Chapter 3- Interpersonal Meanings

Task 1- Consider the following exchange, where does it

take place, who are the interlocutors, (the TENOR),
that is, who is talking to whom? Which features of
language reveal them?

TIT FOR TAT.

“When I recently asked my husband, ‘Why are those
trousers lying on the bed?’, he replied: ‘Because they
need washing.’ If it happens again, how can I respond
without causing a bad atmosphere between us?”

“Empty the kitchen bin on the bed ‘because the rubbish

bag needs taking out’. Park your car in the hall
‘because the oil needs changing’. Just remember, he
started it.”
69
Clause as Exchange

One function of language is as a means of constructing

interaction; the clause is organized as an interactive event
involving a speaker/writer and a listener/reader.
The speaker/writer together with his/her interlocutor(-s)
(listener/reader) engage in a social and discoursal relation,
by assuming discourse roles.
For example, when you ask a question, you act as seeker of
information, and the addressee may (or may not) take on the
role of supplier of the information being demanded.

We will then ask:

a) What kind of interaction is taking place?

b) What are the lexico-grammatical resources used to

construe the interaction?

70
 Basic SPEECH FUNCTIONS
Commodity
Act
goods & services information
OFFER STATEMENT
giving Would you like some coffee? I drink coffee
Have some coffee. every morning.
I’ll get you some coffee.

COMMAND QUESTION
Suggestive: Invitation, What is your
Recommendation favourite drink?
Let’s get some coffee,
demanding (shall we?) Is coffee your
Coercive favourite drink?
Make me some coffee!
Spend some quality time
together in Northumbria.
proposals propositions
Table 1- The 4 basic speech functions 71
As can be seen in the table above (adapted from
Halliday 1994: 69), interaction, when thought of in
terms of the types of meanings being exchanged, can
be reduced to four main moves corresponding to the
two acts of giving or asking for information
(respectively, statement and question), and to the
other two of giving or asking for something, either
good or service (respectively, offer and command).
In other words, interaction is seen as a sequence of
propositions and /or proposals.
From the point of view of the listener/reader, there
are various ways in which he/she can comply with the
discourse role he has been assigned and contribute
to carry on the interaction initiated by the
speaker/writer (see the following table).

72
Speech Preferred response Dispreferred
function response
Offer acceptance rejection

Command undertaking refusal

Statement acknowledgement
agreement disagreement
Question answer disclaimer

Table 2- Speech functions and responses (adapted from Halliday 1994: 69)

Notice that not all communicative functions need a

verbal response, e.g. a command is successful if the
action demanded is carried out (non-verbal response).

73
Examples of:

Response to offer: Yes please/No thanks.

Response to command: Listener does something, i.e.

carries out the command, or doesn’t do it.

Response to statement: Listener acknowledges the

proposition by either agreeing or disagreeing
(e.g. Yes / Right / mm / No, that’s not true,
etc.)

Response to question: Yes/No, I didn’t know, etc.

TAGS
TAGS signal
signal explicitly
explicitly that
that some
some feedback
feedback isis required
required
and
and what
what kind
kind of
of feedback
feedback it
it is
is expected
expected toto be
be (i.e.
(i.e. the
the
kind
kind of
of reaction).
reaction).
Ex.
Ex. Let’s
Let’s get
get some
some coffee,
coffee, shall
shall we?
we?
You
You drink
drink coffee
coffee every
every morning,
morning, don’t you?
don’t you?
74
 3.1. The MOOD SYSTEM

Declarative
(Statement)
Indicative Yes/no (polar)

Clause Interrogative
(Question)
Wh-
(content)
Imperative
(Command,
Suggestion)

Fig. 6- The system of MOOD

Adapted from Matthiessen and Halliday 1997

75
The communicative (or speech) functions we have been
considering are variously construed in the clause by
means of grammatical choices made within the MOOD
system, as can be seen in the figure above. Notice that
there are at least three standard ways to make an offer
(see the examples in Table 1 sl. 71). Moreover, there
being no one-to-one correspondence between grammar and
semantics, there are, for example, also Moods other
than the imperative you can choose to give a command
(e.g. Will you shut up, please?, with a modalized
interrogative).
There is one particular component of the clause that is
involved in the grammatical variation that occurs and
that is essential for carrying the exchange between the
speakers and hearers forward.
This is called the Mood block: it is made up of two
parts, each of which has a particular semantic
contribution to make to the clause: the Subject, which
is the nominal component and the Finite, the verbal
component (see following slide). 76
 The Mood block
Subject= the grammatical Subject of earlier
terminology, i.e. that of which something is
being predicated, having person and number
agreement with the verb (see slide 63).

