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Applied Linguistics 25/1: 38±61 # Oxford University Press 2004

Criteria for Re-de®ning Idioms: Are we


Barking up the Wrong Tree?
1
LYNN GRANT and 2LAURIE BAUER
1
Auckland University of Technology, 2Victoria University of Wellington

A large proportion of text is made up of a variety of multi-word units (MWUs).


One type of MWU is `idioms'. While previously linguists have established
criteria to de®ne an idiom, the criteria have often been general so as to apply to
the wide-ranging MWUs found in this category, and have been a description of
them rather than a de®nition. We present a more restrictive de®nition of idiom
in the form of a test which divides MWUs into `core idioms', `®guratives', and
`ONCEs'. The result of applying the test is that the majority of idioms would be
put into the `®guratives' category. While `®guratives' also present problems for
the EFL/ESL learners, the more narrowly de®ned `core idioms' are the most
dicult set of MWUs for learners to come to terms with and are therefore the
motivation for rede®ning idioms.

1. INTRODUCTION
Idioms are not well-de®ned. The result of this poor de®nition is that teachers
and learners are faced with a hotchpotch of items which cannot be treated
uniformly as part of the learning/teaching task. If we are to remove some of
these diculties, we must ®rst have a clearer and more restrictive de®nition
of the notion of idiom. The function of this article is not to provide strategies
for teaching idioms, but to provide this more restrictive de®nition.
Idioms are a type of multi-word unit (MWU). In order to de®ne idioms, we
must ®rst de®ne MWUs. An MWU can be loosely de®ned as a ®xed and
recurrent pattern of lexical material sanctioned by usage. At one end we have
collocations which Firth (1957: 14) describes as `actual words in habitual
company' or words which can be predicted to combine with each other.
Aisenstadt (1979: 1±2) and Sinclair (1991: 109±12) point out that collocations
may be open or restricted in the sense that it may be possible, depending on
co-occurrence restrictions, to substitute both (red bucket/bowl/container/pail,
red/green/blue/black bucket) or one constituent (red/auburn/blond/brown/
black/grey/white hair).
Open collocations are the loosest kind of MWU. Collocations, unlike idioms,
do not pose any serious problems to the EFL/ESL learners in the under-
standing process (Mackin 1978). Tighter collocations come under the heading
of what Moon (1998b: 79) calls `phrasal lexemes': `the whole range of ®xed
and semi-®xed complex items . . . that for reasons of semantics, lexico-
LYNN GRANT and LAURIE BAUER 39

grammar, or pragmatics are regarded as holistic units'. The most restricted


MWUs will turn out to be what we term `core idioms'. To summarize, MWU is
the overarching term encompassing both idioms and open and restricted
collocations.
Like Moon (1998b: 79), we are `speci®cally excluding phrasal verbs such as
give up and stick out, compound nouns, adjectives, and verbs such as civil
servant, self-raising, and freeze-dry; and foreign phrases such as en passant and
caveat emptor.' Our reason for excluding phrasal verbs is that although many of
them are idiomatic (for a test of these, see Cowie 1993: 38±9), they are such a
large group of MWUs that they merit separate and thorough research of their
own.

2. IDIOMS AND IDIOMATICITY


`Idiomaticity' is used ambiguously in the literature. It represents both the
quality of being marked by idioms, as well as the ability to speak a ¯uent and
appropriate version of a language. To avoid this ambiguity, we reserve the
term `idiomaticity' for the ®rst usage and employ `nativelike selection'
(Pawley and Syder 1983: 191) for the second. So when a New Zealand
speaker takes leave of a friend with See you later, the speaker is showing
`nativelike selection' of the language, in the same way that a native English
speaker knows to say headache and toothache but not armache or eyeache. In
contrast, the word `idiom' refers to a much smaller group of MWUs whose
de®nition we will be concerned with in this paper. While all idioms illustrate
what we call `nativelike selection', the reverse is not true. In other words, the
use of an idiom like kick the bucket meaning `die' illustrates `nativelike
selection' of English but saying that someone has died, although it may be
perfectly nativelike, does not illustrate the use of an idiom. Because some
idiomatic strings have both a literal and a non-literal meaning (kick the bucket
= strike the pail with your foot, kick the bucket = die; bread and butter = food
items, bread and butter = main income-earning activity; red tape = red ribbon as
used to tie a parcel, red tape = excessive bureaucracy), contextual clues may be
necessary to distinguish whether the MWU has a literal or idiomatic
interpretation. We are using the term `literal' here as `nonmetaphorical
literality: directly meaningful languageÐnot language that is understood,
even partly, in terms of something else' (Lako€ 1986: 292). Moon (1998a:
181) ®nds the literal meanings of such phrases are always rarer than the
idiomatic interpretation, while Cowie, Mackin, and McCaig (1983/1993: xiii)
go so far as to claim that the literal senses of expressions such as beat one's
breast and burn one's boats `do not survive alongside their ®gurative ones in
normal, everyday use'.
Although several criteria have been suggested in the literature to de®ne
idioms, lists of idioms in dictionaries and teaching texts nevertheless provide a
heterogeneous set of items under this all-encompassing heading. In the past
40 CRITERIA FOR RE-DEFINING IDIOMS

the most commonly accepted of the criteria for idiomaticity included some or
all of Fernando and Flavell's (1981: 17) criteria:
1 the meaning of an idiom is not the result of the compositional function of
its constituents;
2 an idiom is a unit that either has a homonymous literal counterpart or at
least individual constituents that are literal, though the expression as a
whole would not be interpreted literally;
3 idioms are transformationally de®cient in one way or another;
4 idioms constitute set expressions in a given language;
5 idioms are institutionalized.
These criteria have been narrowed and re®ned, thanks in no small part to the
work done by lexicographers (Cowie and Mackin 1975; Cowie et al. 1983/
1993; Cowie 1998; Sinclair and Moon 1989, 1995), Eastern European
phraseologists (Arnold 1986; Mel'cuk 1988, 1995; Mel'cuk et al. 1992), lexical
semanticists (Cruse 1986), lexicologists (Carter 1987; Lipka 1991), and
vocabulary in language teaching researchers (Carter and McCarthy 1988).
The criterion used most often to de®ne idioms is the one related to their non-
compositionality. In other words, the meaning of idioms cannot be predicted
from the meaning of their constituent parts. Our aim in this paper is to
provide a more restrictive de®nition of idiom, but also to provide a way of
verifying whether something is or is not an idiom. We will call the units
which we de®ne in this way `core idioms'.

