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Adding Participant and Circumstantial Roles to the analysis of texts:

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1 Adding Participant and Circumstantial Roles to the analysis of texts:
TRANSITIVITY analysis for the twenty-first century Robin Fawcett and Anke Schulz Cardiff University and Darmstadt University

2 First, this question: What is the level – or what are the levels of language at which PRs and CRs are located? This depends on which architecture of language and its use we are using. Here is the CG model:



5 Locating PRs within the model of language:
Figure 1: The main components of a simplified systemic functional grammar

6 PRs (or their equivalent) are needed AT EVERY LEVEL of the representation of an ‘event’, i.e. (working from ‘lowest’ to ‘highest’): as the specific types of Participant Role in the representation of the functional structure - i.e. syntax - at the level of form, 2 through being referred to in the semantic features in the system networks from which those PRs are generated, and in (i) the systemic functional logical form in the input to and output from generation and understanding and (ii) the Performer’s belief system (cp ‘figures’ at the higher level that is called ‘semantics’ in Halliday & Matthiessen 1999).

7 So the system network for TRANSITIVITY is at
the level of meaning (‘semantics’) and the PRs occur, as the realization of those choices, at the level of form. And Halliday describes his system network for TRANSITIVITY as ‘semantic’, as ‘having been pushed fairly far towards the level of ‘semantics’

8 A short reprise of the method of analysis
introduced in yesterday’s workshop (i.e. for the output at the level of form)



11 for analyzing the functional syntax of texts
The key tools for analyzing the functional syntax of texts Handout 2 – check you have it! 95% of the syntax of English on three sides of A4! Handout 3 – check you have it! A summary of the method Note especially the Process and PRs Test

12 See Handout 3 From Invitation The procedure for clause analysis: a summary 0 Preparation: make the clause an ‘information giver’ that is ‘positive’, and replace wh-items by someone, etc. 1 Find the Process, and so the Main Verb M or M + Main Verb Extension(s) M + MEx or M + preposition M + p (inside C) or M + Main Verb Extension + preposition. M + MEx + p 2 Left of M, find any Auxiliaries (if used) X, X, X 3 Right of each X, find any Auxiliary Extension, if used, plus any associated Infinitives XEx + I 4 Left of X, find any other Infinitive (if used) I 5 Left of I, find the Negator (if used). N

13 6 Left of N, find the Operator (if used)
6 Left of N, find the Operator (if used). O 7 Left or right of O, find the Subject. S S may contain a wh-item. If S is covert, place it in brackets. (S) 8 Find the Let element (if used). L Find all PRs. S is probably one; any other PR is a Complement. C, C If a C contains a wh-item, expect it to the left. If a C is covert, place it in brackets. (C) Find any Adjuncts. A, A ... If an A contains a wh-item, expect it to the left. 11 Find the Vocative (if used) V 12 Find the Ender (if used). E

14 Step 1: The Process and PR Test (99% reliable) Find the word (or words) that express the Process, and at the same time make a first guess at the Participant Roles that it ‘expects’. Test Assuming that xxx stands for the Main Verb, (yy) stands for one (or occasionally more) possible Main Verb Extensions, (zz) stands for a possible preposition and that each of someone, something and somewhere stands for each possible PR, try saying: In this Process of xxx-ing (yy) (zz), we expect to find someone or something xxx-ing (yy) (zz) (someone or something) ((to or from) someone or something or somewhere). (The last line says that the possible 2nd or 3rd PR is sometimes preceded by to or from.)

15 The “shower” text 1 The functional syntax of two clauses (RF) 2 Adding the PRs – a brief demonstration (AS)

16 In what sense is this TRANSITIVITY analysis ‘for the twenty-first century’ ?
A linguistics for the new century should take account of the major advances in Descriptive Linguistics since the 1970s:

17 Developments in linguistics since 1970
relevant to imroving our models of TRANSITIVITY the growing emphasis in Linguistics in general on meaning and function; the detailed analysis of very large quantities of text using SFG descriptions; work in other functionally-oriented theories; some of the work by formally oriented linguists

18 evidence from very large corpora;
evidence from building very large systemic functional grammars in a computer model of language; The model to be presented here is derived from the 1970s description of TRANSITIVITY by Halliday, but has since then been modified under the influence of the above developments. NB especially:

19 NB especially: 1 Earlier versions of Fawcett’s description (1980, 1987) were adopted for use in NLG and MT: the European Community’s EUROTRA Project (Steiner) Roesner’s NLG generator The COMMUNAL Project’s first NLG generator 2 More recent versions have been adopted for use in: Elhadad’s widely used SURGE generator (cp Nigel in KPML) The COMMUNAL Project’s later NLG generator Castel’s REDACTE generator 3 Wide use for research and student projects in text analysis: e.g. Anke Schulz, Darmstadt, Lin Yuan Ke, Liverpool It is ready for even wider use in text analysis!

20 The goals and scope of TRANSITIVITY analysis
1 To provide a framework for the description of all texts at this level of analysis (assuming we know what that is; see below) 2 To provide the required framework of PRs for a very large computer model of language Criteria (for both): comprehensiveness, simplicity and testability Scope Processes and their inherent Participant Roles So not Circumstances (which we treat as a separate but related matter)

21 Two approaches to TRANSITIVITY
Identifying directly the features describing ‘clause types’ (better: ‘Process types’) e.g. ‘attributive’, ‘transitive’, ‘operative’, ‘receptive’. 2 Identifying PRs. The Cardiff Grammar’s approach: do both - but 1 via 2, not 2 via 1. So Process types - i.e. the primary features in the system network for TRANSITIVITY - are identifiable primarily in terms of configurations of Participant Roles. NB: other aspects of ‘Process types’ follow from them, e.g. the co-occurrence probabilities of the ‘tenses’ we call ‘period-marking’(be -ing) and ‘retrospective’ (have + past participle)

22 The principles guiding the recognition of Participant Roles
There must be no more than one of each type of Participant Role in any one clause. There must be a test for each Participant Role, to enable the analyst to check in cases of doubt. Within these constraints, there is no need for any finer distinctions between the different types of Participant Role. So the principles are both theoretical and pragmatic.

23 The plan from here on: To summarize some of the main problems in analyzing Processes and PRs To introduce the CG system network for TRANSITIVITY To introduce the CG literature and resources for TRANSITIVITY (especially Amy Neale’s Process Type Data Base) To introduce you to the tests for Participant Roles 5 Demonstration of how to use them (with your participation) Introduction to notes on Circumstantial Roles Your problem examples for all to attempt; our examples 8 Concluding questions, comments and requests.

24 Alternative SFG representations of Participant Roles
Figure 2: A Sydney Grammar representation of a simple clause

25 Figure 3: The Cardiff Grammar analysis of a simple clause (Fawcett 2000)


27 Figure 2: Two examples where a PR is conflated with a completive

28 Some problems to look out for
(For a full discussion, see Fawcett 2009 (or Fawcett 2010a) Variations in the probability of overt realization (for the description) (...) = ‘this element is occasionally unrealized’ e.g. He [S/Ag] hits (the ball [C/Af]) hard [A/Ma]. ((...)) = ‘this element is frequently unrealized’ e.g. He [S/Ag] said ((to me [C/Af-Cog])) he was sorry [C/Ph]. (((...))) = ‘this element is almost always unrealized’ e.g. I [S/Ag] can account (((to you [C/Af-Cog]))) for it [C/Ph] PLUS the non-realization of a PR as Subject in simple directives, many ‘partial’ clauses and many ‘passive’ constructions’ - so covert realizations occur quite often.

29 The problem that assumptions about ‘realms of experience’
The problem that assumptions about ‘realms of experience’ may lead to mistakes in recognizing ‘types of Process’ Figure 3: The lack of a one-to-one correspondence between realms of experience and types of Process

30 The problem of living, fading and dead metaphors
(3) She [Ag] turned the water / gas / light [Af] on. (4a) She / the film [Ph] {really} turned him [Em] on. (4b) She / the film [Ph] {really} pleased / delighted him [Em]. It is the PRs that indicate the meaning of the Process. What about these? (7a) She [Ag] was pulling Fred [Af] ’s leg. (7b) She [Ag] was teasing Fred [Af].

31 Figure 4: The analysis of a clause with a dead metaphor

32 The problem of ambiguity
1 Ivy’s request touched / moved Fred. 2 change, open, break, cook, and sound 3 walk, run, swim (as ‘action’ or ‘directional’ movement) go, get and turn The problem of covert Participant Roles (like 1, but for instances in texts) Deciding whether a PR is (a) or (b): (a) inherent in the Process but covert, or (b) simply not ‘ expected’ by the Process at all. Four reasons for covertness: 1 Recoverability by the Addressee Avoiding assigning responsibility - esp. for ideological reasons The Performer’s lack of information 4 Irrelevance

33 The problem of preferred Circumstantial Roles (CRs)
1 Ivy sold it to Fred for £200 (Circ: Exchange) 2 She kissed him on the cheek (Circ: Body Part) The problem of clauses with experientially empty Subjects (and other special constructions) 1 It is obvious that Fred loves you. 2 It is Fred who/that loves you. 3 It seems to me that Fred loves you. The problem of how to distinguish between a Process Extension (so MEx) and a Range 1 He sang a song / Annie Laurie [Ra] 2 He had a bath [PrEx]

34 3 The sub-networks – and so the configurations of Participant Roles
The examples that we shall meet are shown 1 in their most typical sequence ( an ‘active’ rather than a ‘passive’ construction); 2 realized overtly (rather than being covert, so unrealized) and exemplified in clauses, normally (rather than in nominalizations of events, i.e. in nominal groups). So -