Finite= that part of a VG which expresses

TENSE (past, present, or future) by reference
to the time of uttering, or MODALITY (e.g.
can, could, must, etc.), and POLARITY, i.e.
positive/negative validity.

Past Present Future

Now =
Time of uttering 77
Finiteness is thus expressed by a verbal operator,
which is either temporal or modal. Notice that in some
instances (unmarked declarative simple past, e.g. She
left her old job, or simple present with positive
polarity, e.g. She now works for IBM) the finite
element and the lexical verb are ‘fused’ into a single
word:
The duke gave that teapot to my aunt
Subj. give + [Past]

The forms of the verb DO (does/doesn’t, did/didn’t,

etc.) function as Finite in interrogative, negative
and contrastive clauses: The
The TAG
TAG test:
test:
Subj.
Subj. and
and Finite
Finite
Ex. A: Do you know Stella? are
are repeated in
repeated in
the TAG!
the TAG!
B: No, I don’t (know her).
Ex. A1: You don’t know Stella, do you?
B1: Yes, I do know her.
78
 Residue: Predicator, Complement, Adjunct

How do we analyse the elements that fall outside the

mood block? The other main component of the
structure of Mood is the Residue. The Residue
consists of elements of three kinds: the Predicator,
the Complement (one or two at most), and the Adjunct
(which may be numerous).

Predicator = the non-finite, the VG minus

the Finite (i.e. the main temporal
information or the modal operator).
Ex. The duke is drinking.
Subj. ^ Finite ^ Predicator

79
Complement = the Object or Complement of many
other grammars; it is the element that has the
potential of being the Subject, but is not; it
is typically realized by a NG or an Adjectival
Group.
Ex. The duke is drinking his cup of coffee.
Subj. ^ Finite ^ Predicator ^ Complement

Adjunct = an element giving extra, or

‘adjunctive’, information about the other
elements of the clause; it is typically
realized by an AG or PP.
Ex. The duke never drinks coffee in the
evening.
Subj. ^ Fin. + Predic. ^ Complement ^ Adjunct
There
There are
are also
also elements
elements outside
outside the
the Mood
Mood and
and Residue
Residue structure:
structure:
among these,
among these, Vocatives
Vocatives (e.g. Stella, can you get the dog out?),
(e.g. Stella, can you get the dog out?),
Expletives
Expletives (e.g. Get that bloody dog out!), Conjunctions and
(e.g. Get that bloody dog out!), Conjunctions and
Conjunctive Adjuncts (e.g. And don’t let the dog in again!)
Conjunctive Adjuncts (e.g. And don’t let the dog in again!) 80
 The MOOD block and its
function
Therefore, the ordering of Subject and Finite
shows whether information/goods & services are
being given or asked for. In other words, what
goes in the mood block is dictated by the mood
type.

The mood block has “a clearly defined semantic

function: it carries the burden of the clause
as an interactive event” (Halliday 1994: 77).
As the following dialogue shows, the part of
the message which is being picked up and re-
used to keep the exchange going is precisely
the mood block.
81
Mother Beauty, you cruel girl, what have you
done to your sisters?
Beauty Nothing Mother, they did it to
themselves.
Salmonella It's Beauty's fault, she ruined my
beautiful hair.
Rubella And she sprayed the soda siphon all over
my beautiful nightie.
Listerine And she knocked me down and sat on
me.
All (Pointing) She did it mother!
Beauty Oh no I didn't.
Others Oh yes she did.
Audience Oh no she didn’t.
Beauty Oh no I didn’t. etc.
Mother Well, I don't know what to believe. Tell
me Salmonella darling, what did that
nasty Beauty do to you?

(from Beauty and the Beast. A pantomime.)

