
Introduction: “Metaphor And Literary Comprehension” By Gerard Steen
“Metaphor and Literary Comprehension” by Gerard Steen first appeared in Poetics, Volume 18, in 1989 (pp. 113–141, North-Holland). Steen proposes a comprehensive discourse-theoretical framework for understanding metaphor in literary texts. He distinguishes three major functions of metaphor—expressive, transactional, and interactional—which align with the three dimensions of discourse: linguistic, cognitive, and communicative. A central concern of the essay is how the literary status of discourse alters the cognitive processing of metaphor. Steen contends that the reader’s literary attitude, shaped by socio-cultural conventions like the Esthetic (E) and Polyvalence (P) conventions, fundamentally transforms the way metaphors are identified, comprehended, and appreciated. He builds on models from cognitive psychology and literary theory (notably the Empirical Study of Literature, or ESL) to argue that metaphor understanding in literature is not merely a linguistic or stylistic feature but a dynamic cognitive event shaped by reading context and reader behavior. Importantly, Steen proposes testable hypotheses distinguishing implicit and explicit metaphor processing in readers, contributing to empirical literary research and bridging a gap between cognitive science and literary theory. His essay remains vital for scholars interested in metaphor, literary pragmatics, and discourse processing, asserting that metaphor in literature is both a site of cognitive richness and a reflection of deeper socio-cultural reading practices.
Summary of “Metaphor And Literary Comprehension” By Gerard Steen
🔍 Discourse-Theoretical Approach to Metaphor
- 🧩 Metaphor must be understood within the broader framework of discourse, which encompasses language (text), cognition (comprehension), and communication (social interaction).
“Discourse can be treated as a congeries of three kinds of structures… language, cognition, and communication” (p. 115).
✳️
🎭 Three Functions of Metaphor
- 💬 Expressive function (linguistic): Metaphor serves as a formal device to concisely express what would otherwise be lengthy or indirect.
“‘Julia is the sun’ is formally much more pointed than the lengthy alternatives” (p. 119).
✍️
- 🧠 Transactional function (cognitive): Metaphor helps us relate and understand conceptual domains that are typically unrelated.
“Lovers are not often seen in terms of heavenly bodies, excusez le mot, but Shakespeare manages…” (p. 119).
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- 🤝 Interactional function (communicative): Metaphors influence the flow and interpretation of communication, shaped by genre and social context.
“This force may be vivid or flat, surprising or banal… esthetically pleasing or displeasing” (p. 119).
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📖 Literary vs. Non-Literary Reading
- 🧾 Understanding metaphors is shaped by the type of discourse—literary or non-literary—and the attitude of reading the reader adopts.
“Understanding metaphor in a literary way may be highly influenced by the adoption of a literary attitude of reading” (p. 114).
🎭
- 🧠 A literary attitude activates Esthetic (E) and Polyvalence (P) conventions, focusing on multiple meanings and aesthetic value rather than factual clarity.
“The Esthetic convention… implies the suspension of criteria such as true/false… The Polyvalence convention induces subjectively satisfactory comprehension processes…” (p. 123).
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🔁 Role of Analogical Processing
- 🔗 Analogy is central to metaphor comprehension in literature, where it is not just a problem-solving tool but a method of layered interpretation.
“The principle of analogy… is explosively exploited rather than restricted [in literature]” (p. 125).
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- 🧙 Allegory is seen as extended metaphorical analogy, but not all literary metaphors are allegorical.
“Allegory… has two separate meanings rather than one… metaphor also may have more clearly or vaguely distinct meanings than one” (p. 130).
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🧩 Polyvalence of Literary Metaphor
- 🎨 Literary metaphors tend to be polyvalent—open to multiple interpretations—due to vehicle elaboration and contextual layering.
“Polyvalence in literary metaphor may be due to… a series of vehicle interpretations” (p. 128).
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- 🧠 This results in a richer, multidimensional understanding as readers extract overlapping or even conflicting meanings.
“Metaphors may be refunctionalized as literary signs… producing symbolism and other effects” (p. 130).
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🧭 Identification, Comprehension, and Appreciation
- 📌 Steen proposes a three-part model of how metaphors are processed:
- Identification – Recognizing the presence of a metaphor
- Comprehension – Constructing meaning
- Appreciation – Valuing or evaluating the metaphor
“Identification of metaphor may be… metatextual elaboration… comprehension may lead to… alternative frames… appreciation may be part of polyvalent elaborations” (p. 134).
🔍🧠💖
🔄 Explicit vs. Implicit Processing
- 👀 Steen distinguishes between explicit and implicit versions of all three processes, arguing that literary reading fosters explicit awareness of metaphor.