3. TYPES OF IDIOMS
The unspeci®cic de®nition of an idiom has led to the term `idiom'
encompassing a large variety of di€erent types of MWU. As early as the
1920s and 1930s, lexicographers such as Palmer (1933) did work on MWUs,
in particular collocations, but did not distinguish between the more or less
idiomatic collocations. Hockett (1958) later described a range of types of
construction he terms `idioms' (substitutes, proper names, abbreviations,
English phrasal compounds, ®gures of speech, and slang) which seem to
re¯ect nativelike selection rather than idiomaticity. Malkiel's (1959) detailed
description of `binomials' (odds and ends, bits and pieces) made a useful
contribution to the study of nativelike selection, while Makkai's work, starting
with his doctoral thesis published as a book (1972), makes a very signi®cant
contribution to the study of idiomaticity. Makkai provides a division of these
idiomatic MWUs into a heterogeneous set of phrase and sentence `types', the
most common of which include:
. lexemic idioms (Makkai 1972: 135±72):

(a) phrasal verbs: make up, turn out, bring up, etc.,
(b) tournures (`turn of phrase'): ¯y o€ the handle, rain cats and dogs, kick the
bucket, have it out with somebody, be well-o€, etc.,
LYNN GRANT and LAURIE BAUER 41

(c) irreversible binomials: pepper and salt [sic], co€ee and cream, etc.,
(d) phrasal compounds: hot dog, blackmail, high-handed, etc.,
(e) incorporating verbs: eavesdrop, manhandle, boot-lick, etc.,
(f) pseudo-idioms: kith and kin, spic and span, to and fro, etc.,
. sememic idioms (Makkai 1972: 172±9):
(a) proverbs ± don't count your chickens before they're hatched
(b) familiar quotations ± Brevity is the soul of wit
(c) `®rst-base' idioms associated with a national game like baseball ± have
two strikes against one, never to get to ®rst base
(d) idioms of `institutionalised politeness' such as may I . . . X? (with
interrogative intonation) for `I want to . . . X' or may I ask who's calling?
for the imperative `identify yourself '
(e) idioms of `institutionalised greeting' ± how do you do?, so long
(f) idioms of `institutionalised understatement' ± I wasn't too crazy about
him
(g) idioms of `institutionalised hyperbole' ± he won't even lift a ®nger.
Subsequent linguists have borrowed and added to these categories. Alexander
(1984: 129, 1987: 111) selects the ®rst four categories from Makkai's lexemic
idioms and adds:
. proverbial idioms: the land of Nod,
. metaphorical/allusive idioms: a hot potato,
. idiomatic similes: as bold as brass.
Like Makkai, Alexander (1984, 1987) distinguishes between phrase-length
(idioms: phrasal verbs, tournures, irreversible binomials) and sentence-length
expressions (discourse-structuring devices, proverbs, catchphrases, quota-
tions, allusions), taking into consideration their pragmatic function in
communication.
Similarly, McCarthy (1992: 56±7; 1998: 130±1) uses the ®rst three
categories from the same set and adds:
. prepositional expressions: in two shakes of a lamb's tail,
. frozen similes: (as) keen as mustard,
. possessive's phrases: a king's ransom,
. opaque compounds: a mish-mash,
. idiomatic speech routines, gambits and discourse markers: by the way,
. restricted collocations: breakneck speed,
. cultural allusions: to be or not to be.
While some of these types seem unambiguously identi®able (if not
unambiguously idiomatic), a category such as `tournure' `is rather like a
dustbin for non-categorizable expressions' (Strassler 1982: 18). The prolifera-
tion of types in itself illustrates the lack of precision in the use of the term
`idiom'. This is illustrated even more fully below.
As well as naming these di€erent types of idioms, attempts have been made
42 CRITERIA FOR RE-DEFINING IDIOMS

to classify them in a variety of ways including semantically, syntactically, and


functionally.

3.1 Semantic classifications of idioms


Many linguists, instead of giving a narrow de®nition of idioms, prefer to
describe a scale or continuum of idiomaticity (Bolinger 1975; Cowie et al.
1983/1993; Fernando 1978, 1996; Wood 1981; Moon 1998a) from least to
most idiomatic based on semantic consideration. We argue that earlier
attempts at the semantic classi®cations, including those listed in Table 1
(some of which do not match the categories given previously), do not appear
to be based on any central understanding of what an idiom is, but rather on a
perception that all MWUs are not equally transparent or opaque. The end
result is some overlapping categories. While some idioms (kick the bucket, red
herring) are deemed to be opaque and at the extreme end of `pure idioms',
others (spill the beans, by and large) can be listed in di€erent categories resulting
in a plethora of subtypes and a relative lack of agreement about transparency/
opacity.
The fact that major disagreements exist shows that, as yet, no one has
reached a satisfactory account for the language teacher or language learner
trying to apply this. In other words, while there is a di€erence between watch
the clock and kick the bucket, both of these MWUs are in the same dictionary
(Cambridge International Dictionary of Idioms, McCarthy and Walter 1998).

3.2 Syntactic classifications of idioms


Various syntactic classi®cations have been given (Yorio 1980; Cowie et
al.1983/1993; Fernando 1996; Moon 1998a) which, apart from a few
imparsable structures such as by and large, far and away (Cruse 1986: 37±8),
seem to include virtually any type of immediate constituent. The trouble with
such classi®cations is that they provide descriptions (verb + noun: blow the
ga€; preposition + noun: under the weather, Howarth 1998: 28) rather than
de®nitions. While providing information on syntax can help learners see the
various grammatical patterns of an idiom (Cowie et al. 1983/1993: xxvii±
xxxvii), the large number of patterns tends to overwhelm the learners.

3.3 Functional classifications of idioms


Some authors (Strassler 1982; Cowie et al.1983/1993; Moon 1998a) have also
attempted to classify idioms in terms of their functions, with functions varying
from things like `catchphrase' to personal reference to discoursal functions
such as marking topic transition (Drew and Holt 1995, 1998; McCarthy 1998).
Both spoken and written genres have been considered, and it appears that the
functions of idioms vary with the genre. Again the heterogeneity and lack of
explanation of what makes something an idiom remain problems.
Table 1: Semantic classi®cation of idioms
Yorio Cowie, Mackin Alexander Cacciari and Howarth Moon Fernando and Fernando
(1980) & McCaig (1987) Glucksberg (1998) (1998a) Flavell (1981) (1996)
(1983/93) (1991)

Transparent (not Open Literal phrase: Analysable Free Transparent Literal and/or Literal idiom
idioms): your face collocation: ®ll hit the ball transparent: combination: metaphor: alarm transparent: cut [sic]: tall, dark
looks familiar the sink, a broken break the ice, spill under the table bells ring, behind wood, break eggs, and handsome, on
window, in the the beans someone's back rely on, add fuel foot, for example
raw to the ®re
Semi-transparent Restricted Semi-idiom: Non-analysable: Restricted Semi-transparent Metaphor/Semi- Semi-literal
(expressions or collocation/ hit a six by and large collocation: metaphor: on an transparent: idiom: kith and
idioms): shake Semi-idiom: jog under attack even keel, grasp skate on thin ice, kin, drop names
hands, bumper to one's memory, a the nettle, the kill two birds with Semi-idiom:
bumper, blind alley, catch pecking order one stone, the catch your breath,
skyscraper someone red- boot/shoe is on the foot the bill
handed other foot

LYNN GRANT and LAURIE BAUER


Figurative idiom: Metaphorical Quasi- Figurative idiom: Metaphor/Semi-
catch ®re, close idiom: hit the metaphorical: under the opaque: burn
ranks, beat one's jackpot giving up the ship, microscope one's boats, tarred
breast, bleed Figurative idiom: count your with the same
someone white hit list chickens before brush, o€ the top
they're hatched, of one's head
carry coals to
Newcastle
Opaque/True Pure idiom: blow Opaque/Pure Analysable- Pure idiom: Opaque Full idiom/ Pure idiom: spill
idioms: by and the ga€, kick the idiom: hit the opaque: kick the under the weather metaphor/Pure Opaque: pull the beans, chin
large, take a leak, bucket, in a sack bucket idiom: bite the someone's leg, wag, red herring,
knock on wood, be nutshell bullet, over the pass the buck, trip take 40 winks,
on the wagon moon, red herring, the light fantastic have cold feet
kick the bucket

43
44 CRITERIA FOR RE-DEFINING IDIOMS

3.4 Results of lack of agreement


Problems in classifying MWUs lead to problems in presenting them usefully
for foreign learners. Table 1 shows that while there may be agreement about
the idiomaticity of kick the bucket, red herring and a few other well-rehearsed
examples, when it comes to the less extreme examples such as spill the beans or
by and large, there is not only less agreement on the degree of transparency/
opacity, the terminology also becomes variable and not particularly helpful
(spic(k) and span is variously termed irreversible idiom/compound idiom or
pseudo idiom). Cowie (1998: 218) notes the same problem, commenting that
di€erences between word combinations such as free phrases, restricted
collocations and idiomsÐall crucial to the foreign learnerÐare neither
presented consistently nor explained adequately in reference works. With a
lack of clear agreement on exactly how to de®ne an idiom, the problem is
exacerbated rather than alleviated, and idioms become a ragbag of teaching
problems for teachers and learners to cope with. The recent Oxford IdiomsÐ
dictionary for learners of English (2001) claims to help the learner `understand
and use more than 10,000 British and American idioms'. Similarly, the
Cambridge International Dictionary of Idioms (McCarthy and Walter 1998) claims
to contain `around 7,000 idioms' some of which, it could be argued, are not
really idiomatic (ad nauseam, You can say that again, a train of thought, Sarcasm is
the lowest form of wit). A re-examination of the criteria for idiomatic status may
provide us with a better classi®cation and so make the teaching task more
manageable.

4. EXAMINING CRITERIA FOR DEFINING IDIOMS


As explained in Section 2, there are certain recurrent themes in all the
de®nitions of idioms: compositionality, institutionalization, and degree of
frozenness/®xedness. These are not all equally well de®ned, but we can
attempt some glosses.
Non-compositionality: Compositionality relates to meaning. The meaning of a
construction is compositional if it is derived transparently from the meanings
of its elements. We discuss this in greater detail below. Idioms are widely
de®ned as being non-compositional (Katz and Postal 1963; Weinreich 1969;
Makkai 1975; Alexander 1978; Fernando and Flavell 1981), partly composi-
tional (Ruhl 1975; Nunberg 1978; Gazdar et al. 1985; Langacker 1986), or
even compositional after the meaning is known (Nunberg et al. 1994).
Institutionalization: Institutionalization refers to the degree of recognition a
particular phrase meets in a speech community. Idioms are widely recognized
and familiar (Michiels 1977; Fernando and Flavell 1981; Moon 1998a).
Frozenness: Frozenness/®xedness is a reference to the ways in which idioms
allow neither permutation nor paradigmatic replacement nor addition or
deletion of elements. This feature of idioms has been referred to in di€erent
terminologies by many scholars (Katz and Postal 1963; Weinreich 1969;
LYNN GRANT and LAURIE BAUER 45

Fraser 1970; Cowie 1981; McCarthy 1992). Fraser (1970) attempted to turn
the observed patterns of behaviour into a single 7-point scale. This scale has,
unfortunately, not proved accurate enough to use. Overall linguists vary in
regard to this criterion, from not allowing any transformation of idioms
(Wood 1981) to allowing `di€erent degrees of possible ®xity or ``frozenness'',
both syntactic and semantic' (Carter 1987: 58). Howarth (1996: 8±9) notes
that many Russian phraseologists have used relative ®xedness as a primary
distinguishing feature but argues that the ®xedness of a word combination
varies from the immutable `irreversible binomial' (bag and baggage) to others
(greetings, gambits, formulae) which allow some substitution of elements.
Other linguists allow some variation in form, depending on collocational
restriction, syntactic structure, and semantic opacity (Carter 1987; Glaser
1988). Moon's (1998a: 120) corpus search supports this: `Fixedness is a key
property of all F[ixed]E[xpressions and]I[diom]s, yet around 40% of database
FEIs have lexical variations or strongly institutionalised transformations, and
around 14% have two or more variations on their canonical forms'.
To illustrate the basic point, though, we can contrast the ease with which it
is possible to manipulate constructions (by permutation, addition, replace-
ment, etc.), with the diculty of doing the same thing for an idiomatic MWU.
The versions of a single construction in (1) are typical of ordinary syntactic
behaviour.
(1) She saw the house.
The house was seen by her.
She saw the mansion.
She saw houses.
Similar attempts to manipulate idioms as in (2) cause the idiomatic meaning
of the phrase to be lost.
(2) She kicked the bucket.
The bucket was kicked by her.
She kicked the pail.
She kicked buckets.
Of these three fundamental criteria, we wish to focus particularly on the
notion of compositionality. This is because we believe that frozenness/
®xedness, compositionality, and institutionalization are related. Our argu-
ment is that something which is non-compositional cannot be produced
simply as a sequence of elements (words) but must be held in memory. In
other words, it becomes institutionalized and is held in memory to survive.
Only compositional constructions can be created on the spot. Non-
compositionality depends on prior institutionalization (commitment to
memory) and this involves some degree of ®xedness. Thus, compositionality
is the key criterion here.
46 CRITERIA FOR RE-DEFINING IDIOMS

5. THE `COMPOSITIONALITY' OF LANGUAGE


Frege's principle of compositionality is outlined by Lyons (1995: 204):
The meaning of a composite expression is a function of the meanings of
its component expressions.

For decades linguists have de®ned idioms as being `non-compositional',


explaining that the meaning of the idiom is not the sum of the meanings of its
parts. The prototypical example of an idiom is that of kick the bucket whose
meaning of `die' cannot be derived from the meaning of any of the elements
and the construction is therefore non-compositional.

5.1 Problems with `compositionality'


There are two problems with compositionality for our purposes. The ®rst is
that it is surprisingly ill-de®ned, and the second is that there are too many
kinds of non-compositional construction. We can illustrate the ®rst point
using two classes of example. The ®rst is provided by a number of compounds
or noun + noun phrases. Although we do not include compounds in our
analysis of idioms, we can use them here to make a di€erent point, namely
that compositionality is not well-de®ned. Consider an example like Wellington
bus. Is its meaning determined by the meaning of its elements? It might
appear that it is, in that a Wellington bus is precisely a bus which has some kind
of de®ning relationship with Wellington (see Bauer 1978 for the motivation
of such a gloss). However, it is not clear whether that is sucient, since
Wellington bus is vague (or possibly ambiguous) in its meaning and can, under
appropriate circumstances, mean `a bus going to Wellington', `a bus coming
from Wellington' or `a bus such as typically operates within Wellington'.
These di€erences cannot be discovered from the meanings of the elements in
the construction, but it is not clear whether they need to be for the
construction to be compositional. We need a de®nition of `compositional'
which will tell us whether or not such examples are compositional.
Secondly, and more generally, consider the general postulates of Construc-
tion Grammar. One such postulate, as we understand it, is that constructions
not only inherit meanings from their constituents, they may also have their
own semantics and pragmatics (see e.g. Kay et al. 1993 [1988]: 42). If a
construction provides some of the meaning of a stretch of language, we
should not expect the whole of the meaning to be deducible from the parts of
the construction. Yet compositionality apparently makes this assumption. So
just what can be compositional is not clear. Kay (1993: 2) discusses this in the
following terms:
[S]peakers of English have to know what red means and that it is an
adjective, and they have to know what ball means and that it is a noun.
They have to know that adjectives can co-occur with nouns in a
modi®cation structure (as in a phrase like red ball), and they have to
LYNN GRANT and LAURIE BAUER 47

know the proper strategies for giving a semantic interpretation to such


adjective-noun combinations. But they do not have to know separ-
ately, or to be told, what the phrase red ball means. That is something
that what they already know enables them to ®gure out.
The reference to `proper strategies for giving a semantic interpretation to such
adjective-noun combinations' requires knowledge of the semantics of the
construction itself.
The over-inclusiveness of non-compositionality can be illustrated with the
following two constructed dialogues:
Husband: I'll come home early so we can all go to the zoo.
Wife: Oh, that'll be nice for the children!

Husband: I'm sorry, but I need the car today so you're all going to have
to walk home from the Christmas party, gifts and all.
Wife: Oh, that'll be nice for the children!
While the principle of compositionality may apply to literal expressions, it
does not deal with sarcasm or irony or, as we shall see, other ®gures of speech.

5.2 The `naõÈve approach' to compositionality


What is required is a simple de®nition of compositionality which will allow a
decision to be made about whether or not something is compositional while
allowing any constructional meaning to be taken into account.
To gain this we suggest a naõÈve approach to compositionality. If the
meaning of the construction can be gained from the meaning of its elements,
the meaning of the construction should remain unchanged if each of those
elements is replaced by its own de®nition. If replacing each element in a
construction with its own de®nition (any of the range of de®nitions given in a
dictionary) results in a change of meaning, the construction cannot have been
compositional. De®nitions can be taken from any reputable non-historical
dictionary (non-historical since we are interested in what the user can deduce
about the meaning now, not in what something may once have meant). This
is a deliberately rough-and-ready way of getting at compositionality, and pays
no attention to what the lexicographer sees as a `basic' meaning or anything
else. The intention is to keep the method simple to apply. To see how this
works, consider the following examples.