82
 Pantomimes
Perfect examples of the ‘clause as an interactive
event’ are the dialogues between principals and the
semi-improvised interactions between actors and
audience in pantomimes***.
Notice the function of the mood block in the extract
given above: it is the pivot of the whole negotiation
between participants in the exchange, and the shifts
of Subj. and Finite keep the interaction going (did
you, they did, she did, I didn’t, she did, she didn’t
etc.)
***(from
***(from the
the NSOED
NSOED in
in CD-rom)
CD-rom) pantomime.
pantomime. AA traditional
traditional
theatrical
theatrical performance,
performance, orig.
orig. in
in mime,
mime, now
now consisting
consisting of
of
aa dramatized fairy tale or nursery story, with
dramatized fairy tale or nursery story, with music, music,
dancing,
dancing, topical
topical jokes,
jokes, and
and conventional
conventional characters,
characters,
freq.
freq. played by actors of the opposite sex from
played by actors of the opposite sex from the
the
characters,
characters, chiefly
chiefly performed
performed in
in Britain
Britain around
around
Christmas.
Christmas.

We can now look more closely at the order of

Subject and Finite and how changing that order
changes the mood. 83
 The MOOD system and its
syntagmatic realizations
INDICATIVE declarative: Subj. ^ Finite

I don’t drink coffee in the evening

Adjunct
Subj. Finite Predicator Complement
(Circumstantial)
Mood block Residue

INDICATIVE interrogative, Yes/No question:

Finite ^ Subj.

Do you drink coffee in the evening?

Adjunct
Finite Subj. Predicator Complement
(Circumstantial)
Mood block Residue
84
 INDICATIVE interrogative, Wh- question,
and Wh- = Subj.: Wh- ^ Finite
Who drank my coffee?
Finite[-ed] +
Subj. Complement
Predicator
Mood block Residue

otherwise, Wh- ^ Finite ^ Subj.,

if Wh- = Circumstance/Complement

Where is my coffee?
Finite Subject
Residue Mood block

EXCLAMATIVE: Subj. ^ Finite (see declarative)

What a fool he is!
85
 IMPERATIVE, unmarked: the Mood element is missing.
The Subj. is not specified and by default can only be
the addressee (‘you’).

Make me some coffee!

Predicator Complement Complement

Spend some quality time in Northumbria.

Predicator Complement Adjunct (Circ.)

IMPERATIVE, marked for pos./neg. polarity:

the Finite is present

Do spend some quality time in Northumbria!

Finite Predicator Complement Adjunct (Circ.)

Don’t go to Northumbria!
Finite Predicator Adjunct (Circ.)

86
 IMPERATIVE, marked for person:
Finite ^ Subj. (if negative polarity)

Don’t you go to Northumbria without me!

Adjunct
Finite Subj. Predicator Adjunct
(Circ.)

IMPERATIVE, marked for person:

the Subj. is present (if positive polarity)

And you make me some coffee!

Adjunct
Subj. Predicator Complement Complement
(conjunctive)

87
A word on MARKEDNESS:
Markedness (it. Marcatezza)= a meaningful choice;
having a feature which is not that expected or
predicted by some general principle (i.e. from other
features).
Thence, in general, of any unit, construction,
configuration, etc. which is in any way a special case,
or which is simply less frequent, more rare.
(from The Oxford Concise Dictionary of Linguistics)

Ex. I will see you. -unmarked, default

Compare with the following example where the order of

words is marked, (cf. thematic structure):

Ex. You I will see. -marked,

meaning ‘you and nobody else’

88
 3.2. The MODALITY SYSTEM
Task 2- In the text below, identify all the expressions of
modality you already know, modal verbs, modal Adjuncts, etc.
What meanings do they express?
General Tips
One of the most common reasons for Brits getting into trouble
with the police in Europe is dazzling other road users. Modern
halogen headlights often need to be adjusted by a garage to
prevent dazzling, otherwise deflector strips can be used.
“It’ll be a major problem for British drivers on the
continent”, says Barry Johnson, of the AA’s International
Motoring Services.
Another old danger is the translation of diesel. It is often
referred to as ‘gasoil’ or ‘gazole’, not to be confused with
gasoline.
The future may hold even more pitfalls because a planned
European enforcement network could make traffic offences
transferable between EU members. This means a drink-driving
offence on holiday will no longer be forgotten at home. You
can’t say you have not been warned.
(The Times July 2001)
89
Modality can be defined as the grammatical
resource by which speakers/writers communicate
degrees of their opinions;
thus, it can be seen as the intermediate space
between the positive and the negative poles,
or, the various kinds of indeterminacy that
fall in between.

Pos. Neg.
Yes certainly, maybe, possibly, etc. No

always, usually, often, seldom, rarely, never

90
(I) EPISTEMIC modality or MODALIZATION:
Is the expression of degrees of PROBABILITY (or
likelihood), and degrees of USUALITY (or often-ness).

There are various resources in the lexico-grammatical

repertoire of English that a speaker can choose from to
express these epistemic meanings:

(1) a finite modal operator (may, can, will, etc., see

slides 95-97)

(2) modal Adjuncts (possibly, certainly, maybe, etc.)

(3) both (1) and (2) together (see example on slide 93)

(4) expressions such as It is usual for…, It is likely

that… I think that…
Epistemic
Epistemic comes
comes from
from Greek
Greek
επιστηµη
επιστηµη meaning
meaning ‘knowledge’
‘knowledge’
91
(II) DEONTIC modality or MODULATION:
Is the expression of degrees of OBLIGATION (or
necessity), and degrees of INCLINATION, (or
willingness).

There are various resources in the lexico-grammatical

repertoire of English that a speaker can choose from to
express these deontic meanings:
(1) a finite modal operator (must, should, will, etc.,
see slides 95-97)

(2) modal Adjuncts (gladly, willingly, etc.)

(3) both (1) and (2) together (see example on slide 94)

(4) expressions such as It is necessary…, It is

required that…, x is supposed to…, x is willing to…,
etc. Deontic comes from Greek
Deontic comes from Greek
δεον
δεον meaning
meaning ‘duty’
‘duty’ 92
 Some examples
That will be Stella.
Modalization (epistemic modality) realized by a finite modal
operator

That’s probably Stella.

Modalization (epistemic modality) realized by a modal Adjunct

That’ll probably be Stella.

Modalization (epistemic modality) realized by both a finite
modal operator and a modal Adjunct

That must be Stella.

Modalization (epistemic modality) realized by a finite modal
operator

Stella usually arrives later.

Modalization (epistemic modality) realized by a modal Adjunct

MODALIZATION is linked to the INDICATIVE mood and the

exchange of information: the meaning is maybe (i.e. either
yes or no) or sometimes (both yes and no), i.e. some degree
of probability or usuality.
93
 More examples
You should pay your taxes.
You must take your medicine.

Modulation (deontic modality) realized by a finite modal

operator - linked to command (expression of duty according
to a standard of what is right)

Shall I close the door?

I will help you with the washing up.

Modulation (deontic modality) realized by a finite modal

operator- linked to offer (expression of willingness)

MODULATION is linked to the IMPERATIVE mood and the

exchange of goods & services: the meaning is “x is wanted
to/wants to”, i.e. some degree of obligation or
inclination (see Halliday 1994:356).
94
 MODAL OPERATORS (traditionally
called modal auxiliaries)

 are always FINITE and therefore always

part of the Mood block;
 have no Subj.- Finite number agreement
(e.g. She must leave);
 form interrogatives by being placed in
front of the Subject (e.g. Must she
leave?);
 are followed directly by NEGATIONS (e.g.
She mustn’t leave)
 some have NO PAST tense forms (e.g. for
must, had to is used: She had to leave)
(based on Lock 1996)
95
Finite modal operators:

Notice that can also expresses will

Capacity (or Ability), a
category of modality which would
doesn’t fit perfectly into
may
either the epistemic or
deontic type: might
e.g. Those students can speak
English. can
could
Compare with the use of ‘can’
to express degrees shall
probability:
This can’t be Stella; it’s too should
early!
must
or degrees of obligation
(prohibition, lack of ought to
permission):
You can’t go there!
96
SEMI-MODALS
 are always FINITE and therefore always
part of the Mood block;
need  can have Subj.-Finite number agreement
(e.g. He needs to do it);
dare  form interrogatives with/without DO (e.g.
Do you need to do it? / Need you do it?);
 form negatives with /without DO (e.g. He
doesn’t need to do it / He needn’t do it)

 are always FINITE and therefore always

Have + to part of the Mood block;
infinitive  form interrogatives and negatives
Used + to with/without DO (e.g. Does he have to go
there? He didn’t use to go there, but in
infinitive
British English, Has he got to go there?
He used not to go there)

Used to expresses USUALITY in the past!

