
Introduction: âMetaphor And Literary Comprehensionâ By Gerard Steen
âMetaphor and Literary Comprehensionâ by Gerard Steen first appeared in Poetics, Volume 18, in 1989 (pp. 113â141, North-Holland). Steen proposes a comprehensive discourse-theoretical framework for understanding metaphor in literary texts. He distinguishes three major functions of metaphorâexpressive, transactional, and interactionalâwhich 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 readerâs 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 âMetaphor And Literary Comprehensionâ By Gerard Steen
đ Discourse-Theoretical Approach to Metaphor
- đ§Š Metaphor must be understood within the broader framework of discourse, which encompasses language (text), cognition (comprehension), and communication (social interaction).
âDiscourse can be treated as a congeries of three kinds of structures⌠language, cognition, and communicationâ (p. 115).
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đ Three Functions of Metaphor
- đŹ Expressive function (linguistic): Metaphor serves as a formal device to concisely express what would otherwise be lengthy or indirect.
ââJulia is the sunâ is formally much more pointed than the lengthy alternativesâ (p. 119).
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- đ§ Transactional function (cognitive): Metaphor helps us relate and understand conceptual domains that are typically unrelated.
âLovers are not often seen in terms of heavenly bodies, excusez le mot, but Shakespeare managesâŚâ (p. 119).
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- đ¤ Interactional function (communicative): Metaphors influence the flow and interpretation of communication, shaped by genre and social context.
âThis force may be vivid or flat, surprising or banal⌠esthetically pleasing or displeasingâ (p. 119).
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đ Literary vs. Non-Literary Reading
- đ§ž Understanding metaphors is shaped by the type of discourseâliterary or non-literaryâand the attitude of reading the reader adopts.
âUnderstanding metaphor in a literary way may be highly influenced by the adoption of a literary attitude of readingâ (p. 114).
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- đ§ A literary attitude activates Esthetic (E) and Polyvalence (P) conventions, focusing on multiple meanings and aesthetic value rather than factual clarity.
âThe Esthetic convention⌠implies the suspension of criteria such as true/false⌠The Polyvalence convention induces subjectively satisfactory comprehension processesâŚâ (p. 123).
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đ Role of Analogical Processing
- đ Analogy is central to metaphor comprehension in literature, where it is not just a problem-solving tool but a method of layered interpretation.
âThe principle of analogy⌠is explosively exploited rather than restricted [in literature]â (p. 125).
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- đ§ Allegory is seen as extended metaphorical analogy, but not all literary metaphors are allegorical.
âAllegory⌠has two separate meanings rather than one⌠metaphor also may have more clearly or vaguely distinct meanings than oneâ (p. 130).
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đ§Š Polyvalence of Literary Metaphor
- đ¨ Literary metaphors tend to be polyvalentâopen to multiple interpretationsâdue to vehicle elaboration and contextual layering.
âPolyvalence in literary metaphor may be due to⌠a series of vehicle interpretationsâ (p. 128).
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- đ§ This results in a richer, multidimensional understanding as readers extract overlapping or even conflicting meanings.
âMetaphors may be refunctionalized as literary signs⌠producing symbolism and other effectsâ (p. 130).
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đ§ Identification, Comprehension, and Appreciation
- đ Steen proposes a three-part model of how metaphors are processed:
- Identification â Recognizing the presence of a metaphor
- Comprehension â Constructing meaning
- Appreciation â Valuing or evaluating the metaphor
âIdentification of metaphor may be⌠metatextual elaboration⌠comprehension may lead to⌠alternative frames⌠appreciation may be part of polyvalent elaborationsâ (p. 134).
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đ Explicit vs. Implicit Processing
- đ Steen distinguishes between explicit and implicit versions of all three processes, arguing that literary reading fosters explicit awareness of metaphor.
âExplicit identification⌠a meta-statement concerning the perceived metaphorical natureâŚâ (p. 136).
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- đ˘ For example, explicit vehicle interpretation (recognizing and analyzing the metaphorâs source domain) is more likely in literary contexts.
âExperienced readers⌠emphasize vehicle interpretation⌠inexperienced readers tend to overlook this aspectâ (p. 137).
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đ§Ş Empirical and Cognitive Approach
- đ§Ź Steen emphasizes the need for empirical testing of his hypotheses via cognitive psychology (e.g., think-aloud protocols) and interdisciplinary work.
âSuch obstacles need not prevent us⌠from both formulating tentative programs of researchâŚâ (p. 139).
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- đ§âđŹ He encourages bridging gaps between psychological models of language comprehension and literary theory, advocating for discourse-based analysis.
âMany metaphors in literary texts need not be understood in a literary way⌠hence a general discourse theory is requiredâŚâ (p. 139).
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Theoretical Terms/Concepts in âMetaphor And Literary Comprehensionâ By Gerard Steen
đ Theoretical Term | đ Explanation | đ Reference from Article |
Discourse Theory đ | A multi-dimensional approach to language involving linguistic (textual), cognitive, and communicative structures. | âAll discourse can be treated as a congeries of three kinds of structures⌠language, cognition, and communicationâ (p. 115). |
Expressive Function đŁď¸ | The linguistic function of metaphor as a compact and evocative form of formal expression. | âLanguage as a formal entity has only one function in discourse, i.e. an expressive oneâ (p. 117). |
Transactional Function đ§ | The cognitive role of metaphor in creating conceptual links between unrelated domains. | âThe direct connection⌠between two conceptual entities or domainsâŚâ (p. 119). |
Interactional Function đ¤ | The social/communicative impact of metaphorâhow it shapes relationships and discourse tone. | âIts role in the domain of literary or non-literary communicationâ (p. 119). |
E and P Conventions đ¨đ | Esthetic (E) and Polyvalence (P) reading conventions that frame literary interpretation. | âThe Esthetic convention⌠The Polyvalence conventionâŚâ (p. 123). |
Literary Attitude of Reading đ | A cognitive mode of reading marked by openness to metaphor, ambiguity, and deeper engagement. | âUnderstanding metaphor in a literary way⌠influenced by the adoption of a literary attitude of readingâ (p. 114). |
Analogical Processing đ | Reasoning strategy that draws comparisons between domains; essential for metaphor interpretation. | âThe principle of analogy⌠is explosively exploited rather than restricted [in literature]â (p. 125). |
Metaphorical Analogy đ | Analogical comparison between dissimilar domains that underpins metaphor formation. | âMetaphorical analogies do not involve terms from similar domainsâ (p. 126). |
Allegory đď¸ | An extended metaphor or analogy with two structurally distinct yet connected layers of meaning. | âAllegory⌠has two separate meanings rather than oneâŚâ (p. 130). |
Polyvalence đ | The literary feature where multiple interpretations of a metaphor (or text) coexist. | âPolyvalence in literary metaphor may be due to⌠a series of vehicle interpretationsâ (p. 128). |
Vehicle Interpretation đ | Cognitive processing of the metaphorâs source domain to evoke layered or image-rich meanings. | âVehicle interpretation⌠necessary to invoke the image aspect of the metaphorâ (p. 127). |
Focus Interpretation đŻ | Interpretation focused on the metaphorâs topic without extending to the vehicle/source domain. | âMetaphor in literature is characterized by explicit vehicle-interpretationâŚâ (p. 127). |
Explicit vs. Implicit Processing đđ¤ | Differentiates between conscious (explicit) and subconscious (implicit) identification, understanding, and judgment. | âTwo cognitive types of identification⌠explicit and implicitâŚâ (p. 136). |
Identification, Comprehension, Appreciation đđ§Šâ¤ď¸ | The three core cognitive steps in processing metaphor: recognizing, interpreting, and evaluating it. | âThe three related processes⌠composing the cognitive function of metaphorâ (p. 120, also p. 133). |
Textual Surface Strategy đ | A literary reading tactic focusing on formal features like style, diction, and metaphor for deeper meaning. | âPoint of view, tone, diction, and style⌠metaphor should be included in this listâ (p. 124). |
Figurative Event â° | A fictional realization of metaphor within the textâs world, blending literal and figurative meaning. | âTurns a clock metaphor for God into a giant clock that is a real dangerâŚâ (p. 130). |
Double Vision đ | Simultaneous awareness of both literal and metaphorical meanings in a single expression. | âDouble perception of floating on the waves and riding a horseâ (p. 127). |
Contribution of âMetaphor And Literary Comprehensionâ By Gerard Steen to Literary Theory/Theories
đ đ Discourse Theory Expansion
- Contribution: Steen integrates metaphor into a three-dimensional discourse model (language, cognition, communication), broadening literary theory beyond structuralist/textual confines.
- Reference: âAll discourse can be treated as a congeries of three kinds of structures⌠language, cognition, and communicationâ (p. 115).
- Theory Link: Enriches Discourse Analysis and Text Linguistics in literature by aligning with Prague Structuralism and socio-cognitive frameworks.
đ đ§ Reader-Response Theory Enrichment
- Contribution: Emphasizes readerâs active construction of meaning in metaphor interpretation, especially through the E and P conventions.
- Reference: âUnderstanding metaphor in a literary way may be highly influenced by the adoption of a literary attitude of readingâ (p. 114).
- Theory Link: Deepens Reader-Response Criticism by introducing attitudinal variation in metaphor recognition and appreciation.
đ đ Empirical Literary Studies (ESL) Advancement
- Contribution: Positions metaphor within the Empirical Study of Literature (ESL), promoting testable hypotheses and reader-based research.
- Reference: âThe ESL theory of understanding literary texts⌠offers some opportunities⌠for locating metaphor in literary discourseâ (p. 114).
- Theory Link: Aligns with Siegfried Schmidtâs ESL framework and supports experimental psychology in literary studies.
đ đŹ Cognitive Poetics and Stylistics
- Contribution: Introduces analogical processing as central to literary metaphor interpretation, bridging psychology and poetics.
- Reference: âAnalogical processing⌠is responsible for the specifically literary comprehension of metaphorâ (p. 114).
- Theory Link: Builds on Cognitive Poetics, reinforcing metaphor as a tool for mental model construction and not just rhetorical flourish.
đ đŻ Structuralist vs. Post-Structuralist Dialogue
- Contribution: While grounded in form (structure), Steen critiques pure formalism by emphasizing reader agency, function, and polyvalence.
- Reference: âNot all metaphors in literature are understood in a literary way by definitionâŚâ (p. 139).
- Theory Link: Offers a bridge between Structuralist poetics (e.g., Jakobson) and Post-Structuralist variability.
đ¤ đ Literary Pragmatics Integration
- Contribution: Reframes metaphor as a pragmatic device influenced by social context, genre expectations, and communicative conventions.
- Reference: âThe social function of metaphor⌠is achieved by the adherence to general literary discourse conventionsâ (p. 132).
- Theory Link: Strengthens Literary Pragmatics, connecting with work by Jonathan Culler and Van Peer.
đ đ§Š Reception Theory: Micro-Processes Focus
- Contribution: Introduces granular distinctionsâexplicit vs. implicit identification, comprehension, and appreciationâin metaphor reception.
- Reference: âWe need to distinguish between the implicit and explicit identification⌠comprehension⌠appreciationâ (p. 138).
- Theory Link: Adds psychological nuance to Reception Theory by tracking real-time cognitive behavior during reading.
âď¸ đ Methodological Contribution to Literary Theories
- Contribution: Proposes a methodologically rigorous, interdisciplinary approach combining psycholinguistics, discourse theory, and empirical testing.
- Reference: âSuch obstacles need not prevent us⌠from formulating tentative programs of researchâ (p. 139).
- Theory Link: Catalyzes a research-based turn in literary theory, moving beyond speculative criticism.
