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INTRODUCTION AIMS OF THE COURSE This book has been written primarily for undergraduate and graduate students of English as a foreign or second language. It is also addressed to tutors and others interested in applying a broadly functional approach to language teaching in higher education. It assumes an intermediate standard of knowledge and practical handling of the language and, from this point of departure, seeks to fulfil the following aims: 1 to further students’ knowledge of English through exploration and analysis; 2 to help students acquire a global vision of English, rather than concentrate on unrelated areas; 3 to see a grammar as providing a means of understanding the relation of form to meaning, and meaning to function, in context; 4 to provide a basic terminology which, within this framework, will enable students to make these relationships explicit. While not pretending to be exhaustive, which would be impossible, its wide coverage and functional approach have been found appropriate not only in first-degree courses but also in postgraduate courses and as a background resource for courses, publications and work on translation, stylistics, reading projects and discourse studies. A FUNCTIONAL APPROACH TO GRAMMAR We distinguish several ways in which grammar is functional. In the first place, adopting a broadly systemic-functional view, we base our approach on the assumption that all languages fulfil two higher-level or meta-functions in our lives. One is to express our interpretation of the world as we experience it (sometimes called the ‘ideational’ or the ‘representational’ function); the other is to interact with others in order to bring about changes in the environment (the ‘interpersonal’ function). The organisation of the message in such a way as to enable representation and interaction to cohere represents a third (the ‘textual’ meta-function), and this, too, is given its place in a functional grammar. In the second place, the regular patterns of different kinds that can be distinguished reflect the uses which a language serves. For instance, the structural patterns known as‘declarative’, ‘interrogative’ and ‘imperative’ serve the purposes of expressing a multitude of types of social behaviour. In this area we draw on the pragmatic concepts of speech act, politeness, relevance and inference to explain how speakers use and interpret linguistic forms and sequences in English within cultural settings. When we come to describe the more detailed mechanisms of English, we also make use of the notion of ‘function’ to describe syntactic categories such as Subjects and Objects, semantic roles such as Agent and informational categories such as Theme and Rheme, Given and New. These different types of function constitute autonomous dimensions of analysis, so that there is no one-to-one relationship between them. Rather, we shall find that they can conflate together in different ways, the choice of one or other being largely determined by such factors as context, both situational and linguistic, particularly what has gone before in the message, by the speaker–hearer relationship and by speakers’ communicative purposes. Third, this type of grammar is functional in that each linguistic element is seen not in isolation but in relation to others, since it has potential to realise different functions. Structural patterns are seen as configurations of functions, whether of participants and processes, of modifiers and head of, for instance, a noun, or of Subject, verb and Complements, among others. These in turn are realised in a variety of ways according to the communicative effect desired. Speakers and writers are free, within the resources a particular language displays, to choose those patterns which best carry out their communicative purposes at every stage of their interaction with other speakers and readers. With these considerations in mind, the present book has been designed to place meaning firmly within the grammar and, by stressing the meaningful functions of gram- matical forms and structures, to offer a description of the grammatical phenomena of English in use, both in speech and writing. This book, we hope, may serve as a foundation for further study in specific areas or as a resource for the designing of other materials for specific purposes. PRESENTATION OF CONTENT The grammatical content of the course is presented in three blocks: • a first chapter giving a bird’s-eye view of the whole course and defining the basic concepts and terms used in it; • seven chapters describing clausal and sentence patterns, together with their corresponding elements of structure, from syntactic, semantic, textual and communicative-pragmatic points of view; and • five chapters dealing similarly with nominal, verbal, adjectival, adverbial and prepositional groups and phrases. In each case the aim is that of describing each pattern or structural element in use, rather than that of entering in depth into any particular theory. Chapter titles attempt to reflect, as far as possible, the communicative viewpoints from which the description is made. xviii INTRODUCTIONThe chapters are divided into ‘modules’ (sixty in all), each one being conceived as a teaching and learning unit with appropriate exercises and activities grouped at the end of each chapter. Each module begins with a summary, which presents the main matters of interest. It is designed to assist both tutor and students in class preparation and to offer a review for study purposes. Exemplification Many of the one-line examples which illustrate each grammatical point have been drawn or derived from actual utterances observed by the authors. Some of these have been shortened or simplified in order to illustrate