97
 MODAL ADJUNCTS
As we have already seen, modal Adjuncts can be used to
express nuances of modality. What follows is an
incomplete list of some of the most common ones:

Probability: probably, possibly, maybe, certainly, etc.

Usuality: usually, sometimes, never, etc.
Willingness: willingly, readily, gladly, etc.
Obligation: definitely, absolutely, etc.

There are also other meanings that can be expressed

through a modal Adjunct, among others,
Temporality: yet, still, once, already, etc.
Typicality: occasionally, generally, etc.
These elements can function as MOOD ADJUNCTS, as they
tend to occur within the Mood Block of which they are
part, between the Subject and the Finite. See, for
example:
But I still haven’t found what I’m looking for.
98
See also:
He definitely won’t be there on time.
However, the same Adjuncts, depending on the position they
have and on the extension of their meaning, together with the
intonation patterns with which they are uttered, can also
function as COMMENT ADJUNCTS, as in:
Definitely, he won’t come.
Other examples of comment Adjuncts include:
unfortunately, hopefully, surprisingly, of course, in my
opinion, frankly, to be honest, apparently, no doubt,
provisionally, etc.
Comment Adjuncts can be moved much more freely within the
clause than Mood Adjuncts. They are typically positioned at
the beginning (as in the example above), in the middle, or at
the end of the clause, and are separated from the rest by a
comma, or commas.

The
The main
main difference
difference between
between these
these two
two types
types of
of interpersonal
interpersonal
Adjuncts
Adjuncts is
is in
in the
the scope
scope of
of their
their meaning:
meaning: Mood
Mood Adjuncts
Adjuncts are
are
limited to the VG, whereas Comment Adjuncts refer to the
limited to the VG, whereas Comment Adjuncts refer to the whole whole
clause.
clause.
99
Task 3- Identify the elements expressing the various kinds
of modality in the following examples. Say what kind of
modality it is.

a) We definitely won’t be there on time.

b) Harry’s team will probably lose on Saturday.

c) I think he’ll almost certainly pass the exam.

d) Housework will probably be done by robots in 3004.

e) That can’t be Stella. She’s never on time.

f) This must be Harry. I recognise his knocking.

g) You must take your medicine!

h) Stella should practice the piano more regularly.

i) When we were kids, we used to spend part of our summer in

Britain.
100
 3.3. The APPRAISAL SYSTEM
Notice
Notice that
that the
the modelling
modelling
of the system
of the system is
is still
still
ongoing!
ongoing!

In discussing Appraisal, we are moving from strictly

structural grammatical issues towards ATTITUDINAL
LEXIS and lexical choices (remember, however, that we
are dealing with LEXICO-GRAMMAR! See slide 61).
APPRAISAL SYSTEMS are defined by Martin (2000: 145)
as the lexico-grammatical resources used to express
and negotiate emotions, judgments and evaluations,
together with resources for amplifying and engaging
with these evaluations.
The simplest and most basic type of Appraisal is the
indication of whether the speaker/writer thinks that
something is GOOD or BAD, but there are many other
scales of evaluation, as shown in the following
slides. Notice also that any word class can construe
evaluation.
101
Task 4- Look up all the words you don’t know in the
dictionary, give a synonymous alternative wherever possible.
What kind of evaluation/attitude is the writer construing?

DESPERATE TEENAGER. I am going to a party soon, and

there is a boy I really fancy, but I do not know the
right thing to say to him. I want to sound seductive
and flirty. Also, I am not sure what to wear. I’m
looking for make-up ideas. Please help – this is a cry
for help from a desperate teenager.

102
APPRAISAL SYSTEMS give us a realization of interpersonal
semantics in that they have to do with how interlocutors
feel, the judgments they make about others’ behaviour,
and the value they place on the various phenomena of
their experience.

The appraisal can be either explicit or implicit. It is

explicit if there is a clear linguistic marker of the
evaluation going on, if there is an element appraised,
usually in the immediate vicinity of the appraisal, and
as long as a specific appraiser is retrievable in the
text.

In this coursebook we will only be dealing with the

major system of Appraisal, ‘Attitude’ and its explicit
realizations, leaving out the analysis of the other
attendant systems and their lexico-grammatical resources
(see vol. 2 in this series). 103
The major APPRAISAL system of ATTITUDE is broken
down into:
Judgment, Affect and Appreciation.

Fig. 7- The system of APPRAISAL

(Adapted from Martin 2001) 104
As the resource for construing human emotions
(happiness, sadness, fear, frustration, in/security,
dis/satisfaction, etc.), and the physical expressions
that are evidence of such emotions (so, for example,
crying or smiling, etc.), AFFECT is central to the
other two sub-types, it is the common core from which
the others derive.

JUDGMENT constructs moral evaluations of human

behaviour expressing either social sanction or social
esteem. (Draws upon Halliday’s 1994 account of the
English system of Modality).

APPRECIATION is the evaluation of objects and products

according to aesthetic principles, or social value.
E.g. clear definition, powerful arguments, beautiful
vase, old-fashioned concept, an incredible mess,
profound implications, catastrophic policies, fun game,
spectacular sunrise. 105
Some examples of JUDGEMENT:

1. It is so unfair that she did that.

2. He is always frank in his dealings with his

colleagues.

3. So, Liza Minelli and David Gest have split up.

Such a bizarre, dysfunctional union of freaks could
only end one way: divorce.
4.You have worked determinedly to achieve what is now
coming your way.

5. Vivienne Westwood and Jean-Paul Gautier were the

first to show the newly empowered aggressive woman on
their catwalks.

106
Task 5- Identify all the elements expressing the
writer’s attitude (appraisal) and say what kind of
appraisal it is.
DESPERATE TEENAGER. I am going to a party
soon, and there is a boy I really fancy, but I
do not know the right thing to say to him. I
want to sound seductive and flirty. Also, I am
not sure what to wear. I’m looking for make-up
ideas. Please help – this is a cry for help
from a desperate teenager.

107
 Keys to exercises
Task 1-
The text is a written exchange between MRS MILLS (who solves
all your problems) and a female reader in the problem letters
section of The Sunday Times Style Magazine. The reader poses a
problem (Indicative mood), and asks for advice (Interrogative
mood). The writer answers with suggestions, dos and don’ts
(Imperative mood).

Task 2-

need to be adjusted = deontic, obligation

can be used = deontic, obligation
will be = epistemic, probability
It is often referred to as = epistemic, usuality
not to be confused with = deontic, obligation (negative,
prohibition)
may hold = epistemic, probability
could make = epistemic, probability
will no longer be forgotten = epistemic, probability
can’t say = deontic, obligation
108
 Keys to exercises cont'd

Task 3-

a) definitely won’t = epistemic, certainty

b) will probably = epistemic, probability
c) I think, ’ll almost certainly = epistemic, high
probability
d) will probably = epistemic, probability
e) can’t= epistemic, likelihood; never= epistemic, usuality
f) must= epistemic, certainty
g) must= deontic, obligation
h) should= deontic, suggestion/recommendation
i) used to= epistemic, usuality

109
 Keys to exercises cont'd
Task 4-
desperate = worried, distressed
fancy = like
seductive and flirty = attractive and attracted to him
The writer (a typical adolescent female voice) expresses her
insecurity and is asking for advice on how to improve her look and
behaviour so has to become irresistible.

Task 5-
DESPERATE teenager = Adj./Epithet, Affect: unhappiness
really fancy = VG/ mental Process, Affect: inclination/desire
the right thing to say to him = Adj./Epithet, Judgment/Appreciation
seductive and flirty = Adj./Attribute, Affect
not sure what to wear = Adj./Attribute, Judgment
this is a cry for help = NG/Thing, Appreciation: social value
from a desperate teenager = Adj./Epithet, Affect: unhappiness

110