The transivity of action processes. Verb groups. Action processes

Lecture 5. The transivity of action processes. Verb groups. Action processes

Aim: to examine verb groups and action processes.

We will begin to explore the potential of the English clause for representing our experience of the world. In other words, it will consider the clause from the point of view of its experiential meaning. However, before "moving up" from group rank to clause rank, it will be useful to look at the structure of verb groups in a little more detail.

5.1    Verb groups

Just as a noun group can be regarded as an expanded noun, a verb group can be regarded as an expanded verb. For example:

1. The janitor found the cartons in the shed.
2. The janitor must have found the cartons in the shed,    [inv.]

5.1.1    The structure of the verb group

In sentence 2, the word found is the head of the verb group must have found. The verb group head represents the experiential meaning of the process, that is, the doing, happening, seeing, thinking, liking, being, having, and so on. The constituents which precede the head can, like constituents before the head in a noun group, be regarded as premodifiers. However, the term which is more commonly used for verb group premodifiers is auxiliary verbs or just auxiliaries. This distinguishes them from lexical verbs, that is, verbs which can be the head of a verb group and represent the process.The maximum number of auxiliaries that can precede the head is four, making a maximum possible verb group size of five constituents, including the head (but excluding negative particles; see Section 10.3.4). For example:

AUXILIARIES        HEAD

5       4      3        2           1

(3) By now we could've been being served coffee on a terrace overlooking the Bay of Naples.

Verb groups of this size are not very common, although they are not as rare as one might think, especially in spoken English.

The structure of the verb group is set out in Figure 4.1; in the figure the auxiliaries are listed in the order in which they always occur. That is, although columns may be skipped, auxiliaries in column 4 may only be preceded by auxiliaries in column 5, auxiliaries in column 3 may be preceded by auxiliaries in columns 5 or 4, but not by auxiliaries in column 2, and so on. Thus, a verb group such as has been being eaten (4 3 2 1) is possible (although perhaps not very common), but a verb group such as *was having been eaten (3 4 2 1) is not possible. Only one item from each column can be selected in a verb group; thus, a group such as *will may go (5 5 1) is impossible.

The technical term for auxiliaries in column 4 is perfect auxiliaries; for those in column 3, continuous or progressive auxiliaries; and for those in column 2, passive auxiliaries.

The auxiliaries in each column determine the form of the following auxiliary or head. This is indicated at the bottom of each column. Thus:

1. Auxiliaries in column 5 must always be followed by V, that is, the base form of the word with no -ed, -en, -s, or -ing ending added. Examples: would kick (5 1), should be eaten (5 2 1), and may be eating (5 3 1).
2. Auxiliaries in column 4 must always be followed by the Ved/en forms. Examples: have eaten (4 1), has kicked (4 1), and had been eaten (4 2 1).
3. Auxiliaries in column 3 must always be followed by Ving forms. Examples: are eating (3 1) and is being kicked (3 2 1).

Auxiliaries in column 2 must always be followed by Ved/en forms. Examples: is kicked and are eaten (both 2 1).

Note that forms of the auxiliary be occur in both column 3 and column 2. They are distinguished by the form that follows them, for example, were eating (3 l) and were eaten (2 l).

The forms of the verb do in column 5 function as Finites in negative and interrogative clauses when the verb group contains no other auxiliary that could fulfill this function (Section 393). Unlike other auxiliaries in this column, they must be directly followed by a column l item (i.e., by the head). In other words, groups such as *did have gone are impossible.

The auxiliaries (except those in column 5) have both finite and nonfinite forms. In columns 4 to l the finite forms are grouped together above the nonfinite forms.

5.1.2   Modal auxiliaries

The ten top auxiliaries in column 5 of Figure 4.1 are known as modal auxiliaries, or simply modals. Their meanings are explored in Lecture 11. However, they have a number of formal characteristics that set them apart from the other auxiliaries and can present problems for learners. These will be briefly dealt with here.

