HUMANIORA

VOLUME 29 Number 2 June 2017 Page 207214

Hallidays Functional Grammar:

Philosophical Foundation and Epistemology

Nguyen Thi Tu Trinh, Phan Van Hoa & Tran Huu Phuc
University of Da Nang, Vietnam
Correspondence email: [email protected]

Abstract
It is difficult to track the philosophy foundation and epistemology of systemic functional
grammar (SFG) formulated by Halliday in the 1980s as this kind of grammar views language as
a systemic resource for meaning. Besides, it has had global impacts on linguistics and flourished
in contemporary linguistic theory. Anyone who is familiar with Hallidays work realizes that his
SFG is an approach designed to analyze English texts. Halliday (1994: xv) explicitly states that to
construct a grammar for purposes of text analysis: one that would make it possible to say sensible
and useful things about any text, spoken or written, in modern English. The aim of this study is not
about the applicability of SFG to text analysis as many researchers and scholars do. Our efforts are
made to clarify the philosophical foundation of Hallidays SFG. The paper presents on triangle: (i)
language, mind and world; (ii) and empiricism in Hallidays SFG.

Keywords: Systemic functional grammar; philosophical foundation; epistemology; meaning and

text.

INTRODUCTION in-depth analysis of the grounding of Hallidays

There have been considerable interests in SFG SFG theory: philosophical ideas and epistemology
raised by Halliday since 1985. Many other in his work. Our attempts have been made to
linguists have been attracted by this new approach point out its grounding: philosophical ideas and
and major contributions are now being made by epistemology in SFG. It is hopeful that this study
a new generation of SFG linguists. Particularly, will explore more theory of SFG.
SFG is employed to descriptions of language and Hallidays SFG is so complicated, broad and
typology. With the first attempt to describe English, philosophical that we cannot cover all matters in
Halliday started to analyze and describe Chinese in this single study. Therefore, in this study we just
the 1940s and 1950s (Halliday 1956; 1959). Since closely examine experimental metafunction and
then, a considerable number of languages such consider it in relation to philosophy.
as Danish, French, German, Japanese, Korean,
Thai, Vietnamese and many others (Mwinlaaru Some Previous Studies
and Xuan 2016) have been described within Halliday (1985:192) describes language as a
SFG. They have made great contributions to semiotic system, not in the sense of a system of
empowering SFG theory. It is widely recognized signs, but a systemic resource for meaning. This
that any linguistic theory must be well built on a work is considered as a skeleton for his functional
firm philosophy foundation and epistemology and grammar theory.
so is SFG. However, to my knowledge there is no Halliday and Matthiessen (2004) give an in-

