西南大学：《系统功能语言学 Systemic Functional Linguistics》课程教学讲义_Part I The clause 04 Clause as exchange.docx

1 4. Clause as exchange 4.0 Lead-in Activities Review: The structural typology of English sentences: A. Major clauses vs. minor clauses B. Simple sentences, compound sentences, complex sentences, compound complex sentences C. Loose sentences vs. periodic sentences (1a) Now that winter has come, can spring be far behind? (PS) (1b) Can spring be far behind now that winter has come? (LS) I. Tell the functional typology of English sentences (i.e. The Mood System) Positive: Mary is happy. Declarative Indicative Negative: Mary is not happy. Yes-no question: Is Mary happy? Interrogative Tag question: Mary is happy, isn’t she? Alternative question: Is Mary happy or unhappy? WH-question: How is Mary feeling today? Positive: Please be happy. / Let’s be happy. Imperative Negative: Please do not be unhappy. / Let’s not be unhappy. Exclamative: What a happy girl Mary is! / How happy Mary is! II. Turn the following sentences (a) first into negative sentences, and (b) then into yes-no questions. (1) It is lovely weather today. (2) This material conducts electricity. (3) Many people will lose their jobs. (4) There is someone doing research in this field. 4.1 The nature of dialogue A. Clause as exchange Simultaneously with its organization as a message, the clause is also organized as an interactive event involving speaker (used here as a cover term for both speaker and writer), and audience. In the act of speaking, the speaker adopts for himself a particular role which he wishes him to adopt in his turn. For example, in asking a question, a speaker is taking on the role of seeker of information and requiring the listener to take on the role of supplier of the information demanded. For example: (1) Daughter: I’m scared because I’ve had an experience where Boof has bit me. Mother: When? Daughter: When I was young at Bay’s house, I was swimming and he jumped up and bit my bum. B. Speech roles and speech functions The most fundamental types of speech role, which lie behind all the more

specific types that we may eventually be able to recognize, are just two: (i) giv ing and (i) demanding For example (1)a. This material conducts electricity. b Does this material conduct electricity? The act of speaking can be called an interact: it is an exchange, in which giving implies receiving and demanding implies giving in response The dialogicity of communication( Bathkin) Table 4-1 Giving or demanding, goods-&-services or information Commodity exchanged role in exchange (a) goods-&-services (b)information ( giving °offe statement would you like this teapot hes giving her the teapot ( i) demand ing command give me that teapot what is he giving her? The semantic system of SPEECH FUNCTiON (see Figure 4-2 on page 108) Speech functions and responses(see Table 4-1 on page 108) Typical realizations in grammar of speech functions(see Table 4-2 on page 109) C. Clause as exchange and semogenesis In the life history of an individual child, the exchange of goods services, with language as the means, comes much earlier than the exchange of information: infants typically begin to use linguistic symbols to make commands and offers at about the age of nine months, whereas it may be as much as nine months to a year after that before they really learn to make statements and questions, going through various intermed iate steps along the way It is quite likely that the same sequence of developments took place in the early evolution of language in the human race, although that is something we can never know for certain It is not d ifficult to see why offering and requesting precede telling and asking when a child is first learning how to mean. Exchanging information is more complicated than exchanging goods services, because in the former the listener is being asked not merely to listen and do something but also to act out a verbal role-to confirm or deny, or to supply a missing piece of information 4.2 The mood element 4.2.1 Structure of the mood The component that is tossed back and forth in statements and questions is called the mood element, and it consists of two parts: the Subject, which is a nominal group, and (ii) the Finite operator, which is part of a verbal group The remainder of the clause is called the residue (1)

2 specific types that we may eventually be able to recognize, are just two: (i) giving and (ii) demanding. For example: (1) a. This material conducts electricity. b. Does this material conduct electricity? The act of speaking can be called an interact: it is an exchange, in which giving implies receiving and demanding implies giving in response. The dialogicity of communication (Bathkin) Table 4-1 Giving or demanding, goods-&-services or information Commodity exchanged role in exchange (a) goods-&-services (b) information (i) giving ‘offer’ would you like this teapot ‘statement’ he’s giving her the teapot (ii) demanding ‘command’ give me that teapot! ‘question’ what is he giving her? The semantic system of SPEECH FUNCTION (see Figure 4-2 on page 108) Speech functions and responses (see Table 4-1 on page 108) Typical realizations in grammar of speech functions (see Table 4-2 on page 109) C. Clause as exchange and semogenesis In the life history of an individual child, the exchange of goods & services, with language as the means, comes much earlier than the exchange of information: infants typically begin to use linguistic symbols to make commands and offers at about the age of nine months, whereas it may be as much as nine months to a year after that before they really learn to make statements and questions, going through various intermediate steps along the way. It is quite likely that the same sequence of developments took place in the early evolution of language in the human race, although that is something we can never know for certain. It is not difficult to see why offering and requesting precede telling and asking when a child is first learning how to mean. Exchanging information is more complicated than exchanging goods & services, because in the former the listener is being asked not merely to listen and do something but also to act out a verbal role – to confirm or deny, or to supply a missing piece of information. 4.2 The Mood element 4.2.1 Structure of the Mood The component that is tossed back and forth in statements and questions is called the Mood element, and it consists of two parts: (i) the Subject, which is a nominal group, and (ii) the Finite operator, which is part of a verbal group. The remainder of the clause is called the Residue. (1)

(16)你要小心哪 (17)你们别吵哇比较 (18)放下枪,举起手来! 语气助词的其他用法 (19)你听谁说的?别是谣言吧?(老舍) (20)咱们开会吧!(老舍) (21)水离堤面只一尺了。(袁静) (22)刚才我走着回来的,连车都没雇!(老舍) (23)他无非会念几句书罢了,并没有什么真本事。 (24)那还不知道,共产党是抗日的么。(袁静) (25)小水啊,你可是小人办大事,任务不轻啊!(袁静) (26)他呀,从根起的生性,一点不关心自己。(杨朔) (27)譬如喝茶吧,我的这位内兄最懂得喝茶,最讲究喝茶。(曹禺) 4.2.2 Meaning of Subject and Finite The Finite element, as its name implies, has the function of making the proposition finite. That is to say, it circumscribes it; it brings the proposition down to earth. so that it is something that can be argued about a good way to make something arguable is to give it a point of reference in the here and now and this is what the Finite does. It relates the proposition to its context in the speech event This can be done in one of the two ways. One is by reference to the time of speaking(i.e. primary tense); the other is by reference to the jud gment of the speak (i.e. modality ) For example ()An old man was crossing the road (4)It cant be true Primary tense means past, present, or future at the moment of speaking; it is time relative to“now Modality means likely or unlikely(if a proposition ) desirable or undesirable(if a proposal) What these have in common is interpersonal deixis: they locate the exchange within the semantic space that is opened up between speaker and listener With primary tense, the dimension is that of time: primary tense construes time nterpersonally, as defined by what is"present" to you and me at the time of sayi With modality the dimension is that of assessment: modality construes a region of uncertainty where I can express, or ask you to express, an assessment of the valid ity of what is being said Finiteness is thus expressed by means of a verbal operator which is either One further feature which is essential concomitant of finiteness is polarity This is the choice between positive and negative In order for something to be arguable, it has to be specified for polarity: either"is or isnt"(proposition), either"do"or"dont(proposal)

4 （16）你要小心哪！（17）你们别吵哇！比较：（18）放下枪，举起手来！ F . 语气助词的其他用法（19）你听谁说的？别是谣言吧？（老舍）（20）咱们开会吧！（老舍）（21）水离堤面只一尺了。（袁静）（22）刚才我走着回来的，连车都没雇！（老舍）（23）他无非会念几句书罢了，并没有什么真本事。（24) 那还不知道，共产党是抗日的么。（袁静）（25) 小水啊，你可是小人办大事，任务不轻啊！（袁静）（26）他呀，从根起的生性，一点不关心自己。（杨朔）（27）譬如喝茶吧，我的这位内兄最懂得喝茶，最讲究喝茶。（曹禺） 4.2.2 Meaning of Subject and Finite The Finite element, as its name implies, has the function of making the proposition finite. That is to say, it circumscribes it; it brings the proposition down to earth, so that it is something that can be argued about. A good way to make something arguable is to give it a point of reference in the here and now; and this is what the Finite does. It relates the proposition to its context in the speech event. This can be done in one of the two ways. One is by reference to the time of speaking (i.e. primary tense); the other is by reference to the judgment of the speaker (i.e. modality). For example: (3) An old man was crossing the road. (4) It can’t be true. Primary tense means past, present, or future at the moment of speaking; it is time relative to “now”. Modality means likely or unlikely (if a proposition), desirable or undesirable (if a proposal). What these have in common is interpersonal deixis: they locate the exchange within the semantic space that is opened up between speaker and listener. With primary tense, the dimension is that of time: primary tense construes time interpersonally, as defined by what is “present” to you and me at the time of saying. With modality the dimension is that of assessment: modality construes a region of uncertainty where I can express, or ask you to express, an assessment of the validity of what is being said. Finiteness is thus expressed by means of a verbal operator which is either temporal or modal. One further feature which is essential concomitant of finiteness is polarity. This is the choice between positive and negative. In order for something to be arguable, it has to be specified for polarity: either “is” or “isn’t” (proposition), either “do” or “don’t” (proposal)

Thus the Finite element, as well as expressing primary tense and modality, also realized either positive or negative polarity For a summary of finite verbal operators, see Table 4-4 on age 116 4.2.2.3 A further note on the Subject The Subject in English has got a distinct identity, which can be established if we adopt a trinocular perspectiv From below, it is the nominal element(nominal group or nominal ized phrase clause)that is picked up by the Finite(operator)to form the Mood tag From round about it is that which constitutes the unmarked Theme if the mood is declarative, and which switches place with the Finite if the mood is yes/no Interrogative From above, it is that carries the modal responsibility; that is, responsibility for the valid ity of what is being predicated(stated, questioned, commanded or offered)in the clause 4.3 Other elements of mood structure 4.3.1 Structure of the residue The Residue consists of functional elements of three kinds one predicator. one or two Complements, and an indef inite number of (up to, in principle, seven) Adjuncts For example Sister susie sewing shirts for sold iers Finite Predicator Complement Adjunct Mood Residue 4.3.1.1 Predicator The Predicator is present in all major clauses, except those where it is displaced ell It is realized by a verbal group minus the temporal or modal operator, which functions as finite in the mood element The Pred icator is thus non-finite: and there are non-finite clauses containing a Pred icator but no finite element The function of the predicator is fourfold It specifies time reference other than reference to the time of the speech event, that is, "secondary"tense: past, present or future relative to the primary tense It specifies various other aspects and phases such as seeming, trying, hoping (iii) It specifies the voice: active or passive (iv)It specifies the process(action, event, mental process, relation) that is predicated of the Subject 4.3.1. 2 Complement A Complement is an element within the Residue that has the potential of bein Subject but is not; in other words, it is an element that has the potential for being given the interpersonally elevated status of modal responsibil ity -something that can be the nub of the argument It is typically realized by a nominal group. For example (1) The duke gave my aunt that teapot It will be noted that the Complement in Sfg covers what are objects as well as

5 Thus the Finite element, as well as expressing primary tense and modality, also realized either positive or negative polarity. For a summary of finite verbal operators, see Table 4-4 on age 116. 4.2.2.3 A further note on the Subject The Subject in English has got a distinct identity, which can be established if we adopt a trinocular perspective. From below, it is the nominal element (nominal group or nominalized phrase or clause) that is picked up by the Finite (operator) to form the Mood tag. From round about, it is that which constitutes the unmarked Theme if the mood is declarative, and which switches place with the Finite if the mood is yes/no interrogative. From above, it is that carries the modal responsibility; that is, responsibility for the validity of what is being predicated (stated, questioned, commanded or offered) in the clause. 4.3 Other elements of Mood structure 4.3.1 Structure of the Residue The Residue consists of functional elements of three kinds: one Predicator, one or two Complements, and an indefinite number of (up to, in principle, seven) Adjuncts. For example: 4.3.1.1 Predicator The Predicator is present in all major clauses, except those where it is displaced through ellipsis. It is realized by a verbal group minus the temporal or modal operator, which functions as Finite in the Mood element. The Predicator is thus non-finite; and there are non-finite clauses containing a Predicator but no Finite element. The function of the Predicator is fourfold. (i) It specifies time reference other than reference to the time of the speech event, that is, “secondary” tense: past, present or future relative to the primary tense. (ii) It specifies various other aspects and phases such as seeming, trying, hoping. (iii) It specifies the voice: active or passive. (iv) It specifies the process (action, event, mental process, relation) that is predicated of the Subject. 4.3.1.2 Complement A Complement is an element within the Residue that has the potential of being Subject but is not; in other words, it is an element that has the potential for being given the interpersonally elevated status of modal responsibility – something that can be the nub of the argument. It is typically realized by a nominal group. For example: (1) The duke gave my aunt that teapot. It will be noted that the Complement in SFG covers what are “objects” as well as Sister Susie ’s sewing shirts for soldiers Subject Finite Predicator Complement Adjunct Mood Residue