a grammatical point with maximum clarity. A further selection of examples is taken from the British National Corpus and other acknowledged sources. These have not been modified. In addition we have made regular use of short excerpts of connected speech and writing from a wide variety of authentic sources. Our intention here is to illustrate the natural use of the features being described. Exercises and activities Each of the sixty modules which make up the course is accompanied by a varying number of practice exercises and activities. Some involve the observation and identification of syntactic elements and their semantic functions, or of the relations between them; others call for the manipulation or completion of sentences in various meaningful ways; grammatical topics are sometimes proposed for discussion between pairs or groups of students; mini-projects are suggested for individual research by students based on their own reading, experiences and materials gathered outside the class; topics are proposed for the writing of original letters, short articles, narratives, descriptions and dialogues for social purposes. Some exercises involve the interpretation of meanings and intentions which are to be inferred from the use of particular forms and structures within certain contexts. The different areas of grammar lend themselves to a wide variety of practical linguistic activities limited only by the time factor. Those proposed here can be selected, adapted, amplified or omitted, according to need. Answers are provided at the end of the book for those analytical exercises which have a single solution. There are many activities, however, that have no solution of this kind, such as discussions and explanations of grammatical topics. Activities involving the interpretation of meanings or those whose solution is variable are either not keyed at all or are accompanied by a suggested solution, since it is felt that they are more appropriately left to classroom discussion. It is the opinion of the authors that university study should not attend solely to the attainment of certain practical end-results. Its value lies to a great extent in the thinking that goes on in the process of ensuring the results, not only in the results themselves. It is rather in the performance of a task that the learning takes place. The premature reference to a key negates the whole purpose of the tasks and should be resisted at all costs. INTRODUCTION xixSUGGESTIONS FOR USING THE BOOK First of all, it must be pointed out that the chapters which comprise this book can be used selectively, either singly or in blocks. In starting with the clause, our aim has been to provide a global frame, both syntactic and semantic, into which the lower-ranking units of nominal, verbal and other groups naturally fit, as can be seen in Chapter 2. It is perfectly possible, however, to reverse this order, starting with the verbal or nominal groups and using the subsequent chapters as a course on grammar ‘below the clause’, if this is found more convenient. Morphological information is provided in each of these chapters. Similarly, chapters 2 and 3 together provide an introduction to functional syntax, while chapters 5 and 7 address basic semantic roles, and tense, aspect and modality, respectively. Other chapters, such as 10, 11 and 12, contain extensive sections on the semantics of the unit under discussion. Chapter 4 deals with the clause as a vehicle for interaction through language, and 6 with the grammatical resources used in information packaging. Related areas and topics are ‘signposted’ by cross-references. When this book is used as a basis for classroom teaching of English language at universities, it may be treated as a resource book by approaching it in the following way: • First, either: by presenting the ‘Summary’ outlined at the beginning of each module and amplifying it according to the time allotted, with reference to appropriate parts of the module; or: by taking an illustrative text as a starting-point, and drawing out the meanings, forms and functions dealt with in the module. • Then, the complete module can be read by the students out of class and any suggested exercises prepared. Some may be assigned to different students and discussed collectively. Others may more usefully be prepared by all members of the class. Alternatively, for assessment purposes, students may be allowed to build up a dossier of exercises of their own choice. Certain exercises can be done collectively and orally in class, without previous preparation. Students should be encouraged to bring in selections of their own texts, whether self-authored or collected from specific genres, for presentation and discussion within a group. • A further session may be devoted to clarification of points raised as a result of students’ reading and of carrying out the exercises. Whether the book is studied with or without guidance, access to the grammatical terms and topics treated in it is facilitated in four ways: 1 by the initial list of chapter and module headings; 2 by the section and subsection headings listed at the beginning of each chapter; 3 by the alphabetical list of items, terms and topics given in the general Index at the end of the book. 4 by the abundant cross-references which facilitate the linking of one area to another. Reference is made to the number and section of the module in which an item is explained. xx INTRODUCTIONLANGUAGE AND MEANING MODULE 1 A functional grammar aims to match forms to function and meaning in context. This module introduces the three strands of meaning that form the basis of a functional interpretation of grammar: the representational, the interpersonal and the textual. Each of these strands is encoded in the clause (or simple sentence) as a type of structure. The three structures are mapped onto one another, illustrating how the three types of meaning combine in one linguistic expression. 1.1 COMMUNICATIVE ACTS Let us start from the basic concept that language is for communication. Here is part of a recorded conversation taken from a sociological project of the University of Bristol. The speakers are Janice, a girl who runs a youth club and disco in an English town, and Chris, one of the boys in the club, who is 19 and works in a shop. In the dialogue, we can distinguish various types of communicative act, or speech act, by which people communicate with each other: making statements, asking questions, giving directives with the aim of getting the hearer to carry out some action, making an offer or promise, thanking or expressing an exclamation. Offer J: If you like, I’ll come into your shop tomorrow and get some more model aeroplane kits. Reminder C: O.K. Don’t forget to bring the bill with you this time. Promise J: I won’t. Question Do you enjoy working there? Statements C: It’s all right, I suppose. Gets a bit boring. It’ll do for a while. Statement J: I would have thought you were good at selling things. Statement C: I don’t know what to do really. I’ve had other jobs. My Dad keeps on at me to go into his business. He keeps offering me better wages, Exclamation but the last thing to do is to work for him Question J: Why? Echo question C: Why? You don’t know my old man I Exclamations wouldn’t work for him He always Statement wanted me to, but we don’t get on....Question D’you think it’s possible to get me on a part-time Youth Leadership Course? Offer/Promise J: I’ll ring up tomorrow, Chris, and find out for you. Thanking C: Thanks a lot. In a communicative exchange such as this, between two speakers, the kind of meaning encoded as questions, statements, offers, reminders and thanks is interpersonal mean- ing. Asking and stating are basic communicative acts. The thing asked for or stated may be something linguistic – such as information or an opinion (Do you enjoy working there? It’s all right, I suppose) – or it may be something non-linguistic, some type of goods and services, such as handing over the aeroplane kits. This non-linguistic exchange may be verbalised – by, for instance, Here you are – but it need not be. Typically, however, when goods and services are exchanged, verbal interaction takes place too; for instance, asking a favour (Do you think it’s possible to get me on a part-time Youth Leadership Course?) or giving a promise (I’ll ring up tomorrow, Chris, and find out for you) are carried out verbally. The grammatical forms that encode two basic types of interpersonal communication are illustrated in section 1.3.2. The whole area is dealt with more fully in Chapter 5. 1.2 THE CONTENT OF COMMUNICATION Every speech act, whether spoken or written, takes place in a social context. A telephone conversation, writing a letter, buying a newspaper, giving or attending a lecture, are all contexts within which the different speech acts are carried out. Such contexts have to do with our own or someone else’s experience of life and the world at large, that is, the doings and happenings in which we are involved or which affect us. Any happening or state in real life, or in an imaginary world of the mind, can be expressed through language as a situation or state of affairs. Used in this way, the terms ‘situation’ or ‘state of affairs ‘ do not refer directly to an extra-linguistic reality that exists in the real world, but rather to the speaker’s conceptualisation of it. The com- ponents of this conceptualisation of reality are semantic roles or functions and may be described in very general terms as follows: 1 processes: that is, actions, events, states, types of behaviour; 2 participants: that is, entities of all kinds, not only human, but inanimate, concrete and abstract, that are involved in the processes; 3 attributes: that is, qualities and characteristics of the participants; 4 circumstances: that is, any kind of contingent fact or subsidiary situation which is associated with the process or the main situation. 4 ENGLISH GRAMMARThe following example from the text shows one possible configuration of certain semantic roles: I ’ll come into your shop tomorrow participant process circumstance circumstance The kind of meaning expressed by these elements of semantic structure is represen- tational meaning, or meaning that has to do with the content of the message. The various types of process, participants, attributes and circumstances are outlined in the following sections and described more fully in Chapter 4. 1.3 THREE WAYS OF INTERPRETING CLAUSE STRUCTURE The clause or simple sentence is the basic unit that embodies our construal of repre- sentational meaning and interpersonal meaning. The clause is also the unit whose elements can be reordered in certain ways to facilitate the creation of textual meaning. The textual resources of the clause, such as the active–passive alternative, enable the representational strand and the interpersonal strand of meaning to cohere as a message, not simply as a sentence in isolation, but in relation to what precedes it in the discourse. Each type of meaning is encoded by its own structures; the three types of structure combine to produce one single realisation in words. To summarise, the three kinds of meaning derive from the consideration of a clause as: (a) the linguistic representation of our experience of the world; (b) a communicative exchange between persons; (c) an organised message or text. We now turn to the three types of structure that implement these meanings. 