Misrepresenting Halliday (1961) On The Rank Scale

Fawcett (2010: 21):

Halliday then points out that "the theory allows for downward 'rank shift' : the transfer of a [...] given unit to a lower rank" [i.e., it allows a unit such as a clause to occur at an element where, in the unmarked case, a lower unit such as a group or a word would occur].  Moreover the theory "does not allow for upward 'rank shift'", i.e., a word cannot function directly as an element of a clause. The claim that elements of a clause must be filled by groups rather than by words (which Halliday expresses as "no upward rank shift") has attracted particularly strong criticism, both from outside SFL (e.g., Matthews 1966) and from within it (e.g., Hudson 1971 and Fawcett 1973/81).

Blogger Comments:

This is misleading.   Excluding (downward) rank-shift, structural elements of a higher rank are realised by units of the rank below — elements of a clause by groups and phrases, and elements of groups and phrases by words.

An element of clause structure, such as Subject, may be realised by a nominal group with only one structural element, Thing, realised by one word, as in the clause Cretans are liars.

The reason for distinguishing the group Cretans from the word Cretans is that each unit affords different systemic potential.  For example, the group Cretans can be replaced by another group, such as the richest corporate executives, whereas the word Cretans can only be replaced by another word, such as politicians.

Misrepresenting Halliday (1993)

Fawcett (2010: 12):

Is it necessary, you may ask, to read all of Part 1, in order to understand the presentation of the theory in Part 2? The answer is that, strictly speaking, it is not. However, it is in Part 1 — and in particular in Chapter 7 — that I explain why the theory presented in Part 2 is needed.

But there is a further reason to read Part 1. It is that Halliday describes Systemic Functional Linguistics as a theory of language that has remained essentially unchanged in its lexicogrammatical 'core' over the last forty years, with the developments in the theory coming through "expansion" rather than change (e.g., 1993:4507). However, Chapters 3 to 7 of Part 1 demonstrate clearly that he has in fact introduced a whole series of changes between the sixties and today. Thus the fact that I am proposing certain further changes to the theory in Part 2 is not so revolutionary as it might at first appear. This further stage in the evolution of the theory is necessary, I believe, in order to enable it to meet the demands that will be made on Systemic Functional Linguistics in the 2000s.

Blogger Comments:

[1] This is misleading.  What Halliday (1993: 275*) actually wrote, after describing the origins, basic concepts and the development of SFL theory, is as follows:

A feature of systemic work is that it has tended to expand by moving into new spheres of activity, rather than by reworking earlier positions.

That is, Halliday contrasts developments in the theory with the expansion of its applications to new fields.  The reason this trivial point is worth clarifying is that Fawcett's claim constitutes another strategic misrepresentation, rather than an accidental misunderstanding.

[2] It will be seen that creating theoretical consistencies — which, as previously demonstrated, Fawcett's proposals would do —will not improve the functionality of any theory.

* Halliday (1993) can be viewed online here.

Misrepresenting IFG (Halliday 1994)

Fawcett (2010: 10):

But it is the analysis of texts in IFG, of course, that constitutes the major evidence as to how Halliday sees the structure of what we shall later call 'instances of syntax'. And in evaluating these representations we shall find — contrary to what you might expect — that they raise serious theoretical problems. Moreover, in the course of Chapter 7 it becomes clear that, even if you feel completely happy about the representations of structure in IFG, Halliday's model additionally needs an integrating syntax of the sort proposed here in Part 2.

Blogger Comments:

[1] In SFL theory, there is an important distinction between function structure and formal syntagm (syntax).

[2] It will be seen in the examination of this later discussion that Fawcett confuses the theoretical dimension of instantiation with the theoretical dimension of delicacy.

[3] It will be seen in the examination of this later discussion that the function structures do not raise serious theoretical problems.  For example, Fawcett will present the double layering of interpersonal clause structure as a theoretical problem.

[4] Fawcett's 'integrating syntax' depends on an incompatible theoretical architecture (semantics as system, grammar as formal syntagm), and so cannot be included in the SFL model without sacrificing theoretical consistency.

Misrepresenting Halliday (1961, 1993, 1994)

Fawcett (2010: 10):

Interestingly, however, neither Halliday nor any of his close colleagues has made a detailed statement about a modern theory of SF syntax that can be compared with that in "Categories".  The best summary of the "basic concepts" of the theory as Halliday sees them today is in his paper "Systemic theory" (1993), and this is summarised in Chapter 5. A second obvious source of insights is the major description of English that he provides in IFG, and this is examined in Chapter 7. Surprisingly, there are considerable differences between the theoretical concepts presented in these two works by Halliday, both of which were published in the early 1990s, and this clearly requires comment and explanation.

Blogger Comments:

[1] This is yet another negative appraisal (judgement) that is entirely without foundation.  Halliday (1961) set out the categories and dimensions of a theory of language, not syntax, and developed a theory from that framework.  In the course of developing what became known as Systemic Functional Grammar, syntax — the syntagmatic arrangement of form — was backgrounded in favour of function, in line with the requirements of a functional, rather than formal, theory.  Form is modelled in SFG as a rank scale of clause, phrase/group, word and morpheme, and a function structure at a higher rank is realised by a syntagm of forms at the rank below.  This was all set out in the first edition of IFG (Halliday 1985).

[2] This is manifestly untrue, and will be demonstrated to be so in the critique of Chapter 7.

Misrepresenting Halliday's 1961 Grammar As Syntax

Fawcett (2010: 10):

We shall begin, in Chapter 2, with a summary of Halliday's seminal paper "Categories of the theory of grammar" (1961/76) — which is itself essentially a theory of syntax. After outlining Halliday's overall model of language as it was in 1961, I shall summarise the seven main concepts in what was at that time an exciting new theory of syntax (or "grammar", as Halliday would term it). However, during the sixties Halliday developed what was essentially a theory of syntax into the rich theory of language as a whole that is known today as Systemic Functional Grammar.

Blogger Comments:

[1] As previously demonstrated, and as the title suggests, the theory of grammar in Halliday (1961) goes well beyond mere syntax.  The reason this repeated misrepresentation is worth noting again is that it strategically serves Fawcett's position.

[2] Trivially, to be clear, the theory of language is Systemic Functional Linguistics, whereas Systemic Functional Grammar is the theory of grammar.