Modi®er + noun combination

(1) red + paint = red paint


red: 1. any of a group of colours, such as that of a ripe tomato or fresh blood,
that lie at one end of the visible spectrum, next to orange, and are perceived by
the eye when light in the approximate wavelength range 740±620 nonometres
falls on the retina. Red is the complementary colour of cyan and forms a set of
48 CRITERIA FOR RE-DEFINING IDIOMS

primary colours with blue and green. (Collins English Dictionary, Sinclair
(ed.) 1994: 1297)
paint: 1. a substance used for decorating or protecting a surface, esp. a mixture
consisting of a solid pigment suspended in a liquid, that when applied to a
surface dries to form a hard coating (ibid: 1121)
These two de®nitions, in combination, tell us what `red paint' means. Now let
us look at the MWU `red herring' from a compositionality point of view:
(2) red herring
red: as above
herring: any marine soft-®nned teleost ®sh of the family Clupeidae, esp. Clupea
harengus, an important food ®sh of northern seas, having an elongated body
covered, except in the head region, with large fragile silvery scales. (ibid: 728)
`Red + paint' does not yield any problems within `the proper strategies for
giving a semantic interpretation to such adjective-noun combinations'. Even
`red + apple' (where the apple is red only on the outside) is straightforward,
since the rules of the construction do not necessarily imply that red is the only
colour involved, but that it should be perceptually dominant. However, `red +
herring' does not mean `a soft-®nned ®sh in the red colour range'. A native
English-speaker knows that herrings (being fairly ordinary ®sh) are a silver
colour, and that the term red herring is an idiom unrelated to either the colour
`red' (except in an extraordinarily loose sense of red, if the colour of the
cooked ®sh is intended), or the ®sh `herring' (except in its historical
explanation of a smoked ®sh being dragged over a trail to confuse trackers,
see Goatly, 1997: 32). As ESL/EFL learners cannot be expected to know the
historical background, this knowledge will not be considered relevant. Red
herring is thus proved by the test to be non-compositional. Our test can be
applied only in some given context: in the unlikely event of red herring
meaning a ®sh which has been painted with red paint, it would, of course, be
compositional by our de®nition.
To summarize, a test for compositionality is whether replacing each word in
an MWU with its dictionary de®nition (in the interests of creating a practical
system usable by teachers and students) gives the same meaning as the phrase
in context. If it does, the MWU is compositional. If it does not, the MWU is
non-compositional. We have already seen, however, that many ®gurative
expressions are non-compositional. It is to such non-idiomatic but non-
compositional expressions that we now turn.
LYNN GRANT and LAURIE BAUER 49

6. FIGURATIVE LANGUAGE

6.1 Defining figurative language


We have noted that irony and sarcasm are not compositional, but neither is
metaphor as this constructed dialogue shows:
What's Jack's problem?
He's hot under the collar.
Statement B could refer both to the increased body heat caused by restricted
clothing, possibly leading to a rash (hence, `problem'), making it composi-
tional, or to the feeling of anger caused by an unexplained factor, making it
non-compositional. The crucial question is whether ®gures of speech like hot
under the collar are idiomatic, or whether we want to distinguish the two. We
believe that a distinction is required both theoretically and from the teaching
point of view, because ®gures of speech can be interpreted according to
general cognitive principles, while idioms have to be learnt. Since proving
that some piece of language is non-compositional may only show that it is
®gurative, we have ®rst to rule out those expressions which are non-
compositional because they are ®gurative.
One of the most common `®gures' in ®gurative language is the metaphorÐ
to such an extent that the words `®gurative' and `metaphorical' are often used
interchangeably. Of course, not all ®gures are non-compositional: similes (It
was as dark as pitch outside) may be perfectly compositional as may zeugma.
But we are not concerned with such cases here. Because metaphor is the most
common ®gure, we will ®rst take a closer look at metaphors.
The two levels of metaphor, conceptual and linguistic, are outlined by
Deignan, Gabrys and Solska (1997: 352): `The term `conceptual metaphor' is
used to refer to a connection between two semantic areas at the level of
thought (ANGER IS HEAT) . . . Linguistic metaphors are the spoken or written
realizations of a conceptual metaphor (I grew hot under the collar/She's got a
®ery temper).' We are going to set aside `conceptual metaphors' which we feel
are not relevant to our argument, and focus on `linguistic metaphors'. Despite
the work done on metaphors in the last two decades, as Cameron and Low
(1999: 77) point out, little of that has reached applied linguistics. They outline
two key approaches to metaphor, noting that non-specialists would agree that
`metaphor compares two things which are actually di€erent; that a metaphor
looks like an untruth but isn't; that making sense of a metaphor can help one
see things in new and often interesting ways' while more technical de®nitions
include `the bringing together of two very di€erent concepts in a linguistic
expression that encourages some meaningful transfer of sense in interpreta-
tion' (ibid). To deal with ®gurative language generally, our argument focuses
on the element of `untruth', and the notions of both linguistic and pragmatic
competence. We believe that an interpretation of metaphor and other
®gurative language is a pragmatic reinterpretation of `untruth' in known
50 CRITERIA FOR RE-DEFINING IDIOMS

circumstances (see also `metaphorical transfer of meaning', Goatly, 1997: 96).


