questions in

English.

---- The question words are：shui谁“who‖，shenme什么“what‖，

na哪“where”，zenme“怎么‖how，duoshao多少“how

much/howmany”，weishenme为什么“why‖，etc. In addition, there

are some question words which are formed by compounding

question words with some nouns or adjectives, for example,

shenmen yang―like what‖, duojiu/duochang shijian ―how

long(time)‖, heshi/shen me shihou ―when/what time‖.

---- Similarity and difference between Chinese question-word

questions and English interrogative questions: functionally similar,

structurally different.

(b) Particle questions （corresponding to English yes-no question）

This type of question is marked by particles at the end, such as,

ma, ba.

[1] Ni hao ma?

―you good/well particle‖

“How are you?

[2] tamen lai ba?

―they‖“come‖ ―pa r ticle‖

―Will they come?“

(c) A-not-A questions

[3] Ta hui bu hui da lanqiu?

?he‘?can‘?not‘?can‘?play‘?basketball‘

―Can he play basketball?‖

(d) Tag question (A-not-A tag)

[3] women kaishi shangke, hao bu hao?

?we‘?begin‘?class‘?good‘?not‘?good‘

―Let‘s begin our class, shall we?

This type of question is functionally equivalent to English tag questions, but the tag is structurally different from English tags.

The Chinese tags do not contain subject and finite.

(e) Alternative questions (marked by haishi )

[4] Ni yao zhege haishi nage?

?you‘?want‘?this one‘?or‘?that one‘

―Do you want this one or that one?‖

[5] ta lai haishi ni qu?

?he/she‘?come‘?or‘?you‘?go‘

―Does he/she come(here) or do you go(there?

(2) Differentiating type (b) and type (c)

[6] Ni hui da wangqiu ma?

?you‘?can‘?play‘?tennis‘ particle

―Can you play tennis?‖

[7] Ni hui bu hui da wangqiu？

?you‘?can‘?not‘?can‘?play‘?tennis‘

―Can you play tennis?‖

[8] zuotian ni da mei da wangqiu？

‘yesterday‘?you‘?play‘?not‘?play‘?tennis‘

―Did you play tennis yesterday?‖

What is the difference between the two types of question?

Li and Thompson(1981) Mandarin Chinese: A Functional Reference Grammar explains:

―[…]Particle questions and A-not-A questions differ in the types of contexts in which they can be used: in a neutral context, either the A-not- A form or the particle question may be used, while in a non-neutral context, only the particle question is possible. A neutral context is one in which the questioner has no assumptions concerning the proposition that is being questioned and wishes to

know whether it is true. Whenever the questioner brings to the

speech situation an assumption about either the truth or the falsity

of the proposition s/he is asking about, then the context is

non-neutral with respect to that question.‖

The difference can be explained in terms of information focus:

A-not-A type focuses on polarity only, while in particle questions

the focus may not be on polarity.

2. The components of the residue: P C A

Predicator---- expresses ①process②Tense ③Aspect ④voice

(Finite operators: auxiliary verbs and modal verbs)

3. The difference between complement and adjunct

●Complement can be turned into subject.

(Except attribute in relational process)

●Adjuncts cannot be turned into subject.

●Adjuncts are realized by adverbial group or prepositional phrases.