1.3.1 The clause as representation: transitivity structures The representational meaning of the clause is encoded through the transitivity structures, whose elements of structure or functions include: Agent, Recipient, Affected, Process, Attribute and Circumstance, as described in Chapter 4. Some of these make up the semantic structure of the following example: Janice will give Chris the bill tomorrow Agent Process Recipient Affected Circumstance (action) (time) With a process of ‘doing’ such as the action of giving, the Agent is that participant which carries out the action referred to by the verb; the Recipient is that participant who receives the ‘goods’ or ‘information’ encoded as the Affected. Circumstances attending the process are classified as locative, temporal, conditional, concessive, causal, resultant, etc. BASIC CONCEPTS 51.3.2 The clause as exchange: mood structures When a speaker interacts with others to exchange information, or to influence their behaviour and get things done, she adopts for herself a certain role, such as ‘questioner’ and, in doing so, assigns a complementary role, such as ‘informant’, to her addressee. Unless the conversation is very one-sided, the roles of ‘questioner’ and ‘informant’ tend to alternate between the interlocutors engaged in a conversation, as can be seen in the exchange of speech roles between Chris and Janice in the text on page 3. The clause is the major grammatical unit used by speakers to ask questions, make statements and issue directives. The exchange of information is typically carried out by the indicative mood or clause type, as opposed to directives, which are typically expressed by the imperative mood. Within the indicative, making a statement is associated characteristically with the declarative, and asking a question with the interrogative. More exactly, it is one part of these structures – consisting of the Subject and the Finite element – that in English carries the syntactic burden of the exchange. The rest of the clause remains unchanged. In a declarative clause, the Subject precedes the Finite. Declarative Janice will give Chris the bill tomorrow Subject Finite Predicator Indirect Direct Adjunct operator Object Object Interrogative Will Janice give Chris the bill tomorrow? Finite Subject Predicator Indirect Direct Adjunct operator Object Object In the interrogative structure, the positions of Finite operator and Subject are reversed, the Predicator and the rest of the clause remaining the same. The Finite is that element which relates the content of the clause to the speech event. It does this by specifying a time reference, through tense, or by expressing an attitude of the speaker, through modality. Also associated with finiteness, although less explicitly in many cases in English, are person and number. The Finite element is realised in the examples above by the modal auxiliary will (see 3.1.1 and 23.3 for the interrogative). Clause types and the meanings they convey are treated in Chapter 5. 1.3.3 The clause as message: thematic structures Here, the speaker organises the informational content of the clause so as to establish whatever point of departure is desired for the message. This is called the Theme, which 6 ENGLISH GRAMMARin English coincides with the initial element or elements of the clause. The rest of the clause is the Rheme: Janice will give Chris the bill tomorrow Theme Rheme The Theme may coincide with one of the participants, as in this example, or it may ‘set the scene’ by coinciding with an initial expression of time, place, etc. These possibilities are illustrated in 1.3.4. and treated more fully in Chapter 6. 1.3.4 Combining the three types of structure The three types of structure we have briefly introduced are examined more closely in Chapters 4, 5 and 6. Here, they are mapped simultaneously on to the example clause, in order to show the tripartate nature and analysis of English clauses from a func- tional point of view. Predicator, Indirect and Direct Objects, and Adjunct are included as syntactic functions, which correspond to the semantic roles. We examine the syntactic functions more closely in Chapter 2. Janice will give Chris the bill tomorrow ExperientialAgent Process Recipient Affected Circumstance Interpersonal Subject Finite + Indirect Direct Adjunct Predicator Object Object Textual Theme Rheme In a typical active declarative clause such as this, Agent, Subject and Theme coincide and are realised in one wording, in this case Janice. But in natural language use, a situation can be expressed in different ways, in which the order of clause elements can vary, since different elements of structure can be moved to initial position. Our present example admits at least the following possible variants: 1 Chris will be given the bill (by Janice) tomorrow. 2 The bill will be given to Chris tomorrow (by Janice). 3 Tomorrow, Chris will be given the bill (by Janice). It can be seen that the three types of structural elements do not coincide (vertically) in the same way as they do in the typical active declarative clause. For example: Theme now coincides with Recipient in 1, with Affected in 2, and with Circumstance in 3; Agent no longer coincides with Theme or with Subject in any of the variants. The configurations for 1 are illustrated below. BASIC CONCEPTS 7Chris will be given the bill by Janice tomorrow Recipient Process Affected Agent Circumstance Subject Finite + Predicator Direct Object Adjunct Adjunct Theme Rheme The motivation for this and the other variants is not to be sought in the clause in isolation, but in its relationship to that part of the discourse at which it is located. The speaker organises the content of the clause in order to achieve the best effect for their communicative purpose. This involves establishing the point of departure of the clausal message – that is, the Theme – in relation to what has gone before. This choice conditions to a large extent the way the clausal message will develop and how the speaker or writer will lead the hearer or reader to identify that constituent which is presented as New information, usually at the end of the clause. By choosing variant 1, for example, Chris becomes the point of departure, while tomorrow is still in final position, with the Agent, Janice, nearing final position. By using the passive, instead of the active voice, the Agent can be omitted altogether, leaving the Affected, the bill, nearer final position. Finally, if we bring the circumstantial element of time, tomorrow, to initial position as Theme, as in 3, this element will serve as a frame for the whole event. By means of such reorganisations of the clausal message, the content of the clause can be made to relate to the rest of the discourse and to the com- municative context in which it is produced. It is for this reason that the active–passive choice, which determines the constituent of the clause that will be Subject, is related to choice of Theme and the ‘packaging’ or distribution of information. The textual motivations outlined in the previous paragraph, and the syntactic strategies that serve to produce different kinds of clausal message, are discussed in Chapter 6. We will now look at the full range of grammatical units in a hierarchy where the clause is central. We will then look briefly at the unit above the clause, the ‘complex sentence’, and the units immediately below the clause, the ‘groups’. 8 ENGLISH GRAMMARLINGUISTIC FORMS AND MODULE 2 SYNTACTIC FUNCTIONS 2.1 SYNTACTIC CATEGORIES AND RELATIONSHIPS In this module we shall outline the basic syntactic concepts on which our structural analysis is based. These include the structural units which can be arranged by rank, the classes into which these units can be divided, and the elements of which they are composed. We shall also consider the ways units of one rank are related to those above or below them. This is explained on pages 19 and 20, and in chapters 2 and 3. 2.2 TESTING FOR CONSTITUENTS Before attempting to see how a stretch of language can be broken down into units, it is useful to be able to reinforce our intuitions as to where boundaries lie. This can be done by applying certain tests in order to identify whether a particular sequence of words is functioning as a constituent of a higher unit or not. For instance, the following sequence, which constitutes a grammatical clause or simple sentence, is ambiguous: Muriel saw the man in the service station Two interpretations are possible, according to how the units that make up the clause are grouped into constituents, expressed graphically as follows: 1 Muriel saw the man in the service station 2 Muriel saw the man in the service station In version 1, the prepositional phrase in the service station forms part of the constituent whose head-word is man (the man in the service station) and tells us something about the man; whereas in version 2 the same prepositional phrase functions separately as a constituent of the clause and tells us where Muriel saw the man. Evidence for this analysis can be sought by such operations as (a) coordination, (b) wh-questions, (c) clefting, (d) passivisation and (e) fronting. Tests (b) to (e) involve moving the stretch of language around and observing its syntactic behaviour. Testing BASIC CONCEPTS 9by coordination involves adding a conjoin that realises the same function; only stretches of language that realise the same function can be conjoined: (a) It can be seen that different types of conjoin are required according to the function of in the service station: (i) Muriel saw the man in the service station and the woman in the shop. (ii) Muriel saw the man in the service station and in the shop. (b) The wh-question form and the appropriate response will be different for the two versions: (i) Who did Muriel see? – The man in the service station. (ii) Where did Muriel see the man? – In the service station. (c) Clefting by means of it + that-clause highlights a clause constituent (see 30.2) and thus yields two different results: (i) It was the man in the service station that Muriel saw. (ii) It was in the service station that Muriel saw the man. Wh-clefting (see 30.2) gives the same result: (i) The one Muriel saw was the man in the service station. (ii) Where Muriel saw the man was in the service station. The form the one (that . . . ) is used in this construction since English does not admit who in this context (Who Muriel saw was the man in the service station). (d) Passivisation (see 4.2.3 and 30.3) likewise keeps together those units or bits of language that form a constituent. The passive counterpart of an active clause usually contains a form of be and a past participle: (i) The man in the service station was seen by Muriel. (ii) The man was seen by Muriel in the service station. (e) A constituent can sometimes be fronted, that is, brought to initial position: (i) The man in the service station Muriel saw. (ii) In the service station Muriel saw the man. It is not always the case that a sequence responds equally well to all five types of test. Certain types of unit may resist one or more of these operations: for instance, frequency adverbs such as often and usually, and modal adverbs like probably, resist clefting (It’s often/usually/probably that Muriel saw the man in the service station), resulting in a sentence that is ungrammatical. Unlike some languages, in English the finite verbal element of a clause normally resists fronting (Saw Muriel the man in the service station). Nevertheless, if two or more of the operations can be carried out satisfactorily, we can be reasonably sure that the sequence in question is a constituent of a larger unit. We now turn to the description of units, their classes and the relationship holding between them. 10 ENGLISH GRAMMAR2.3 UNITS AND RANK OF UNITS The moving-around of bits of language, as carried out in 2.2, suggests that language is not a series of words strung together like beads on a string. Language is patterned, that is, certain regularities can be distinguished throughout every linguistic manifestation in discourse. A unit will be defined as any sequence that constitutes a semantic whole and which has a recognised pattern that is repeated regularly in speech and writing. For instance, the previous sentence is a unit containing other units such as a recognised pattern and in speech and writing. Sequences such as defined as any and repeated regularly in, which also occur in the same sentence, do not constitute units since they have no semantic whole and no syntactic pattern. The following sequence, which comments on the effects of a nuclear accident, constitutes one syntactic unit which is composed of further units: The effects of the accident are very serious. In English, it is useful to recognise four structural units which can be arranged in a relationship of componence on what is called a rank-scale: Unit Boundary Example marker Clause: the effects of the accident are very serious Group: the effects of the accident are very serious Word: a space the effects of the accident are very serious Morpheme: + EFFECT + PLURAL, realised by the morphs effect and -s For the initial stages of analysis it may be helpful to mark off the boundaries of each unit by a symbol, such as those adopted in the example. The symbol for ‘clause boundary’ is a double vertical line , that for ‘group boundary’ is a single vertical line , and that for ‘word boundary’ is simply a space, as is conventionally used in the written language. The independent clause is the equivalent of the traditional ‘simple sentence’. Combinations of clauses, the boundaries symbolised by , are illustrated in 2.4.1 and treated more fully in Chapter 7. The relationship between the units is, in principle, as follows. Looking downwards, each unit consists of one or more units of the rank below it. Thus, a clause consists of one or more groups, a group consists of one or more words and a word consists of one or more morphemes. For instance, Wait consists of one clause, which consists of one group, which consists of one word, which consists of one morpheme. More exactly, we shall say that the elements of structure of each unit are realised by units of the rank below. Looking upwards, each unit fulfils a function in the unit above it. However, as we shall see in 3.6.3 and in later chapters, units may be ‘embedded’ within other units, such BASIC CONCEPTS 11as the clause who live in the north within the nominal group people who live in the north. Similarly, the prepositional phrase of the accident is embedded in the nominal group the effects of the accident. We shall be concerned in this book mainly with two units: clause and group. The structure and constituents of these units will be described in later sections, together with their functions and meanings. 2.4 CLASSES OF UNITS At each rank of linguistic unit mentioned in 2.3, there are various classes of unit. 2.4.1 Classes of clauses A. Finite and non-finite clauses At the rank of ‘clause’, a first distinction to be made is that between finite and non- finite clauses. As clauses have as their central element the verbal group, their status as finite or non-finite depends on the form of the verb chosen. Finite verbs, and therefore also finite clauses, are marked for either tense or modality, but not both. Their function is to relate the verb to the speech event. Tensed forms distinguish the present tense (lock, locks) from the past tense (locked) in regular verbs and many irregular verbs also, as in eat, ate; go, went. This distinction is not made on all irregular verbs, for example shut, which has the same form for the present and past tenses. Person and number are marked only on the third person singular of the present tense (locks, shuts) – except for the verb be, which has further forms (see 3.1.1). Tense is carried not only by lexical verbs but also by the finite operators. Modality is marked by the modal verbs, which also function as operators (see 3.1.1). If the speaker wishes to express tense or modality, together with person and number, a ‘finite’ form of the verb is chosen, therefore, such as is, eats, locked, went, will stay and the clause is then called a finite clause (fin.cl). For example, in the following paragraph all the verbs 1 2 – and therefore all the clauses (marked , etc.) – are finite: 1 I had a farm in Africa, at the foot of the Ngong hills. The Equator runs across 2 these highlands a hundred miles to the north, and the farm lay at an altitude 3 of over six thousand feet. In the daytime you felt that you had got high up, near 4 5 to the sun, but the early mornings and evenings were limpid and restful, and 6 the nights were cold. (Karen Blixen, Out of Africa) If the verb-form does not signal either tense or modality, the verb and the clause are classified as non-finite (V-non-fin; non-fin.cl). The non-finite verb forms are: 12 ENGLISH GRAMMAR• the infinitive (inf.) (be, eat, lock, go) sometimes called the ‘bare’ infinitive; • the to-infinitive (to-inf); • the participial -ing form (-ing) (being, eating, locking, going); and • the past participial form, symbolised in this book as -en (been, eaten, locked, gone). These forms are said to be non-tensed. Non-finite clauses are illustrated by the following examples: 1 They want to hire a caravan. to-infinitive clause 2 Tim helped her carry her bags upstairs. bare infinitive clause 3 We found Ann sitting in the garden.-ing participial clause 4 The invitations were sent written by hand.-en participial clause Most of these non-finite verb forms occur in the following passage from A. J. Cronin’s The Citadel. (Note that the same form serves for both the finite and non-finite status of many English verbs; locked and shut, for instance, each function both as a tensed (past) form and as a non-finite -en participle.) 1 Three men, cramped together on their bellies in a dead end, were doing their best 2 3 to revive another man who lay in a huddled attitude, his body slewed sideways, 4 5 one shoulder pointing backwards, lost, seemingly, in the mass of rock behind him. 1 2 3 4 non-finite, -en; non-finite, to-infinitive; non-finite, -en; non-finite, -ing; 5 non-finite, -en. B Independent and dependent clauses A further necessary distinction to be made is that between independent and dependent clauses. An independent clause (indep.cl) is complete in itself, that is, it does not form part of a larger structure, whereas a dependent clause (dep.cl) is typically related to an independent clause. This is illustrated in the following sentence: They locked up the house (indep.cl), before they went on holiday (dep.cl). All grammatically independent clauses are finite. Dependent clauses may be finite or non-finite. In the previous example, the finite dependent clause before they went on holiday can be replaced by a non-finite clause before going on holiday. The dependent status of non-finite clauses is signalled by the form itself. Only independent clauses have the variations in clause structure that make for the different clause types: declarative, interrogative, imperative and exclamative (see Module 23): BASIC CONCEPTS 13Jack’s flat is in Hammersmith. (declarative) Is his address 20 Finchley Road? (interrogative) Give me Jack’s telephone number. (imperative) What a large apartment he has (exclamative) Dependent clauses, even when finite, do not have these possibilities. C. Finite dependent clauses Seven kinds of finite dependent clause are illustrated in this section, along with three important sub-types of the nominal clause. The subordinate status of a finite dependent clause is normally signalled by means of subordinating conjunctions (‘subordinators’) such as when, if, before, as soon as in circumstantial clauses, as in 1 below (see also 35.2), or by ‘relativisers’ such as which, that in relative clauses as in 2 (see 49.3): 1 As soon as she got home, Ann switched on the television. 2 Paul took one of the red apples that his wife had bought that morning. Nominal clauses fulfil the functions of Subject, Object and Complement in clause structure. In a sentence such as He saw that the bottles were empty, the clause that the bottles were empty is embedded as a constituent (in this case as Object) of the superordinate clause he saw x. The part without the embedded clause is sometimes called the matrix clause. The main types of nominal clause are the that-clause 3, the wh-nominal relative clause 4 and the dependent wh-interrogative clause 4 and 5. The dependent exclamative 6 is a further type of wh-clause: 3 He saw that the bottles were empty.(that-clause) 4 What I don’t understand is why you have come here. (nominal relative clause + dependent wh-interrogative) 5 I’ll ask where the nearest Underground station is. (dependent wh-interrogative) 6 She said how comfortable it was. (dependent exclamative clause) Embedded clauses are discussed and illustrated in chapters 2 and 3. Comparative clauses occur following the comparative forms of adjectives and adverbs. The comparative clause, introduced by than, provides the basis of comparison: 7 The results are much better than we expected. Supplementive units are not integrated into the main clause, as embedded units are, but add supplementary information. They are subordinate but not embedded. They are set off from the main clause by commas, or by a dash, and have their own intonation contour. Here is an example of a supplementive non-finite -en clause: Built of cypress, brick and glass, the house exhibits many of the significant con- tributions that Wright made to contemporary architecture. 14 ENGLISH GRAMMARIn spoken discourse, and in written texts that imitate spoken language, such as fictional dialogue, we can often come across supplementives that are freestanding, despite their subordinate form, as in the following italicised example (see also chapters 5, 7 and 10): The large size doesn’t seem to be available. Which is a pity. Not only clauses, but other units can have the status of ‘supplementives’ (see 49.2). A subsidiary type of clause is the verbless clause. This is a clause which lacks a verb and often a subject also. The omitted verb is typically a form of be and is recoverable from the situational or linguistic context, as in: Book your tickets well in advance, whenever possible. ( = whenever it is possible) (See also Chapter 5.) The following extract from Elaine Morgan’s, The Descent of Woman illustrates this type very well: Man, apes and monkeys can all be observed to cry out when in pain, flush when enraged, yawn when tired, glare when defiant, grin when tickled, tremble when afraid, embrace when affectionate, bare their teeth when hostile, raise their eyebrows when surprised, and turn their heads away when offended. We shall also classify as verbless clauses many irregular constructions such as the following: Wh-questions without a finite verb: Why not sell your car and get a new one? Adjuncts with the force of a command, Hands off Into the shelter, everybody sometimes with a vocative: Ellipted interrogative and exclamative Sure? (Are you sure?) Fantastic (That/It is clauses: fantastic) Proverbs of the type: Out of sight, out of mind. Finally, we shall call abbreviated clauses those such as can you? I won’t, has she? which consist of the