So when you encounter something which is compositionally an `untruth', it is
your linguistic competence which tells you that what you hear or read is
actually an `untruth'. But it is your pragmatic competence which allows you
to reinterpret what you have heard or read. In the non-compositional reading
of Jack being `hot under the collar', we claim the compositional untruth that
Jack has increased body heat only in his neck/collar area is analysed
linguistically and proves to be pragmatically unlikely in context or to break
Gricean principles. It then has to be reinterpreted in a way that explains the
expression in its original context. While this works for metaphor, precisely the
same process can be used for other ®gures of speech as well:
1 The guns waited (Seymour 2001) (metonymy)ÐOur pragmatic compet-
ence tells us that guns cannot wait, so `guns' is reinterpreted to mean
`people with guns'.
2 I've told you a million times not to do that (hyperbole)ÐOur pragmatic
competence tells us that it is not feasible to repeat the same instruction a
million times, so this is reinterpreted to mean `very many' times.
3 This land is owned by the crown (metonymy)ÐOur pragmatic competence
tells us that objects such as crowns do not own other objects, so `crown' is
reinterpreted as the person who wears the crown or the institution
represented by the crown.
As with our `naõÈve approach to compositionality', we can attempt a similar
`naõÈve approach to ®gurative language'. Based on Cameron and Low's (1999)
description of metaphor as something that `looks like an untruth but isn't' and
`a linguistic expression that encourages some meaningful transfer of sense in
interpretation', we will say that:
Understanding ®gurative language involves taking a compositional
untruth and extracting probable truth from it by an act of pragmatic
reinterpretation.

If `truth', a word which we have simply taken from Cameron and Low, seems
to be claiming more than is possible here, the word `sense' can be used in its
place, which would also account for what happens in non-assertive contexts.
It is the possibility of reinterpretation which is our crucial point. In some
cases, perhaps the majority of cases given the prevalence of metaphor, this
reinterpretation will be done in terms of an image (or image schema, Gibbs
1992). We believe that, in other cases, the reinterpretation will be done in
other ways as shown above. In every case, though, some pragmatic act of
turning untruth (nonsense) into truth (sense) is involved. We also recognize,
of course, that some of these ®gures of speech (like the ones shown above) are
institutionalized. Despite this institutionalization, they are still interpretable in
pragmatic terms as outlined above. Once a ®gure of speech ceases to be
interpretable in this way, it will move across into our class of core idioms.
To summarize, a test for ®gurativeness is whether the MWU is ®rst
LYNN GRANT and LAURIE BAUER 51

recognized as an untruth and can then be reinterpreted, by use of an image or


other means, to deduce the intended truth. If it can (Tom's only two but he's
as good as gold, Sally's been given the green light on the project), the MWU is
®gurative. If it cannot (Did you see the game on Saturday? No, I was shooting
the breeze with John./How's the job? A piece of cake) the MWU is non-®gurative
(or the `®gure' does not give the correct meaning of the MWU). However,
many ®gurative expressions are referred to as being idiomatic. The di€erence
between ®gurative and idiomatic expressions will now be discussed.

6.2 Figurative language vs. idioms


We have tried to show how metaphor in particular, and most ®gurative
language in general, is reinterpreted to be understood by the reader or
listener. Although earlier scholars have included a `metaphorical' (Alexander
1987; Moon 1998a) or `®gurative' (Fernando and Flavell 1981; Cowie et al.
1983/1993; Alexander 1987) category of idioms (see Table 1), others have
referred to `idiomatic phrases' as `®gures of speech' (Drew and Holt 1995;
1998), or have commented on the `metaphorical mappings' of many idioms
(Nunberg et al. 1994). We are drawing a distinction between these two classes,
and making the claim that ®guratives and core idioms are distinct subtypes of
non-compositional MWUs.
In comparing ®gurative language and idioms, we maintain that:

. ®gurative language is recognized as compositionally involving an untruth


which can be reinterpreted pragmatically to understand the intended truth
(He's a small ®sh in a big pond) but idioms cannot (It's a red herring).
. ®gurative language can be undone or `unpicked' to work out the meaning
(He's gone o€ the rails = he's no longer on the rails = he's not moving
forward in a controlled, guided way) but idioms cannot (He's not swinging
the lead, his GP sent him here) (or at least cannot without non-linguistic,
historical knowledge, cf red herring).

With regard to the educational implications, di€erent types of MWUs suggest


di€erent kinds of learning. In other words, while ®gurative expressions
require a stretching of the known meaning of the individual words, idioms
may require a more etymological/historical approach. We make the
assumption that turning untruth into truth by pragmatic reinterpretation is
something which is familiar in principle to speakers of all languages, so that
the general point does not have to be taught, though the way the general
principle is exploited in any particular language may have to be. Moreover,
while the conceptual metaphors which underlie so much of our thought and
in¯uence so much of our language have been identi®ed (Lako€ and Johnson
1980), recent research has indicated that insucient attention is paid to this
by L2 (second language) teaching and learning (Low 1988, 1999; Cameron
1999; MacLennan 1993; Gibbs 1994, 1997; Deignan 1995; Deignan et al. 1997;
52 CRITERIA FOR RE-DEFINING IDIOMS

Lazar 1996; Kovecses and Szabo 1996; Kovecses 1997; Boers 2000; Boers and
Demecheleer 1998, 2001).
It is crucial for our point that `®guratives' can be made sense of. Idioms
cannot be. Even in cases where they arise by the freezing of ®gures of speech,
they have lost any overt link with their compositional meaning. That being
the case, and because they are institutionalized, they must be associated with
a ®xed meaning as part of our linguistic competence. In other terminologies,
they are listemes or multi-word lexemes. They are lexicalized constructs, not
open to pragmatic interpretation. The best we can do with an idiom is guess its
meaning as we would guess the meaning of any other lexeme/listeme.
The establishment of a `test' for determining whether an MWU is an idiom
will be discussed next.

