Chapter III, Part 1
II.
Lexicogrammar in the Study of Text and Discourse
III.
A
Grammar, Lexicon, Lexicogrammar
1. Many studies of language have made a division, in both theory and practice, between ‘grammar’ (or ‘syntax’) and ‘lexicon’ (or ‘vocabulary’). Since classical antiquity, ‘traditional grammar’ has been a privileged domain of study — once for acquiring Latin or Greek as the foundation of a ‘liberal’ or ‘humanistic’ education, and later for cultivating ‘good usage’ in one’s native language (cf. II.A). In contrast, vocabulary has been a subsidiary miscellany, hardly meriting serious study. Similarly, the study of foreign languages has stressed learning ‘grammar’ from formal rules over learning ‘vocabulary’ from informal lists.
2. The operational theory might be that communication occurs when grammar furnishes a set of ready-made patterns with slots to plug in vocabulary items.1 The theory took on visual form in one ‘descriptive’ model of modern linguistics allied to realism (cf. II.C). The linguistic sequence was shown in a vertical ‘axis of selection’ and a horizontal ‘axis of combination’ (Fig 13).2
This model implied that picking the words — the contribution of the lexicon — might be a distinct operation from putting words in order — the contribution of grammar.
3. ‘Grammar’ had a yet higher status in the theory and
practice of ‘generative’ models of language, whose alliance to idealism
looked to a general or even univer-sal system of order (II.75, 85). A
‘transformational grammar’ would formulate the ‘rules’ for
‘transforming’ one sentence structure into another with the same lexical
items and the same meaning (cf. II.79f).3 Or, a ‘generative
grammar’ would formulate the ‘rules’ for ‘deriving’ the ‘surface
structure’ of a sentence from its ‘deep structure’ (II.81)4 and
leading to a ‘string’ with ‘insertions’ from ‘an unor-dered list of
lexical formatives’5 — the old plug-in model with a new
terminology.
4. ‘Functional’ models of language, in contrast,
integrate the lexicon and grammar within the concept of the Lexicogrammar
(II.108),6 which is a theory of the lexical and grammatical
organisation of a language, and functions in a dialec-tical relation to the
practices of selection and combination. Every fluent speaker of a language
‘knows the lexicogrammar’ in some version as theory, and, barring
disturbances that might be short-term (like getting confused or interrupted) or
long-term (like suffering from memory loss or aphasia), everything you say in
practice has an integrated ‘lexical’ and ‘grammatical’ organisation. The
grammar specifies the types and patterns of combinations that guide and prefer
various lexical selections while discourse is being realised.
5. The Lexicogrammar thus constitutes a ‘systemic’
theory designed to steer the transition between the ‘potential system’ of
the language and the ‘actual system’ of a text or discourse (cf. II.111).
Due to its range and variety, a complete instantiation of the theory in practice
is a ‘hopeful utopia’, endlessly flexible and adaptive, never finalised in a
fully complete or perfected state. Yet the practices are subject to richer
constraints than are generally recognised. Typical grammatical combina-tions can
be termed Colligations, such as ‘try’ + Possessive Pronoun + ‘hand
at’ + Noun or Participle, meaning ‘casually engage in an activity’
[195-196]; typical lexical combinations can be termed Collocations, such as ‘posh’ with a businesses like ‘hotel’ [197], or ‘shop’, ‘restaurant’ ‘nightclub’, ‘bistro’ (BNC data) (cf.
II.153).
[195] At the Centre, ordinary people can try
their hand at computers. (New Scientist)
[196 Dorset offers a perfect opportunity to try
your hand at windsurfing. (Outdoor Action)
[197] BBC bosses
ordered prostitutes out of a posh hotel —
so they could film actresses playing hookers. (They Came from SW19)
Obviously, these two types of combinations can interact. The Participles
collocat-ing with the Colligation ‘try your hand at’ betray family
resemblances, such as leisure activities (BNC data): ‘boating’,
‘sailing’, ‘painting a scene’ ‘decorating china’, ‘rock
climbing’, ‘clay pigeon shooting’, ‘rowing on dry land’ (huh?).
6. The resources of the Lexicogrammar can be envisioned along a scale of Delicacy that is higher toward its more lexical end and lower toward its more grammatical end (Fig. 14).
