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«The Raven»*
Nora Kaplan Departamento de Humanidades Universidad Metropolitana
El presente trabajo tiene como objetivo analizar la primera estrofa del poema «The Rayen», de Edgar Allan Poe, desde el punto de vista de los sistemas de tema, modo y transitividad. El objetivo final del estudio es llegar a una interpretación global del poema en función de dicho análisis, considerando al sistema de transitividad en forma especial. El análisis se lleva a cabo en base a algunos de los fundamentos teóricos de la gramática sistémica pro-puestos por Halliday (1977-1985). Las unidades de análisis son las oracio-nes en que se divide la primera estrofa, las cuales a su vez se subdividen en cláusulas. A partir del análisis realizado se concluye que el manejo estilístico del tema y de la transitividad contribuyen a confirmar en el lector sus predic-ciones de algo amenazador que está por suceder y a crear en el texto una atmófera de reclusión y de inamovilidad asfixiantes.
INTRODUCTION
One of the many applications of linguistics -which range from research studies of a theoretical nature to quite practical tasks - is the interpretation of literary style. Among the different linguistic theories that have been proposed in the second half of this century, the functional theory of language developed by M.A.K. Halliday is particularly relevant to the understanding of literary and poetic texts, as this author himself asserts in his inquiry into the language of William Golding's The Inheritors (1977).
The purpose of this paper is to analyze the first stanza of Edgar Allan Poe's well-known poem The Rayen (in appendix), in terms of the systems of Theme, Mood and
Transitivity, as they are described by Halliday (1977, 1985) and, on the basis of that analysis arrive at some interpretation of the poem as a whole.
THE SYSTEMS OF THEME, MOOD AN TRANSITIVITY
Halliday put forth a theory of language whose main contribution was to regard language as a social phenomenon which has evolved to satisfy universal human needs. According to this author, language is organized in a way which is functional to these needs and it can be interpreted as a system of meaning potentials which can be realized through different forms (Halliday, 1985: -2.)
For Halliday (1977:105-107), the fundamental components of meaning in language are the following three meta-functions:
1. the ideational function; 2. the interpersonal function; and 3. the textual function.
* Tema, modo y transitividad en «El Cuervo»
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The three of them form the basis of the semantic and syntactic organization of the
language and are always present in each sentence, though one or another function may be more prominent.1. The ideational function
The ideational function serves as the expression of the underlying content and, within it, we can recognize two sub-functions: (a) the experiential function, through which speakers or writers embody their experience of the real world, including their own internal world; and (b) the logical function, which expresses certain fundamental logical relations encoded in language in the form of co-ordination, apposition, modification and so on (Morley, 1985:50).
The system of Transitivity, which is concerned with types of processes and their relationship with participants and circumstances, is related to the experiential sub-component. The concepts of process, participant and circumstance are semantic categories which explain in the most general way how phenomena of the real world are represented as linguistic structures.
Although Halliday sub-classifies processes into several different types, for the purposes of this paper we shall mention only a few: material (processes of «doing», which express the notion that some entity «does» something», which may be done «to» some other entity, i.e. intransitive or transitive processes); mental, either internalized (processes of «sensing»: «seeing, feeling and thinking») or externalized (processes of «saying»); behavioral (processes of «behaving», i.e. of physiological and psychological behavior which, grammatically, are intermediate between material and mental processes, like breathing, smiling, dreaming,); relational (processes of «being», expressed as intensive, i.e. x is a; circumstantial, i.e. x is at a; and possessive, i.e. x has a, each of which comes in two modes: attributive, i.e. a is an attribute of x; and identifying, i.e. a
is the identity of x) and existential (processes of «existing», i.e. that something exists or happens, as in there seems to be a problem).
Participants differ according to process type.We will simplify Halliday's comprehensive classification of participant functions and narre only those relevant to the present study. In material processes, the main participant is the Actor (the one that does the deed, the «logical subject» of older terminology). In the case of transitive processes, there is another participant, the Goal (the one to which the process is extended). Mental, internalized processes potentially involve two participants: the Senser (the one who perceives, who has to be human-like, i.e. endowed with consciousness) and the Phenomenon (what the Senser perceives). Unlike mental internalized processes, mental externalized processes, also called verbal processes, do not require a conscious participant. The Sayer, as this participant is called, can be anybody or anything that puts out a signal, such as John, as in John said «l'm hungry» or the notice, as in the
notice tells you to keep quiet. In the case of verbal processes where the Sayer is in a
sense acting verbally on another direct participants (with verbs such as insult, praise,
slander, abuse, flatter), this other participant is referred to as the Target. In behavioral
processes, the Behaver is typically a conscious being, like the Senser; in relational processes of identification, the participants are the Identified and the Identifier. Existential processes are expressed through clauses that typically have the verb be (or some other verb expressing existence, such as exist, arise) followed by a nominal group functioning as Existent.