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depth explanation of how human beings construe structure. First, he points out that prosodies are
their experience of the world. The construction of features extending over stretches of an utterance.
experience is usually thought of as knowledge, They include not only pitch, stress, tone and rhythm
represented in the form of conceptual taxonomies, but also lip rounding or nasalization, when these
schemata, scripts and others. The focus of the book are used to account for phonological restrictions,
is both theoretical and descriptive. The authors or to characterize grammatical structures. Second,
consider it important that theory and description he suggests conducting contextual analysis on
should develop in parallel, with constant four levels: 1) phonological analysis; 2) lexical
interchange between the two. and semantic analysis; 3) grammatical analysis
Bloor and Bloor (1995) present a short and 4) the analysis of the context of situation.
account of the analysis of English for those Finally, he focuses on figuring out the differences
starting out with functional grammar. It sets out between system versus structure; that is, system
the tools and analytic techniques of Hallidayan is the theoretical representation of paradigmatic
grammar with clear explanations of terminology relations, contrasted with structure for syntagmatic
and illustrates these with examples from a variety relations. To my knowledge the two conceptions
of texts, including science, travel, history and of Firth, concept of system and context of
literary sources. situation, are the most influential to Halliday and
Eggins (1994) introduces the principles and other younger functional linguists. In systemic
techniques of the functional approach to language. theory the system takes priority: the most abstract
This approach views language as a strategic, representation at any level is in paradigmatic
meaning-making resource, systemic linguistics, terms. Syntagmatic organization is interpreted as
and offers the analysis of authentic, everyday texts. the realization of paradigmatic features.
In addition, it asks both how people use language Hjelmslev (1969) offers some general criteria
to make meanings, and how language itself is for a theory of language, types of dependences,
organised to enable those meanings to be made. morphemes and phonemes, levels of language,
In the late 20th century, namely the early langue and parole, neutralization and structuralist
1960s, a new linguistic theory appeared and linguistic theory, glossematics. In his theory, he
changed our viewpoints, critical thinking and transforms Ferdinand de Saussures structural
reasoning about language. That is FG. FG has linguistics into a rigorous formalistic theory
its roots from Prague school. The structuralist of language. Its basic claim is that language
functionalism of the Prague school was the is a general semiotic. structure of relations,
earliest functionalist framework developed in and there are dichotomies of expression versus
the 1920s. Hjelmslev, the Prague scholar, and content, form versus substance, langue versus
Firth, the London scholar, are considered the parole. Garvin (1954) states that Hjelmslevs
fathers of functionalism; a new approach in expression and content are roughly analogous to
linguistics. In the process, these linguists raise what linguists usually call form and meaning.
public awareness of functionalism in linguistics Particularly, Hjelmslev (1953:69) defines that
and inspire other scholars to do research, develop a meta-(scientific semiotic) as a metasemiotic
and expand functional approach. Hallidays SFG whose object semiotic is a scientific semiotic (a
has been constructed and developed on the ground semiotic that enters as a plane into a semiotic is
of Firth (1948) and Hjelmslev (1969) account. said to be the object-semiotic of that semiotic).
Halliday (2002:12) follows Hjelmslev and Firth He also mentions many new terminologies in
in distinguishing theoretical from descriptive linguistics such as: glossematics, function, meta,
categories in linguistics. He argues that theoretical ditchotomy, paradigm, analog and others, and
categories, and their inter-relations, construe an these terminologies are widely used in Halliday
abstract model of language...they are interlocking functional grammar. As far as we can see,
and mutually defining. Hjelmslevs Prolegomena can serve as a skeleton
Firth (1948) explains the three significant for more far-reaching of Hallidays theory of
matters: prosodies, context and system versus functional grammar. Glossematics is considered

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 Nguyen Thi Tu Trinh; Phan Van Hoa; Tran Huu Phuc - Hallidays Functional Grammar

as one of his most important contributions to it is language as theory of reality, as a resource

linguistics and has had global impact. reflecting our real world. Martin (1997) takes an
example in this work that lets imagine you look up
Hallidays philosophical ideas in his at the sky with a number of things happening all the
SFG time. All these goings on and phenomena are reflected
This section is devoted to finding out the in our mind with a mental picture and construe a
philosophical ideas in his SFG. In the following quantum of change as one process configuration. The
section we address an issue regarding on triangle: output of this process is realized in lexicogrammar
language, mind and the world as one clause; for example: a kite is flying across the
sky. With this we have turned our experience into
meaning and into wording. In other words, we are
Language, mind and world in Hallidays SFG concerned with the construal of human experience
Like other philosophers, Halliday (2000) draws as a semantic system since language plays the central
a triangle in which lines connect language, role not only in storing and exchanging experience
mind and the world. The three lines represent but also in construing it. When interpreting this clause
relations that are keys to understand our place in the view of experimental metafunction, we analyze
in reality. These relations in one or another way and label it in terms of Transitivity system including
constitute the meaningfulness of language and are Participant, Process and Circumstance as follows:
shown in figure 1.
(1)
Figure 1 A kite is flying across the sky
On triangle: language, mind and the world within Actor Pro: material Circumstance
SFG
(Martin et al. 2009: 101)
World
(1) is an example of material Process in Transitivity
system; flying is often used as an example of
material clauses and a kite is interpreted as
Actor. The entity doing an action encoded in
Language Mind material process clauses above is labeled actor.
Halliday (1977) states that there is the identification
of two grammatical classes based on meaning, on
A number of phenomena and things in real semantic function: verb, expressing (an) action,
world are reflected in our mind, and our mind and noun, expressing (the) actor; the two combine
encodes the goings on, creates a mental picture to make up a piece of discourse. Here verb and
and invests meanings in language. Halliday noun are the names of classes; but they are defined
understands and grasps the inter-relationship of by their functions - functions in transitivity, in the
language, mind and the world and applies it in linguistic representation of actions and events -
his SFG, especially in three lines meanings of and, naturally, the verb is identified first, the noun
structure the three metafunctions. The core idea being then derived from it.
of SFG is the three distinct modes of metafunction According to Halliday (2004), the transitivity
namely: Interpersonal, Textual and Experimental system construes the world of experience into
(ideational) metafunction, and each metafunction has a manageable set of PROCESS TYPES. Each
its own system of choices. Then each choice results process type has its own model or schema for
in a typical structure. Experimental (ideational) construing a particular domain of experience as a
metafunction is the focus of our study as we stated gure of a particular kind a model such as the
in our introduction, and we dedicate all this section one illustrated above for construing signication:
to discuss and analyze it. Experimental (ideational) Token (usually) + Process (means) + Value
metafunction is concerned with construing experience

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{
(mostly).
It has come to our attention that the language Doing { Material
Behavioral
structures each experience as a semantic
configuration consisting of Process, Participant
Process types
Projecting { Mental
Verbal
and Circumstance. These elements provide the
framework for interpreting our experiment of
Being { Relational
Existensial
what goes on. The concepts of Process, Participant
and Circumstance are semantic categories which When interpreting a clause in line with
explain the most general way how phenomena of experimental metafunction, Halliday represents
the real world are represented as linguistic structure. our experience into different process types. We and
We will discuss their functions in a later section. many other scholars and researchers bear in mind
Halliday (2004) offers the tripartite interpretation a question why Halliday categorizes and labels six
of Process, Participant and Circumstance as shown kinds like that and tries to find out a good reason
in Figure 2. for this matter. In our opinion, Halliday sees the
inter-relationship of language, mind and world and
Figure 2 applies it in his theory. There are three worlds in
The tripartite interpretation of the Process, his theory: the outer world, the inner world and
Participant and Circumstance in the experimental the abstract relationship world in experimental
structure of the clause
metafunction. The outer world is the physical
(Halliday & Matthiessen. 2004: 176)
world with natural phenomena, human beings as
well as entities activities, and it is realized into
Material, Existential and Behavioral processes.
The inner world is the world of consciousness
and awareness including processes of perception,
cognition and affection, and it is realized into
Mental and Verbal processes. The last world is the
abstract relationship between human and nature,
relationship among human beings and it is realized
in Relational processes. The three worlds and their
processes in grammar of experiment are shown in
figure 3.

Figure 3
The three worlds and their processes in grammar
of experiment

According to Halliday (2004) the transitivity

system of a language construes experience into
a small set of domains of meaning which differ
according to the process itself and the nature of the
participants involved in it. Processes play a central
role in transitivity. The process centers on that part
of the clause that is realized by the verbal group,
but it can also be regarded as what goings-on are
represented in the whole clause. There are indeed
six different process types identified by Halliday
(1985): material, behavioural, mental, verbal,
relational, and existential as follows:

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It can be seen from figure 3 that there are some but at the semantic ground, sentence (2a) is
overlaps and complementarities. For this, we turn synonymous with (2b). It is clear that the
back to the transitivity system. It is widely claimed semantics of the verb gave is not the problem
that process types make distinctions of clause and it commonly subsumes material processes.
types. However, the issue arises when the type of The difficulty here is due to the combination of
process and clause conflicts. In some indeterminate the participant. Conceptually, at the semantic level
cases, it is impossible to label a clause type as well of process, gave belongs to material processes
as set a clear borderline among these processes (i.e. I gave him my notebook) but at the level of
and worlds due to the semantic conflict between semantics of clause we have to determine whether
clause and process types. To settle this conflict, we (2a) and (3a) are material or behavioral processes.
are in favor of semantic content. In other words, In these cases, with the view of semantics of
as the conflict between the process type and clause clause, considering clauses as making and
type occurs, we suggest making a decision to exchanging messages, it is suggested that (2a) and
favor semantic clause interpretation. This helps (3a) be Behavioral processes. It is clear that there
analysts have a firm framework and evidence to are overlaps among these processes and worlds
determine the clause type and function. Moreover, and these overlaps cause some indeterminacy
Halliday (1994) broadened the traditional notion for functional linguists to classify and categorize
of transitivity to shift the focus away from entirely the process types in experiential metafunction.
being marked on the verb. However, there is some Halliday (2000) states that natural language is
considerable disagreement between the semantic an indeterminate system and the generalized
and syntactic streams of information, and this categories that constitute language as a system
causes some indeterminate cases for analysts as order, rather than as randomness or chaos
(Gwilliams & Fontaine. 2015, ODonnell et al. (let us say randomness rather than chaos, since
2009). chaos in its technical reading is also a form of
Let us consider the example of behavioural order) are typically not categorical: that is,
processes; these happen in a mixed category, they do not display determinate boundaries, fixed
formed by the overlap of the material, on the criteria of membership, or stable relationships
one side, and the mental or verbal on the other. from one stratum to another. (Halliday, 2000:562)
Behaving is construed as a type of figure that (like According to Halliday (1977) there are two
the mental) typically has a conscious participant as main traditions in Western thinking about meaning:
the central role, and does not extend beyond this (i) one oriented towards logic and philosophy,
to a second participant; but, on the other hand, it with language seen as a system of rules;
does not project, and it has a time frame like that (ii) one oriented towards rhetoric and
of the material. Thus behavioral processes lie in a ethnography, with language seen as resource.
fuzzy borderline (Halliday 2000). Let us consider It is typically the logical-philosophical
the following example pairs: tradition that provides the background for work
on knowledge representation and proposals for
(2a) I gave him this very cold stare. the knowledge base. Since the 50s, a link has been
(Sailing. 1951: 38) forged between this tradition and cognitivism under
(2b) I stared at him coldly. the general rubric of cognitive science. However,
(3a) He gave me a stare of newly-awakened although it is less often referred to, the rhetorical-
surprise. ethnographic tradition is equally relevant to work
(Bronte. 1858:121) on the modelling and representation of knowledge.
(3b) He stared at me surprisingly. Halliday adapts these two orientations but he
is rather in favor of rhetoric and ethnography
Here at the syntactic ground, the grammar in in his work. In fact, Halliday and Matthiessen
(2a) is completely different from (2b) particularly (2000:417) states that the two orientations differ
the choices of process realized in each sentence in the metafunctional scope of their models of
semantics. In the logico-philosophical orientation,

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meaning is closely associated with representation, (Chapman 2009: 71). On the contrary, Hallidays
reference, denotation, extension or aboutness, functional grammar theory is constructed on the
so the metafunctional scope is restricted to foundation of empiricism. Halliday states that
the ideational metafunction: semantics means each individual member of that species constructs
ideational semantics the functioning mental map of their phenomenal
world: of their experience of process, both what
Empiricism in SFG goes on out there and what goes on in the realms
It is widely recognized that there is a close of their own consciousness (Halliday 2000: 10).
connection between linguistics and philosophy. Hallidays stance on linguistic theory is expressed
Any linguistic theorist must offer a comprehensive in these strongly empiricist words. Halliday also
theoretical framework that is most widely employed mentions cognition in his work but he explains
in language description, particularly grammatical that:
descriptions of entire languages. Hallidays theory
firmly is based on a philosophical background We are saying that cognition is (that is,
and epistemology. Empiricism and rationalism can most profitably be modelled as) not
are considered as the two dominant thoughts in thinking but meaning: the mental map is in
epistemology and the dispute between empiricism fact a semiotic map, and cognition is just a
and rationalism is as old as Aristole and Plato. way of talking about language. In modelling
Aristole and Plato took different views on the knowledge as meaning, we are treating it as
paved road to knowledge, namely empiricism a linguistic construct: hence, as something
and rationalism. Aristole believed in and applied that is construed in the lexicogrammar.
empirical approach whilst Plato devoted himself Instead of explaining language by reference
to the rational one (Willis. 2009). to cognitive processes, we explain cognition
Rationalists generally develop their view in by reference to linguistic processes.
two ways. First, they argue that there are cases (Halliday, 2000:11).
where the content of our concepts or knowledge
outstrips the information that sense experience
can provide. Second, they construct accounts of It is safe to say that Hallidays systemic
how reason in some form or other provides that functional grammar views language as a social
additional information about the world. Empiricists semiotic and a resource people use to accomplish
present complementary lines of thought. First, their purposes by expressing meanings in context
they develop accounts of how experience provides and making meaning central to his theory. Social
the information that rationalists cite. Second, semiotics has been strongly influenced by the work
empiricists attack the rationalists accounts of of Halliday (1978) Language as Social Semiotic.
how reason is a source of concepts or knowledge This work argues against the traditional separation
(Kenny. 1986). The two famous ancient Greek between language and society, and exemplifies the
philosophers, Chomsky (1988) and Halliday start of a semiotic approach, which broadens the
(1985) have different stances on their linguistic narrow focus on written language in linguistics
theories. Chomskys generative linguistics takes (Halliday 1978). For Halliday, languages evolve
rationalism as a central concept in his theory (See as systems of meaning potential (Halliday
Nguyen Thien Giap 2014: 1-9) and Chomsky is 1978:39) or as sets of resources which influence
considered as the most prominent contemporary what the speaker can do with language, in a
defender of a form of rationalism. Chomsky particular social context. For example, for
(1988), along with his co-workers in linguistics Halliday, the grammar of the English language is a
and philosophy, has used poverty of stimulus system organised for the following three purposes
consideration in support of the thesis that human (areas or metafunctions). Halliday claims that
knowledge of natural language is innate with the internal organization of language is not
two interesting issues; namely innate language arbitrary but embodies a positive reflection of the
acquisition device and universal grammar functions that language has evolved to serve in

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 Nguyen Thi Tu Trinh; Phan Van Hoa; Tran Huu Phuc - Hallidays Functional Grammar

the life of social man (Halliday 1976: 26). Based to the text itself and sees clause as message
on three metafunctions or three lines of meanings (Halliday.1985). The following are examples of
suggested Halliday (1985) English clauses are Theme-Rheme analysis.
analysis in terms of three aspects of meanings:
the first is ideational meanings with transitivity Mrs. Healthcliffs lip quivered Slightly
system: Participant Process Circumstance, Theme Rheme
Interpersonal meaning with Mood, Modality and
Textual with Theme and Rheme, Given and New. CONCLUSION
First of all, Let us illustrate how English Halliday describes language as a semiotic system
clauses are analyzed in terms of experimental and the philosophical foundation of Hallidays
(ideational) meaning in light of Hallidays SFG is empiricism. Halliday is considered as a
functional grammar. paradigmatic empiricist. The word paradigmatic is
repeatedly mentioned in his work (2004). Halliday
slightly at her views language as social semiotic and highlights
Her hands trembled
work the concept of an act of meaning - of speech as a
Behaver Pro: behavioral Cir: manner symbolic action. In SFG, clauses can be analyzed
on the basis of how they represent the world
(Lawrence. 1913: 158) (experimental metafunction), how they enact
social relations (interpersonal metafunction) and
In their experimental meaning, Halliday how they create a message (textual metafunction).
(1985) takes processes or employs verbs as the Of the three metafunctions, the one that deals with
core role of clauses and the other participants are the ability of language to convey some information
labeled respectively. Halliday classifies processes about reality and construe experience through
into six categories namely material, mental, meaning at the lexico-grammar stratum is the
relational, behavioral, verbal, and existential. experimental metafunction. The conceptualization
Secondly, as for interpersonal meaning, of patterns of experience is represented in language
English clauses are examined in functional by choices in the system of transitivity. The inter-
perspective of Modality and Mood. It seems relationship of language, mind and world are
possible to recognize a simple but very basic aspect construed into three worlds namely the outer world,
in terms of modality, one which considers clauses the inner world and the abstract relationship world.
as utterances and examines them in light of social In addition, it is clear that empiricism is readily
role function. An utterance often has an element available in SFG. Last but not least, SFG puts the
of content and should be seen as exchange of act of meaning theory and text analysis in contexts
information in a particular context. Let us consider in a higher position than form (structuration) and
the following example based on the framework linguistic competence. Empiricism and SFG have
(Mood-Residue) suggested by Halliday (1985). been prominent in linguistics for a long time and
it is hopeful they will be much more powerful in
the future.
Mr. Edgars
depressed me exceedingly
coldness
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