论隐喻的识别
摘要
隐喻一直以来都是一个倍受关注的课题。传统上一般将隐喻视为在特定时候为了达到特定效果而采用的一种修辞手段，是对语言的一种修饰。然而，近几十年来隐喻的结构、运作机制、功能、认知特点迅速成为语言学、人类学、哲学、心理学、教育学等众多学科的研究课题。隐喻已不仅是一种语言修辞，而成为一种思维模式，是人类用来借助新的视角认知事物的一种有效的认知工具。
隐喻的理解是隐喻理论的一个重要部分，因为隐喻的工作机制和认知功能是在理解过程中达成和体现出来的。隐喻的理解过程包括：隐喻的识别和隐喻意义的推断。隐喻意义的推断是许多语言学家研究的重点，但是隐喻的识别却一直没有得到重视。本文旨在运用格莱斯(Grice)的会话含义理论和凯特(Kittay)的第一性意义理论来研究如何识别隐喻，通过对典型个例进行详细分析，进而从说话者、话语本身和语境三个方面给出辨别隐喻的一些必要条件。在理论方面，该研究可以为隐喻研究中的语料搜集提供一些可供借鉴的衡量标准。本研究的实践意义在于可以帮助语言使用者更好的区分隐喻意义和字面意义，避免因错误理解而引起的交际失误。本文共分六章：
第一章简要介绍了本研究的背景、目的、及论文的结构。
第二章是隐喻理论的文献综述。本章主要对隐喻研究中的对比论、互动论、角度论和认知论进行了评述。
第三、四、五章是本文的中心，从不同角度讨论了识别隐喻的一些必要条件。第三章将格莱斯(Grice)的会话含义理论用于隐喻的识别，当我们认定说话者想遵守合作原则(Co-operative Principle，CP)，但是他所说的话却违反了某一准则，尤其是质量准则时，我们可以由此推出这是为了一定效果故意违反准则，从而得到与字面意不同的会话含义——隐喻意义。然而，仅从这一角度来分析识别隐喻的必要条件还不够充分。
第四章是以Kittay的第一性意义理论为基础来分析话语本身为我们提供的辨别隐喻的必要条件。本章首先对第一性意义及其组成原则进行了详
细阐述。矛盾性是隐喻最主要的一个语义特征，隐喻中的矛盾性是由于违
反第一性意义的组成原则(投射规则、语义结合规则)而形成的，因此可
以通过分析话语第一性意义，确立矛盾性来识别隐喻。
第五章指出，即使违反第一性意义的组成规则而出现矛盾性，也并不
一定意味着该话语需要从隐喻意义来理解，在适当的语境中，任何语义异
常都能得到解释。识别隐喻还需要语境方面的条件，即该语境没有要求听
话者改变己有的世界知识来从字面理解离奇的话语。
第六章对第三、四、五章的分析进行了总结，得出了识别隐喻的三个
必要条件:首先必须认定说话者遵守合作原则，他所说的话即使违反了合
作原则中的某一准则，听话者也应从其中推断出会话含义。第二个必要条
件是话语中存在矛盾性，该矛盾性可以在分析话语第一性意义的过程中确
立。第三个必要条件是话语中的矛盾不是由于所处语境的特殊性而形成的。
本研究为隐喻理解的第二步一隐喻意义的推断，打下了良好的基础，对于
隐喻研究中的语料搜集也有一定的指导意义。
The subject of metaphor has long been the focus of much thought. Traditionally, metaphor was viewed as a kind of decoration addition to ordinary plain language, a rhetorical device to be used at certain times to gain certain effects. But in the past few decades, the study of its structure, mechanism, function, effect, and cognitive force has grown rapidly in a broad range: linguistics, anthropology, philosophy, psychology, education, etc. Metaphor is not merely viewed as a matter of language, but a mode of thought and an effective cognitive tool for human to understand things from a new perspective.