With respect to circumstantial elements in English, Halliday classifies them into the following types: Extent and Location in time and space, including abstract space; Manner (means, quality and comparison); Cause (reason, purpose and behalf); Accompaniment; Matter; and Role.
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2. The
interpersonal
function
This is related to how a speaker interrelates with others, both socially and instrumentally, adopting a particular speech role, and also to how the speaker contributes to the meaning. The system of Mood of the free clause accounts for this aspect of language, viewed as an interactive event. (Morley, 1985:61 and Halliday, 1985:68). Mood can be indicative (either declarative or interrogative) or imperative.
3. The
textual
function
This function is instrumental to the other two, and is concerned with the creation of a text. Halliday defines a text as «an operational unit of language, as a sentence is a syntactic unit; it may be spoken or wrítten, long or short; and it includes as a special instance a literary text, whether haiku or Homeric epic» (1977: 107). It is the text that is the relevant unit for stylistic studies.
Related to this function is the system of Theme, or thematic patterning of the clause, which has to do with the sequencing of elements in the clause structure, with how information is structured in the text, and with identification. The Theme represents a particular status in the message: it is the speaker's or writer's point of departure which announces what the clause is going to be about. It can be identified as the element which generally comes in first position in the clause. The remainder of the message, the part in which the Theme is developed is called the Rheme. A message, then, consists of a Theme and a Rheme. Thematic structure can be very complex, connected to the notions of known (given) and unknown (new) information. As it so often happens in other aspects of language, there is a contrast between typical instances of Theme and Rheme and marked alternatives, where the usual relationship is reversed, i.e. there is a standing out of certain elements in order to achieve some effect.
On the basis of this overall notion of linguistic functions, Halliday related grammar to literary style and showed «how grammar can convey levels of meaning in literature» (1977:121).
ANALYSIS
The first stanza of The Rayen is composed of two sentences:
First Sentence
Once upon a midnight dreary, while I pondered, weak and weary, Over many a quaint and curious volume of forgotten lore -
While I nodded, nearly napping, suddenly there carne a tapping, As of someone gently rapping, rapping at my chamber door.
Second Sentence
«Tis some visitor,» I muttered, «tapping at my chamber door: Only this, and nothing more»
We will start our analysis by describing first the thematic structure of each sentence, then their Mood, and finally, the system of Transitivity, which is particularly relevant to our interpretation.
The syntactic analysis of the first sentence shows the following structure:
S = F [B' B 2 B3] (a sentence made up of a free clause and three bound clauses) B' while I pondered, weak and weary,
Over many a quaint and curious volume of forgotten lore
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Ihil
h
od
1111
1
1111
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111
11)1c1
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1)
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is unmarked, with the structural Theme (binder: while) and he subject ( deational Theme, /), in initial position. The first person singular pronoun / will be consistently appearing throughout the poem, since this basically revolves around the narrator's feelings and thoughts. Howesmr, this pronoun very seldom appears in unmarked Theme; it usually appears alter adjuncts or objects (Much I marveled; This 1 sat engaged in guessing).B2 While I nodded...
This clause is contingent, temporal and finite. Again, the Theme is unmarked, with the structural Theme (binder: while) and the subject or ideational Theme (/) in initial position.
B3 , nearly napping,...
This clause is contingent, of manner (quality) and non-finite. With respect to the thematic structure, this could be considered the Rheme, since the ellipted elements
(while 1 was) would carry the Theme.
F Once upon a midnight dreary,.... , suddenly there carne a tapping,
As of someone gently rapping, rapping at my chamber door.
The structure of the free clause is the following: [ Al A2 S P C
(A= adjunct; S= subject; P= predicate; C= complement)
The Theme is clearly marked in the split free clause with the first adjunct placed at the beginning of the sentence, and the second adjunct before the subject. The fact that the free clause is split by three bound clauses, and that what comes in initial position is the adjunct of the free clause, makes the Theme at sentence level, a strikingly marked one. As Halliday says, the Theme «provides the environment for the remainder of the message» (1985:67). In this case, the sequence of contingent temporal clauses following the temporal adjunct of the free clause is a prominent feature that hightights the
tempo-ral location, and helps create the atmosphere of the poem and the reader's expectancy of something which is about to happen - maybe something that is perceived to be ominous. It is also interesting to observe that in Al there is a contrast between Once
upon, almost a formulaic expression nearly atways present at the beginning of traditional
narratives, and the completive of the preposition a (a midnight dreary). These words show a marked sequence with the modifier dreary (of the type epithet of opinion) alter the noun midnight. The normal sequence should have been a dreary midnight. Apart from the internal rhyme, this marked order produces the effect of contrasting the expected with the unexpected.
In terms of system of Mood, the free clause is indicative, declarative, positive and untagged. This is the Mood normally expected at the beginning of a narrative, which is what we find in the first sentence. Bound clauses cannot be analyzed in terms of Mood.
With respect to the system of Transitivity, we find the following features in the first sentence:
In B', the process is mental, internalized, of cognition (pondered over). The preposition over is included as part of the process, following Halliday (1985:143). The participants are the Senser (/) and the Phenomenon (many a quaint ...lore).We find two circumstances of manner (weak and weary).
In B2 , we find a behavioral process, of physiological behavior (nodded); a Behaver (/) and zero circumstances. B 3 also shows a behavioral process (ellipted was, napping), an ellipted Behaver (I) and zero circumstances.
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In the freo clause, there is an existential process, signaled by the word there, which has no representational function; it is required because of the need for a subject. The participant is the Existent (an entity: a tapping).
The syntactic analysis of the second sentence yields the following structure: [B reporte«] F B reported 2
At sentence level, the Theme is once again marked, with a reported bound clause in initial position (actually, it is quoted speech).This feature probably stresses the impression that the narrator is trying to reassure himself in a menacing situation. The third line of the sixth stanza emphasizes the feeling of urgency, and the reassurance topic introduced in the first stanza («Surely», said I,»surely that is something at my window lattice»). This thematic organization contrasts with the one of the clauses when it is the Rayen who speaks, where the free clause always precedes the reported bound clause. (e.g. the five instances of Quoth the Rayen, Nevermore.)
At clause level, in B reported', an equative clause, we find an instance of identification. [B reporten «Tis some visitor... tapping at my chamber door» In this equative clause, we find an instance of identification. The Theme is unmarked, with the subject ( T = it) in initial position, but the unknown information (some visitor
tapping at my chamber door) is marked. This has the effect of focusing our attention on
the element some visitor...circumscribed in this way and highlighting its role in the message.
F: I muttered
The Theme in the free clause is unmarked, with the subject (ideational Theme) in initial position.
B reported 2 : Only this, and nothing more
This reported bound clause is branched with respect to B', therefore they share the same Theme. The unknown information would be only and nothing more, and the known information, this, together with the ellipted 'Tis.
With respect to the system of Mood, only the free clause will be analyzed. According to systemic analysis, quoted speech is considered as bound reported clauses and, as such, cannot be described in terms of Mood. The Mood of the free clause is indicative, declarative, positive and untagged.
Finally, in terms of Transitivity, the B rep.' shows a process of identifying, with an intensive (is), two participants, the Identified (it =7) and the Identifier (some visitor
tapping at my chamber door) without any circumstances. In the free clause, the process
is one of mental, externalized type, i.e. verbal (muttered); the participants are the Sayer (/) and the Target (the two reported bound clauses). The process in B rep 2 is the same as the one in B rep.', but here it is ellipted (branched); the participants are the Identified (branched, the same as in B rep'), and the Identifier (Only this and nothing more). Nothing more could be considered the antecedent of the repetitive Nevermore.
DISCUSSION
The analysis of the first stanza of The Rayen, especially when done in terms of the system of Transitivity, offers some interesting clues as to the interpretation of the whole poem.
In the first stanza we find a narrator (both Senser and Sayer), who is sad and bored, engaged in an mental, internalized process (pondering over some old books)
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at midnight. He is in his chamber, and this setting will be the location for the whole
poem, with its connotations of seclusion and lack of space. Later in the poem, we learn that the narrator is in mourning for the death of his beloved one. When he hears a tapping on the door (and the tapping, the entity, becomes a material process in the following sentence), he verbalizes (muttering) some words of self-reassurance. These two mental processes, both internalized and externalized, will be the predominant ones throughout the poem. The Senser will always be the human narrator, becoming the Behaver when dreaming. Examples of verbal processes where the Sayer is the narrator are: muttered, whispered, murmured, said, cried and shrieked, a series that goes «in crescendo» in terms of volume of voice in order to reflect the narrator's mounting agony and despair.
The only material actions that the narrator performs as Actor are those when he opens the door wide, flings the shutters open, wheels a seat in front of the bird (all material transitive processes) and, finally, sinks in the same seat (intransitive process). It is as if the narrator were paralyzed by grief and were incapable even of leaving his room.The Rayen, at the beginning of the poem, is the participant that will be engaged in material processes, both transitive and intransitive, tapping at the door, stepping in, perching himself aboye the door. But, gradually, the Rayen will become less and less active, only croaking the famous Nevermore. At the end, the bird becomes almost paralyzed itself (never flitting, still is sitting...) and will not leave the gloomy chamber as if it were already a part of that secluded and suffocating setting, like the bust of Pallas aboye the door.
We have noticed an insistence in the poem with the words stillness (started at the
stillness broken...) and still, both with the meaning of «(cause to be) without movement
or sound» (to still the beatness of my heart; let my heart be still a moment) and of «even
to this time», followed by a verb associated to lack of activity (stillis sitting). The repetition
of these words emphasizes the concept of immobility. When the poem finishes, there is a kind of symbiosis between the narrator and the Rayen: they cannot move; they can only think, dream and mourn.
The poem consists of a long series of reported clauses (quoted speech), where the narrator, as Sayer, will first talk to himself, later to an unknown addressee and, finally, to the Rayen. When the narrator speaks to the Rayen, most of the time he will humanize and ascribe nnasculine gender to the bird. Only a few times, he will refer to the ungainly
fowl, as it, using neutral gender.
The Rayen will be the Sayer on six different occasions, and the grammatical pattern of those clauses will be almost identical, producing an effect of rhythmic regularity which the reader anticipates in the course of reading.
When the texture of the poem is that of a dialogue in narrative forro, the complex thematic structure of the narrator contrasts with the very simple one of the Rayen. However, it is precisely the bird's recurrent croaking of the phrase Nevermore what gives significance and meaning to the poem.. The narrator will repeatedly interpret and re-interpret that utterance according to the specific communicative roles he has chosen for himself and for the listener (the Raven).He gives expression to the interpersonal function questioning the Rayen, ascribing to the bird the role of the Knower several times, and interpreting the croaking in different ways: as a narre, as a stock answer, as a real answer and as a prophecy. Nevermore will become the narrator's obsession. Finally, when he commands the Rayen to fly away and leave him alone, he interprets the last Nevermore as an absolute refusal.
In this way, the poem concludes making true the premonition of something ominous about to happen, which was perceived when analyzing the first stanza: the Rayen has
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become a motionless demon watching forever over the narrator, whose soul shall be
lifted -nevermore.
BIBLIOGRAPHY
Halliday, M.A.K. (1977). Explorations in the functions of language. London: Edward Arnold.
Halliday, M:A.K. (1985). An introduction to systemic linguistics. London: Edward Arnold.
Morley, G.D. (1985). An introduction to systemic grammar. London: Macmillan.
APPENDIX
The Rayen
Once upon a midnight dreary, while I pondered, weak and weary, Over many a quaint and curious volume of forgotten lore- While I nodded, nearly napping, suddenly there carne a tapping As of someone gently rapping, rapping at my chamber door. «Tis some visitor,» I muttered, «tapping at my chamber door:
Only this, and nothing more»
Ah, distinctly I remember, it was in the bleak December,
And each separate dying ember wrought its ghost upon the floor Eagerly I wished the morrow; vainly I had sought to borrow from my books surcease of sorrow - sorrow for the lost Lenore - For the rare and radiant maiden whom the angels name Lenore Nameless here for evermore.
And the silken sad, uncertain rustling of each purple curtain, Thrilled me - filled me with fantastic terrors never felt before; so that now, to still the beating of my heart I stood repeating, «Tis some visitor entreating entrance at my chamber door - Some late visitor entreating entrance at my chamber door:
This is it, and nothing more.»
Presently my soul grew stronger: hesitating then no longer, «Sir,» said I, «or Madam, truly your forgiveness I implore, But the fact is, I was napping, and so gently you carne rapping, And so faintly you carne tapping, tapping at my chamber door, That I scarce was sure I heard you» - here I opened wide the door,
Darkness there, and nothing more.
Deep into that darkness peering, long I stood there, wondering, fearing, doubting, dreaming dreams no mortal ever dared to dream before; But the silence was unbroken, and the darkness gave no token, And the only word there spoken was the whispered word, «Lenore». This I whispered, and an echo murmured back the word «Lenore»
Merely this and nothing more.
Back into the chamber turning, all my soul within me burning, Soon again I heard a tapping, somewhat louder than before, «Surely,» said I, «surely that is something at my window-lattice;
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Let me see then what thereat is, and this mystery explore
- Let my heart be still a moment, and this mystery explore:«Tis the wind, and nothing more».
Open here I flung the shutter, when, with many a flirt and flutter, In there stepped a stately Rayen of the saintly days of yore.
Not the least obeisance made he; not an instant stopped or stayed he; But, with mien of lord or lady, perched aboye my chamber door-Perched upon a bust of Pallas, just aboye my chamber door -
Perched, and sat, and nothing more.
Then this ebony bird beguiling my sad fancy into smiling, By the grave and stern decorum of the countenance it wore,
«Though thy crest be shorn and shaven, thou,» I said, «ad sure no craven, Ghastly, grim, and ancient Rayen, wandering from the nightly shore Tell me what thy lordly narre is on the Night's Plutonian shore»
Quoth the Rayen, «Nevermore».
Much I marvelled this ungainly fowl to hear discourse so plainly, Though its answer little meaning - little relevancy bore;
For we cannot help agreeing that no living human being Ever yet was blessed with seeing bird aboye his chamber door - Bird or beast upon the sculptured just aboye his chamber door,
With such narre as «Nevermore».
But the Rayen sitting lonely o the placid bust, spoke only That one word, as if his soul in that one word he did outpour. Nothing further then he uttered -not a feather then he fluttered - Till I scarcely more than muttered, «Other friends have flown before-On the morrow he will leave me„ as my hopes nave flown before.»
Then the bird said, «Nevermore».
Startled at the stillness broken by reply so aptly spoken, «Doubtless», said I, «what it utters is its only stock and store, Caught from some unhappy master, whom unmerciful Disaster Followed fast and followed faster, till his songs one burden bore - Till the dirges of his Hope one melancholy burden bore
Of Never-nevermore».
But the Rayen still beguiling all my sad soul into smiling,
Straight I wheeled a cushioned seat in front of bird, and bust, and door; Then, upon the velvet sinking, I betook myself to linking
Fancy unto fancy, thinking what this ominous bird of yore - What this grim, ungainly, ghastly, gaunt and ominous bird of yore
Meant in croaking «Nevermore».
This I sat engaged in guessing, but no syllable expressing To the fowl whose fiery eyes now burned into my bosom's core This and ore I sat divining, with my head at ease reclining On the cushion's velvet lining, with the lamp-light gloating o'er,
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Then methought the air grew denser, perfumed from an unseen censer, Swung by seraphim whose foot-falls tinkled on the tufted floor.
«Wretch,» I cried, «thy God hath lent thee -by these angels he hath sent thee Respite- respite and nepenthe from the memories of Lenore
Quaff, oh quaff this kind nepenthe, and forget this lost Lenore» Quoth the Rayen, «Nevermore».
«Prophet» said I, «thing of evil -prophet still, if bird or devil
Whether Tempter sent, or whether tempest tossed thee here ashore, Desolate yet all undaunted, on this desert land enchanted-
On this home by Horror haunted - tell me truly, I implore - Is there - is there balm in Gilead? - tell me - tell me, I implore»
Quoth the Rayen, «Nevermore».
Be that word our sign of parting, bird or fiend» I shrieked, upstarting «Get thee back into the tempest and the Night's Plutonian shore Leave no black plume as a token of that lie thy soul hath spoken Leave my loneliness unbroken - quit the bust aboye my door Take thy beak fro out my heart, and take thy form from off my door»
Quoth the Rayen, «Nevermore».
And the Rayen, never flitting, still is sitting, still is sitting On the pallid bust of Pallas just aboye my chamber door; And his eyes have all the seeming of a demon's that is dreaming, And the lamp-light o'er him streaming, throws his shadow on the floor And my soul from out that shadow that lies floating on the floor
Shall be lifted - nevermore.