“Explicit identification… a meta-statement concerning the perceived metaphorical nature…” (p. 136).
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- 📢 For example, explicit vehicle interpretation (recognizing and analyzing the metaphor’s source domain) is more likely in literary contexts.
“Experienced readers… emphasize vehicle interpretation… inexperienced readers tend to overlook this aspect” (p. 137).
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🧪 Empirical and Cognitive Approach
- 🧬 Steen emphasizes the need for empirical testing of his hypotheses via cognitive psychology (e.g., think-aloud protocols) and interdisciplinary work.
“Such obstacles need not prevent us… from both formulating tentative programs of research…” (p. 139).
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- 🧑🔬 He encourages bridging gaps between psychological models of language comprehension and literary theory, advocating for discourse-based analysis.
“Many metaphors in literary texts need not be understood in a literary way… hence a general discourse theory is required…” (p. 139).
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Theoretical Terms/Concepts in “Metaphor And Literary Comprehension” By Gerard Steen
📘 Theoretical Term | 📖 Explanation | 📎 Reference from Article |
Discourse Theory 🔀 | A multi-dimensional approach to language involving linguistic (textual), cognitive, and communicative structures. | “All discourse can be treated as a congeries of three kinds of structures… language, cognition, and communication” (p. 115). |
Expressive Function 🗣️ | The linguistic function of metaphor as a compact and evocative form of formal expression. | “Language as a formal entity has only one function in discourse, i.e. an expressive one” (p. 117). |
Transactional Function 🧠 | The cognitive role of metaphor in creating conceptual links between unrelated domains. | “The direct connection… between two conceptual entities or domains…” (p. 119). |
Interactional Function 🤝 | The social/communicative impact of metaphor—how it shapes relationships and discourse tone. | “Its role in the domain of literary or non-literary communication” (p. 119). |
E and P Conventions 🎨📚 | Esthetic (E) and Polyvalence (P) reading conventions that frame literary interpretation. | “The Esthetic convention… The Polyvalence convention…” (p. 123). |
Literary Attitude of Reading 🎭 | A cognitive mode of reading marked by openness to metaphor, ambiguity, and deeper engagement. | “Understanding metaphor in a literary way… influenced by the adoption of a literary attitude of reading” (p. 114). |
Analogical Processing 🔗 | Reasoning strategy that draws comparisons between domains; essential for metaphor interpretation. | “The principle of analogy… is explosively exploited rather than restricted [in literature]” (p. 125). |
Metaphorical Analogy 🔍 | Analogical comparison between dissimilar domains that underpins metaphor formation. | “Metaphorical analogies do not involve terms from similar domains” (p. 126). |
Allegory 🏛️ | An extended metaphor or analogy with two structurally distinct yet connected layers of meaning. | “Allegory… has two separate meanings rather than one…” (p. 130). |
Polyvalence 🌀 | The literary feature where multiple interpretations of a metaphor (or text) coexist. | “Polyvalence in literary metaphor may be due to… a series of vehicle interpretations” (p. 128). |
Vehicle Interpretation 🚗 | Cognitive processing of the metaphor’s source domain to evoke layered or image-rich meanings. | “Vehicle interpretation… necessary to invoke the image aspect of the metaphor” (p. 127). |
Focus Interpretation 🎯 | Interpretation focused on the metaphor’s topic without extending to the vehicle/source domain. | “Metaphor in literature is characterized by explicit vehicle-interpretation…” (p. 127). |
Explicit vs. Implicit Processing 👀🤔 | Differentiates between conscious (explicit) and subconscious (implicit) identification, understanding, and judgment. | “Two cognitive types of identification… explicit and implicit…” (p. 136). |
Identification, Comprehension, Appreciation 🔎🧩❤️ | The three core cognitive steps in processing metaphor: recognizing, interpreting, and evaluating it. | “The three related processes… composing the cognitive function of metaphor” (p. 120, also p. 133). |
Textual Surface Strategy 📜 | A literary reading tactic focusing on formal features like style, diction, and metaphor for deeper meaning. | “Point of view, tone, diction, and style… metaphor should be included in this list” (p. 124). |
Figurative Event ⏰ | A fictional realization of metaphor within the text’s world, blending literal and figurative meaning. | “Turns a clock metaphor for God into a giant clock that is a real danger…” (p. 130). |
Double Vision 👓 | Simultaneous awareness of both literal and metaphorical meanings in a single expression. | “Double perception of floating on the waves and riding a horse” (p. 127). |
Contribution of “Metaphor And Literary Comprehension” By Gerard Steen to Literary Theory/Theories
🔀 📚 Discourse Theory Expansion
- Contribution: Steen integrates metaphor into a three-dimensional discourse model (language, cognition, communication), broadening literary theory beyond structuralist/textual confines.