The modal auxiliaries are like other auxiliaries in that they are directly followed by not or n 't to form negatives (e.g., would not, mustn 't) and form interrogatives by being placed in front of the Subject (e.g., would you? Must you?). Unlike other auxiliaries, modal auxiliaries are always finite, for example, as we must be out before eleven, we can 't ajford to waste any time but not *musting be out before eleven, we can 't afford to waste any time. On the other hand, although always functioning as Finites, they are never marked for number agreement with the Subject, for example, she must arrive before ten but not *she musts arrive before ten. In addition, some of the modal auxiliaries have no past tense form, for example, today she must arrive before ten but not *yeslerday she musled arrive before ten. Other modal verbs can be considered to have past tense forms in certain contexts, for example, could may function as the past tense form of can in the context of reported speech, as in he said that I could go. However, in most contexts such past tense forms (i.e., could, might, should, and would) can be considered separate modals.

5.1.3   Semi modals

In addition to the ten modal auxiliaries listed in column 5 of Figure 4.1, there are four verbs which have some of the same characteristics and which are sometimes referred to as semimodals. These are need, dare, have to, and used to.

5.1.3.1     NEED AND DARE

Need and dare sometimes behave like modal auxiliaries and sometimes like ordinary lexical verbs (see Section 5.1.1).

Number agreement with the Subject (like lexical verbs) In positive (i.e., not negative) clauses they can be marked for number agreement with the Subject. Also, unlike modal auxiliaries, the following verb is in the to + V form, not the V form, for example, he needs to do it, he dares to do it, but not Ihe need do it, Ihe dare do it.

Negative and interrogative with do (like lexical verbs) They frequently form negatives and interrogatives with the auxiliary do, for example, he does not need to do it, he does not dare to do it, does he need to do it?; does he dare to do it?

Negative and interrogative without do; no agreement (like modals) They can also form negative and interrogative clauses without the auxiliary do. In such cases, the following verb takes the V not the to + V form, for example, he need not do it, he dare not do it, need he do it?, dare he do it?

In addition, unlike a modal auxiliary but like a lexical verb, need and dare can be preceded by a modal auxiliary, for example, he might need to do it, he wouldn 't dare do it.

In current language use, there appears to be a trend toward consistently treating these two words as ordinary lexical verbs, in terms of their formal characteristics. However, as need can express meanings within the area of modality, it will be looked at again in Lecture 11. Dare will not be further considered.

5.1.3.2 HAVE TO

In terms of form, have to is even less like a modal auxiliary. It regularly agrees with the Subject, it forms negatives and interrogatives with do, and it can be preceded by modal auxiliaries. However, in both American and British English, the negative and interrogative without do are still sometimes used, although usually with the word got added, as in has he got to do it? (compare with does he have to do it?) and he hasn 't got to do it (compare with he doesn 't have to do it).

Although formally have to often behaves like a lexical verb, it does express meanings within the area of modality and is also considered further in Lecture 11.

5.1.3.3 USED TO

Used to also normally forms negatives and interrogatives with do like a lexical verb, for example, he didn 't use to do it and did you use to do it? Forms like he used not to (or usedn 't to) and used you to? (i.e., where used to behaves more like a modal) are now considered old-fashioned by most British and American speakers. As the meaning of used to has to do with the time of a process, it will be considered again in Lecture 10.

5.1.4   Learning and teaching verb group structure

Figure 4.1, of course, only specifies what are and what are not possible combinations of auxiliaries within verb groups. It tells us nothing about the functions and meanings of the different verb group structures. These will be explored later in this chapter and in subsequent chapters.

It is extremely unlikely that any teacher would want to present beginners with the complete structure of the English verb group as set out in such a table. The various combinations of auxiliaries and head are normally introduced separately and practiced in appropriate contexts, with knowledge and mastery of the system being built up piece by piece. However, it is not uncommon to find even quite advanced learners producing impossible verb groups such as *they should been punished. For such learners, a systematic overview of the structural possibilities of the English verb group may be useful.

5.2   Action processes

The experiential resources of clauses in English can now be explored. The following clause from Extract 5 consists of a verb group, two noun groups, and a prepositional phrase.

(4) With a quick movement of its tail, the sea-serpent would overturn fishing boats . . . In Lecture 2, the functions of Subject, Object, Finite, Predicator, and Adjunct in this clause were identified. However, in terms of experiential meaning, the verb group (would overturn) tells us about an action; the two noun groups (the sea-serpent and fishing boats) represent the thing which does the action and the thing which is on the receiving end of the action, and the prepositional phrase (with a quick movement of its tail) tells us how the action was carried out.