Examples of Critiques Through âMetaphor And Literary Comprehensionâ By Gerard Steen
đ Literary Work | đ§ Steenian Critique Focus |
đ§ââď¸ The Lord of the Rings by J.R.R. Tolkien | Metaphors like âthe Ringâ function as polyvalent literary signs. Through Steenâs E and P conventions, readers engage in analogical interpretation that uncovers layered moral, political, and existential meanings. |
đ 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 Steenâs expressive and transactional discourse functions. |
đ The Love Song of J. Alfred Prufrock by T.S. Eliot | Steenâs concept of vehicle interpretation explains the metaphor âI have measured out my life with coffee spoonsâ as a double-vision moment, fusing mundane imagery with existential despair. |
đ The Old Man and the Sea by Ernest Hemingway | The metaphor of the marlin and sea becomes allegorical under a literary attitude, aligning with Steenâs discourse theory. Holyoakâs analogical reading expands the struggle into metaphors of artistry, dignity, and mortality. |
Criticism Against âMetaphor And Literary Comprehensionâ By Gerard Steen
đ 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).
đ§Š 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.
âď¸ Lack of Engagement with Post-Structuralism
Steenâs 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 âfunctionsâ of language.
đ 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.
đ§ 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.
đ 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.
đ Conflation of Literary Attitude and Literary Value
Steenâs reliance on the E and P conventions implies that readers can âswitch onâ 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 âMetaphor And Literary Comprehensionâ By Gerard Steen with Explanation
đ Quotation | đ Explanation |
đ âThree important functions of metaphor are distinguished: the expressive, the transactional and the interactionalâŚâ (p. 113) | This foundational classification anchors metaphor in discourse theory. Expressive refers to formal expression, transactional to cognition, and interactional to communicative impact. |
đŹ âThe assumption of a difference between a linguistic and a cognitive side to metaphor is precisely why it is necessary to distinguish between three functionsâŚâ (p. 117) | Steen stresses the importance of separating metaphorâs linguistic form from its cognitive and social effects, allowing a multidimensional approach to metaphor analysis. |
đ âMetaphor is a formal entity belonging to the domain of text⌠a potential formal stimulus on the behaviour of readers.â (p. 117) | This defines metaphor not only as a textual feature but as a stimulus for reader engagement, paving the way for empirical study. |
đ âLiterary comprehension is approached as a special and specific subtype of understanding metaphor in generalâŚâ (p. 118) | Steen positions literary reading as a specialized discourse behavior, shaped by cultural conventions like the Esthetic (E) and Polyvalence (P) conventions. |
đ§ âUnderstanding metaphor in literature may be highly influenced by the adoption of a literary attitude of readingâŚâ (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. |
đ§ âWe assume that the understanding of metaphor in literary texts is influenced by the adoption of a literary attitude of reading.â (p. 123) | The cognitive response to metaphor is not fixed but depends on whether readers approach the text literarily or non-literarily. |
âď¸ âExplicit identification will be investigated as the attribution of a meta-statement concerning the perceived metaphorical natureâŚâ (p. 136) | Steen emphasizes the difference between implicit and explicit recognition of metaphor, which helps empirically analyze how metaphors are processed. |
đ âPolyvalence in literary metaphor may be due to a literary exploitation of the implications arising from a single metaphorical statement.â (p. 128) | Steen explains how multiple interpretations from one metaphor are a hallmark of literary reading, driven by the polyvalence convention. |
đ¨ âThe polyvalent nature of literary meaning⌠is what makes literary allegory such a rich store of meaningâŚâ (p. 127) | Allegory is shown to function like metaphor on a broader scale, allowing for multiple simultaneous interpretations in literary discourse. |
đŹ âEmpirical research in understanding metaphor in literary texts needs to be grounded in a discourse theory of metaphor.â (p. 139) | The closing argument affirms the essayâs goal: to bridge empirical study and literary theory via a systematic discourse-based framework. |
Suggested Readings: âMetaphor And Literary Comprehensionâ By Gerard Steen
- Steen, Gerard. âLiterary and Nonliterary Aspects of Metaphor.â Poetics Today, vol. 13, no. 4, 1992, pp. 687â704. JSTOR, https://doi.org/10.2307/1773294. Accessed 16 Apr. 2025.
- Steen, Gerard. âMetaphor and literary comprehension: Towards a discourse theory of metaphor in literature.â Poetics 18.1-2 (1989): 113-141.