- Reference: “All discourse can be treated as a congeries of three kinds of structures… language, cognition, and communication” (p. 115).
- Theory Link: Enriches Discourse Analysis and Text Linguistics in literature by aligning with Prague Structuralism and socio-cognitive frameworks.
🎭 🧠 Reader-Response Theory Enrichment
- Contribution: Emphasizes reader’s active construction of meaning in metaphor interpretation, especially through the E and P conventions.
- Reference: “Understanding metaphor in a literary way may be highly influenced by the adoption of a literary attitude of reading” (p. 114).
- Theory Link: Deepens Reader-Response Criticism by introducing attitudinal variation in metaphor recognition and appreciation.
🌀 📖 Empirical Literary Studies (ESL) Advancement
- Contribution: Positions metaphor within the Empirical Study of Literature (ESL), promoting testable hypotheses and reader-based research.
- Reference: “The ESL theory of understanding literary texts… offers some opportunities… for locating metaphor in literary discourse” (p. 114).
- Theory Link: Aligns with Siegfried Schmidt’s ESL framework and supports experimental psychology in literary studies.
🔗 💬 Cognitive Poetics and Stylistics
- Contribution: Introduces analogical processing as central to literary metaphor interpretation, bridging psychology and poetics.
- Reference: “Analogical processing… is responsible for the specifically literary comprehension of metaphor” (p. 114).
- Theory Link: Builds on Cognitive Poetics, reinforcing metaphor as a tool for mental model construction and not just rhetorical flourish.
🔍 🎯 Structuralist vs. Post-Structuralist Dialogue
- Contribution: While grounded in form (structure), Steen critiques pure formalism by emphasizing reader agency, function, and polyvalence.
- Reference: “Not all metaphors in literature are understood in a literary way by definition…” (p. 139).
- Theory Link: Offers a bridge between Structuralist poetics (e.g., Jakobson) and Post-Structuralist variability.
🤝 📜 Literary Pragmatics Integration
- Contribution: Reframes metaphor as a pragmatic device influenced by social context, genre expectations, and communicative conventions.
- Reference: “The social function of metaphor… is achieved by the adherence to general literary discourse conventions” (p. 132).
- Theory Link: Strengthens Literary Pragmatics, connecting with work by Jonathan Culler and Van Peer.
👀 🧩 Reception Theory: Micro-Processes Focus
- Contribution: Introduces granular distinctions—explicit vs. implicit identification, comprehension, and appreciation—in metaphor reception.
- Reference: “We need to distinguish between the implicit and explicit identification… comprehension… appreciation” (p. 138).
- Theory Link: Adds psychological nuance to Reception Theory by tracking real-time cognitive behavior during reading.
⚙️ 🔄 Methodological Contribution to Literary Theories
- Contribution: Proposes a methodologically rigorous, interdisciplinary approach combining psycholinguistics, discourse theory, and empirical testing.
- Reference: “Such obstacles need not prevent us… from formulating tentative programs of research” (p. 139).
- Theory Link: Catalyzes a research-based turn in literary theory, moving beyond speculative criticism.
Examples of Critiques Through “Metaphor And Literary Comprehension” By Gerard Steen
📘 Literary Work | 🧠 Steenian Critique Focus |
🧝♂️ The Lord of the Rings by J.R.R. Tolkien | Metaphors like “the Ring” function as polyvalent literary signs. Through Steen’s E and P conventions, readers engage in analogical interpretation that uncovers layered moral, political, and existential meanings. |
🐋 Moby-Dick by Herman Melville | The whale acts as a metaphorical domain inviting analogical reasoning. A literary attitude foregrounds its cognitive tension as both a natural being and metaphysical symbol, embodying Steen’s expressive and transactional discourse functions. |
📜 The Love Song of J. Alfred Prufrock by T.S. Eliot | Steen’s concept of vehicle interpretation explains the metaphor “I have measured out my life with coffee spoons” as a double-vision moment, fusing mundane imagery with existential despair. |
🐎 The Old Man and the Sea by Ernest Hemingway | The metaphor of the marlin and sea becomes allegorical under a literary attitude, aligning with Steen’s discourse theory. Holyoak’s analogical reading expands the struggle into metaphors of artistry, dignity, and mortality. |
Criticism Against “Metaphor And Literary Comprehension” By Gerard Steen
🔍 Over-Theorization Without Empirical Evidence
While Steen emphasizes empirical methodology, the paper remains largely theoretical. Critics may argue that Steen falls short of offering actual data to validate his discourse-functional claims (Steen, 1989).