Using the terms introduced in the last section of the previous chapter, we can say that the action in this clause is a kind of process, and the doer and the receiver of the action are kinds of participants. In addition, the how can be described as a kind of circumstance. This chapter and the next chapter look at configurations of participants and circumstances typical of such action processes. In subsequent chapters, configurations typical of other process types will be considered. The general term for the configurations of participants associated with different processes is transitivity.

5.2.1   Actor and Goal

The following text was written by a learner. Text 4a

On Saturday my father made an umu [a kind of Samoan oven] for my sister's birthday. He used wood to make the umu. My mother told me to collect some leaves for the umu while she did the cabbage and the potatoes. My father then peeled the taro and took it to the umu. When I came home, my sister put the taro in the umu. We then removed the stones from the umu and put the food in it. At the end, we put the sack on it.

This is a simple narrative consisting of a series of processes in more or less chronological order. (As an account of the stages in making an umu, the text is not in fact very accurate.) All but one of the processes are action processes. (The exception is told, which is a verbal process and is considered in Section 7.3.)

Most of the action process clauses have two associated participants, for example:

(5) We then removed the stones from the umu.

The function of the first participant (we) is similar to that of the sea serpent in example 4, which was glossed as the thing which does the action. The technical term for this participant function is Actor. In example 5, as in all active voice action process clauses, the Actor is also the Subject, or to put it more precisely, the noun group which realizes Actor function also realizes Subject function.

The function of the second participant (the stones) is similar to that of fishing boats in example 4, which was previously glossed as the thing which is on the receiving end of the action. The term for this participant function is Goal. In this clause, the Goal is also the Direct Object.

In most cases, ifweask a question like what did (does, do, elc.)Xdo?, X will be the Actor. If we ask a question like what happened (happens, etc.) to Y? Y will be the Goal, for example:

     ACTOR

(5) a. What did we do?     We     removed the stones from the umu.

      GOAL

(5) b. What happened to the stones? We removed   them   from the umu.

In the first clause in the text, you may have correctly identified an umu as Goal. However, note that Goal means something slightly different here. My father did not really do something to the umu. Rather my father created the umu. However, the grammar treats such participants in the same way as other Goals, so there is no advantage in using a different label to describe it. There is one action process clause in text 4a which only has one participant.

       ACTOR

(6) When  I came home . . .

This is a little deceptive, as at first glance home looks as if it might also be a participant. In fact, home is a slightly odd word. It behaves sometimes like a noun and sometimes like an adverb. In this clause it is an adverb and represents a circumstance (of place), not a participant. In other words, it answers the question Where (did you come)? rather than What (did you come)? This becomes even clearer if other place expressions are substituted for the word home. For example, one can say when I came to school but not *when I came school. Learners sometimes try to regularize home and produce clauses such as *I went to home.

Clauses with the two participants - Actor and Goal — are normally known as transitive clauses, while clauses with the single participant Actor are normally known as intransitive clauses.

The distinction between transitive and intransitive clauses is actually not quite so straightforward as it may at first seem. For example, there can be no doubt that example 6 is an intransitive (Actor-only) clause. It would not be possible to introduce a second participant into this clause (e.g., */ came something home). Similarly, there can be no doubt that example 5 is a transitive (Actor and Goal) clause. The participant the stones cannot be omitted. However, with clauses such as she eats at least four times a day there is what we might call an understood Goal —food. It is therefore useful to make a distinction between the types of clauses: (1) those in which there can only be an Actor (intransitive), (2) those in which there must be both an Actor and a Goal (transitive), and (3) those in which a Goal may be implicit (implicitly transitive).

As the clause we had lost a cat (in b, task 4d) shows, the use of the term Actor for a participant does not imply that the participant necessarily deliberately carries out the action. And as the clause where the ball goes (g, task 4d) shows, nor does an Actor have to be animate. There are, for example, many inanimate Actors in Extract 5, for example,

(7) ... a river excavates its valleys . . .

The Actor can even be a nominalized process, for example:

(8) The constant bumping and rubbing of these materials on the river bed wear it down . . .

However, even with inanimate Actors and nominalized process Actors, it is normally possible to ask questions such as What does a river do! and What does the constant bumping and rubbing of these materials on the river bed do?