The interpretation of metaphor has long been the center of many linguistic theories of metaphor, for the working principles and the cognitive function of metaphor are embodied in the process of interpreting metaphor. The study of the interpretation of metaphor involves two stages: the identification of metaphor and the inference of the metaphorical meaning. Many linguists focus their study on the inference of the metaphorical meaning, whereas the identification of metaphor has received little attention. This thesis is an endeavor to apply Grice's theory of implicature and Kittay's theory of first-order meaning to the study of the identification of metaphor. The author of this thesis will give a detailed analysis of some particular examples of metaphor to attempt to provide a set of necessary conditions in which a hearer or reader could interpret an utterance metaphorically. Theoretically, this study could offer some criteria for the data collection in the research of metaphor. The p
ractical purpose is to help a language user to distinguish metaphorical meaning from literal meaning, so as to avoid miscommunication arising from the false interpretation of an utterance.
This thesis consists of six chapters:
Chapter one is the introduction of the research background of the present study, the purpose of this study and an overall organization of the thesis.
Chapter two offers a detailed review of the literature on metaphor. In this chapter, the comparison theory, the interaction theory, the perspectival theory and the cognitive theory of metaphor are introduced.
Chapter three, chapter four and chapter five are the main parts of this thesis. Chapter three demonstrates how Grice's theory of implicature is applied to the study of the identification of metaphor. When we assume that an utterer adheres to the Co-operative Principle (CP), but a maxim, especially the maxim of quality is flouted, then the hearer or reader could expect an implicature which is different from the literal meaning of the utterance, it could be a metaphorical meaning.
Chapter four is designed to analyze the identification of metaphor within the framework of Kittay's theory of first-order meaning so as to provide more conditions in which an utterance could be interpreted metaphorically. There is a detailed study of the first-order interpretation and its governing rules (the projection rules, the semantic combination rules) in this chapter. Incongruity is the most distinguishable semantic feature of a metaphor. The incongruity in a metaphor is related to the violation of the rules governing the first-order meaning of an utterance. Therefore, a hearer or reader could identify a metaphor by locating an incongruity in the process of the first-order interpretation.
Chapter five states the importance of context in the identification of metaphor. Though there are incongruities in some utterances, they could still be interpreted literally in the proper context. Thus the identification of metaphor involves condition on the context, that is, the context does not require us to change our shared beliefs of the world to interpret an odd utterance literally.
Chapter six is a conclusion chapter where the major findings, the significance of the present study, and the recommendation of further studies are presented. If we are to characterize an utterance as a proper candidate for a metaphorical interpretation, the following conditions must b
隐喻的理解是隐喻理论的一个重要部分，因为隐喻的工作机制和认知功能是在理解过程中达成和体现出来的。隐喻的理解过程包括：隐喻的识别和隐喻意义的推断。隐喻意义的推断是许多语言学家研究的重点，但是隐喻的识别却一直没有得到重视。本文旨在运用格莱斯(Grice)的会话含义理论和凯特(Kittay)的第一性意义理论来研究如何识别隐喻，通过对典型个例进行详细分析，进而从说话者、话语本身和语境三个方面给出辨别隐喻的一些必要条件。在理论方面，该研究可以为隐喻研究中的语料搜集提供一些可供借鉴的衡量标准。本研究的实践意义在于可以帮助语言使用者更好的区分隐喻意义和字面意义，避免因错误理解而引起的交际失误。本文共分六章：
第一章简要介绍了本研究的背景、目的、及论文的结构。
第二章是隐喻理论的文献综述。本章主要对隐喻研究中的对比论、互动论、角度论和认知论进行了评述。
第三、四、五章是本文的中心，从不同角度讨论了识别隐喻的一些必要条件。第三章将格莱斯(Grice)的会话含义理论用于隐喻的识别，当我们认定说话者想遵守合作原则(Co-operative Principle，CP)，但是他所说的话却违反了某一准则，尤其是质量准则时，我们可以由此推出这是为了一定效果故意违反准则，从而得到与字面意不同的会话含义——隐喻意义。然而，仅从这一角度来分析识别隐喻的必要条件还不够充分。
第四章是以Kittay的第一性意义理论为基础来分析话语本身为我们提供的辨别隐喻的必要条件。本章首先对第一性意义及其组成原则进行了详
细阐述。矛盾性是隐喻最主要的一个语义特征，隐喻中的矛盾性是由于违
反第一性意义的组成原则(投射规则、语义结合规则)而形成的，因此可
以通过分析话语第一性意义，确立矛盾性来识别隐喻。
第五章指出，即使违反第一性意义的组成规则而出现矛盾性，也并不
一定意味着该话语需要从隐喻意义来理解，在适当的语境中，任何语义异
常都能得到解释。识别隐喻还需要语境方面的条件，即该语境没有要求听
话者改变己有的世界知识来从字面理解离奇的话语。
第六章对第三、四、五章的分析进行了总结，得出了识别隐喻的三个
必要条件:首先必须认定说话者遵守合作原则，他所说的话即使违反了合
作原则中的某一准则，听话者也应从其中推断出会话含义。第二个必要条
件是话语中存在矛盾性，该矛盾性可以在分析话语第一性意义的过程中确
立。第三个必要条件是话语中的矛盾不是由于所处语境的特殊性而形成的。
本研究为隐喻理解的第二步一隐喻意义的推断，打下了良好的基础，对于
隐喻研究中的语料搜集也有一定的指导意义。
The subject of metaphor has long been the focus of much thought. Traditionally, metaphor was viewed as a kind of decoration addition to ordinary plain language, a rhetorical device to be used at certain times to gain certain effects. But in the past few decades, the study of its structure, mechanism, function, effect, and cognitive force has grown rapidly in a broad range: linguistics, anthropology, philosophy, psychology, education, etc. Metaphor is not merely viewed as a matter of language, but a mode of thought and an effective cognitive tool for human to understand things from a new perspective.
The interpretation of metaphor has long been the center of many linguistic theories of metaphor, for the working principles and the cognitive function of metaphor are embodied in the process of interpreting metaphor. The study of the interpretation of metaphor involves two stages: the identification of metaphor and the inference of the metaphorical meaning. Many linguists focus their study on the inference of the metaphorical meaning, whereas the identification of metaphor has received little attention. This thesis is an endeavor to apply Grice's theory of implicature and Kittay's theory of first-order meaning to the study of the identification of metaphor. The author of this thesis will give a detailed analysis of some particular examples of metaphor to attempt to provide a set of necessary conditions in which a hearer or reader could interpret an utterance metaphorically. Theoretically, this study could offer some criteria for the data collection in the research of metaphor. The p
ractical purpose is to help a language user to distinguish metaphorical meaning from literal meaning, so as to avoid miscommunication arising from the false interpretation of an utterance.
This thesis consists of six chapters:
Chapter one is the introduction of the research background of the present study, the purpose of this study and an overall organization of the thesis.
Chapter two offers a detailed review of the literature on metaphor. In this chapter, the comparison theory, the interaction theory, the perspectival theory and the cognitive theory of metaphor are introduced.
Chapter three, chapter four and chapter five are the main parts of this thesis. Chapter three demonstrates how Grice's theory of implicature is applied to the study of the identification of metaphor. When we assume that an utterer adheres to the Co-operative Principle (CP), but a maxim, especially the maxim of quality is flouted, then the hearer or reader could expect an implicature which is different from the literal meaning of the utterance, it could be a metaphorical meaning.
Chapter four is designed to analyze the identification of metaphor within the framework of Kittay's theory of first-order meaning so as to provide more conditions in which an utterance could be interpreted metaphorically. There is a detailed study of the first-order interpretation and its governing rules (the projection rules, the semantic combination rules) in this chapter. Incongruity is the most distinguishable semantic feature of a metaphor. The incongruity in a metaphor is related to the violation of the rules governing the first-order meaning of an utterance. Therefore, a hearer or reader could identify a metaphor by locating an incongruity in the process of the first-order interpretation.
Chapter five states the importance of context in the identification of metaphor. Though there are incongruities in some utterances, they could still be interpreted literally in the proper context. Thus the identification of metaphor involves condition on the context, that is, the context does not require us to change our shared beliefs of the world to interpret an odd utterance literally.
Chapter six is a conclusion chapter where the major findings, the significance of the present study, and the recommendation of further studies are presented. If we are to characterize an utterance as a proper candidate for a metaphorical interpretation, the following conditions must b
引文
Black, M. 1962. Models and Metaphors. New York: Cornell University Press.
Brown, G. and Yuke, G. 1983. Discourse Analysis. Cambridge: Cambridge University Press.
Davidson, D. 1979. "What Metaphors Mean?" On Metaphor. ed. by Sacks, S. Chicago: University of Chicago Press.
Frege, G. 1952. "On Sense and Reference." Translations From the Philosophical Writings of Gottlob Frege. ed. by Geach, P. T. And Black, M. Oxford: Blackwell.
Grice, P. 1968. "Utterer's Meaning, Sentence-meaning, and Word-meaning." Foundations of Language 4:1-18.
Grice,P. 1975. "Logic and Conversation." Syntax and Semantics 3: Speech Acts. ed. by Cole, P. and Morgan, J. L. New York: Academic Press.
Halliday, M. A. K. And Hassan, R. 1976. Cohesion in English. London and New York: Longman.
Katz, A. J. 1996. "On Interpreting Statements as Metaphor or Irony: Contextual Heuristics and Cognitive Consequences." Metaphor: Implications and Applications. ed. by Mio, J. S. and Katz, A. J. Lawrence Erlbaum Associates, Publishers.
Katz, J. J. And Fodor, J. A. 1963. "The Structure of A Semantic Theory."
Language 39: 170-210.
Kittay, E. F. 1987. Metaphor: Its Cognitive Force and Linguistic Structure. Oxford: Clarendon Press.
Lakoff, G. and Johnson, M. 1980. Metaphors we live by. Chicago: University of Chicago Press.
Lakoff, G. And Turner, M. 1989. More Than Cool Reason: A Field Guide to Poetic Metaphor. Chicago: University of Chicago Press.
Leech, G. 1981. Semantics. Cambridge: Cambridge University Press.
Levinson, S. 1983. Pragmatics. Cambridge: Cambridge University Press.
Lynne, Cameron. 1999. "Identifying and Describing Metaphor in Spoken Discourse Data." Reseaching and Applying Metaphor. ed. by Lynne, Cameron and Graham, Low. Cambridge: Cambridge University Press.
Lyons, J. 1981. Language and Linguistics. Cambridge: Cambridge University Press.
Mey, J. L. 2000. Pragmatics: An Introduction. Beijing: Foreign Language Teaching and Research Press.
Miller, G. A. 1979. "Images and Models, Similes and Metaphors." Metaphor and Thought. ed. by Ortony, A. New York: Cambridge University Press.
Richards, I. A. 1936. The Philosophy of Rhetoric. Oxford: Oxford University Press.
Saeed, J. I. 2000. Semantics. Beijing: Foreign Language Teaching and Research Press,
Searle, J. 1979. Expression and Meaning: Studies in the Theory of Speech Acts. Cambridge: Cambridge University Press.
Sperber, D. and Wilson, B. 1986. Relevance: communication and cognition. Oxford: Basil Blackwell.
Steen, G. 1994. Understanding Metaphor in Literature: an empirical approach. London: Longman.
陈道明 《从习语的可分析性看认知语言学的隐喻能力观》，载《外国语》，1998年第6期。
何兆熊《语用学概要》，上海：上海外语教育出版社，1989。
何自然 《语用学概论》，长沙：湖南教育出版社，1988。
束定芳 《隐喻学研究》，上海：上海外语教育出版社，2000。
束定芳 《亚里斯多德的隐喻理论》，载《外语研究》，1995年第3期。
束定芳《论现代隐喻学的目标，任务和方法》，载《外国语》，1996年第2期。
束定芳《隐喻的语用学研究》，载《外语学刊》，1996年第2期。
束定芳《论隐喻的本质及语义特征》，载《外国语》，1998年第6期。
王松亭《隐喻和言语行为》，载《外语学刊》，1998年第4期。
王寅 《语义理论与语言教学》，上海：上海外语教育出版社， 2001。
Brown, G. and Yuke, G. 1983. Discourse Analysis. Cambridge: Cambridge University Press.
Davidson, D. 1979. "What Metaphors Mean?" On Metaphor. ed. by Sacks, S. Chicago: University of Chicago Press.
Frege, G. 1952. "On Sense and Reference." Translations From the Philosophical Writings of Gottlob Frege. ed. by Geach, P. T. And Black, M. Oxford: Blackwell.
Grice, P. 1968. "Utterer's Meaning, Sentence-meaning, and Word-meaning." Foundations of Language 4:1-18.
Grice,P. 1975. "Logic and Conversation." Syntax and Semantics 3: Speech Acts. ed. by Cole, P. and Morgan, J. L. New York: Academic Press.
Halliday, M. A. K. And Hassan, R. 1976. Cohesion in English. London and New York: Longman.
Katz, A. J. 1996. "On Interpreting Statements as Metaphor or Irony: Contextual Heuristics and Cognitive Consequences." Metaphor: Implications and Applications. ed. by Mio, J. S. and Katz, A. J. Lawrence Erlbaum Associates, Publishers.
Katz, J. J. And Fodor, J. A. 1963. "The Structure of A Semantic Theory."
Language 39: 170-210.
Kittay, E. F. 1987. Metaphor: Its Cognitive Force and Linguistic Structure. Oxford: Clarendon Press.
Lakoff, G. and Johnson, M. 1980. Metaphors we live by. Chicago: University of Chicago Press.
Lakoff, G. And Turner, M. 1989. More Than Cool Reason: A Field Guide to Poetic Metaphor. Chicago: University of Chicago Press.
Leech, G. 1981. Semantics. Cambridge: Cambridge University Press.
Levinson, S. 1983. Pragmatics. Cambridge: Cambridge University Press.
Lynne, Cameron. 1999. "Identifying and Describing Metaphor in Spoken Discourse Data." Reseaching and Applying Metaphor. ed. by Lynne, Cameron and Graham, Low. Cambridge: Cambridge University Press.
Lyons, J. 1981. Language and Linguistics. Cambridge: Cambridge University Press.
Mey, J. L. 2000. Pragmatics: An Introduction. Beijing: Foreign Language Teaching and Research Press.
Miller, G. A. 1979. "Images and Models, Similes and Metaphors." Metaphor and Thought. ed. by Ortony, A. New York: Cambridge University Press.
Richards, I. A. 1936. The Philosophy of Rhetoric. Oxford: Oxford University Press.
Saeed, J. I. 2000. Semantics. Beijing: Foreign Language Teaching and Research Press,
Searle, J. 1979. Expression and Meaning: Studies in the Theory of Speech Acts. Cambridge: Cambridge University Press.
Sperber, D. and Wilson, B. 1986. Relevance: communication and cognition. Oxford: Basil Blackwell.
Steen, G. 1994. Understanding Metaphor in Literature: an empirical approach. London: Longman.
陈道明 《从习语的可分析性看认知语言学的隐喻能力观》，载《外国语》，1998年第6期。
何兆熊《语用学概要》，上海：上海外语教育出版社，1989。
何自然 《语用学概论》，长沙：湖南教育出版社，1988。
束定芳 《隐喻学研究》，上海：上海外语教育出版社，2000。
束定芳 《亚里斯多德的隐喻理论》，载《外语研究》，1995年第3期。
束定芳《论现代隐喻学的目标，任务和方法》，载《外国语》，1996年第2期。
束定芳《隐喻的语用学研究》，载《外语学刊》，1996年第2期。
束定芳《论隐喻的本质及语义特征》，载《外国语》，1998年第6期。
王松亭《隐喻和言语行为》，载《外语学刊》，1998年第4期。
王寅 《语义理论与语言教学》，上海：上海外语教育出版社， 2001。