7. TESTING FOR IDIOMS


Based on the arguments put forward above, we reject the majority of criteria
established over the past four decades for the following reasons:
1 they are too general, so apply to an extremely large number of MWUs;
2 they are unable to distinguish clearly the various types of idiom from each
other or an idiom from a non-idiom;
3 they fail to pinpoint the crucial point about idioms by giving features
common to many idioms, rather than identifying what de®nes an idiom.
In preference, the following two criteria will be used to de®ne idioms that, for
the purposes of this research, must be MWUs (consisting of at least two words
which occur elsewhere) that are:
. non-compositional
. non-®gurative

In order to distinguish a `core idiom' from other idioms as found in idiom


dictionaries, the following test will be used for determining whether an MWU
is a `core idiom':
1 Is the meaning of the MWU retained if you replace each lexical word in
the MWU with its own de®nition?
Y = compositional N = non-compositional
2 Is it possible to understand the meaning of the MWU by recognizing the
untruth and pragmatically reinterpreting it in a way that correctly
explains the MWU?
Y = ®gurative N = non-®gurative
3 Is there only one word in the MWU which is either not literal or non-
compositional?
Y = ONCE (one non-compositional element)
N = more than one element is non-compositional
. If we answer NO to these three questions, the MWU is a `core idiom'.
LYNN GRANT and LAURIE BAUER 53

. If we answer YES to any of these three questions, the MWU is not a `core
idiom' (may be literal, ®gurative, or a ONCE; we will ®nd some borderline
cases).
However, in applying this test, keep in mind that if we answer YES to the ®rst
question, it will be `literal' and thus the second and third questions are no
longer applicable. Similarly, if we answer NO to the ®rst question but YES to
the second, the third question is no longer applicable as the construction will
be a `®gurative'. And if we answer NO to the ®rst question, NO to the second
but YES to the third, the construction will have only one word that is non-
idiomatic and will become a `ONCE' (one non-compositional element) and
will enter a di€erent category, because idioms are de®ned primarily as a
subset of MWUs. The application of these criteria will be further illustrated in
section 7.2.

7.1 Applying the test to MWUs presently classified as idioms


The criteria will now be applied to lists of idioms from current idiom
dictionaries to determine which would be included in or excluded from the
`core idiom' category. The reasons for exclusion could be:
. they are deemed to be `compositional' and/or literal: If those shoes are
going to sit around gathering dust, you might as well give them away.
. they are deemed to be, by our de®nition, a `®gurative': He's hit the nail on
the head.
. they are deemed to be a `ONCE' (such as when only one word of the MWU
is found to be a non-literal, non-compositional necessary part of an idiom,
with the others being `compositional', `®gurative', or having a literal
meaning): The meeting was short and sweet. / It's a curly issue.
A number of issues should be kept in mind:
. compound words and hyphenated words are considered single lexemes and
so the criteria do not apply;
. foreign phrase MWUs do not meet the criteria as either the English translation
would be a single lexeme, or a translation would explain the MWU;
. the results of the test do not necessarily match intuitions: even collocational
®xed phrases such as of course would not normally be included in any idiom
category, and yet ®t our criteria of `non-compositional, non-®gurative';
. how easily someone can linguistically recognize and pragmatically
reinterpret the untruth may vary according to their age, their knowledge
of and exposure to these expressions, and so on (the authors found they
reacted di€erently to the MWU a dog in a manger, one seeing it as ®gurative,
the other not. The di€erence turned out to hinge on the word manger, the
author who thought a dog in a manger was idiomatic thinking of the word
manger purely as the location for an event in the Christmas story and never
used in other contexts, the other author seeing it as a general word for a
54 CRITERIA FOR RE-DEFINING IDIOMS

container for certain animals' food. Once the unfamiliar meaning of manger
was made clear, the MWU was judged by both to be a ®gurative);
. L1 speakers usually do this reinterpretation automatically whereas L2
speakers will need to be taught;
. idiomatic expressions are seldom encountered outside of context (unless in
lists) so contextual clues may be necessary to establish what a particular
untruth might be referring to (e.g. be like a dog with two tailsÐthe context
should be compatible with showing `great happiness/excitement', making
the connection to the excited wagging of the dog's tail clear).

7.2 Testing the test


The steps will be outlined in a simple ¯ow chart to show how the criteria can
be applied to each MWU:
1 = compositional
(red book) YES, 1 = compositional
(red herring) NO, 1 = non-compositional
2 = ®gurative
(as good as gold) YES, 2 = ®gurative
(red herring) NO, 2 = non-®gurative
3 = ONCE, as only one part is `not literal' or
`non-compositional'
(a long face) YES, 3 = ONCE
(shoot the breeze) NO, 3 = core idiom
Some MWUs may be judged borderline. For example, have an axe to grindÐ
could be interpreted as a `®gurative' if `axe to grind' is understood as `have
something which requires repeated attention', making the MWU a ®gurative,
or it could be interpreted as a `core idiom' if the MWU is understood as a
phrase, not relevant to the meaning of `axes' or `grinding'. Such examples as
this could be judged `borderline/®gurative'. We believe the `fuzzy borderline'
between the two categories will be quite narrow. This is an unproven
assumption at this stage, albeit one supported by our analysis. If too many
items are found to be in this borderline area, it will necessitate the
establishment of further criteria.
The three criteria outlined in the `idiom test' will now be applied to the
following MWUs taken from the same page (p. 100) of two idiom dictionaries.

Test 1
First, the test will be applied to the idioms on p. 100 of the Cambridge
International Dictionary of Idioms, McCarthy and Walter (1998):
1. in/within spitting distance 1 (compositional? YES, if the distance one
in/within striking distance is physically able to spit or strike is used; NO,
if the distance is considered `relatively close')
LYNN GRANT and LAURIE BAUER 55

2 (able to recognize the untruth and prag-


matically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐliteral or a
®gurative
2. drive sb to distraction 1 (compositional? YES, if de®ned as `make
someone distracted'; NO, if de®ned as `make
someone very angry or bored')
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO,
if de®ned as `make someone very angry or
bored')
3 (only 1 word not literal and non-
compositional? YES, on the non-
compositional hypothesis, `distraction', with
`drive' compositional using one of the
dictionary de®nitions of the word)
Therefore, NOT an idiomÐa ONCE
3. divide and conquer/rule 1 (compositional? YES)
Therefore, NOT an idiomÐliteral
4. pay dividends 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
5. it's do or die 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
6. be just what the doctor 1 (compositional? NO)
ordered 2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
7. dog eat dog 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES,
if understood as `doing anything, including
drastic measures like eating your own kind,
in order to succeed')
Therefore, NOT an idiomÐa ®gurative
8. a dog and pony show 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
56 CRITERIA FOR RE-DEFINING IDIOMS

