Lecture №4. Different Approaches to the Classification of Phraseological Units.
Semantic, Functional, Contextual
PHRASEOLOGY
The vocabulary of a language is enriched not only by words but also by phraseological units. Phraseological units are word-groups that cannot be made in the process of speech, they exist in the language as ready-made units. They are compiled in special dictionaries. The same as words phraseological units express a single notion and are used in a sentence as one part of it. American and British lexicographers call such units «idioms». We can mention such dictionaries as: L. Smith «Words and Idioms», V. Collins «A Book of English Idioms» etc. In these dictionaries we can find words, peculiar in their semantics (idiomatic), side by side with word-groups and sentences. In these dictionaries they are arranged, as a rule, into different semantic groups. Phraseological units can be classified according to the ways they are formed, according to the degree of the motivation of their meaning, according to their structure and according to their part-of-speech meaning.
WAYS OF FORMING PHRASEOLOGICAL UNITS
A.V. Koonin classified phraseological units according to the way they are formed. He pointed out primary and secondary ways of forming phraseological units. Primary ways of forming phraseological units are those when a unit is formed on the basis of a free word-group:
a) Most productive in Modern English is the formation of phraseological units by means of transferring the meaning of terminological word-groups, e.g. in cosmic technique we can point out the following phrases: «launching pad» in its terminological meaning is «стартовая площадка», in its transferred meaning – «отправной пункт», «to link up» – «cтыковаться, стыковать космические корабли» in its transformed meaning it means – «знакомиться»;
b) a large group of phraseological units was formed from free word groups by transforming their meaning, e.g. «granny farm» – «пансионат для престарелых», «Troyan horse» – «компьюторная программа, преднамеренно составленная для повреждения компьютера»;
c) phraseological units can be formed by means of alliteration , e.g. «a sad sack» – «несчастный случай», «culture vulture» – «человек, интересующийся искусством», «fudge and nudge» – «уклончивость».
d) they can be formed by means of expressiveness, especially it is characteristic for forming interjections, e.g. «My aunt!», «Hear, hear!» etc
e) they can be formed by means of distorting a word group, e.g. «odds and ends» was formed from «odd ends»,
f) they can be formed by using archaisms, e.g. «in brown study» means «in gloomy meditation» where both components preserve their archaic meanings,
g) they can be formed by using a sentence in a different sphere of life, e.g. «that cock won’t fight» can be used as a free word-group when it is used in sports (cock fighting), it becomes a phraseological unit when it is used in everyday life, because it is used metaphorically,
h) they can be formed when we use some unreal image, e.g. «to have butterflies in the stomach» – «испытывать волнение», «to have green fingers» – «преуспевать как садовод-любитель» etc.
i) they can be formed by using expressions of writers or politicians in everyday life, e.g. «corridors of power» (Snow), «American dream» (Alby) «locust years» (Churchil) , «the winds of change» (Mc Millan).
Secondary ways of forming phraseological units are those when a phraseological unit is formed on the basis of another phraseological unit; they are:
a) conversion, e.g. «to vote with one’s feet» was converted into «vote with one’s feet»;
b) changing the grammar form, e.g. «Make hay while the sun shines» is transferred into a verbal phrase – «to make hay while the sun shines»;
c) analogy, e.g. «Curiosity killed the cat» was transferred into «Care killed the cat»;
d) contrast, e.g. «cold surgery» – «a planned before operation» was formed by contrasting it with «acute surgery», «thin cat» – «a poor person» was formed by contrasting it with «fat cat»;
e) shortening of proverbs or sayings e.g. from the proverb «You can’t make a silk purse out of a sow’s ear» by means of clipping the middle of it the phraseological unit «to make a sow’s ear» was formed with the meaning «ошибаться».
f) borrowing phraseological units from other languages, either as translation loans, e.g. «living space» (German), «to take the bull by the horns» ( Latin) or by means of phonetic borrowings «meche blanche» (French), «sotto voce» (Italian) etc.
Phonetic borrowings among phraseological units refer to the bookish style and are not used very often.
L. P. SMITH'S THEMATIC (ETYMOLOGICAL) CLASSIFICATION OF PHRASEOLOGICAL UNITS
The traditional and oldest principle for classifying phraseological units is based on their original content and might be alluded to as thematic (although the term is not universally accepted). The approach is widely used in numerous English and American guides to idiom, phrase books, etc. On this principle, idioms are classified according to their sources of origin, source referring to the particular sphere of human activity, of life of nature, of natural phenomena, etc. So, L. P. Smith gives in his classification groups of idioms used by sailors, fishermen, soldiers, hunters and associated with the realia, phenomena and conditions of their occupations. In Smith’s classification we also find groups of idioms associated with domestic and wild animals and birds, agriculture and cooking. There are also numerous idioms drawn from sports, arts, etc.
This principle of classification is sometimes called etymological. The term does not seem appropriate since we usually mean something different when we speak of the etymology of a word or word-group: whether the word (or word-group) is native or borrowed, and, if the latter, what is the source of borrowing. It is true that Smith makes a special study of idioms borrowed from other languages, but that is only a relatively small part of his classification system. The general principle is not etymological.
Smith points out that word-groups associated with the sea and the life of seamen are especially numerous in English vocabulary. Most of them have long since developed metaphorical meanings which have no longer any association with the sea or sailors, cf.:
to be all at sea – to be unable to understand; to be in a state of ignorance about something;
to sink or swim – to fail or succeed;
in deep water – in trouble or danger;
in low water, on the rocks – in strained financial circumstances;
to be in the same boat with somebody – to be in a situation in which people share the same difficulties and dangers;
to sail under false colours – to pretend to be what one is not; sometimes, to pose as a friend and, at the same time, have hostile intentions;
to show one's colours – to betray one’s real character or intentions;
to strike one's colours – to surrender, give in, admit one is beaten;
to weather (to ride out) the storm – to overcome difficulties; to have courageously stood against misfortunes;
to bow to the storm – to give in, to acknowledge one’s defeat;
three sheets in(to) the wind (si.) – very drunk;
half seas over – drunk.
The thematic principle of classifying phraseological units has real merit but it does not take into consideration the linguistic characteristic features of the phraseological units.
V.V.VINOGRADOV’S CLASSIFICATION OF PHRASEOLOGICAL UNITS
The classification system of phraseological units devised by this prominent scholar is considered by some linguists of today to be outdated, and yet its value is beyond doubt because it was the first classification system which was based on the semantic principle. In his classification V. V. Vinogradov developed some points first advanced by the Swiss linguist Charles Bally. The classification is based upon the motivation of the unit, i.e. the relationship existing between the meaning of the whole and the meaning of its component parts. The degree of motivation is correlated with the rigidity, indivisibility and semantic unity of the expression, i.e. with the possibility of changing the form or the order of components, and of substituting the whole by a single word. Units with a partially transferred meaning show the weakest cohesion between their components. The more distant the meaning of a phraseological unit from the current meaning of its constituent parts, the greater is its degree of semantic cohesion. Accordingly, Vinogradov classifies phraseological units into three classes: phraseological combinations, unities and fusions (Rus. фразеологические сочетания, единства и сращения).
Phraseological collocations (combinations) are partially motivated; they contain one component used in its direct meaning while the other is used figuratively: meet the demand, meet the necessity, meet the requirements, to be at one’s wits’ end, to be good at something, to be a good hand at something, to have a bite, to come to a sticky end (coll.), to take something for granted, to stick to one's word, to stick at nothing, gospel truth.
Phraseological unities, are much more numerous. They are clearly motivated. The emotional quality is based upon the image created by the whole, cf.:
to stick (to stand) to one's guns – refuse to change one’s statements or opinions in the face of opposition, implying courage and integrity.
to sit on the fence — in discussion, politics, etc. refrain from committing oneself to either side;
to catch/clutch at a straw/straws — when in extreme danger, avail oneself of even the slightest chance of rescue;
to lose one’s head – to be at a loss what to do; to be out of one’s mind;
to lose one’s heart to smb. – to fall in love;
to lock the stable door after the horse is stolen – to take precautions too late, when the mischief is done;
to look a gift horse in the mouth – to examine a present too critically; to find fault with something one gained without effort;
to ride the high horse – to behave in a superior, overbearing way. The image is that of a person mounted on a horse so high that he looks down on others;
a big bug/pot – a person of importance;
a fish out of water – a person situated uncomfortably outside his usual or proper environment.
Phraseological fusions are completely non-motivated word-groups, represent as their name suggests the highest stage of blending together. The meaning of components is completely absorbed by the meaning of the whole, by its expressiveness and emotional properties. Phraseological fusions are specific for every language and do not lend themselves to literal translation into other languages, cf:
to come a cropper — to come to disaster;
neck and crop – entirely, altogether, thoroughly;
at sixes and sevens — in confusion or in disagreement;
to set one’s cap at smb. – to try and attract a man; spoken about girls and women;
to leave smb. in the lurch – to abandon a friend when he is in trouble;
to show the white feather – to betray one’s cowardice;
to dance attendance on smb. – to try and please or attract smb.; to show exaggerated attention to smb.
It is obvious that this classification system does not take into account the structural characteristics of phraseological units. On the other hand, the border-line separating unities from fusions is vague and even subjective. One and the same phraseological unit may appear motivated to one person (and therefore be labelled as a unity) and demotivated to another (and be regarded as a fusion). The more profound one’s command of the language and one’s knowledge of its history, the fewer fusions one is likely to discover in it.
THE STRUCTURAL PRINCIPLE OF CLASSIFYING PHRASEOLOGICAL UNITS
The structural principle of classifying phraseological units is based on their ability to perform the same syntactical functions as words. In the traditional structural approach, the following principal groups of phraseological units are distinguishable: Verbal: to run for one’s (dear) life, to get (win) the upper hand, to make a song and dance about something, to sit pretty;
Substantive: dog's life, cat-and-dog life, calf love, white lie, tall order, birds of passage, red tape, brown study;
Adjectival: high and mighty, spick and span, brand new, safe and sound, (as) cool as a cucumber, (as) weak as a kitten, (as) good as gold (usu. spoken about children), (as) pretty as a picture, (as) mad as a hatter/a hare in March;
Adverbial: high and low - They searched for him high and low;
by hook or by crook - She decided that, by hook or by crook, she must marry him; for love or money - He came to the conclusion that a really good job couldn't be found for love or money;
in cold blood - The crime was said to have been committed in cold blood;
to the bitter end- to fight to the bitter end;
by a long chalk - It is not the same thing, by a long chalk.
Interjectional: my God! by George! goodness gracious! good Heavens!
A.I. SMIRNITSKY'S CLASSIFICATION SYSTEM FOR ENGLISH PHRASEOLOGICAL UNITS
Professor A.I. Smirnitsky offered a classification system for English phraseological units which is interesting as an attempt to combine the structural and the semantic principles. Phraseological units in this classification system are grouped according to the number and semantic significance of their constituent parts. Accordingly two large groups are established:
A. one-summit units, which have one meaningful constituent: to give up, to make out, to be tired, to be surprised;
B. two-summit and multi-summit units which have two or more meaningful constituents: black art, first night, common sense, to fish in troubled waters.
Within each of these large groups the phraseological units are classified according to the category of parts of speech of the summit constituent. So, one-summit units are subdivided into: a) verbal-adverbial units equivalent to verbs in which the semantic and the grammatical centres coincide in the first constituent (to give up);
b) units equivalent to verbs which have their semantic centre in the second constituent and their grammatical centre in the first (to be tired);
c) prepositional-substantive units equivalent either to adverbs or to copulas and having their semantic centre in the substantive constituent and no grammatical centre (by /wait by means of).
Two-summit and multi-summit phraseological units are classified into: a) attributive-substantive two-summit units equivalent to nouns (black art),
b) verbal-substantive two-summit units equivalent to verbs (to take the floor),
c) phraseological repetitions equivalent to adverbs (now or never);
d) adverbial multi-summit units (e. g. every other day).
Professor Smirnitsky also distinguishes proper phraseological units which, in his classification system, are units with non-figurative meanings, and idioms, that is, units with transferred meanings based on a metaphor.
Professor Kunin, the leading Russian authority on English phraseology, pointed out certain inconsistencies in this classification system. First of all, the subdivision into phraseological units (as non-idiomatic units) and idioms contradicts the leading criterion of a phraseological unit suggested by Professor Smirnitsky: it should be idiomatic.
Professor Kunin also objects to the inclusion of such word-groups as black art, best man, first night in phraseology (in Professor Smiraitsky’s classification system, the two-summit phraseological units) as all these word-groups are not characterised by a transferred meaning. It is also pointed out that verbs with post-positions (e. g. give up) are included in the classification but their status as phraseological units is not supported by any convincing argument.
N.N.AMOSOVA’S CONCEPT OF CONTEXTUAL ANALYSIS
N. N. Amosova’s approach is contextological. She defines phraseological units as units of fixed context. Fixed context is defined as a context characterized by a specific and unchanging sequence of definite lexical components and a peculiar semantic relationship between them. Units of fixed context are subdivided into phrasemes and idioms. Phrasemes are always binary: one component has a phraseologically bound meaning, the other serves as the determining context (small talk, small hours, small change). In idioms the new meaning is created by the whole, though every element may have its original meaning weakened or even completely lost: in the nick of time (at the exact moment). Idioms may be motivated or demotivated. A motivated idiom is homonymous to a free phrase, but this phrase is used figuratively: take the bull by the horns (to face dangers without fear). In the nick of time is demotivated, because the word nick is obsolete. Both phrasemes and idioms may be movable (changeable) or immovable.
S.V.KUNIN’S CONCEPT OF PHRASEOLOGICAL UNITS
A.V. Kunin’s classification is based on the functions the units fulfil in speech. The classification is based on the combined structural-semantic principle and it also considers the quotient of stability of phraseological units. Phraseological units are subdivided into the following four classes according to their function in communication determined by their structural-semantic characteristics. Nominative phraseological units are represented by word-groups, including the ones with one meaningful word, and coordinative phrases of the type wear and tear, well and good. The first class also includes word-groups with a predicative structure, such as as the crow flies, and, also, predicative phrases of the type see how the land lies, ships that pass in the night. Nominative-communicative phraseological units include word-groups of the type to break the ice - the ice is broken, that is, verbal word-groups which are transformed into a sentence when the verb is used in the Passive Voice. Phraseological units which are neither nominative nor communicative include interjectional word-groups, (a pretty kettle of fish!). Communicative phraseological units are represented by proverbs and sayings. These four classes are divided into sub-groups according to the type of structure of the phraseological unit. The sub-groups include further rubrics representing types of structural-semantic meanings according to the kind of relations between the constituents and to either full or partial transference of meaning. The classification system includes a considerable number of subtypes and gradations and objectively reflects the wealth of types of phraseological units existing in the language
FORMAL AND FUNCTIONAL CLASSIFICATION
Formal classification distinguishes the following set expressions: nominal phrases: the root of the trouble; verbal phrases: put one’s best foot forward; adjectival phrases: as good as gold; red as a cherry; adverbial phrases: from head to foot; prepositional phrases: in the course of; conjunctional phrases: as long as, on the other hand; interjectional phrases: Well, I never!
A stereotyped sentence also introduced into speech as a ready-made formula may be illustrated by Never say die! – never give up, hope, take your time – do not hurry. This classification takes into consideration not only the type of component parts but also the functioning of the whole, thus, tooth and nail is not a nominal but an adverbial unit, because it serves to modify a verb (e.g. fight tooth and nail).
Within each of these classes a further subdivision is as follows:
a) Set expressions functioning like nouns:
N+N: maiden name – the surname of a woman before she was married; brains trust – a committee of experts;
N’s+N: cat’s paw – one who is used for the convenience of a cleverer and stronger person;
Ns’ N: ladies’ man – one who makes special effort to charm or please women; N+prp+N: the arm of the law; skeleton in the cupboard;
N+A: knight errant – the phrase is today applied to any chivalrous man ready to help and protect oppressed and helpless people
N+and+N: lord and master – husband; all the world and his wife;
A+N: high tea – an evening meal which combines meat or some similar extra dish with the usual tea;
N+subordinate clause: ships that pass in the night – chance acquaintances;
b) Set expressions functioning like verbs:
V+N: take advantage;
V+and+V: pick and choose,
V + (one’s)+N+(prp): snap one’s fingers at;
V + one+N: give one the bird — to fire sb;
V + subordinate clause: see how the land lies – to discover the state of affairs;.
c) Set expressions functioning like adjectives: A+and+A: high and mighty;
(as)+A+as+N: as old as the hills, as mad as a hatter;
d) Set expressions functioning like adverbs: N+N: tooth and nail;
prp + N: by heart, of course; adv + prp + N: once in a blue moon; prp+N+or+N: by hook or by crook; cj+clause: before one can say Jack Robinson.
e) Set expressions functioning like prepositions: prp+N+prp: in consequence of;
f) Set expressions functioning like interjections: These are often structured as imperative sentences: Bless (one’s) soul! God bless me! Hang it (all)!
STYLISTIC ASPECT OF PHRASEOLOGY. POLYSEMY AND SYNONYMY OF PHRASEOLOGICAL UNITS
Semantic stylistic features contracting set expressions into units of fixed context are simile, contrast, metaphor and synonymy, cf: as old as the hills and older than the hills (simile); from beginning to end, for love or money, more or less, sooner or later (contrast); a lame duck, a pack of lies, arms race, to swallow the pill, in a nutshell (metaphor); by leaps and bounds, proud and haughty (synonymy). A few more combinations of different features in the same phrase are: as good as gold, as pleased as Punch, as fit as a fiddle (alliteration, simile); now or never (alliteration and contrast). More rarely there is an intentional pun: as cross as two sticks (very angry). This play upon words makes the phrase jocular. There are, of course, other cases when set expressions lose their metaphorical picturesqueness, having preserved some fossilized words and phrases, the meaning of which is no longer correctly understood. For instance, the expression buy a pig in a poke may be still used, although poke “bag” (cf. pouch, pocket) does not occur in other contexts. Expressions taken from obsolete sports and occupations may survive in their new figurative meaning. In these cases the euphonic qualities of the expression are even more important. A muscular and irreducible phrase is also memorable. The muscular feeling is of special importance in slogans and battle cries. Saint George and the Dragon for Merrie England, the medieval battle cry, was a rhythmic unit to which a man on a horse could swing his sword. The modern Scholarships not battleships! can be conveniently scanned by a marching crowd.
PROVERBS, SAYINGS, FAMILIAR QUOTATIONS AND CLICHES
The place of proverbs, sayings and familiar quotations with respect to set expressions is a controversial issue. A proverb is a short familiar epigrammatic saying expressing popular wisdom, a truth or a moral lesson in a concise and imaginative way. Proverbs have much in common with set expressions, because their lexical components are also constant, their meaning is traditional and mostly figurative, and they are introduced into speech ready-made. Consider the following examples of proverbs:
We never know the value of water till the well is dry.
You can take the horse to the water, but you cannot make him drink.
Those who live in glass houses shouldn’t throw stones.
Even these few examples clearly show that proverbs are different from those phraseological units which have been discussed above. The first distinctive feature that strikes one is the obvious structural dissimilarity. Phraseological units, as we have seen, are a kind of ready-made blocks which fit into the structure of a sentence performing a certain syntactical function, more or less as words do. E. g. George liked her for she never put on airs (predicate). Big bugs like him care nothing about small fry like ourselves, (a) subject, b) prepositional object).
Proverbs, if viewed in their structural aspect, are sentences, and so cannot be used in the way in which phraseological units are used in the above examples. If one compares proverbs and phraseological units in the semantic aspect, the difference seems to become even more obvious. Proverbs could be best compared with minute fables for, like the latter, they sum up the collective experience of the community. They moralise (Hell is paved with good intentions), give advice (Don’t judge a tree by its bark) give warning (If you sing before breakfast, you will cry before night), admonish (Liars should have good memories), criticise (Everyone calls his own geese swans).
No phraseological unit ever does any of these things. They do not stand for whole statements as proverbs do but for a single concept. Their function in speech is purely nominative (i.e. they denote an object, an act, etc.). The function of proverbs in speech, though, is communicative (i.e. they impart certain information). Professor A. V. Koonin includes proverbs in his classification of phraseological units and labels them communicative phraseological units. From his point of view, one of the main criteria of a phraseological unit is its stability. If the quotient of phraseological stability in a word-group is not below the minimum, it means that we are dealing with a phraseological unit. The structural type – that is, whether the unit is a combination of words or a sentence-is irrelevant. The criterion of nomination and communication cannot be applied here either, says Professor A. V. Koonin, because there are a considerable number of verbal phraseological units which are word-groups (i.e. nominative units) when the verb is used in the Active Voice, and sentences (i.e. communicative units) when the verb is used in the Passive Voice, cf.: to cross (pass) the Rubicon – the Rubicon is crossed (passed); to shed crocodile tears – crocodile tears are shed.
Hence, if one accepts nomination as a criterion of referring or not referring this or that unit to phraseology, one is faced with the absurd conclusion that such word-groups, when with verbs in the Active Voice, are phraseological units and belong to the system of the language, and when with verbs in the Passive Voice, are non-phraseological word-groups and do not belong to the system of the language.
There does not seem to exist any rigid or permanent border-line between proverbs and phraseological units as the latter rather frequently originate from the former, cf.: The last straw breaks the camel’s back - the last straw; Birds of a feather flock together – birds of a feather; A drowning man catches at straws - to catch at a straw (straws). What is more, some of the proverbs are easily transformed into phraseological units: Don’t put all your eggs in one basket - to put all one’s eggs in one basket; Don’t cast pearls before swine - to cast pearls before swine. As to familiar quotations, they are different from proverbs in their origin. They come from literature but by and by they become part of the language, so that many people using them do not even know that they are quoting, and very few could accurately name the play or passage on which they are drawing even when they are aware of using a quotation from W. Shakespeare. The Shakespearian quotations have become and remain extremely numerous – they have contributed enormously to the store of the language. Very many come from Hamlet, cf.: Something is rotten in the stale of Denmark; Brevity is the soul of wit; The rest is silence. Some quotations are so often used that they come to be considered cliches, hackneyed and stale phrases. Being constantly and mechanically repeated they have lost their original expressiveness, cf.: ample opportunities, astronomical figures, the arms of Morpheus, to break the ice, the Irony of fate, etc.
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