35 The main characteristics of this approach
Carried out on the basis of a ‘S…M…MEx... p…C…’ analysis One Process per clause - so no verbal group complexes One analysis per clause (except for full metaphor) - not two, as in IFG 64 Process type,s determined by configurations of PRs 17 PRs determined by explicit tests Agents and Affecteds in many Process types Which PR best characterises each major Process type? Action Agent, Affected (+ Created, Range) Relational Carrier (+ others, + Agent, Affected) Mental Phenomenon (+ others, + Agent, Affected) Influential Agent, Affected (+ Phenomenon, Created-Phenomenon) Event-relating Carrier CHECK (+ Phenomenon, Created-Phenomenon)

36 Figure 5: The early options in the TRANSITIVITY network

37 Figure 6: The major options in the ‘action’ part of the TRANSITIVITY network

38 Agent + Process Agent + simple Process (1) Ivy runs {to keep fit}. (2) He’s {still} breathing. Agent + Process + Process Extension (5) Ivy went [Pro] away [PrEx] {for a fortnight}. (6) Ike had [Pro] a swim / a nice long shower / a good wash [PrEx].

39 Affected + Process (1) Ivy sneezed. (2) Her mouse has died. (3a) {Suddenly} the door opened. (3b) The glass broke / shattered / cracked. (3c) The snow melted. (3d) The meat cooked {slowly} Created + Process (1) He was born {in Guangzhou / in 1851}. (2) The match / party / work began / started {at six}.

40 3.3.5 Phenomenon + Process (infrequent)
(1) The match / party / work continued / stopped / ended. Their attempt to climb Everest / His intervention succeeded / failed. Carrier + Process (infrequent) (1) The silver shone {brightly}. (2) My leg hurts / aches. (3) The departure date came / arrived. (4) (These) things {just} happen.

41 3.3.7 Agent + Process + Affected
The two types of ‘action’ Process: ‘material action’ - e.g. ‘hitting’ ‘social action’ - e.g. ‘sacking’ (BrE) / ‘firing’ (AmE) First: ‘material action’ (1a) Ivy slapped / murdered Fred. (1b) Fred was slapped / murdered (by Ivy). (2a) Ivy broke / the glass. (2b) The glass was broken (by Ivy). (3) The glass broke {when the soprano sang a high note}. (4) The snow {soon} melted.

42 ‘Overt’ and ‘covert’ Participant Roles
(5) Slap him! (6) Don’t (you) touch it. (7) (You) open the door. (8) Ike touched Ivy {on the arm}. (9) Ike touched Ivy’s arm. (10) Mohammed Ali didn’t hit (his opponents) {really hard}. The problem of ‘reflexive’ and ‘reciprocal pronouns’ (12) Fred and Ivy slapped themselves / each other {to keep awake}. (13a) Sampson killed himself. (13b) Sampson killed both his enemies and himself. (14) Ike shaved (((himself))).

43 Some untypical types of Agent
‘tools’ presented as an ‘extension’ of a human Agent (So NB there is not a separate PR of ‘Instrument’) (15a) This key / sledgehammer will open the door. (15b) The car / truck hit the lamp post. ‘natural forces’ (16a) The storm / wind shattered the windowpanes. (16b) The heat / sun melted / thawed the snow. ‘events’ (17) The war made Ivan rich.

44 Processes of ‘social action’
(19) She visited / ignored / avoided him. (20) She slandered / insulted / him. (21) She criticized / teased / laughed at him {about / for / over his slowness}. (22a) She said [Pro] hello / goodbye [PrEx] to / him. (22b) He waved [Pro] goodbye [PrEx] to her]. (23) He kissed [Pro] her goodbye [PrEx]. (24) Fred greeted / smiled at / nodded to / chatted up / Fiona. (25) Ivy sacked / fired / hired / took on Fred {as a driver [Role]}.

45 A controversial type of ‘social action’
‘social action’ or ‘matching’? (26a) Eric married / divorced Alice. (26b) Eric got [Pro] married / engaged [PrEx] to / Alice. (27a) Eric separated from / divorced Alice. (27b) Eric got [Pro] divorced [PrEx] from Alice {last year}. But note the possibility of the pattern associated with ‘matching’ (a) Eric married / divorced Alice. (b) Eric and Alice married / divorced each other. (c) Eric and Alice married / divorced.

46 - and the ‘private enactment of a social relationship’
Eric / Alice is seeing / going [Pro] out [PrEx] with / having a relationship / affair [PrEx] with / having it [C] off / away [PrEx] with / doing it PrEx] with / having sex [PrEx] with / sleeping with / fucking / screwing Sharon / Kevin. Again - ‘social action’ or ‘matching’? So ‘Agent + Affected’ or ‘Carrier + Matchee’?

47 3.3.8 Agent + Process + Created
(35) Ike made / baked a cake. (36) Ivy wrote that long book. (37) She painted that portrait. Agent + Process + Range (38) Ivy climbed the mountain / Mont Blanc. (39) She traversed the North Face of the Matterhorn. (40) She descended the Hörnli Ridge. (41) She read that long book. (42) Ivy’s ascent of Mont Blanc. (event thing) (43) He sang a song / a Scottish ballad / nnie Laurie. (44) She played the piano / the tape / a minuet / some Bach. but not two miles in She walked two miles that day, which is a Circumstance of Distance.

48 Figure 7: The major options in the ‘attributive’ part of the TRANSITIVITY network

49 Carrier + Process + Attribute
Unmarked Carrier + Process + Attribute (1) She is a year tutor / the year tutor. (2) That pencil is mine / one of mine / the one Ivy lent me yesterday. (3) This thing is for opening bottles. (4a) This prehistoric carving is / looks like one / the one in the British Museum. (4b) It resembles the shape of a human body. (5a) That looks / sounds / smells / tastes / feels absolutely wonderful. (5b) That looks / sounds / smells / tastes / feels as if it is time to chuck it out. (6a Ivy is / weighs 60 kilos.(6b) The ticket is /costs ten dollars. (7a) To err is human; to forgive (is) divine. (7b) Eating people is wrong. (8a) Ivy is / seems pretty happy / in a temper / like her mother / above such things. (8b) Ivy appears pretty happy. (12) What we saw that evening [Ca] was a badger [At]. (13) This [Ca] is what you get [At]. (14) What you see [Ca] is what you get [At].

50 It + Process + Attribute + Carrier
(17) It was a badger [At] that we saw that evening [Ca]. - experiential enhanced theme (18) It’s clear [At] that Ike was there [Ca]. - evaluative enhanced theme

51 Affected-Carrier + Process + Attribute
(27) Ivy became a student / the banker {in the next game of Vingt-et-Un}. (28) Ivy got rich / into a temper / more like her mother. (29) Ivy went / turned pale. (30) She flew into a rage. Agent-Carrier + Process + Attribute (infrequent) (31) Ike kept very quiet. Agent + Process + Affected-Carrier + Attribute (32) They made / elected/ appointed Ivy (as) a/the chairperson. (33) The war made some people very rich. (34) Ivy made herself rich / the chairperson. (35) They kept her busy. (37) He wiped the table clean. (38) They painted the shed green. (39) He kept / cut her hair / the visit short. (40) DRINK CANADA DRY.

52 Figure 8: The major options in the ‘locational’ part of the TRANSITIVITY network

53 Carrier + Process + Location
Unmarked Carrier + Process + Location (1) Ivy is / lives / works in Cardiff / right here. (2) They inhabit the tundra. (3) Her birthday is on Tuesday. (a location in time) (4) The accident happened / occurred / took place / was last week). There + Process + Carrier + Location (5) There’s a cat on the mat. (6) There’s some beer (in the fridge). (7) There aren’t any unicorns (in the real world). (8) There was a feeling of great happiness (in the air). (12) There was a man playing a violin [Ca] (in the square [Loc]).

54 Affected-Carrier + Process + Location (infrequent)
(14) The parcel stayed / remained in New York. Agent-Carrier + Process + Location (fairly infrequent) (15) Ike stayed / remained in New York. (16) Ike stayed [Pro] (put [PrEx]) in his Manhattan appartment. (17) He walked / strolled [Pro] about / around [PrEx] in Central Park. Agent + Process + Affected-Carrier + Location (fairly infrequent) (18) Ivy left / kept the parcel / the baby at home.

55 Figure 9: The major options in the ‘directional’ part of the TRANSITIVITY network

56 3.4.3 Directional Processes
Carrier + Process + Source and/or Path and/or Destination (infrequent) The flat country stretches / reaches / runs from the Rockies [So] across the great plains of the Mid-West [Pa] to the Appalachians [Des]. (direction in space) (2) The meeting lasted from nine [So] to twelve [Des]. (direction in time) Affected-Carrier + Process + Source and/or Path and/or Destination (fairly infrequent) (3) Your suitcase has gone to Rome [Des]. (4) The parcel / baby left / departed from London [So] {yesterday}. (5 It reached / arrived at Moscow [Des] {this morning}. Agent-Carrier + Process + Source and/or Path and/or Destination (7) Ivan has gone / returned to Russia [Des] (8) He left / departed from London / here [So] {last week}. (9) He went [Pro] away [PrEx] / departed from here [So] {on Monday}. (10) He crossed / passed / skirted Poland [Pa].

57 Agent + Process + Affected-Carrier + Source and/or Path and/or Destination
(21) She sent / took / brought / posted the parcel to Moscow [Des]. (22) Ivy sent / took / brought the parcel from London [So]. (25) Fred took / walked / ran / drove / flew Fiona to London [Des]. (26) Ike put their supper there / in there / on the table [Des]oblig. (27) He placed / hid their supper / himself in the cupboard [Des]. Agent + Process + Affected-Carrier + Affected-Source (infrequent) and/or Affected-Path (very infrequent) and/or Affected-Destination (29) They took the stones out of the nearest wall [Af-So]. (30) They drew the baby through the neck of the womb. [Af-Pa]. (31) They threw stones at the police [Af-Des]. (32) They aimed / fired / shot their arrows at the antelope [Af-Des].

58 Figure 10: The major options in the ‘possessive’ part of the TRANSITIVITY network

59 Carrier + Process + Possessed
(1) Ike has a car / fair hair / a brother / a cold / a problem. (2) Ike owns a car. (3) My car lacks / needs / requires a new lock. (4) She had on / was wearing / was carrying a gold kimono. (5) The box contained two bars of gold. (6) She was wearing a chiffon scarf (= ‘had on’) (6) The group included /involved two children (= ‘had within it’). The group comprised / was comprised five adults (= ‘had as members’). Possessed + Process + Carrier (infrequent) (8) That car belongs to Ike.

60 Affected-Carrier + Process + Possession (or Affected-Possessed)
(9) Ivy got / caught Ike’s cold [Pos]. (10) She had a baby [Af-Pos].{last year}. (11) Ivy received / lost the silver cup [Af-Pos]. Agent-Carrier + Process + Possessed (or Affected-Possessed) (12) Fred [Ag-Ca] got / caught / got rid of his cold [Pos]. (13) Fred [Ag-Ca] got / acquired / chose / got rid of an old car [Af-Pos]. (14) She had a baby {last year}.

61 Agent + Process + Affected-Carrier + Possessed (or Affected Possessed)
See the note above in Section on the Affected-Possession. (17) Ike gave Ivy [Af-Ca] his cold [Pos] / that book [Af-Pos]. (18) He gave his cold [Pos] to Ivy [Af-Ca]. (19) He gave / sold / lent her [Af-Ca] the book [Af-Pos]. (20) Ike took / stole / bought / acquired the book [Af-Pos] from Ivy [Af-Ca]. (21) He [Ag] provided / equipped us [Af-Ca] with shovels [Af-Pos]. (22) The wind [Ag] robbed / deprived them [Af-Ca] of £15,000 [Af-Pos]. (23) He [Ag] helped me / himself [Af-Ca] to a whiskey [Pos]. (24) This cream [Ag] will protect you [Af-Ca] against / from sunburn / getting sunburnt [Pos]. (25) It [Ag] will save you [Af-Ca] from [Pos] sunburn / your enemies [Pos].

62 Figure 11: The major options in the ‘matching’ part of the TRANSITIVITY network

63 Carrier + Process + Matchee
(1) The jacket matches / goes with / contrasts with / clashes with the trousers. (2) It suits / fits you, Sir. (3) The key fits the keyhole {nicely}. (4) That doesn’t fit ((in) with) the company’s plans. (5) That agrees / tallies / coincides with what we had expected. (6) The bill agrees with / differs / diverges from the prices in the menu. (7) He never deviates from the norm / the route. Most - though not quite all -e occur in the following three related patterns: (a) The jacket [Ca] matches [Pro] the trousers [Mtch]. (b) The jacket and trousers / They [Ca] match [Pro] each other [Mtch]. The jacket and trousers / They [Ca] match [Pro] ([Mtch]). (i.e. with a covert Matchee)

64 Affected-Carrier + Process + Matchee (infrequent)
The type with an Affected-Carrier occurs less frequently than the others, and they are all the ‘joining’ types of ‘matching’ Process. (8a) The oxygen combined with the hydrogen. (8b) The flour combined / blended / mixed {smoothly} with the eggs. So are they a different type? No, because ... (a) The flour [Ca] blended with [Pro] the eggs [Mtch]. (b) The flour and eggs / They [Ca] blended with [Pro] each other [Mtch]. (c) The flour and eggs / They [Ca] blended [Pro] ([Mtch]).

65 Agent-Carrier + Process + Matchee
(9) Eric married Alice. (10) Eric got [Pro] married / engaged [PrEx] to / Alice. (11) Eric separated from / divorced Alice. (12) Eric got [Pro] divorced [PrEx] from her {last year}. Eric is dating / going [Pro] out [PrEx] with / having a relationship / affair [PrEx] with / having it [C] off / away [PrEx] with / doing it with, having sex [PrEx] with / sleeping with / fucking / screwing Alice.

66 Agent + Process + Affected-Carrier + Matchee
As with the other types of ‘matching’ Process, most of these Process-types occur in the following three patterns (in which just the Matchee is underlined): (a) She [Ag] matched [Pro] the jacket [Af-Ca] to / with the trousers [Mtch]. (b) She [Ag] matched [Pro] the jacket and trousers [Af-Ca] to / with each other [Mtch]. (c) She [Ag] matched [Pro] the jacket and trousers [Af-Ca] ([Mtch]). (i.e. with a covert Matchee) (17a) The judge matched / fitted / suited the punishment to / with the crime. (17b) Ike matched / fitted / the size of the drill to / with the hole. (18) The vicar introduced / married Eric to Alice. (19) He joined / fitted / fixed / glued / nailed / sewed / tied it to / onto the main part. (20) We’ll enrol you on the course {next Wednesday} (21) She blended / combined the eggs with / into the milk.

67 Figure 12: The major options in the ‘mental’ part of the TRANSITIVITY network

68 Emoter + Process + Phenomenon ‘Emotive’ Process
Two types of ‘emotion’ Process: ‘emotive’ and ‘desiderative’ Processes (1a) Ivy liked / loved / adored her teddy bear. (1b) Ivy liked / loved / adored meeting Fred again / her visit to you. (2a) Ivy disliked / hated / loathed her teddy bear. (2b) Ivy disliked / hated / loathed meeting Fred again / her visit to you. (3) Fred [S/Em] admires / envies Fiona [C/Ph] {(for) her confidence [A/Cau]}. (4a) He’s [Pro] (very) pleased / glad / happy [PrEx] about [p] the results[Ph]. (4b) He’s [Pro] over the moon / ecstatic / delighted [PrEx] about [p] the results / that she won [Ph]. He wasn’t [Pro] satisfied / happy / content / comfortable [PrEx] with [p] the results / that the results were so bad [Ph]. He was [Pro] sad / unhappy / upset / fed up / pissed off / depressed [PrEx] about / with [p] the results / that the results were so bad [Ph].

69 Desiderative Processes
(10) Ivy [Em] wishes / hopes to go to China for her holiday [Ph]. (13) He’s [Pro] longing PrEx] for Wednesday (to come) / to see you. (14) I [Em] ’m [Pro] anxious [PrEx] to see you as soon as possible [Ph]. (15) She [Em] hopes to arrive in time / that she ‘ll arrive in time. (16) She [Em] ’s [Pro] (very) hopeful [PrEx] of [p] arriving in time / that she’ll arrive in time [Ph]. (17) She fears / is [Pro] afraid [PrEx] that the results will be bad [Ph]. (18) She [Em] ’s [Pro] optimistic / pessimistic [PrEx] that she’ll do it / about her doing it [Ph]. (19) I [Em] ’m looking [Pro] forward [PrEx] to [p] your visit on Wednesday / to [p] seeing you again [Ph]. (20) She [Em] is [Pro] eager to see you [Ph]. (21) She [Em] is [Pro] keen [PrEx] to see you / on [p] seeing you / your departure [Ph].

70 Figure 13: The analysis of a ‘desiderative’ Process whose Phenomenon can be reduced to one which at first appears to be filled by a simple nominal group

71 Phenomenon + Process + Emoter
(26) The children’s antics [Ph] amused / charmed / delighted / enraptured / entertained / pleased / satisfied / suited / thrilled Ivy [Em]. (27) That [Ph] [really} cheered me [Em] up [PrEx]. (28) It [Ph] would gladden Ivy’s heart [PrEx, containing Ivy [Em]]. (29) That sort of behaviour [Ph] annoys / appals / disturbs / disgusts / grieves / saddens / shocks / upsets / worries me [Em]. That [Ph] [really} pisses me [Em] off [PrEx]. (32) It worries / upsets me [Em] that he isn’t doing well [Ph]. (33) It pleases / delights me [Em] that he’s doing so well [Ph]. (34) It matters (to us all [Em]) that the President of a major world power should be reasonably intelligent [Ph].

72 Affected-Emoter + Process + Phenomenon (infrequent)
(35) Ike [Af-Em] fell [Pro] {head over heels} in love [PrEx] with [p] Ivy [Ph]. (36) Fiona [Af-Em] fell out of love PrEx] with [p] Fred [Ph].(37) Ike [Af-Em] fell [Pro] for [p] Ivy [Ph]. (38) She [Af-Em] took [Pro] a liking / dislike [PrEx] to [p] him [Ph]. Emoter + Process + Phenomenon + Matchee (infrequent) (39) Ivy [Em] prefers her teddy bear [Ph] (to [p] yours) [Mtch]. (40) Ivy [Em] prefers ordering things by phone [Ph] (to [p] going to the shops [Mtch]).

73 3.5.3 Perception Processes Perceiver + Process + Phenomenon
(1) Ivy saw / noticed the castle. (2) Ivy smelt the sea / the carrots burning. (3) Ivy saw / heard Fred talking to Fiona. (4) Ivy looked at / watched / listened to Fred talking to Fiona. (5) Ivy smelt the sea / tasted garlic {in it} / felt the wind {on her face}. Agent-Perceiver + Process + Phenomenon (6) Ivy looked at / watched / observed the castle. (7) Ivy looked at / watched / listened to Fred talking to Fiona.

74 Agent + Process + Affected-Perceiver + Phenomenon (infrequent)
(9a) Ike showed Ivy the castle / where he lived. (10) Ike demonstrated / revealed to us how to open it. Agent + Process + Phenomenon + Affected-Perceiver (infrequent) (9b) Ike showed the castle to Ivy. (11) She concealed her feelings from him. (12) He revealed his innermost thoughts (to her).

75 3.5.4 Cognition Processes Cognizant + Process + Phenomenon
(15) I know / forget / remember (about) Fred / Fred’s name. (16) I know / forget / remember / think / consider that Fred is daft. (17) Ivy knew / thought / considered Fred (to be) daft. (18) I expect / I’m expecting that she’ll arrive soon. (19a) his knowledge / memory of her arrival (event thing) (19b) his assumptions / beliefs about the incident / matter. (event thing) (20a) I [Cog] ’m [Pro] aware [PrEx] that / that she mayn’t be there [Ph]. (20b) I [Cog] ’m [Pro] aware [PrEx] of her possible absence / it [Ph]. (21a) Are you [Cog] sure / certain / confident / convinced / positive [PrEx] that she’ll be there? [Ph].

76 It + Process + Cognizant + Phenomenon
(25) It seems / appears (to me [Cog]) that he’s doing pretty well [Ph]. (26) It looks / sounds (to me [Cog]) as if he’s doing pretty well [Ph]. Affected-Cognizant + Process + Phenomenon Unmarked Affected-Cognizant + Process + Phenomenon (27) Ivy realised / discovered / forgot that Fred lived in Edinburgh. (28) Ivy saw that Fred was wrong. (29) Ivy learnt French / how to do that. It + Process + Affected-Cognizant + Phenomenon (30) It strikes me [Af-Cog] that he’s doing pretty well [Ph].

77 Agent-Cognizant + Process + Phenomenon
(31) Ivy studied French / making paper flowers. (32) Ike considered her proposal / visiting Fred. (33a) Ike decided / chose to / that he would visit Rome. (33b) Ike planned a visit to Rome.

78 Agent + Process + Affected-Cognizant + Phenomenon
(‘communication’ Processes) (34a) Ivy told Ike the answer / her name / about France. (34b) Ivy told Ike (that) she loved him) / (about) how to open it. (34c) Ivy taught (Ike) (French / about France / how to open it). (35) Ivy said ((to Ike)) that she loved him. (36a) Ivy said ((to Ike)) : "I love you!” (36b) "I love you!” [Ph] she [Ag] said [Pro] ((to him [(Af-Cog])). (36c) "I love you!” [Ph] said [Pro] she [Ag] ((to him [(Af-Cog]))). (39) Ivy asked (Ike) whether he loved her. (40) She told / persuaded him to go. (41) And then she ’s like / goes (like) “I don’t want one!” (36) He reminded me to go back in May / that I should go back in May / of your visit. (39) These foolish things remind me of you. (with an inanimate Ag)

79 Figure 14: A Phenomenon filled by a clause

80 Figure 15: A Phenomenon filled by a text

81 Agent + Process + Phenomenon + Affected-Cognizant
(‘communication’ Processes) (40) Ivy taught French to Ike. (41) Ivy told the answer to Ike. (42) Ike whispered a comment to Ivy. Affected-Cognizant + Process + Agent + Phenomenon (‘communication’ Processes; infrequent) (43) Ivy heard / learnt from Fred that you were coming. Affected-Cognizant + Process + Phenomenon + Agent (‘communication’ Processes; infrequent) (45) Ivy heard / learnt the answer from Fred.

82 Figure 16: The two options in the ‘environmental’ part of the TRANSITIVITY network
It + Process (very few types) (1) It’s raining / snowing / hailing / freezing. It + Process + Process Extension (very few types) (2) It’s raining [Pro] cats and dogs [PrEx]. (3a) It is [Pro] sunny / cloudy / dull / hot / cold / nice [PrEx] {out} {today}. (3b) It’s [Pro] boiling hot / freezing cold [PrEx] {today}.


84 Figure 17: Some major options in the ‘influential’ part of the TRANSITIVITY network

85 3.7.2 Agent + Process + Created-Phenomenon
(1a) Ivy made the branch / herself bend. (1b) Ivy made / had Ike / herself read the letter. (2a) Ivy got / caused / forced Ike to read the letter. (2b) Ivy got / had the letter read / the shed painted green / her hair cut. (2c) She kept him waiting {for an hour}. (3a) Ivy ensured / saw / made sure that he got there in time. (3b) Her sudden movement brought the vase crashing to the floor. (4) Ivy let the branch / herself bend. (5) She permitted / allowed / enabled Ivy to go immediately. (6) She enabled / empowered / authorized Ivy to go immediately. (7a) Ivy prevented / stopped Ike / herself (from) reading the letter (= ‘caused herself not to ....’ ). (8a) Ivy started her daughter swimming {at two}. (8b) Jane started swimming {at two}.

86 Figure 18: The analysis of two ‘influential’ Processes

87 3.7.3 Agent + Process + Phenomenon
(10a) Ivy kept / stopped Fred the engine running. (10b) Ivy kept / stopped Fred / the engine running. (11) Ivy kept (on) / stopped / finished / quit working on the problem. (12) Ivy went on (with) / gave up (on) reading War and Peace. (13) She continued / ceased to read it. (14) She stopped reading it. (15) She stopped / gave up (on) (reading / writing) the book.

88 3.7.5 Affected + Process + Phenomenon
(19) The girder kept on / stopped bending. (20) Ivy stopped swimming {when she was four}. (21) Ivy succeeded in reaching the summit. (22) Ike failed / managed to reach the summit.


90 Figure 19: Some major options in the ‘event-relating’ part of the TRANSITIVITY network

91 3.8 Event-relating Processes
Carrier + Process + Created-Phenomenon (1a) Fred’s losing his temper [Ca] led to / resulted in / brought about / caused / Fiona’s abrupt departure [Cre]. (1b) The industrial revolution [Ca] started / began / initiated / stimulated a series of changes in the social life of Britain that continues to this day [Cre]. (3a) The defeat of the Icenii [Ca] let / allowed / permitted / enabled the Roman Empire (to) spread northwards [Cre]. (3b) The defeat of the Icenii [Ca] made [Pro] it [C] possible [PrEx] for it to spread northwards [Cre].

92 3.8.3 Carrier + Process + Affected-Phenomenon
(1) The invention of gunpowder affected / influenced / modified relations between China and her neighbours. (2) The subjugation of the neighbouring states encouraged / improved / increased / speeded up the growth of the Emperor’s power. (3) This / these events discouraged / inhibited / curbed / checked / decreased / deterred / limited / restrained / slowed it / the development of democracy (down) {for a while}.

93 3.8.4 Carrier + Process + Phenomenon
Analyzing examples such as these satisfactorily requires / necessitates / demands the ability to use a good descriptive framework. (2) The increase in deaths through starvation in Africa results from / stemmed from / was due to climate change. (3) The statement that the king of France is bald presupposes the existence of a king of France. (4) That a mushroom isn’t a plant [Ca] follows from the basic but little known fact that fungi are not plants [Ra].

94 Relevant texts (and a useful database)
Fawcett, Robin P., Invitation to Systemic Functional Linguistics through the Cardiff Grammar: an extension and simplification of Halliday’s Systemic Functional Grammar (Third Edition). London: Equinox. (Especially Chapters 4 and 13.) Fawcett, Robin. P., ‘Seven problems to beware of when analyzing Processes and Participant Roles in texts’. In Slembrouck, Stef, Taverniers, Miriam, and Van Herreweghe, Mieke (eds), From ‘will’ to ‘well’: Studies in Linguistics offered to Anne-Marie Simon-Vandenbergen. Gent: Academia Press Fawcett, Robin P., 2010a. How to Analyze Participant Roles - and so Process Types - in English. ‘Work in progress’ draft for Chapter 2 of Fawcett forthcoming 2011c. Available from

95 Fawcett, Robin P., 2010b.  How to Analyze Circumstantial Roles - and other types of Adjunct - in English.  ‘Work in progress’ draft for Chapter 3 of Fawcett forthcoming 2011c.  Available Fawcett, Robin P., forthcoming The Functional Semantics Handbook: Analyzing English at the Level of Meaning. London: Equinox. Neale, A., The Process Type Data Base. Available on request via Neale, A., ‘Matching corpus data and system networks’. In Thompson, G., and Hunston, S., (eds.), System and Corpus: Exploring Connections. London: Equinox,

96 Neale, A., forthcoming. Process Types and Participant Roles in the English Clause: a New Systemic Functional Approach. London: Equinox. O’Donnell, Mick, Zappavigna, Michele and Whitelaw, Casey, ‘A survey of process type classification over difficult cases’. In Jones, Carys, and Ventola, Eija, (eds) From Language to Multimodalty. London: Equinox A foretaste of Amy Neale’s data Base:

97 An example from Amy Neale’s PTDB



100 Finally: Working in pairs, analyzing examples (yours or ours). Conclusions – question, comments, requests.

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