3 (only l word not literal and non-


compositional? NO)
Therefore, NOT an idiomÐa ®gurative
9. a dog in the manger 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES,
see discussion above)
3 (only 1 word not literal and non-
compositional? NO)
Therefore, NOT an idiomÐa ®gurative
10. the dog days 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO)
3 (only 1 word not literal and non-
compositional? YES `dog')
Therefore, NOT an idiomÐa ONCE
11. be like a dog with two tails 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
12. a dog's breakfast/dinner 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES,
with the idea of an animal's food being
`messy')
Therefore, NOT an idiomÐa ®gurative

Test 2
The test will now be applied to the idioms on p.100 of the Collins COBUILD
Dictionary of Idioms, Sinclair and Moon (eds) (1995):
1. just deserts 1 (compositional? YES/NO, depending on
whether you connect `deserts' with `deserve'
or know that it is from the foreign French
word `desservir')
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO)
3 (only 1 word not literal and non-
compositional? YES, on the non-
compositional reading, `deserts')
Therefore, NOT an idiomÐeither a ONCE, or
excluded as a foreign word
LYNN GRANT and LAURIE BAUER 57

2. have designs on sb/sth 1 (compositional? NO)


2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO
3 (only 1 word not literal and non-
compositional? YESÐdesigns, with `on'
having one of the dictionary meanings
Therefore, NOT an idiomÐa ONCE
3. left to your own devices 1 (compositional? NO)
2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO)
3 (only 1 word not literal and non-
compositional? YES, `devices')
Therefore, NOT an idiomÐa ONCE
4. better the devil you know 1 (compositional? NO)
(than the devil you don't) 2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
5. between the devil and the 1 (compositional? NO)
deep blue sea 2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative
6. a devil of a job/the devil's 1 (compositional? NO)
own job 2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? NO)
3 (only 1 word not literal and non-
compositional? YES, `devil')
Therefore, NOT an idiomÐa ONCE
7. (every man for himself and) 1 (compositional? NO)
the devil take the hindmost 2 (able to recognize the untruth and
pragmatically reinterpret it as a truth? YES)
Therefore, NOT an idiomÐa ®gurative

Results
When applied to p. 100 of the Cambridge idioms dictionary, none of the 12
idioms clearly passed the Idioms Test and would be judged to be a `core
idiom', with 8 deemed to be `®guratives', 2 `ONCEs', 1 ®gurative or literal,
and 1 `literal'.
When applied to p. 100 of the Collins COBUILD dictionary, none of the 7
clearly passed the Idioms Test and would be judged to be a `core idiom', with 3
deemed to be `®guratives' and 4 `ONCEs'.
In total, therefore, none of the 19 of the idioms chosen at random from the
same page in two di€erent idiom dictionaries would be considered `core
58 CRITERIA FOR RE-DEFINING IDIOMS

idioms', only one would be judged borderline/®gurative, one ®gurative or


literal, and one literal, with the majority being ®guratives or ONCEs. While
the Idioms Test has undergone an inter-rater reliability check showing high
levels of agreement (see Grant forthcoming), the aim is for the test to be
replicable, so that others may apply the same criteria. Rather than dealing
with the present large collection of MWUs judged by others to be idioms, it is
hoped that the test applying the new criteria will reduce the number of actual
`core idioms' while assigning the remaining MWUs to separate newly-created
categories: `®guratives' and `ONCEs' which we will leave to be classi®ed in
later research. The borderline may still be fuzzy because di€erent people's
reaction to di€erent MWUs may not be constant, as we have already
illustrated. The fuzziness, however, is much reduced from that which has
been inherent in previous theoretical approaches, and is probably not crucial
in practical terms for the language teacher or the learner. We would like to
think that this is as objective as it is possible to getÐbut even if these tests can
be improved upon, we believe we have made progress in narrowing
de®nitions in a helpful and practical way.

8. CONCLUSION
We have rejected the over-elaborate classi®cations and de®nitions of idioms
previously given, and focused on the most important part of idiomsÐthe fact
that they are non-compositional. We have aimed to remove most of the
ambiguity and give a tighter, more restrictive de®nition of what an idiom is.
As Cowie et al. (1983/1993: xii) note in regard to de®ning idioms, `an
approach based simply on the semantic opaqueness (or transparency) of
whole combinations yields a very small class of idioms. It leaves out of
account, for example, an important group of expressions which have
®gurative meanings (in terms of the whole combination in each case) but
which also keep a current literal interpretation.' We have moved this
`important group of expressions which have ®gurative meanings' to our
newly created and much larger category of `®guratives'. We believe that while
this category is far from problem-free for language learners, it can be dealt
with more easily by teaching the L2 learner the conceptual metaphors which
underlie our thoughts and speech and giving the L2 learner the tools to
`unpick' the ®gurative language. For example, the ®rst author tried using the
three new categories in class and found that L2 learners could cope with the
criteria, and apply them according to their level of understanding. So
although this is intended for teachers to decide what to teach now, it may
be useful for the learner too.
We have given a test which we hope is replicable. While it can be argued
that the previous `blurred boundaries' between idioms and non-idioms have
advantages in terms of allowing the inclusion of a wide range of ®xed
expressions (McCarthy 1998), we believe that the disadvantage is that it
results in an overwhelmingly large group of MWUs for the L2 language
LYNN GRANT and LAURIE BAUER 59

teacher and learner to deal with. Our aim in this paper, as explained, was to
go beyond the scalar/continuum model and provide a more restrictive
de®nition of idiom, thus allowing a learner to verify whether something is
or is not an idiom by getting to the `core' or the heart of what an idiom is. The
end result is that EFL/ESL learners should be much more aware of the group
of MWUs known as idioms, more aware of the nature and frequency of
®gurative language, and better equipped for dealing with both. They will, in
short, have come some way towards overcoming their `idiomphobia' (Irujo
1986: 300) and will no longer be `barking up the wrong tree'.
Final version received May 2003

ACKNOWLEDGEMENTS
The authors wish to thank Paul Nation, Victoria University of Wellington, for his helpful
comments on an earlier draft of this article, and the anonymous reviewers for their invaluable
comments which have led to considerable improvements to the current version.

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