Subject + Finite operator alone, with the rest of the clause ellipted because it is known. These clauses typically occur as responses in conversational exchanges and as tags (see 22.4), but can also express such speech acts as reprimand (Must you?), given an appropriate social context. BASIC CONCEPTS 152.4.2 Classes of groups Groups are classified according to the class of the word operating as the main or ‘head’ element. Headed by a noun, an adjective, an adverb and a verb respectively, we can identify the following classes: Nominal Groups (NG) films, wonderful films by Fellini Verbal Groups (VG) return, will return Adjectival Groups (AdjG) good, quite good at languages Adverbial Groups (AdvG) fluently, very fluently indeed Units such as these centre round one main element, which prototypically cannot be omitted. Furthermore, the main element can replace the whole structure: films, return, good and fluently can have the same syntactic functions as the whole group of which each is head, or, in the case of return, as lexical verb. By contrast, the unit formed by a preposition and its complement, such as on the floor, is rather different. The preposition can’t function alone as a unit. Both elements are obligatory. This unit will therefore be called the ‘Prepositional Phrase’ (PP). 2.4.3 Classes of words Words are classified grammatically according to the traditional terminology, which includes noun, verb, adjective, adverb, preposition, pronoun, article and con- junction. These ‘parts of speech’ are divided into two main classes, the open and the closed. The open classes are those that freely admit new members into the vocabulary. They comprise noun, verb, adjective and adverb. The closed classes (preposition, pronoun and article) do not easily admit new members. Prepositions have gradually expanded their membership somewhat by admitting participles such as including, concerning, but the remaining classes are very resistant to the introduction of new items. This has been noticeable in recent years when attempts have been made to find gender- neutral pronouns. 2.4.4 Classes of morphemes Words are made up of morphemes. We shall consider the morpheme to be an abstract category that has either a lexical or a grammatical meaning. We have already indicated in 2.3 that a word such as effects can be considered as formed from the lexical morpheme EFFECT + the PLURAL morpheme. These abstract categories are realised by morphs such as effect and -s or /ifekt/ and /s/, the actual segments of written and spoken language, respectively. Since the study of words and morphemes takes us out of syntax, and into morphology and phonology, the scope of this book does not allow for further treatment of these units. 16 ENGLISH GRAMMAR2.5 THE CONCEPT OF UNIT STRUCTURE The term ‘structure’ refers to the relationships that exist between the small units that make up a larger unit. For example, the basic components of a table are a flat board and four long thin pieces of wood or metal, but these elements do not constitute a structure until they are related to each other as a horizontal top supported at the corners by four vertical legs. In this way, each ‘element’ is given its position and its ‘function’, which together we may call the ‘grammar’ of all those members of the general class of objects called ‘table’. Everything in our lives has structure. A house may be built of bricks, but its structure consists of rooms having different formal, functional and distributional characteristics. Tables, chairs, cars, all objects are composed of functionally related ‘formal items’; and the same applies to activities such as speeches, plays, concerts and football matches. It is natural that languages, which are the spoken and written representation of our experience of all these things, are also manifested in structured forms. Linguistic struc- tures are described in terms of the semantic functions of their various elements and the syntactic forms and relationships which express them. We have seen in 1.3.1 a brief preview of the main semantic elements of the clause, together with some of the possible configurations produced by the combinations of these elements. Groups, whose function it is to express the things, processes, qualities and circumstances of our experience, also have semantic elements and structures. These are different for each type of group and are treated in the relevant chapter on each of these classes of unit. Here we shall briefly present the syntactic elements of all ranks of unit. 2.5.1 Syntactic elements of clauses Clauses have the greatest number of syntactic elements or functions of all classes of unit. The criteria for their identification, the syntactic features and the realisations of each are discussed in Chapter 2. Here we simply list and exemplify the clause elements within common clause structures. The type of structure used in order to express a ‘situation’ or ‘state of affairs’ depends to a great extent on the verb chosen. Verb complementation types are treated in Chapter 3. Subject (S) Jupiter is the largest planet. SPCs Predicator (P) The election campaign has ended.SP Direct Object (Od) Ted has bought a new motorbike. SPOd Indirect Object (Oi) They sent their friends postcards. SPOiOd Prepositional Object (Op) You must allow for price increases. SPOp Subject Complement (Cs) He is powerless to make any changes. SPCs Object Complement (Co) We consider the situation alarming. SPOdCo Locative/Goal Complement (C ) We flew to Moscow. SPC loc loc Circumstantial Adjunct (A) The news reached us on Tuesday. SPOdA Stance Adjunct (A) Unfortunately, we could not reach York in time. ASPOdA Connective Adjunct (A) However, other friends were present. ASPCs BASIC CONCEPTS 17

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