Delicacy can
slide up
and down the scale to suit
the context, enabling Grammar
and Lexicon,
as well
as Colligation and Collocation, to ‘slide into’ each other. The
higher the Delicacy, the more
specific and
detailed are the constraints upon selec-tion and combination. For
example, the English Verb ‘bereave’ occurs in the British National
Corpus (BNC) at high
Delicacy: almost exclusively
in the Past Participle
and in the
meaning of ‘having
suffered the
death of
someone close’ [198], and collocating with a delicate range of Nouns, the most frequent being
‘people, person, family, relatives’ as in [199]. The form ‘bereft’,
though technically an alternate Past Participle of the same
Verb and defined by some dictionaries in the same meaning, is rarely used this
way, but rather colligates with ‘of’ to mean ‘lacking’ and collocates
with a range of missing items, as in e.g. [200], also including ‘trees,
speech, fun, ideas, talent, hope, decency, carpets, roofs, lambs, servants’
(BNC data), none of these being frequent by itself.
[198] Could death education
ever go this far as to teach
the bereaved how to
dig a grave
and incidentally earn a
discount? It is happening in New Zealand (Embalmer)
[199] A mother who lost her twin daughters has set up a counselling agency
to help bereaved families. (Northern Echo)
[200] people find their
homes bereft of light bulbs and toilet rolls. (Belfast Telegraph)
7. The concept of the integrated Lexicogrammar supersedes
the dual-axis model shown in Fig. 13. The selection of a particular word at one
point in a sequence relates to what was or will be chosen in relevant
combinations at varying distances, such as ‘bereaved’ relating to ‘death
– bereaved – grave’ [198]. Many such selections also derive substantial
Delicacy from social attitudes, e.g. what people ought to have and how they are
talked about when it gets denied or taken away.
8. Typical usage is thus not well described by a
‘grammar’ at low Delicacy, e.g., just listing all the forms in the
‘Conjugation’ of English Verbs. Individual forms may be used in distinctive
ways. In BNC data, the Verb ‘consume’ in the Present form has mainly an
Active function with a Human as Subject and a commodity as Object, like food
[201]. The Past form ‘consumed’ is more likely to be a Participle in a
Passive function [202]. The Present Participle ‘consuming’ is typically a
Modifier for something that overrides or preoccupies, like ‘passion’ [203].
[201] Japanese consume the nutritious legume as tofu (bean curd). (New
Scientist)
[202] Some 16 billion lb of fat is consumed by Americans in an
average year. (Business)
[203] The survival of
the Everglades is now Florida’s consuming passion. (Economist)
9. Describing the Lexicogrammar of English thus requires
substantial Delicacy in applying conventional terms, e.g., the ‘Content
Words’ of Nouns, Verbs, Adjec-tives, and Adverbs, and the ‘Function Words’
of Articles, Auxiliaries, Prepositions, Conjunctions, and Interjections. These
terms provide a ‘heuristic front end’ on a description relating general
classes of forms to specific instantiations of functions.
10. So I shall propose a set of lexicogrammatical terms
within a scheme of Processes, Participants, and Circumstances,
having three basic Processes at the top. The State is some condition of a
Participant, as when a Human is ‘fat’, ‘short’, or ‘bald’ [204]; or
else some Circumstance of a situation, as when the Time is ‘about midnight’
[205]. The Event is a change in some Participant, such as a ‘mortar
exploding’ [206]; or in some Circumstance, such as ‘night falling’ [207].
And the Action is an Event brought about by some Agent, e.g., a
‘trooper shooting the Lieutenant’s horse’ [208], or ‘a conman stealing
cash’ [209].
[204] But he’s fat! And
short. He wears the hat because he’s
bald! (Nudists)
[205] About the same time I heard gunfire. It was about midnight. (Guardian)
[206] A mortar exploded in the distance. (Assassins)
[207] There was no electricity, either, but as
night fell they lit candles. (Boat House)
[208] A trooper shot the Lieutenant’s horse (Sharpe)
[209] A conman
stole cash
from a restaurant manager — then demanded
a lift into town (Belfast Telegraph)
As in [206-09], a State, Event, or Action can be expressed in a Clause;
the Clause Core consists of Subject and Predicate, and
normally functions as the Topic occupying the Foreground of the
Clause (what the Clause is mainly about). Or, a State, Event, or Action can be
expressed as a Modifier of a Participant occupying the Background
of the Clause. To see the contrast, we can reassign the Processes by converting
between Predicate Verb and Participial Modifier:
[210]
A short fat man was putting two handsome ladies on a car (Dubliners)
[210a] The man putting two handsome
ladies on a car was short and fat.
[211] Whisky, meat, and fish, valued at £250, were stolen from a
bungalow (Alton Herald)
[211a] The whisky, meat, and fish stolen from a bungalow were
valued at £250.
In a Non-Clause, the Topic is assigned without a Clause Core, as is
common in newspaper headlines [212] or telegrams [213] (see section IV.5).
[212]
Thatcher furious with ‘trendy’ Experts (Mail on Sunday)
[213] My father
proposed to her by telegram. ‘Very keen marry you.’ (Tales I Tell)
11. The three basic Processes are of course clusters of more
Delicate Processes and mainly just indicate the typical organisation of
Participants. A State may have only one of these as its Medium [214]
(III.21); or just a Circumstance [215]. For an Event, the key Participants in
the Active are the Cause (as Subject) that initiates the change (as Verb
Phrase), and the Affected (as Object) that undergoes the change [216-17].
For an Action, the Participant of Agent initiates the change upon the
Affected, with or without intention or control [218-19].
[214]
Primo de Rivera was still alive (Franco)
[215] it was the last week in February (conversation)BNC
[216] a hurricane drove floodwaters over Lake Okeechobee’s
southern edge (Economist)
[217] an explosive device wrecked the car of the Spanish
consul-general (Keesings)
[218] Joe Calzaghe knocked out Dean Francis with a
smart left (Daily Telegraph)
[219] The Admiral had unwittingly detonated
the explosive (Clubbed)
Real data are of course often less straightforward than these examples
suggest.
12. Deciding which Processes to recognise in describing the
Lexicogrammar of English is not easy, and traditional ‘grammars’ have
operated at low Delicacy. Thus, they recognised ‘Transitive’ and
‘Intransitive Verbs’, whilst failing to grasp Transitivity as a property of
Clauses, not just Verbs (III.87). Moreover, they tended to rigidify and
oversimplify by postulating ‘rules’ where actual data merely indicate
preferences.
13. Yet operating at high Delicacy leads to bulky and
complex descriptions. Ultimately, every Verb collocates within one or more
Processes in its own way, e.g. ‘see’ versus ‘look’ among Perceptive
Processes (III.31f). I propose to recognise a Process in terms of form,
function, and meaning, only if it shows distinctive lexicogrammatical
characteristics, such as whether or not it readily appears in plausible
Affirmative or Negative Commands. I shall use the Clause Core of Subject and
Predicate to demonstrate each Process clearly and consistently, and supply one
or more Prototypes to serve as heuristic examples.
14. Now, we can distinguish between Outer Processes
that impinge upon the environment and could be observed or detected from
outside, such as ‘bringing’ or ‘jumping’, versus Inner Processes
that do not and could not, such as ‘knowing’ or ‘hoping’. In general,
Outer ones commonly form Commands, as in [220-21], whilst Inner ones rarely do,
as in [222-23].
[220]
Waiter! Bring back the pudding! (Alice)
[221] Jump, George! Jump! Oh, jump! (Lord Jim)
[222] Know me to be what I am — a cold, hard man. (Eyre)
[223] Do not hope
to get at any good author’s meaning without those tools. (Sesame)
15. Two essential factors for relating Participants to
Processes emerge from practical tests I call Colligations of Denial. In Denial
of Intention, you’d say you ‘didn’t mean to’ do or be
something; in Denial of Control, you’d say you
‘couldn’t help’ doing or being it. These Colligations can sort out
Processes and Verb Phrases at some Delicacy, witness [224-27] rather than, say
[224a-27a].
[224] It’s alright, Josie, I didn’t mean to
break your arm (conversation)BNC
[224a] ??It’s alright, Josie, I
couldn’t help breaking your arm
[225] I didn’t mean to bite your head off. (Garden
of Desire)
[225a] ??I couldn’t help but bite
your head off.
[226] He couldn’t help noticing that the man
didn’t have a thumb. (Crow Flies)
[226a] ??he didn’t mean to notice
that the man didn’t have a thumb
[227] Tolkien could not help seeing a part of
himself in Saruman (Road to Middle-Earth)
[227a] ??Tolkien didn’t mean to see
a part of himself in Saruman.
The
social function of pleading to be excused leads to Denials of Intention for
Actions you could hardly have ‘meant’ to do anyway, like ‘spilling the
soup’ [228], ‘causing a kerfuffle’ [229] or ‘being an idiot’ [230].
[228] She found Will mopping up the remains of
his soup from the stone-flagged kitchen floor. ‘Sorry, misses, didn’t
mean to spill it’ (Shoemaker’s Daughter)
[229] I thought we were on for charades. I didn’t
mean to cause a kerfuffle. (Dynmouth)
[230] I didn’t mean to be an idiot!
(conversation)BNC
An
alternate plea to be excused for not doing something can use the
Affirmative ‘meant to’ (having the Intention but not acting on it), often
followed by ‘but’ to introduce an expedient impediment to Control.
[231] I’m so sorry. I meant to
be at the station, but these people came to look over the
house and I couldn’t get away. (Distance Enchanted)
[232] I meant to phone up this morning for an appointment for Doctor, but
I forgot all about it. (medical consultation)BNC
My
data show no uses of an Affirmative like ‘could help it, but did it anyhow’.
16.
Dispositive Processes have the Prototype ‘doing to’ and apply not
just in the narrow everyday sense of ‘get rid of’ (like ‘disposing of
waste’) [233], but also in the broader sense of ‘have at your disposition
and deal with’ (like ‘disposing of funds’) [234]. The Prototype Clause
Core has ‘Disposer’ as Subject, ‘Disposition’ as Verb Phrase, and
‘Disposed’ as the Affected Direct Object. The Affected may undergo
substantial change, e.g. getting ‘broken’ [235], or even cease to be itself,
e.g. getting ‘scoffed’ (devoured) [236].
[233] The Soviet Union disposed of nuclear waste from COMECON countries. (Economist)
[234] the Shah no longer disposed of the
sort of funds as he had done (Shah’s Last Ride)
[235] Cheeky thieves broke the
window of Anthony Gordon outfitters (Northern Echo)
[236] she’s scoffed a Picnic bar,
now she’s scoffing a bloody Crunchie! (conversation)BNC
Many
Dispositives form Commands, Affirmative [237-38] or Negative [239-40].
[237] On the first unsatisfactory answer, ‘Break his jaw’ is the order of the
judge. (Decline)
[238] Throw that gun away, and the torch,
too (Jimmy)
[239] Do not break any blisters on the
burn (Scotsman)
[240] Do not throw rubbish onto an open
fire in the living room. (One’s Company)
When
Dispositives have Pejorative effects, Intention can be explicitly denied
[241-42]. Denying Control is less plausible, as in [241a-42a].
[241] I didn’t mean to offend the
memory of your mother. (Ulysses)
[241a] ??I couldn’t help offending
the memory of your mother.
[242] I’m sure the sentry didn’t mean to prick your niece in the —
quite so — with his sword. (Phoney War)
[242a] ??the sentry
couldn’t help pricking your niece in the — quite so — with his sword.
17.
In their Transitivity, most Dispositives offer a clear choice between the
Active with Disposer as Subject and Disposed as Object, versus the Passive with
Disposed as Subject and Disposer as an Agentive Adverbial [243-46]. In the
Dispositive of ‘making do’ — sometimes called ‘Ergative’ — a
Disposing Agent ‘makes’ another Disposing Agent perform a Dispositive [247];
or ‘has’ them do it [248]; or ‘has’ it done without mentioning the other
Disposing Agent [249].
[243] 150 youths threw stones
at New Barnsley RUC [police] station (Belfast Telegraph)
[244] Several smoke bombs were thrown
by Catholic youngsters (Politics in the Streets)
[245] I just devoured a whole
packet of Mr Kipling’s Cakes (True Confessions)
[246] 200
hot dogs were devoured by the hungry hikers
and bikers (TrailFlash)www
[247] She took off her things,
and made him do the same. (Chatterly)
[248] I will have the servants
throw you in the street (Dark Star Passing)
[249] Don’t be nervous, or I’ll have
you executed on the spot. (Alice)
The
Dispositive is an expansive Process whose Pattern of Subject – Verb – Object
occurs in other Processes hardly suggesting Actions of ‘doing to’ (cf. III.27, 42, 51).
18. Productive Processes have the Prototype
‘making’ in the basic sense of ‘producing a Thing’. The Prototype Clause
Core in the Active has Producer as Subject, Production as Verb
Phrase, and Product as the Direct Object [250-51]; in the Passive, the
Product is Subject and the Producer, if mentioned, appears in an Agentive
Adverbial after the Verb Phrase [252-53].
[250]
The Torquay shop makes a new flavour of ice-cream every day
of the year. (Punch)
[251] Oliver Stone is making a movie about the life of Jim
Morrison. (The Face)
[252] Today the Queen’s official cars are made by
Rolls-Royce. (Doll’s House)
[253] One in five
pairs of socks sold in Britain is made by Sherwood (Daily Telegraph)
19. At higher Delicacy, in the ‘creating’ Prototype, a
Creator works in individual or idiosyncratic ways toward a Creation to be
contemplated, e.g., a work of art [254-55]. In the ‘manufacturing’ Prototype, a Manufacturer works in
cooperative, businesslike ways toward a Manufactured Product to be used or sold
[256-57]. Again, both Active and Passive are freely available.
[254] Seurat was a pointillist who filled his canvas with
dots. When he stood back, he could see that he had created a
superb landscape with figures. (Hansard)
[255] The Way to St. Bernard was created
in response to a commission from the Abbey of Cîteaux in France. (Alton
Herald)
[256] Associated Windows manufactures double
glazing and mirrors. (TV news)BNC
[257]
These lamps were manufactured by the
Komárov Ironworks in 1867. (Prague)
‘Manufacturing’ predominates for the Prototype ‘making’ [258-59],
which would hardly collocate with Products being works of art like ‘poems’,
‘paintings’, ‘sculptures’, ‘symphonies’, and so on. The only
examples I find in the BNC are for trendy ‘artists’ using techniques that
resemble manufacturing [260-61].
[258]
he makes furniture (Longshot)
[259] I make movies, sweetheart. That’s my job. (Masai Dreaming)
[260] Richter makes
paintings of photographs (Belfast Festival)
[261] we’ve had
people making sculptures out of scrap from the motorway. (Fox
News)
For the manufacturing type, Passives can deploy the ‘by’-Pattern to express not mere-ly the Agentive Producer [262], but also the Means [263], or another Process [264].
[262]
The bride’s off-the-shoulder dress was made by her mother. (Wedding)
[263] Most washbasins are made from vitreous china (Do It)
[264] Cork tiles are
made by compressing the bark of the cork tree into a block (Do It)
Dispositive or Ergative Productives of ‘making produce’ like [265] are
uncommon.
[265] The industry of
the inhabitants has made these countries
produce a greater quantity of human subsistence. (Population)
20. The Affirmative and Negative Commands in my data are few
and are all of the ordinary ‘making’ or ‘manufacturing’ type [266-67],
and not the ‘creating’ type illustrated by invented data in [268-69].
[266]
Make a soap solution adding a small quantity of ammonia (Centuries of Ink)
[267] Do not make coffee with boiling water. (Delicatessen)
[268] *Poet Laureate, make a festive poem for Queen’s Birthday.
[269] *Make
another hit album for your fans, Bono.
Denials of Intention or Control like [270-71] are not plausible for genuine
Productives and do not appear in my data.
[270]
*Her mother didn’t mean to make an off-the-shoulder dress but
she ran out of cloth.
[271]
*Seurat’s brushes were so tiny that he couldn’t help making
pointillist paintings.
21.
Enactive Processes have the Prototype of ‘moving’, usually
Intentional [272-74] but maybe not [275-76]. Here, the Prototype Clause Core has
‘Enacter’ as Subject, ‘Enactment’ as Verb Phrase, and Circumstance like
Place as Adverbial.
[272] They all moved off together down
the tawny dust of the road (Cameron)
[273] The stout man ran into
the cottage (Brownie Stories)
[274] Two men who fled after
bungling a raid on a shop jumped into a getaway car only to find a
policeman at the wheel. (Independent)
[275] The Laird was so overcome by grief
that he fell down a staircase (Warm Welcomes)
[276] Jimbob skidded on a banana skin some thoughtful fan had thrown on the stage. (NME)
[277] He stumbled
over graves and bumped into headstones (short story)
Rather
than Active or Passive, the Transitivity is Medial, with the Enacter as
the Medium. A few Process Verbs offer a choice between Dispositive
[278-79] or Enactive [280-81], the latter omitting the Humans who guided the
Process.
[278] Then the Doctor sailed the ship
right round the rock. (Dolittle)
[279] The terrorists then loaded a mortar
launcher into the skip and drove the lorry into the council yard, just
one hundred metres from the Police Station. (British Army)
[280] The ship sailed out into the blue
sea, under the blue sky (Kwaidan)
[281] Sixty vehicles, including six lorries, drove
into each other in the dense fog. (Today)
22.
The function of the Medium as Subject is clearest for the Prototype of the
bodily ‘behaving’ [282-88], which often lacks Intention or Control.
[282] Again she laughed and cried,
and I laughed with her. (Frankenstein Unbound)
[283] He smiled and frowned in the
way she loved. (Armada)
[284] Mr Cottle blushed and then snorted
into a handkerchief. (Forest Night)
[285] McGillicuddy coughed and spluttered
at the innuendo (Sharp End)
[286] She sneezed. The cocaine flew in
all directions. (Freelance Death)
[287] The chaplain just stared back, and belched
like a thunder clap. (Poisoned Chalice)
[288] I yawned during sex — and my husband is
furious. (Relationships)www
‘Behavings’
too can emulate the Dispositive Clause Pattern of Subject – Verb – Object
(cf. III.17). Collocations prefer a body part for the Affected, e.g., blow your
nose’ [289], ‘clear your throat’ [290], ‘shake your head’ [291]; or
else a bodily event, as in ‘give a snort’ [292], ‘let out a gasp’ [293],
‘shoot a glance’ [294].
[289] Breeze blew
her nose fiercely on an earthy handkerchief (Distance Enchanted)
[290] She cleared her throat,
damning it for its sudden huskiness. (Viking Magic)
[291] She shook her head, in
amazed disbelief at his stupidity. (Lock)
[292] Barbara Coleman gave a snort
of disgust. (Guilty Knowledge)
[293] The young private at the wheel let out
a gasp of surprise. (Ratking)
[294] Angela shot a glance to the
side of the room where her cousin was dozing. (Topaz)
But
unlike genuine Dispositives, the Medial flavour of Enacting bodily Processes
hardly allows for Passives like ‘*her nose was blown’, or ‘*a glance got
shot’.
23.
Alternately, a Dispositive Enactive can be Ergative when some Enacting Agent is
‘made’ to perform [295-98]. Some Processes are shared between the two
Enacting Agents, such as ‘marching protesters’ [299] or ‘walking a dog’
[300]. Even if you rudely ‘frogmarch’ somebody [301], you have to march
along behind. To my surprise, I found some isolated Passives for ‘being
marched’ [302]; and dogs, and even distances, ‘being walked’ [303-04].
[295] Many years before he had made Daniel
Miller run for cover (Hide and Seek)
[296] I’m going to make you laugh.
Then I’m going to make you cry. (Forgotten Fire)
[297] The sharpness of the cold made her cough.
(Her Living Image)
[298] The smoke reached Amanda and made
her sneeze (creative writing)BNC
[299] Warders in riot gear marched the
protesters to a segregation block. (Daily Mirror)
[300] With extra time on his hands he walked
the dog by the Manse. (miscellanea)BNC
[301] Some jobsworth steward frogmarched
me out of the hall. (Jane Armstrong)www
[302] the men were marched in by wives to be fitted out by the tailor (Circle of Friends)