VIETNAM NATIONAL UNIVERSITY, HANOI
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
FACULTY OF POST – GRADUATE STUDIES

************

NGUYỄN THI ̣ BÍ CH LIÊN

A STUDY ON THE SEMANTIC AND LEXICOGRAMMATICAL
FEATURES OF THE SHORT STORY MR KNOW ALL BY W.
SOMERSET MAUGHAM: A SYSTEMIC FUNCTIONAL ANALYSIS
NGHIÊN CỨU VỀ CÁC ĐẶC ĐIỂM NGỮ NGHĨA VÀ NGỮ PHÁP TỪ VỰNG
TRONG TRUYỆN NGẮN ÔNG BIẾT TUỐT CỦA NHÀ VĂN W.SOMERSET
MAUGHAM. PHÂN TÍ CH THEO QUAN ĐIỂM CHỨC NĂNG HỆ THỐNG

M.A. MINOR PROGRAMME THESIS

Field: English Linguistics
Code: 60220201

HANOI – 2016


VIETNAM NATIONAL UNIVERSITY, HANOI
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
FACULTY OF POST – GRADUATE STUDIES

************

NGUYỄN THI ̣ BÍ CH LIÊN



ACKNOWLEDGEMENTS

I would like first to express my deep gratitude to Prof. Dr. Hoàng Văn Vân,
my supervisor, for his untiring and benevolent assistance granted to me throughout
the process of my writing. His practical advice, useful suggestions and critical
feedback have been generous and beneficial, without which I would not have been
able to complete this thesis.
I would also like to express my sincere thanks to my whole-hearted
colleagues and friends for their help and kind encouragement during the research
period.
My indebtedness is to my beloved family members whose help and
encouragements contributed greatly to the completion of my study.
Hanoi,2016

Nguyễn Thi Bi
̣ ́ch Liên

ii


ABSTRACT
The shortcoming in most textual analyses is their dependence on contestable
and value judgments of literary critics. However, such prescriptive commentary is
not instrumental in exploring multiple meanings encoded in grammar. This
necessitates a linguistic analysis of texts, which demonstrates how and why a text
gets to be the way it is as well as the reader interprets it in the particular way. For
this reason, the functional text analysis undertaken in this study aims to investigate
how and why the text is written.


2.2.2. Metafunctions ...................................................................................................... 8
2.3. The ideational meaning ................................................................................................... 9
2.3.1. Process types ................................................................................................. 10
2.3.1.1. Material process ......................................................................................... 10
2.3.1.2. Mental processes ........................................................................................ 10
2.3.1.3. Relational processes ................................................................................... 11
2.3.1.4. Behavioral processes ................................................................................. 12
2.3.1.5. Verbal processes ....................................................................................... 12
2.3.1.6. Existential processes .................................................................................. 13
2.3.2. Circumstances ............................................................................................... 13
2.4. The interpersonal meaning............................................................................................ 14
2.4.1. Constituents of the Mood ................................................................................... 15
2.4.2. Residue ............................................................................................................... 16
2.4.3. Mood types ........................................................................................................ 16
2.4.3.1. Indicative mood ......................................................................................... 17

iv


2.4.3.2. Imperative mood ...................................................................................... 18
2.5. The textual meaning...................................................................................................... 18
2.5.1. Types of theme .................................................................................................. 19
2.5.1.1. Ideational or Topical theme ..................................................................... 19
2.5.1.2. Textual theme .......................................................................................... 20
2.5.1.3. Interpersonal theme.................................................................................. 20
2.5.2. Theme and mood ............................................................................................... 20
2.5.2.1. Theme in interrogatives ............................................................................ 21
2.5.2.2. Theme in imperatives ............................................................................... 21
2.5.2.3. Theme in declaratives .............................................................................. 21
2.5.2.4. Theme in exclaimatives ........................................................................... 22

generative

grammar,

Bloomfield‟s

immediate

constituent

grammar. Systemic functional grammar, among those, which was developed by
celebrities in linguistics such as Halliday, Hassan, Morley, Bloor, can be seen as the
most useful tool to satisfy human‟s desire to explore the language‟s nature. As
Thompson (1996:6) states functional grammar is “a full analysis of sentence in both
form and meaning as well as their relationship”.
Compared with traditional grammar, which considered grammar as “a set of
rules which specify all the possible grammatical structures of the language where
grammatical and ungrammatical sentences are distinguished clearly” (Lock,
1996:1), functional grammar “is a way of looking at language in terms of how
grammar is used” (Martin et al, 1997). In more details, functional grammar
concerns with the grammatical patterns and lexical items used in text, as well as
choices of those items, focusing on “the development of grammatical systems as a
means for people to interact with each other” (Martin et al., 1997:1). In Vietnam,
there also have valuable studies of grammarians relating to functional grammar,
among which there are Cao Xuân Hạo (1991) with Tiếng Việt: Sơ thảo ngữ pháp
chức năng, Hoàng Văn Vân (2005) with Ngữ pháp kinh nghiệm của cú tiếng Việt:
Mô tả theo quan điểm chức năng hệ thống. Thanks to all these scholars, language is
seen to be “closer to life”.
According to Halliday, a functional grammar was designed to study the
wording and interpret the wording by reference to what it means in order to “make

1.2. Aim of the study and research questions
The overarching aim of the study is to investigate how transitivity, mood and
theme are employed in the story Mr. Know All by W. Somerset Maugham to convey
experiential, interpersonal and textual meanings.
To achieve this aim, the following research question are raised for
exploration:

2


How are transitivity, mood and theme employed in the story Mr. Know All
by Somerset Maugham to reveal the experiential, interpersonal and textual meaning ?
1.3. Scope of the study
Within the framework of a minor thesis submitted in fulfillment of the
requirement for the Degree of Master of Arts in English Linguistics, the primary
focus of this study will be on investigating semantic and lexicogrammatical features
of the story; they are the transitivity pattern, the mood and modality patterns, and
the thematic pattern. The text used as data for the study is a short story entitled Mr.
Know All by W. Somerset Maugham.
1.4. Methods of the study
To achieve the aim as stated above, the study will use two main methods:
qualitative and quantitative methods. Quantitative method is used for literature
review, re-examining the systemic functional grammar framework, analysing the
data for results, and discussing research results. Quantitative method is concerned
with calculating the data and concerting it into percentages for discussion and
cocnclusion. The analyses of the clauses in terms of transitivity, mood and theme
are based on Halliday‟s systemic functional grammar framework.
1.5. Design of the study
The study is designed in three main parts:
Part I – Introduction

(2012) and many others. In this chapter, I will draw attention to only those features
of the model which appear directly relevant to a grammatical study of this kind. To
make the task manageable, the review will follow Hoang Van Van (2012) by
organizing it around two major headings: semantics (the stratum of meaning) and
lexicogrammar (the stratum of wording): metafunctional resonance.
Semantics is the highest stratum within language; it refers to the systems of
meaning in a language, for example, how sentences relate to the real world of
people, actions, places and so on.
Lexicogrammar is a term used in systemic functional linguistics to
emphasize the interdependence of and continuity between vocabulary (lexis)
and syntax (grammar). According to systemic functional theory, lexicogrammar is
diversified into a metafunctional spectrum, extended in delicacy from grammar to
lexis, and ordered into a series of ranked units" (Halliday, 2014).
As the upper of the two content strata within language, semantics is the
interface between context and lexicogrammar as presented in the diagram below.
Ideational
meaning

Interpersonal
meaning

Semantics
Lexico-grammatical

5

Textual
meaning



6


social communication. In other words, it shows how people use language to make
meaning in order to navigate their social interactions on their lives. That is, the
reason why systemic functional linguistics takes language to its functions through
meaning, not just formation (cf. Eggins, 1994; Martin, 1985; Lock, 1996).
Systemic functional linguistics has two characteristics: systemic and
functional. It is systemic because it is based on systemic theory, which emphasizes
meaning as the fundamental element in analyzing language. Halliday (1994) states
“systemic theory is theory of meaning as a choice, by which a language or any other
semiotic system is interpreted as networks of interlocking options” (Halliday,
1985). Functionally, systemic functional linguistics is designed to explore how
language is formed. “It is functional in the sense that it is designed to account for
how language is used” (Halliday, 1985) which is represented in three
metafunctions: experiential- textual – interpersonal.
2.2.1. Strata of the systemic functional model
The model below is based on Halliday (1978 and elsewhere), Hasan (1993,
1995, 1996; Hasan & Perrett (1994); Teich (1999) and Hoang Van Van (2012) in
interpreting language as consisting of four strata, which are termed: context –
semantics – lexicogrammar and phonology.

Figure 1 - Four strata of systemic functional model
According to the model, phonology refers to the system of sounding;
lexicogrammar refers to the system of wording; semantics refers to the system of
meaning in a language and context refers to the social system.

7



8


o

The interpersonal meaning enacts our social roles and relations. It‟s

expressed through the mood system. A clause is analysed into Subject, Finite,
Predicator, Complement, and Adjunct.
o

The textual meaning presents the meanings construed and enacted as a flow

of information as message. It is expressed through the thematic system. A clause is
analysed into Theme and Rheme. The Theme is the departure of the message and
the Rheme is what the Theme is about.
Below is an example taken from Matthiessen & Bateman (1991); see also
Halliday (1994: 371).

Figure 2: Metafunctional layering
The following parts are going to briefly summarize the main points of each
meaning.
2.3. The ideational meaning
The ideational meaning is the function for construing human experience
(Alice, Martin, Christian, 2005: 26). It relates to meaning about phenomena; about
how we represent experience in language. Meaning of this kind are most certainly
influenced by the field of discourse (specify what is going on with reference to
what), hence it investigates about things, about what they are or do and also the
circumstance surrounding this happening and doing. This meaning is realized
through wording by Transitivity system. According to Suzanne (1994:229), in

I

will give

Actor Process: Material

you

my book.

Beneficiary: Recipient

Goal

I

will do

it

for you.

Actor

Process: material

Goal

Beneficiary: Client


Halliday (1994), there are three main types of relational process which are named:


intensive „X is A‟ (establishes a relationship of sameness between two entities)



Circumstantial „X is at A‟ (defines the entity in terms of location, time, manner)



possessive „X has A‟ (indicates that one entity owns another)

Each of these comes in two distinct modes:


attributive (A is an attribute of X)



identifying (A is the identity of X).
Halliday offers the principal types of relational process as follows:
Attributive

The leader is Tom.
Tom is the leader.

Sarah is wise.

Intensive

Attribute

When a relational process is in the identifying mode, it has two equating
participants, one identifying the other, which is referred to respectively in two pairs
of terms as identified / identifier and token / value.
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Tom

is

the leader.

Identified/
Taken

Process: relational (intensive)

Identifier/
Value

2.3.1.4. Behavioral process
Behavioral process is the process of (typically human) physiological and
psychological behavior, like breathing, coughing, smiling, dreaming and staring. It is on
the borderline between material and mental processes. In this type of process, the only
one participant who is “behaving”, labelled Behaver, is typically a conscious being.
She

cried


smell

the rose.

Behaver

Process: behavioral

Phenomenon.

2.3.1.5. Verbal process
Verbal process is the process of saying. It expresses the relationship between the
ideas constructed in human consciousness and the ideas enacted in the form of
language. In addition, it shares the characteristics of mental and relational processes.
The participants of the process are: Sayer (the participant who is speaking),
Receiver (the addressee to whom the process is directed), Verbiage (what is said in
form of a nominal group or an embedded clause), Target (the object of the talk).
12


Verbal process contains one participant referred to as Sayer, two participants
referred to respectively as Sayer and Target or Sayer and Verbiage depending on
each particular subtype of verbal process, and even three participants are referred to
respectively as Sayer, Target and Recipient.
I

am always praising

you

Sayer

Process: verbal

Reported

2.3.1.6. Existential processes
These processes represent that something exists or happens. Normally, the
word “There” is necessary as a subject although it has no representational function.
These clauses typically have the verb be, or some other verb expressing existence,
such as exist, arise, occur, happen, take place...followed by a nominal group
functioning as Existent (a thing which exists in the process). The existent may be a
phenomenon of any kind, and is often, in fact, an event. For example:
There

was
Process: existential

a storm.
Existent: event

2.3.2. Circumstances
In systemic functional grammar, the components which are used to express
the aspects such as time, place, manner, accompaniment, etc, are called
Circumstances (Hoang Van Van, 2005: 325). Typically, they occur freely in all
types of process and with the same significance they occur. Circumstances are
realized by adverbial groups or prepositional phrases.
Halliday (1994: 151) introduces a list of nine main types of circumstantial
elements in English: extent, location, manner, cause, contingency, accompaniment,
role, matter and angle, which can be represented in Table 2 below:


a) Means
b) Quality
c) Comparison

a) My mother went by bus.
b) It was snowing heavily.
c) It went through my head like an
earthquake

Cause

a) Reason
b) Purpose
c) Behalf

a) For want of a nail the shoe was lost
b) For the sake of peace..
c) I’m writing on behalf of Aunt Jane

Contingency

a) Condition
b) Concession
c) Default

3

4


judgments and personality which enable speaker participates in the speech situation.
These are meaning for acting upon and with others which are realized in wording
that is called Mood and Modality.
In the Interpersonal meaning, one of the things we are doing with it is
establishing a relationship between the person speaking now and the person who
will probably speak next. To establish this relationship, we take turns at speaking,
we take on different roles in the exchange. The basic speech roles we can take on
are: giving and demanding. We also choose commodity, where the choice is
between exchanging information, goods or services. While exchanging commodity

14


speakers involve four basic move types of statement, question, offer and command
which are called speech acts or speech functions.
a) Giving
b) Demanding

a) Goods and services
Offer
Would you like this teapot?
Command
Give me that teapot

b) Information
Statement
He is giving her the
teapot
Question
What is he giving her

present
does, is
has

future
will,shall
would, should

median
will, would

high
must, ought to

15


could, might
(dare)

is to, was to

need,
has to, had to

Table 3: Finite verbal operators (Halliday 1994:76)
2.4.2. Residue
The Residue accommodates the remainder of the clause. It consists of
functional elements of three kinds: Predicator (can be only one), Complement (can
be one or two) and Adjunct (indefinite number).



Residue

Adjunct is an element that has not got the potential of being a subject. It is
realized by an adverbial group or a prepositional phrase.
My aunt

was

Subject
Finite
Mood

given
Predicator

that teapot

yesterday

Complement
Adjunct
Residue

by the
duke.
Adjunct

There are several other types of adjuncts. The two which fall outside of


the production line
Subject
Mood

Finite

• Interrogative
- Polar (Yes/No Questions): Finite + Subject
Did
Finite

Henry Ford
Subject
Mood

build
his first car in the backyard ?
Predicator Complement
Adjunct
Residue

- Wh-Questions: + subject: Wh/Subject ^ Finite
Who
Subject/
Wh

built
Finite


Mood
Residue


Exclamatives: Wh+S+F+P where C/Wh or A/Wh
What big eyes

you

have !

Complement/wh

Subject

Finite

Residue

Mood

17


2.4.3.2. Imperative mood
In Imperatives the Mood element may consist of Subject + Finite, Subject
only, Finite only, or they may have no Mood element. There will always be a
Predicator. For example:



Appropriately named “clause as message” (Halliday and Matthiessen, 2004), the
textual metafunction contributes to the organization of the message within and between
clauses. Seemingly, it is closely linked to theories of cohesion in discourse. The structure
which gives the clause the characteristics of a message is the Thematic structure.
In the Thematic structure, the theme functions as the departure point which
has been chosen for the text by the speaker and it takes the initial position in the
clause. Rheme is the remainder of the message, which develops the theme in order
to complete the message of the clause.
The Theme position lets the reader or listener know what the clause is going to be
about. However, first position in the clause is not what defines the Theme, it is the means
whereby the function of the theme is realized, in the grammar of English. For example:
The duke
Theme

has given my aunt that teapot.
Rheme

Theme may be a nominal group, a prepositional phrase, an adverbial group
or even a clause.
Once upon a time
Very carefully

there were three bears
she put him back on his feet again
18