🧩 Ambiguity in Discourse Typology
The tripartite model of expressive, transactional, and interactional discourse functions may be seen as overlapping or too loosely defined, especially when applied across diverse literary genres.
⚖️ Lack of Engagement with Post-Structuralism
Steen’s cognitive approach is rooted in formalist and psychological models, which can appear reductive or incompatible with post-structuralist or deconstructive theories that resist fixed interpretation or “functions” of language.
🎭 Neglect of Cultural and Historical Context
Critics might argue that the model downplays the role of socio-historical context in shaping metaphorical meaning, focusing instead on cognitive processing as if it were universal and ahistorical.
🧠 Cognitive Bias and Reader Homogenization
The psychological framing assumes a somewhat uniform cognitive process across readers, which may ignore diverse interpretive communities or the variability of reader responses rooted in identity and context.
📚 Insufficient Focus on Non-Metaphorical Literary Devices
By centering metaphor, the paper potentially marginalizes other poetic and rhetorical strategies equally central to literary comprehension, such as irony, metonymy, or ambiguity.
🌀 Conflation of Literary Attitude and Literary Value
Steen’s reliance on the E and P conventions implies that readers can “switch on” a literary mode of reading. Critics may question whether such a clean switch exists, or whether this oversimplifies how texts are actually read and valued.
Representative Quotations from “Metaphor And Literary Comprehension” By Gerard Steen with Explanation
🔖 Quotation | 📘 Explanation |
🌟 “Three important functions of metaphor are distinguished: the expressive, the transactional and the interactional…” (p. 113) | This foundational classification anchors metaphor in discourse theory. Expressive refers to formal expression, transactional to cognition, and interactional to communicative impact. |
💬 “The assumption of a difference between a linguistic and a cognitive side to metaphor is precisely why it is necessary to distinguish between three functions…” (p. 117) | Steen stresses the importance of separating metaphor’s linguistic form from its cognitive and social effects, allowing a multidimensional approach to metaphor analysis. |
🔍 “Metaphor is a formal entity belonging to the domain of text… a potential formal stimulus on the behaviour of readers.” (p. 117) | This defines metaphor not only as a textual feature but as a stimulus for reader engagement, paving the way for empirical study. |
🎭 “Literary comprehension is approached as a special and specific subtype of understanding metaphor in general…” (p. 118) | Steen positions literary reading as a specialized discourse behavior, shaped by cultural conventions like the Esthetic (E) and Polyvalence (P) conventions. |
🧠 “Understanding metaphor in literature may be highly influenced by the adoption of a literary attitude of reading…” (p. 118) | This quotation highlights how reader attitude, shaped by context and genre, plays a critical role in how metaphors are processed in literary texts. |
🧭 “We assume that the understanding of metaphor in literary texts is influenced by the adoption of a literary attitude of reading.” (p. 123) | The cognitive response to metaphor is not fixed but depends on whether readers approach the text literarily or non-literarily. |
⚖️ “Explicit identification will be investigated as the attribution of a meta-statement concerning the perceived metaphorical nature…” (p. 136) | Steen emphasizes the difference between implicit and explicit recognition of metaphor, which helps empirically analyze how metaphors are processed. |
🌀 “Polyvalence in literary metaphor may be due to a literary exploitation of the implications arising from a single metaphorical statement.” (p. 128) | Steen explains how multiple interpretations from one metaphor are a hallmark of literary reading, driven by the polyvalence convention. |
🎨 “The polyvalent nature of literary meaning… is what makes literary allegory such a rich store of meaning…” (p. 127) | Allegory is shown to function like metaphor on a broader scale, allowing for multiple simultaneous interpretations in literary discourse. |
🔬 “Empirical research in understanding metaphor in literary texts needs to be grounded in a discourse theory of metaphor.” (p. 139) | The closing argument affirms the essay’s goal: to bridge empirical study and literary theory via a systematic discourse-based framework. |
Suggested Readings: “Metaphor And Literary Comprehension” By Gerard Steen
- Steen, Gerard. “Literary and Nonliterary Aspects of Metaphor.” Poetics Today, vol. 13, no. 4, 1992, pp. 687–704. JSTOR, https://doi.org/10.2307/1773294. Accessed 16 Apr. 2025.
- Steen, Gerard. “Metaphor and literary comprehension: Towards a discourse theory of metaphor in literature.” Poetics 18.1-2 (1989): 113-141.