5.2.2   Recipient and Beneficiary

Some action processes can have three associated participants, as in:

(9) I'll give you your paper.

In this clause, / is the Actor and your paper is the Goal. The third participant (in the Indirect Object position) is the one who receives the Goal. This participant is called the Recipient. The option also exists of representing the participant as a Prepositional Object within an Adjunct, for example:

(9) a. I'll give your paper to you.

The following clause looks similar in structure to number 9:

(10) I'll find you some paper.

However, if this clause is rephrased with the second noun group as a Prepositional Object, the preposition for, not to, must be used:

(10) a.  I'll find some paper for you.

The participant you in number 10 is not someone who receives the Goal. Rather it is someone for whose benefit the action is carried out. The term Beneficiary is used to describe this participant.

Clauses which have a Recipient or Beneficiary as an Indirect Object are referred to as ditransitive.

5.2.3   Configurations of participants and the learner

Potential problems in learning to produce clauses with the appropriate configurations of processes and participants can come both from differences between English and the learner's mother tongue and from difficulties within English itself.

The way in which a certain phenomenon is represented in English by a particular configuration of process and participants may be different from the way in which the same phenomenon is represented in another language. Sometimes there may simply be a difference in the number of participants. For example, the meteorological phenomenon it is raining is represented in English as a process with just one "dummy" participant — it. In this clause, it merely functions as Subject but has no experiential function (i.e., it does not refer to an entity such as the sky). In Malay, the same phenomenon can be represented by one word, as in:

(II) Hujan (hari ini)

Rain (day this)

"It's raining (today)." (Newman n.d.)

The Malay word hujan, like the English word rain, can be both a noun and a verb, so the above clause could be interpreted either as a participant with no process or as a process with no participant. At the other extreme, according to Halliday (1994), there is a dialect of Chinese in which the phenomenon is represented as a process with two participants — "the sky is dropping water."

In other cases, an entity may be represented as a participant directly associated with the process in one language but in another language as part of an Adjunct (and therefore more like a circumstance than a participant). For example, the slogan serve the people is represented in English as a transitive clause, with the people as Goal/Object. However, the equivalent Mandarin Chinese clause is intransitive, with the people (renmin) as Prepositional Object within an Adjunct.

11.  wei renmin fuwu

for people serve

Languages also often differ in how they treat Recipients and Beneficiaries. For example, French allows:

(13) a  Il a bati une maison pour son fils

He built a house for his son

However, unlike English it will not allow the Beneficiary son fils to be represented as an Indirect Object:

(13) a *II a bati son fils une maison.

He built his son a house.

Monolingual speakers tend to regard the configuration of process, participant, and circumstance by which a certain phenomenon is represented in their mother tongue as natural or inevitable. They may therefore try to replicate the configuration when learning a second language.

Potential problems also come from within English itself. Although many commonly occurring verbs can be used in both transitive and intransitive clauses, individual verbs vary greatly in the configurations of participants that they allow or require. This can be a source of difficulty for learners, who may produce errors such as:

(14)      *The balloon raised slowly into the air.

Raise is, of course, one of the verbs which can only be used in transitive clauses, as compared to rise, which can only be used in intransitive clauses. Such pairs are further considered in Section 6.1.

It is also not immediately obvious which verbs can take Recipients and Beneficiaries as Indirect Objects and which only allow them as Prepositional Objects. For example,

(15)      He built his son a house.

is acceptable; but

(15) a.  * He constructed his son a house.

is not.

A rule of thumb that might be helpful to some learners is that the verbs which allow the Recipient or Beneficiary as Indirect Object are usually one-syllable words, of Germanic origin (e.g., give, make, pass, get, write), while those that do not are usually longer words, of French or Latin origin (e.g., donate, manufacture, circulate, obtain, compose).

There are, of course, exceptions. For example, advance is a two-syllable word of Romance origin, but the following clause is quite acceptable:

(16) The bank advanced us some money,    [inv.]

Learners should have access to a good dictionary which indicates the different patterns a verb can occur in, together with plenty of examples.

5.2.4 Action processes and voice

In all of the examples of transitive action process clauses considered so far, the noun group realizing Actor function also realizes Subject function (or, to put it another way, the Actor is mapped onto the Subject) and the noun group realizing Goal function also realizes Direct Object function, as in: