NOTES AND MEMORIES ON SCIENCE FICTION;
GOODBYE TO EXTRAPOLATION (1995);
SOME NOTES & MEMORIES ON DALE MULLEN’S MAIEUTICS (1998).
In D. Suvin, Parables of Freedom and Narrative Logics: Positions and Presuppositions in Science Fiction and Utopianism, 2 Vols. Ed. Eric D. Smith. Oxford: P. Lang, 2021.
ch30
NOTES AND MEMORIES ON SCIENCE FICTION (1995-98, 2,670 words)
TWO CHEERS FOR ESSENTIALISM AND TOTALITY: ON MARX’S OSCILLATION AND ITS LIMITS (AS WELL AS ON THE TABOOS OF POST-MODERNISM (1997, 8,570 words)
A revisitation of Marx, accepting demystification and critique but repudiating “progress” in favour of multi-causality and open ends, and arguing for a carefully delimited (historical) use of essence and of an epistemological or hermeneutic but not an ontological totality.
AGAINST ORIGINALS: HONKADORI AND THE HORIZONS OF PASTICHE (1993-97, 8,220 words)
- A Preliminary Reflection on Pastiche (As Well As Parody);
- On Japanese honkadori as Catalysis;
- Some Conclusions: On Originality
ON THE EPISTEMOLOGY AND PRAGMATICS OF INTERCULTURAL THEATRE STUDIES (1997, 11,600 words)
Darko Suvin (1997, 11,600 words)
*/This essay was published in Darko Suvin: A Life in Letters. Ed. Ph.E. Wegner. Vashon IslandWA 98070: Paradoxa, 2011, ISBN 1-929512-34-8. It may be ordered at <info@paradoxa.com>.
Copyright (C) 2011 Darko Suvin
Sound, sound aloud / The welcome of the orient flood / Into the west/
With all his beauteous race, /. . . Who . . . are bright, / And full of life and light. . . .
Ben Jonson, The Masque of Blackness (1605)
The populous East, luxuriant, abounds with glittering gems, bright
pearls, aromatic spices, and health-restoring drugs. The late-found
western world glows with unnumbered veins of gold and silver ore. . . . It is the industrious merchant’s business to collect the various blessings of each soil and climate and, with the products of the whole, to enrich his native country.
George Lillo, The London Merchant (1731)
SEE
POLITY OR DISASTER: FROM INDIVIDUALIST SELF TOWARD PERSONAL VALENCIES AND COLLECTIVE SUBJECT (1994-96, 23,790 words)
0. Stance, Constituency, Epistemology; 1. Subject as Social Allegory vs. Self as Interiority and the Pivot Formulation of Descartes; 2. Deconstruction: Hello and Goodbye; 3. To Position a Survivable Polity, Non-Interiority, Valencies for Subjectivity; 4. Briefly, On Body Politics; 5. On Japan and the Subject: Mirage and Historical Estrangement; 6. An End (finis, not telos)
THE SOUL AND THE SENSE: MEDITATIONS ON ROLAND BARTHES ON JAPAN (A PROPOS OF THE EMPIRE OF SIGNS) (1990-96, 16,200 words)
Darko Suvin (1990-96, 16,200 words)
To Jean-Pierre Vernant, and to the póthos of
Lida.
Ce texte, je ne vais pas l’expliquer. Je vais seulement énoncer
quelques … sorties du texte.
(I am not going to explain this text. I shall only utter some …
departures from the text)
Barthes,”Les Sorties du texte” (untranslatable pun)
sind die sätze, die
vor euch gesagt sind, benutzt, wenigstens widerlegt? ist alles
belegbar?
durch erfahrung? durch welche?
brecht, “der zweifler”
(…Are the sentences,which were
Said before you, used? at least
Refuted? is all provable?
Through experience? what kind of?
Brecht, “The Doubter”)
0. Entry: Barthes and the Tool-kit: Organic Body vs. Organon
0.1. Roland Barthes’s volume of fragments on a supposedly imaginary Japan, The Empire of Signs has, to my biased and largely theatre-oriented eye, at its centre some sections or fragments devoted to the Bunraku puppet-performances (which were, in fact, originally published as one essay called “Les trois écritures” in Tel Quel 1968). These are the sections “Les trois écritures,” “Animé/inanimé,” and “Dedans/dehors,” on pages 63-82 of the French edition (48-62 of the English edition). Japanese classical theatre (not only Bunraku) is my eventual convergence point, but I shall in this occasion undertake a lengthy detour by way of Barthes. I wish to examine how his text may — partly by contraries and partly by indirections, both proceedings which he would, no doubt, appreciate — lead us toward different understandings of individuality consubstantial with a different cultural macro-framework prevailing in Japan, which can be seen in terms of immanentist religion and group orientation. For my present purposes, then, I want to focus not so much on his fascinating and apposite observations about puppet vs. naturalist theatricality (mainly in the first fragment) — though Barthes as a very important, if incidental, theoretician of theatre is quite unduly neglected. I want rather to see what may be extrapolated from his observations on performance to the crucial or root discussion of the whole volume, that of exteriority vs. interiority and of its most important human application, “Western” animation or soul-possession versus its “Japanese” blessed lack. Further: while Barthes is in Japan seeking, and with a sigh of relief finding, the absence of meaning, I believe that Homo sapiens is a meaningful animal. As Barthes himself realized in his frequent Fourierist utopian moments, “l’écrivain est un donateur de sens: sa tâche (ou sa jouissance) est de donner des sens, des noms” (RBRB 81: “the writer is a giver of sense: his task (or his enjoyment) is to give senses, names”), so that I have to ask: What do Barthes’s insights nominate and mean? Reading him against the grain, I have to add: often in spite of his terminology and horizons?
In other words, the fact that I engage with this book means that I allot it not simply a symptomatic but primarily a cognitive value. Yet some of its most important conclusions, and almost all of its horizons, I cannot share: they do not make sense to me. One could try to split Barthes up into Barthes 1 and 2 (for example: the oppressed intellectual versus the Byzantine Parisian), and accept no. 1 while rejecting no. 2. Indeed, one could play 1 off against 2. This, however, is a pastime for more hopeful political and epistemic times, when one can afford rejections. Today, I must be more modest or defensive, mainly proceeding in a subsumptive (culturally accretive) rather than polemic or antagonistic (politically activist) way, and content myself with disentangling what I can use by questioning my author’s semantics (cf. also Suvin, “Utopian”). It is probable that his alloy of insight into phenomena and — literally — nonsensical systematization (visible even in the adopted compromise of fragments) is a disease of language. “Qui lingua^ ferit, lingua^ perit” (“they who offend by language perish by language”) might be my motto for the deconstructionists, whose precursor Barthes began growing into with this book, rightly abandoning the false scientificity of Hjelmslevian semiotics. However, I shall resist the temptation to treat The Empire of Signs as a stage in this author’s or a school’s development. Since I want to use Barthes rather than explain him, or explain him away, I shall further slight here some (by no means all) of his precise terms and many of his networkings in order to construct a reticulation of my own, suggested by and cannibalizing him.
0.2. An initial look at all our tools (including mine) is mandatory here. What do Barthes’s oppositions of East vs. West or Japan vs. Europe imply? Mainly two matters. First, that in spite of his search for a system he is still (and as another foreign visitor half a generation later I can readily sympathize) under the tremendous impact of spatial dislocation: Japan is in terms of bodily impressions — jet lag, unreadability of script and behaviour, different evaluation of gender and age, etc. — indeed halfway to the Moon for a European. It is the nearest approximation to a science-fictional planet we can actually live in, with deeply strange yet tantalizingly permeable relationships forcing us to constant decipherment on pain of anomie. Its signic syntagmatics hint at an elusive Other Paradigm (cf. Angenot), directed at our senses rather than at the Cartesian mind/soul — a good paradigm which may also be a breathtaking absence, the blissful paradigm of a Zero Paradigm. The familiar Morean polysemy and phonetic play (approximating standard Japanese poetic practice) of Greek eutopia (good place) vs. outopia (no place), both pronounced [jutoupija] in English, is at work here. Yet when we impute our utopian horizons to a new locale (say, as the series of hypotheses about the Country of the Eloi by Wells’s Time Traveller), we should at least watch out, and compensate, for our blind spot (Wells’s Morlocks).
This leads into a second set of implications for and in Barthes’s oppositions which is more complex; and at the outset I wish to say, in his defence, that he had real enough reasons for his escape into a signic utopia. One reason I share: it is a pulsional, “visceral” (but of course most rational) disgust at the deadly bourgeois mode of living. In several interviews Barthes was to note that The Empire of Signs constituted a counterproject to the stifling hegemonies around him in Europe, including scientism and pieties across the political spectrum. The passages are very revealing, not the least for the significance in, e.g., his confusion between atheism and polytheism as well as some other semantic glitches:
[Japan] for me expresses the utopia of a world both strictly semantic and strictly atheistic. As many of us do, I profoundly reject our civilization, ad nauseam…. I felt the necessity of entering completely into the signifier, i.e. of disconnecting myself from the ideological instance as signi fied, as the risk of the return of the signified, of theology, of monologism, of law. (G 83-84)2/
The Japan I wrote about was for me a countermythology, a kind of happiness of signs, a country which, as the result of a very fragile and quite unusual historical situation, finds itself plunged into modernity and yet so close to the feudal period that it can maintain a kind of semantic luxury which has not yet been flattened out, tamed by mass civili zation, by the consumer society. (G 158)
…le Japon est [le pays où l’auteur] a rencontré le travail du signe plus proche de ses convictions et de ses fantasmes, ou, si l’on prèfére, le plus éloigné des dégoûts, des irritations et des refus que suscite en lui la sémiocratie occidentale….Le signe japonais est vide: son signifié fuit, point de dieu, de vérité, de morale au fond de ces signifiants qui règnent sans contrepartie. Et surtout,…la grâce érotique dont [ce signe] se dessine [est] apposé partout….
Japan is the country where the author has encountered a sign-work nearest to his convictions and phantasms, or, if you prefer, the most distanced from the disgust, irritation, and refusals that Western semiocracy raises in him….The Japanese sign is empty: its signified flees, no god, no truth, no moral is to be found in the depths of these signifiers that reign with no counterpart. And most of all, the erotic grace by which this sign is drawn is everywhere applied….
(F, Barthes’s inner front cover blurb in the Skira edn.)
And he concluded, with intelligence and wry honesty: “This is our situation, we have to live amid the unlivable. As Brecht used to say…: ‘That’s the way the world goes, and it’s not going well’.” (G 87)
And yet, in my eyes Barthes did not draw the necessary consequences from such possible positions. This can be exemplified in the elegant balancing act attempted in his series of phenomenological sketches or égratignures: that of walking the razor’s edge between Orientalism and Liberalism. It is the razor of finding a true yet understandable Other, a personalized Blochian Novum. Orientalism is constituted upon the recognition of an exotic Other, almost always inferior in some ways (childishly carefree, bloodthirsty, Rousseauist, unserious, etc.) and inevitably tending to a bad “race” — a demonized scapegoat for the broad imperial current leading to Nazism (and “Tennô-Fascism”). Liberalism is constituted upon the metaphysical premise that there is no true Other, a repression: “The Colonel’s lady and Judy O’Grady/ Are sisters under the skin” (Kipling on British classes in the Raj’s India — notice that he didn’t say “Neeraj Choudhuri and Judy O’Drury”). Everybody is capable of being remade into “us” (the subject-position definers, i.e. the political and discursive power-wielders — Europeans in the 19th, North Americans in the 20th Century): and everybody therefore ought to be — shall be — remade in our image, into the monotonous likes of us, into brothers despite the skin. Orientalism is the philosophy of the Catholic conqueror from the absolutist State, Liberalism of the Protestant missionary from the market-circulation State (Anglicans were in the middle: democratic Liberals at home, absolutist Orientalists abroad). While each of these positions offers some partial insight to be recuperated (in the first case, that there is a real Other, in the second, that she ought to be understood as having a position equivalent to Ours), both these dangerous horns are, the dilemma as a whole is, to be repudiated. The difficult narrow path to the far-off Other, blazed in Europe by Montaigne’s essay “On the Cannibals,” must be explored and broadened instead. Not primarily for better communication: but for understanding, through the estranging (verfremdend) mirror and dream of strangers, how we must better live.
0.3. Centrally, we live from and in capitalist imperialism; we inherit 400 years of bloody wars and the untold miseries of psychophysical oppression. Art or science cannot clean our hands: “There is no document of civilization which is not at the same time a document of barbarism” (Benjamin 256). After such knowledge, what forgiveness?
It should, then, be clear, that — for any purposes which take up abode outside of Barthes’s vocabulary of those years — his quite basic, indeed founding dichotomy of Japanese vs. European (or “Western”) is unfortunate and insufficient. True, right at the beginning of his book he cannily affirms he is not writing about Japan but about an imaginary country à la Garabagne: a fictional object formed of verbal and graphic signs and fashioned into a system. He declares, refreshingly, that he is not lovingly gazing at any “oriental essence” but simply lifting from the Orient a stock of traits whose manipulation will allow him to play with “an unheard-of symbolic system, entirely detached from our system” (F 7). But this perhaps well-meant excuse soon wears thin. The warning of the first page is not repeated or incorporated into the book’s deep structure, and so it is forgotten by the fascinated reader, say, ten pages later. And what did it mean in the first place, paradigmatically? The description of any country or locus is always a negotiation between describer and described, and to that extent (we have learned) always imaginary. All countries are imaginary in this sense of partaking more or less of the describer’s imagination, her knowledge and desires, so that my own implied Japan of pre-bourgeois experience, of a sensual or sense-conveyed and sense-conveying aura, is no doubt partly also a wishdream. The saving grace is in the adverb: not all countries are only imaginary. To paraphrase Blair, some countries are more imaginary than others.
Let me take a stringent example: when Swift — surely an expert in imaginary countries — entitles the Third Book of Gulliver’s Travels “A Voyage to Laputa, Balnibarbi, Glubbdubdrib, Luggnag, and Japan,” he is bringing about a deliberate confusion between Garabagne-like, newly invented and empirically impossible countries (such as the flying island of Laputa) and the exotic but empirically possible Japan, already identified as existing in travelogues and other entries constituting the English reader’s “encyclopedia” in his time. But he does so for a tongue-in-cheek validation of satirizing England and the European civilization (cf. Suvin, Metamorphoses ch. 5): Swift’s purpose is to elicit from the reader a negation of his hyperbolically negative countries. Barthes’s series of philosophico-semiotic speculations or meditations has a direct (or perhaps only somewhat metaphorically oblique) cognitive goal, his confusing lacks Swift’s double-negation purpose and seems simply disingenuous; seen from the end of the book, his initial excuse looks as a somewhat supercilious, privatized gesture equivalent to “don’t bother or confuse me with facts — or with the possible effects of my language.” Even worse, coming from somebody attentive to the body and its pleasures or oppressions, it can be read as an equivalent to “there are no facts (referential anchorings) outside language — and possibly graphical signs.” Finally, even or especially in linguistics, Swift’s procedure of semanticizing the differential traits is central and mandatory: how is it possible to even begin fashioning and understanding an “unheard-of” new semiotics (which Barthes will identify as one without meaning) except as the Other of some very much heard-of semiotics centred on deep meaning — as a “freedom from the tyranny of the centre” (G 86)? Can this tyranny be overthrown by some of us elegantly walking away from it?
Thus, the Hegelian laicization of Biblical teleology moving the Absolute Spirit spirally upward was in Barthes simply inverted: the spirit is meaningless, the next stage is an almost Buddhist escape from it. So far so good. But while Hegel’s orientation may have been repudiated, his Archimedean point in Europe was retained. Barthes’s pseudo-spatial East-West opposition (it would be fascinating to compare his use to a more frequent use in Cold War lingo 1947-89 as applied to NATO vs. Warsaw Pact!) goes back to a Hegelian historiosophic monolinearity only from whose privileged spacetime point of view the East is, e.g., east (from the USA or Canada, Japan is west). This has to be radically rewritten. For, a warning implicit in Barthes’s signic empire is that he who wishes to go off at a tangent from history may be condemned to relive it, and she who evacuates all referentiality is condemned to remain blindly glued to it. Genuine sympathies toward a certain Japan do not save you from falling into an upside-down ahistorical essentialism, not wholly exempt from the pseudo-cultural “continental” racism of “The West” vs. “Japan,” only favouring the latter. Still, if I wanted to interpret rather than use Barthes, I’d claim that at his best, i.e. in his Brechtian parallels and ascendancies, he had to bring in expressly (for example) the “bourgeois” stage contract: and presumably he would not deny that a certain bourgeoisie, petty and large, exists in Japan too — though not, et pour cause, in his wishdream Japan. However, I wish to proceed at my own peril rather than behind Barthes’s authority (though with much gratitude to him).
0.4. Without Barthes’s subterfuges, I shall try out two mutually supplementary proceedings. First, I shall posit that there is a good amount of reason and indeed cognitive constraint in a “weak essentialist” starting from such cultural monads as “Japan” and “Europe” (cf. Suvin “Two Cheers”). There obviously exists a historiosophic difference and yet accessibility between them. The difference as well as the accessibility (e.g. discursive availability) of one to the other could be taken as proven simply by the evidence of history, corporeal and discursive — such as the non-discursive fact of Barthes’s having written and disseminated The Empire of Signs. But if a minimal argument is needed, the similar beginnings in tribal societies and similar endings in capitalist industrializations of these two monads (as of all the others we today know of) might suffice. A somewhat technocratic formulation of this by Adorno runs: “No universal history leads from the savage to humanity, but there is one that leads from the slingshot to the megabomb” (312). This leaves everything else, i.e. the intermediary stage as well as the modalities of arriving from those beginnings to these (provisional) endings, liable to variation — but also to comparison.
But second, I am positing that the “cultural monad” approach is insufficient; if absolutized, as in Barthes, it usually turns positively pernicious. The vertical cut has to be supplemented with horizontal cutting. Given the sufficiently similar point of convergence in capitalist industrialization correlative to some variant of a bourgeoisie, though not necessarily (and in fact not) entailing identical capitalisms or bourgeoisies, I shall begin with a central opposition of “bourgeois” to “pre-bourgeois.” I am banking on the “bourgeois” pole being sufficiently clear to at least delimit and allow us to begin understanding the somewhat vague “non-bourgeois” pole, which is in fact my own (as it was Barthes’s) wished-for focus and goal. I hope that such elective affinities to my object strengthen both our subjectivities at the point of their (mainly implicit) friction. Therefore, I propose to substitute “pre-bourgeois” for Barthes’s “Japanese,” and “bourgeois” for his “European.” Barthes’s occasional invocations of Brecht as analogous to Japan might be a signal (since Brecht is, of course not “pre-” but attempting to both prefigure and be “post-bourgeois”) that the historiosophically proper term for my purposes would probably be “non-bourgeois,” without a time-sequence indication. This would also dovetail with my doubts about the usefulness of (necessarily monotheist) teleology. Nonetheless, history is real, and for the purposes of getting my discussion eventually back to Japan this would unduly complicate matters.
0.5. I proceed then to some isotopies educible from Barthes’s triple “Bunraku chapter” and its notions of the body. True, such binary dichotomization not only shares in but probably exacerbates certain cognitive limitations inherent in Aristotelian two-term logic, and it should be read more as a particular argument (cf. Haraway 12) than as a full account. Still, this fits well with Barthes’s own notion of “sorties du texte” — tangential departures from the pre-text — cited in my epigraph, and it is a useful initial instrument of cognitive orientation:
NOTIONS OF THE BODY IN THE EXEMPLUM OF THEATRE
BOURGEOIS PRE-BOURGEOIS
“Animated” body Substantive body
Organic unity, simulation of Sensuous abstraction/eduction from parts
“life”
Physiological essence Plastic functions
Body governs single actor, Body is governed by various
the artist serves sovereign craftsmen
Unity of individuals on the Unity of performance in the
stage (character & actor) spectator
Performance media & sign-systems are:
— continuous, fusing — discrete, adding up
While there are many stimulating points here to which I hope eventually to return, at present my main interest is in what I take to be the three furthest generalizations which can be, in Eco’s Peircean terms, abduced (or maybe abducted) from Barthes’s formulations:
Body as fetish “Lovable” body
Model: truth (= inside the Model: caress (= relationship
individual, in his deep cen- between two foci — people
ter = nucleus of indivisible or semiotic aspects = bi-
atom) polar molecule)3/
Soul Sense
I shall devote one section each to Truth and Soul, while the Lovable Body will provide a ground bass for my comments, get qualified by a section on the traps of cross-cultural anthropology and (non-)politics, and eventually issue in a final section on Aesthetic Body, with a codicil on Sense.
1. Body as Ostension of Inner Truth or as One Pole of Caressing: A Noh-Play Scene
From Philip Sidney’s “Look into thy heart and write” (still communicated to him by a public, upper-class Muse of poetry) to the innumerable European repetitions perhaps best epitomized in the (of course, US-American) immortal words of the plebeian Jimmy Durante, “Let it come straight from heart,” we have an embarras du choix as evidence for the “nuclear truth” model. From a presumably equally wide choice evidencing the “bipolar caress” model in Japan (e.g., a goodly part of Japanese poetry could be used — cf. my Essay 2 and Essay 3), I shall use only one example, from the Noh-play Senju:
Geni ya Azuma no hateshi made
Hito no kokoro no oku fukaki
Sono nasake koso miyako nare.
The translation by Shimazaki Chifumi reads: “Indeed, in the remote corner of the East,/ In the heart’s innermost, a deep-lying/ Tenderness belongs to the Capital [i.e. Kyôto, DS]” (83). On the face of it, this would seem to speak against Barthes, and testify that already in this 15th-Century play, attributed to Komparu Zenchiku, there is a well-defined Japanese interiority that vouches for the protagonist’s deepest affection. In this lyrical “Woman Noh,” the shite Senju, a tender-hearted courtesan whose thoughts are spoken here by the Chorus, is trying to comfort a young high-ranking nobleman from Kyôto (a place associated to his days of power and glory), now held prisoner in the eastern city of Kamakura and destined for quick execution. The lines cited come at her first entrance, and allude by metonymy to her sentiments of sympathy and regret for the prisoner from Kyôto. And there is no denying that her sentiments are being hidden from the nobleman both by reason of shyness (referred to in the line immediately preceding: “Hazukashi-nagara mimien — Shyly I approach him”) and because the two of them are probably being spied upon by the shogunal jailers. Thus, there is clearly an opposition here between seen and unseen, manifest surface covering and hidden under-the-surface covered. But first of all, the sentiments are not hidden to the audience: they are fully externalized by the chorus, and in fact the argument could be made that neither the shite-actor nor the Senju-“character” has to or indeed can have any sentiments. The shite speaks and dances, the chorus chants, so that it is a disease of the language of bourgeois sentimentality which leads us to take the inferential walk imputing sentiments to a dance specialist and a non-existent person. True, deep sentiments are present in the Noh performance: they are, however, the audience’s sentiments.
Second, do these lines really entail simply a centred “deep-lying heart’s innermost”? Again, the strong locution “oku fukaki,” which suggests something like “deepest depths,” would seem to speak in favour of that. Yet to begin with, “kokoro” in Japanese does not allude to the physiological organ of heart, it means equally what is in English expressed by heart, mind, feeling, spirit or conception, i.e. something like the aware and feeling essence of personality (to get ahead of myself, where there is no atomic “soul,” awareness is awareness of one’s emotional personality, not split between body and soul, or reason and feelings). “Kokoro,” a person’s disposition, is described positively as “akaki” (bright) or “kiyoki” (clean, pure), negatively as “kuraki” (dark) or “kitanaki” (dirty); manifestly, it is envisaged as intrinsically visible from the outside — though it can be overlaid by layers of the perceiver’s ignorance, the perceived’s dissimulation, and other difficulties of understanding — rather than intrinsically a mystery of the spheric centre. The covered-up or concealed “dirty disposition” is that shameful, axiologically “deep” offense against the community that is sometimes hastily translated into the Western term of “sin” (cf. Sansom, History 80 and Japan 496). Thus, while a strong personality speaks here, connotations of anatomical interiority, which would magically induce “depth” psychology, are weakly and dubiously present.
And further, “oku fukaki” itself is caught in a complex web of homonymy and parallelisms, which make it simultaneously bear the vector of verticality and a vector of horizontality. First of all, both “oku” and “fukaki” (or cognate expressions) were stock adverbs used together with mountains or bamboo groves in the tanka (and later also the haiku) tradition, such as “oku-yama ni” in the Kokinshû (e.g. KKS “Autumn” 4: 215) or the great Saigyô’s dozen or so poems with some variant on the traditional line “fukaki yama ni,” both meaning “in the mountains’ deep.”4/ Second, in syntactic parallelism to “Azuma no hateshi — the Eastland’s farthest ends,” this also means “the farthest Northland” (as is well known to all lovers of haiku from Bashô’s famous haibun volume Oku no hosomichi, usually translated as Narrow Road to the Far North). Now the island of Honshu curves first roughly east and then roughly north, and the Japanese word for “northeast” is “tôhoku,” literally “east-north”: east, the direction of the rising sun, has traditionally dominated Japanese orientation (Palmer 89). To the standard Sinified connotations of the North with the cold and darkness — the opposite of the splendid Capital — this geopolitics adds that it is the frontier against barbarians and even further from the western Kyôto than the eastern Kamakura. The meanings of distance from the nation’s centre are thus accentuated. But that centre is not the centre of a geometric figure but more of an asymmetrical “focus” or “antipode.” It is on a surface vector, not vertically inside (indeed, in value terms the capital was thought of as being high, certainly not deep) but horizontally distant, on a flat expanse which was traversed by the prisoner in battle and captivity and which he yearns to retraverse in freed return. This second meaning interferes with and chips away at the first “oku fukaki” meaning of vertical distance, which could have suggested pointing downward from surface into depths, already disturbed by the qualitative rather than localized connotations of “kokoro.”
This argument would accord well with durable Japanese topologies of shamanic origin, which some theories have as composed of a horizontal (flat) cosmology and a vertical one going straight up or (more rarely) down, into the ground or the sea (see Blacker 28-29 and Grapard 199ff.), and referring to one or more further layers and not to spheric interiority. Barthes was right, there is no organicism in the Japanese (or East Asian) tradition by virtue of which the capital would be something like a heart: even Buddhism, though coming from the cradle of organicistic thought, India, did not manage to make serious inroads into the Chinese and Japanese indifference to the microcosm metaphor. Finally, the last line from the Senju quote could denote a refined emotion for or (among other possibilities) worthy of the Capital.
Thus, one could just as well translate these three Noh lines, with somewhat less Europeanized vocabulary, eschewing the reification of “the heart’s innermost,” as:
Indeed, even in the furthest East,
Even in the furthest North or deep within our spirit,
A tender sympathy for the Capital lodges (or:
A tender sentiment worthy of the Capital is found).
The coordinate system here is multiplex, not one-directional. Depth does exist, but it is not necessarily individual, nor especially oriented from surface to spheric centre — it can also be from surface to height (as in going up, and then descending from, mountains; more rarely from surface to bottom, as in the sea) or from outlying reaches horizontally to centre (as necessitated by the historical development of the Japanese state expanding from the Inner Sea area east and north, because of which the shogun’s seat too — the site of this play — was pitched in Kamakura, away from the Imperial capital). Both of these common experiences are present in what Eco would call the Japanese “encyclopedia” of the 15th Century, when — it should be remembered — plays were performed equally in the old capital Kyôto and the outlying provinces. In short, while there is vectoral depth, there is no centripetal “nuclear truth” in these lines. On the contrary, though one of the semantic foci or poles in them is triplex (east, north, and deeply within the spirit), they seem to me good enough preliminary evidence of a “bipolar caress” model.
2. Selfhood: The Soulful Individual, God, Teleology, Devil
2.1. However, how could it be said by Barthes that (even his imaginary) Japanese have no soul, while they obviously have strong personalities, strong feelings, etc.? Isn’t “soul” just the theologically founding term for individuality, which everybody possesses? Isn’t Barthes then being involuntarily patronizing, celebrating its absence? The answer, as I suggested at the beginning, lies in unpacking our language, in what one could call — in a paraphrase of Ernst Bloch — “differentiations within the notion of individuality.” I shall proceed here upon the tracks of Jean-Pierre Vernant’s and Paul Ricoeur’s approaches to such differentiation in the Colloque de Royaumont “Sur l’individu” of 1985. To simplify, streamline, and sometimes contaminate them, they distinguish three notions, which can in French be elegantly called “l’individu stricto sensu,” “le sujet,” and “le soi” (or “le moi”). The first is a not further divisible physical token of any logical type, and especially of a biological species in Julian Huxley’s sense of “indivisibility — the quality of being sufficiently heterogeneous in form to be rendered non-functional if cut in half” (cited in Dawkins 250); in that sense, I translate it, with hesitancy, as individual (for that word is often used also in the ideologized bourgeois sense of Self — the third notion here). It designates any Something (this goldfish, bonsai tree or province) by three principal means: definite description, proper name or indicator (pronoun, adverb, etc.). The second is a human (and I would argue even an animal, or at least mammal) “individual” communicating in her own name, expressing himself “in the first person” with traits that differentiate her from others of the same logical type-token and biological species-variety-race (etc.) — most importantly, from an ethnic, class, and gender group. To the individuation above, this adds identification, and I shall call it the Subject. For a Subject, the pronoun “I” is no longer a shifter, an itinerant marker applicable to any speaker, but it is anchored in a fixed stance or bearing; this makes dialogue possible, where — however — the anchoring is reversible, “I” can be understood as “thou” and viceversa (cf. Ricoeur 62). Finally, the Self (ipse, Selbst) is constituted by the practices and stances
which confer upon the subject a dimension of interiority…,which constitute him from within as…a singular individual whose authentic nature resides wholly in the secret of his inner life, at the heart of an intimacy to which nobody, outside of herself, can accede…” (Vernant, “L’individu” 24)5/
To ground this a bit in terms of literary genres: the biography and the epic would correspond to an individual (usually a Plutarchian, i.e. famous, type — the warrior, the statesman, the Amazon). Here, e.g. in Homer, the “individual” (in the first above sense) body of a hero is permeated by superindividual powers such as desire (eros), domination (kratos), and fear (phobos), which “invest…but also transcend and surpass any single bodily envelope” (Vernant, L’Individu, la mort 21), so that the same body or individual “may also, when the gods lend a hand, rise or fall in the hierarchy of life-values whose reflection and witness it is…” (ibidem 25). The autobiography, the pre-bourgeois lyric or diaries such as the Japanese nikki genre, where the writer as a rule looks at herself in publicly normative stances (cf. Konishi 114-15), correspond to the Subject, which can perhaps be deciphered as a type seen from within (e.g., the poet, the lover, the hermit — cf. Suvin, “Can People”). Often, in the nikki as well as in the monogatari and later tales, the female author is identified as “Daughter of X” or “Mother of Y” (X and Y being males) while male protagonists are identified by rank and not proper name (solely, e.g. Middle Counsellor or Minister of the Left, or predominantly, e.g. using the rank hôgan for the main legendary hero Yoshitsune). Possibly most telling is the case of the greatest prose author of them all, Murasaki Shikibu: “The ‘Murasaki’ is a nickname derived from the heroine of the first two sections [of The Tale of Genji], and the ‘Shikibu’ indicates that a male relative had a post in the Bureau of the Rites” (Miner, Poetics 191). Not too much should perhaps be made of this anonymity: the Japanese medieval noblewomen obviously had quite strong and distinct personalities or Subjects; but semantic repression participates in reality. Obversely, Vernant remarks that in Hellenic lyrics the first-person subject gives his own sensibility the status of “a model, a literary topos … [so that] what is felt individually as interior emotion…acquires a kind of objective reality” (30-31). Only the genres of confession, beginning with Augustine of Hippo, the intimate memoir, and the profoundly changed post-Renaissance lyric and prose epic (i.e. novel) would correspond to the Self. To anticipate, the Self is initially semanticized only in relation to God, as the soul, defined by Plotinus as that which is found when “everything is taken away” (see Vernant, L’Individu, la mort 226); then it is fully developed in the richness of thisworldly relationships as the interiorized character seen simultaneously from inside and outside, as public and private, therefore stereometrically or “in the round.” No doubt, all kinds of grey zones, precursors, and anachronisms must be conceded to this scheme if it is to work. Nonetheless, it seems to be at least getting at a very significant, perhaps central set of distinctions. In this optic all classical Hellenic and Asian literature, from the tragedy to the Tale of Genji, seems to be fully or predominantly of the first two kinds, featuring individuals or Subjects as types rather than a Self as character (cf. Benedict 195-97 and passim; by the way, this is not at all a judgment of quality: The Oresteia is to my mind on the whole more significant than A Doll’s House, and The Story of the Stone [Hung-lou meng] than Madame Bovary).
And so we begin to glimpse a startling correlation: only monotheist cultures seem to have invented the Self and its whole host of attendant ways of understanding and organizing the world. “The notion of person will appear in Christian thought” (Meyerson 476). It is not necessary to enter here into why and how this happened: one can simply remark with Vernant that for the individual “uncoupled from sociality….[t]he search for God and the search for Self are two dimensions of the same solitary ordeal” (“L’individu” 36). The Subject implies other Subjects. The Self implies Another: Platonically — The Other, transcendentally — God. The search may be called theology, or — from Bacon and Descartes on — Science, it is in all cases proceeding upon the One True Way. (Parenthetically: all talk about The Other, including mine, and all talk about ethics which does not enter upon the dialectics of personal and collective, is therefore still essentially individualistic, even if laudably bipolar rather than monolithic.) The consequences, from politics to epistemology, were to be huge.
2.2. What this effects is a diametrical inversion of vectors. Earlier — in narration, say, up to and including Boccaccio and Giotto — the Subject was for others as well as for herself a twodimensional limit-zone where collective bodies or groups (traditionally transcribed as types) meet and interfere: a woman, an adult, an aristocrat, a member of the Ono clan, a beauty, a famous poetess, etc., all of which goes to make Ono no Komachi. The Japanese Subject had been “inscribed” first of all into its clan: if female, possibly into a prominent male kinsman’s (family-head’s) name, if male, possibly into rank; Agamemnon was rather distinct from Menelaus, but both were largely determined by being Atreides — rulers and warriors against Troy. Now, the Subject begins to be seen (first by himself and then by others insofar as they recognize they are Subjects too) as the central point around which the world becomes that point’s environment (cf. Suvin, To Brecht, Part 1, elaborating upon Lukács), a three-dimensional sphere seen from the inside. This evolution may be glimpsed in a number of plays by Shakespeare: Lear is a King, a choleric Old Man (Senex), yet the buyer of love in exchange for property turns into everyman, hovering on the brink of depth psychology. Soon, by morphological analogy and validating necessity (of which more anon), a central point is found inside the Subject itself which relates to the individual body as that body does to the rest of the environment. That central point, the irreducible principle of utter alterity or originality whose loss would be the death of Self, and thus a fate worse than bodily death, is — as I suggested in 2.1 — initially and most clearly identified as soul (though in “humanist” laicizations shamefaced synonyms such as the personality, ego or the individual sensu lato are substituted for soul — cf. Williams, ss. vv. “Individual” and “Personality”). A cosmological and political doctrine according to which the human individual (in this “soulful” sense) is the final building brick of the body politic, just as other individual entities (e.g. the unsplittable atom) are the final building blocks of all other cosmic levels, is then the ideology of individualism.6/ The clairvoyant reactionary Tocqueville first identified individualism in the USA, where its semantics were invading all other collective categories (such as time and space), as “a novel expression, to which a novel idea has given birth” (cf. the discussion of character and individualism in Suvin, “Can People” 686-88). Individualism as ideology “engender[s] the cosmico-political dimension and public space itself starting from the sole ethical selfhood…without the originating social dimension” (Ricoeur 72). In Aristotle’s Politics, we may remember, the only Subjects who could be sundered from the polis, which is superordinated to individuals as the whole is to the part, were gods or beasts (I:2:1253a) — in human terms, divine magi or monsters. Thus, all the descendants of Robinson Crusoe in the narratives of political economy and similar fiction brought about by the bourgeoisie would be monstrous for any non-individualistic (e.g. the Hellenic or East Asian) tradition.
2.3. This most novel idea of Selfhood, which flew in the face of all human (or in the apt theological vocable, all “gentile,” i.e. gens or tribe-derived) experience and notions, needed to be validated by a transcendental grounding (or is it assumption?). No doubt, the idea that Truth was situated in the Center of, say, a mystic geometrical body reared its Pythagorean (etc.) head much earlier. But such a notion is not only not immediately apparent but counter-intuitive: surely the truth of a tetrahedron is that it has so-and-so many sides of such-and-such a kind. While recollocation of so-called immediate sense-data into sense-making but in some way “hidden” categories of the “mind’s eye” seems to be a prerequisite for any and every cognitive endeavour, why should our categories be inward-looking ones? This Hellenic idea lacked a sufficiently powerful myth of origin. Whence did the truth get into the Center? A mouth-stopping, transcendental validation is the best answer: Truth was put there by an omnipotent God, Who is as central to the whole universe as that particular truth to the body it occupies. In the huge social breakdowns of the Roman world empire, whose fears and horrors may be comparable only to our century’s, where polytheism foundered together with the notion of equal political rights of citizens and communities, this validation from the new universal Lord of (Christian) monotheism won out. For every individual this amounts to the incarnation of truth; it is signalized and symbolized by the Son’s incarnation into Jesus, by the breath of the Holy Ghost “in-spiring” such inner truth. In the logocratic tradition of Christianity, mediated by a Holy Scripture and its exclusive interpreters and enforcers, this is the verbum vitae, the Word of Life in direct genealogical relation to the Creator, Truth as the offspring of monotheistic authority. In spite of Bacon’s reply that Truth was the Daughter of Time (i.e. of understanding through experiment), Romantic anthropology held fast to this Central or Nuclear Truth of Man, a supreme value which has to be unveiled as the dazzling Thai”s and Phryné or shelled as peas from the pod. Every individual was a subject of the Lord, but he also had a divine right to be himself because she had a divine spark in herself.
This Promethean spark — the soul — thus persisted after the Catholic Lord had been supplanted by Protestantism and humanism:
In modern Europe the idea of a planned creation of the world order by one single God was secularized, and thus prepared in the interior of people the way to creating a system of formal rights, a rationally organized bureaucracy, and a unified monetary system through the absolute monarch as the free subject of responsibility. The ideational mediation was here exercised by none less than Descartes, who separated spirit from matter and undertook the construction of the world of experience through the cognitive subject (reason [and Self in my sense, DS]) following the principle of the “cogito.” (Maruyama 56)
It was Descartes (or at least the “Descartes” of European intellectual history, cf. Suvin “Polity” passim) who transplanted from theology to lay philosophy the image “of a single inner space in which bodily and perceptual sensations…, mathematical truths, moral rules, the idea of God, moods of depression, and all the rest of what we now call ‘mental’ were objects of quasi-observation” (Rorty 50). Of course, “There was nothing farther from Greek culture [or from other non-individualist cultures, e.g. in East Asia, DS] than the Cartesian cogito, the ‘I think’ set forth as a condition for and foundation of all knowledge of the world, of oneself, and of God” (Vernant, “Introduction” 11). Concomitantly, Descartes’s philosophical soul apprehended metaphysics and cognized through a reason opposed to the fallacious bodily senses. As he wrote, “this ‘me,’ that is to say, the soul by which I am what I am, is entirely distinct from the body.” The locus of individuality and subjectivity shifts to the “Je suis,” the soul as “moi”: “I am a thinking thing,” proclaim the Meditations, whereas “I possess a body with which I am very intimately conjoined” (Works 1: 101 and 190). Two or three centuries later, there remained the lonely Self. Which may be leading us to understand why Barthes so urgently needed to get rid of this Nuclear True Self.
The West Asian notion of a single personalized God (with capitalized inital approximating a proper name), a (male) Creator from the chaos of base (female) matter, a “master-will external to [the] creation” (Mote 8), is significantly absent from East Asia. Such a Yahweh, God the Father or Allah is a transcendental guarantor of sense who cannot be imagined apart from a purpose or ultimate goal for his Creation and its Creatures. While polytheism entails pragmatic phenomenalism, monotheism necessarily entails teleology as its orientation in time and history, to the final triumph or revenge which will make sense (possibly after the death of all of us) of the indignities suffered by the righteous. It is not a very logical construct — in Christianity, Creation is a small temporalized interval within eternity, and it is taken back at the Last Judgment — , but exactly this proton pseudos is the original sin of historiosophy in the Euro-American tradition, most clearly in the Middle Ages and in the Romantics. In Hegel, a perspicacious Japanese critic has observed,
world history is narrated within a fundamental identity, and successive, heterogeneous “worlds” are appropriated into this as “stages.” Exteriority or difference…is sublated within interiority, as contradiction. Hegel’s spirit is in this sense the unification within a centralized, linear perspective of what had been a network of communication with multiple centers and directions. (Karatani, “One” 616).
The central spatial truth about Man’s interiority becomes here the sense-making trajectory of the World in time. But if this is so, what can be the cause of the retardation in righting the suffering? And in a universe of personalized intervention, who is the cause? Enter the Devil, an entity neither Hellenes nor East Asians have especially needed. The Demon (a sorry semantic variation on the original daimon, a polytheist entity not too dissimilar from the Japanese kami) is an agential personification of antagonistic conflict, separating it into neat oppositions so exclusive that they can be personified. The concept of polarized Good and Evil as absolute or elemental duality seems not to be present in the Japanese cultural tradition (cf. Benedict 189-91, Pelzel, Loy passim, e.g. 182ff., 218, 295ff., and the exemplary comparison of St. John’s vs. Nichiren’s apocalypses in Sansom, History 427; I draw some consequences from it in Essay 4). Conversely, in Christian tradition it is not possible to have at the centre of the main mass (though never a circle’s centre!) of the dark, female, cold, etc., force a fragment of the bright, male, hot force — and viceversa — as in the Chinese yin-yang system (though the old legends of Lucifer as archangel hint at it). A universal scapegoating principle has been found as an empty category, into which women or Jews or Blacks or communists or reactionaries may be readily thrust. Every proper Christian individual can also be seen as situated between the dark and bright angel, ferociously and ceaselessly scrutinizing his consciousness of Self for traces of perdition. “A new form of identity,” remarks Vernant about this short circuit between exteriority and its redistribution into all Subject interiors, “is brought about at that point: the human individual is in it defined by his most intimate thoughts, her secret imaginings, his nocturnal dreams, her sinful impulses, the perpetual obsessive presence in his interior of all forms of temptation.” When Augustine speaks of the “abyss of human consciousness,” this marks “the starting point of the modern individuum and personality” (Vernant, “L’individu” 36-37; see also Hadot). It only remains to equate, as of Calvinism, perdition with poverty (which makes some sense at least), and the modern marketable individual will be born out of the spirit of monotheism, moving on the tracks of teleology.
3. Traps and Amiabilities: Bodily Anthropology and Politics
3.0. The foregoing discussion of some main implications of the “Bunraku chapter” validates Karatani’s thesis that “Barthes’s project [in The Empire of Signs] was to reexamine Western thought in terms of an exteriority free of the sovereignty of the thinking subject, which would be called ‘Japan'” (“One” 624-25); in my terms, Barthes’s Japan was a place freed from the domination of Individualism, so that the Subject would need no Self, no interiority with a “soulful” centre, and therefore no God (or Devil) and no teleology. Karatani sees Barthes’s Japan as “a place of absence” of the transcendental meaning (which would be connected with the individual through the privileged conduit of Soul). I have attempted to very roughly sketch this in, and it can also be understood as the opposition of the “corps aimable” (lovable body) to the sexual repression of the body by the Father and his interiorized Word of Life.
But if Soul or Self disappears 7/, the Subject’s body does not. It remains the Subject’s anchorage and validation for saying “here” or “now,” for inscribing the Subject’s time and space into the socially recognized time and space. This holds not only for location and dating but also for the name (cf. Ricoeur 64-65). The Japanese way of prepositioning the clan name (e.g. Ki no Tsurayuki: “of the clan Ki the individual member Tsurayuki”) inscribes the Subject first of all into the superordinated group, and the habit of name-announcing (in the battles, or in the nanori of Noh plays) tells us why: so as to know what relation — of enmity, deference, etc. — the addressee not only could but is constrained to take. This has not disappeared in Japanese capitalism: even today, introductions are often done by prepositioning the institutional “umbrella” to the profession, in the form of “This gentleman is from such-and-such a university” or “I am from such-and-such a TV company” rather than “He teaches literature” or “I am a producer” (cf. Maruyama 102). Of course, roles are today much richer in Japan, and not exhausted by one’s official position, but then they often have to be disambiguated by specifying in which role one is speaking (Maruyama 140).
In sum, the body, phenomenologically pinpointing and validating the “inscription” of its here, now, and name into the central collective categories of space, time, and agency, grows in a devaluation of Self not less but much more important. How does it relate to other bodies, how does it perceive the natural and social universe? We can call the perception question (even etymologically) aesthetics, and expect that Barthes will have illuminating matters to say about it. But first, his understanding of the relation between bodies in “Japan” will be examined.
3.1. Clearly, sexual relations belong here, but — though they subtend and suffuse much of The Empire of Signs (see RBRB 159) — the intensely private Barthes did not choose to textualize them. His definition of the “Japanese” body could be, in fact, taken for his own ideal: “Over there the body exists, acts, unfolds itself, shows itself, gives itself, without hysteria, without narcissism, but according to a pure — though subtly discreet — erotic project” (F 18). The sexed body is one “text” which Barthes here refused to translate and articulate in natural language (he would later devote much of his writing to attempts at distinguishing the “erotic body” from the philologically discussable “pheno-text” body). It is a wise instinct: for the attempt would have exploded the whole project for colonization of semiotics by linguistics on which Barthes’s imperialist use of terms like “language” and “text” here still relies. The body’s erotics remain either fugitive general statements, as the one just cited, or presuppositions, traces, and hints, e.g. about the semiotic of arranging trysts and the accompanying delicious body language (cited in 4.1 below; and see the three handwritten notes on F 23, 27, 33; anecdotal lore about Barthes’s stay I have heard in Japan is much richer). On the other hand, however, collective bodies and their shaping of individual bodies (cf. Suvin, “Polity” and “Subject”) are scarcely acknowledged in the book. This is its central blind spot. And yet even in Europe such collectivities stood in a most intimate relation to Barthes’s subjectivity (e.g. the Tel Quel circle, the homosexual scene and its shifting position in French law and practice, the various bureaucratic educational apparati in which he participated).True, in Europe this relation is severely repressed by the unceasing barrages of individualist ideology: but the author of Mythologies was capable of looking beyond them. And in Japan, the welter of collective bodies would seem to have been quite evident. It was a series of collective bodies that paid and hosted Barthes’s stay in Japan: he was sponsored by the French government representatives, lectured at universities, was interviewed in newspapers…8/ This is seen from maps and photographs in the book, but never articulated. It is almost as if, enclosed between the Gaullists and the Stalinists, politics (for there is no other word that will do for this interplay of collective and singular bodies) had become a taboo discourse and domain for Roland Barthes. It seems totally evacuated from The Empire of Signs. Barthes’s variant of an “empty centre” sign-system knows only individuals and million-bodied crowds divisible into anthropological and esthetic body “classes,” distributively (but not collectively) accessible and beautiful in the “great syntagm of bodies” (“Des millions de corps,” F 127-33). Aisthesis (sexuality and aesthetics) yes, politics no (the lucid Barthes was later to acknowledge this quandary in an imaginary conversation with Brecht, see RBRB 57, also 172). It was a basic and weighty choice.
This is, I think, why Karatani can go on (not unjustly) to reproach Barthes that his critique of the despotic European 19th Century — in my terms the reign of the triumphant bourgeoisie — forgets that the “Japan” discovered by him is not transhistorical or eternal but also a 19th-Century creation, in its way equally despotic (“One” 625). Karatani’s objection, if sustained, would largely nullify any liberating power of Barthes’s book. I shall attempt to examine in my final section, on the evidence of the body in Japanese theatre (even that drawn from the proto-merchant-class oriented Bunraku — the evidence would be much stronger in the case of the undoubtedly pre- and non-bourgeois Noh, and I shall approach this discussion in Essays 4 and 5), how far may Barthes be rescued from it. My hypothesis is that Karatani’s critique (incidental to some weightier considerations in his essay) is partly but not fully applicable; that the Japan seen by Barthes is not only a Meiji-period creation. There is, of course, no absence of meaning but probably a surfeit of multiple meanings in Japan; only a gaijin (foreigner) protected from them through his ignorance and the privileges of his affluence, the deference and real helpfulness (one could also say amiability) shown by most Japanese to a distinguished and elderly visitor, and most of all kept outside the circuit of meanings by his lack of practical ties and commitments to any Japanese group (even to an ad hoc collective body), could have ever thought otherwise. In that sense, Barthes behaved as a photographic negative of the typical European ethnologist or utopographer: where the latter was an “objective” observer getting at the frame of meanings through particulars, he got at the subjective particulars refusing the possibility of any frame except a zero-frame (which the author of Writing Degree Zero, confusingly, at times equated with no frame, as if white or bleached were not a colour — cf. Jameson 68-69). Yet my hypothesis that Homo sapiens is a sense-making animal (shared by Barthes in some other books, cf. the quote in 0.1) requires that such a frame for sense be supplied.
Why is, to take up and possibly refunction Karatani’s terms, 19th-Century Japan in some ways radically different from 19th-Century France? A very short answer summing up a long (and disputed) argument would be: because the Meiji “restoration” was not the French Revolution but (something not foreseen in Marxist theory though not at all incompatible with it) a change of social formation initiated by a fraction of the ruling class of the ancien régime for historically explicable reasons. Diachronically, this latched on to the peculiar, very long duration, ruling-class continuity (no abrupt social revolution seems to have taken place in the Japanese islands for at least one thousand years). This has resulted in accretive layering in many domains. Tsurumi Kazuko posits even that “in the highly modernized society which Japan is today, there exist the primitive, archaic, medieval, modern, and supermodern patterns of feeling, thinking, making things, and human relationships,…piled on top of each other as geological layers” (5). This is a tad systematic for my taste, but the layering from medieval times on (with significant tribal remnants, which I suppose is what Tsurumi means by her “primitive” and “archaic”) is well-known in theatre or poetry. As she too sugests, however, much more fundamental and significant is the layering in behavioral patterns in relationships among people: for — just as the Noh, the tanka or the haiku touched upon in my following essays — they may well have preserved (and I think did preserve) structures of feeling that have vanished in practically all other urbanized and more or less affluent societies; and (paradoxically) these structures are still able to show themselves rather clearly in certain aspects and situations. For example, the claim that “to this day Japanese aesthetic perceptions and Japanese views on such matters as the true nature of love derive essentially from the court traditions of a thousand years ago” (Miner, Introduction 4) may be somewhat hyperbolic, but what matters is that it can still be seriously made. Indeed, if it were not so, I fail to understand how could there still be literally millions of faithful and enthralled audiences for and part-time participants in Noh and Kabuki performing (there is an estimate of two million students for various components of Noh in 1971 [Harris 73], and today there are probably more) or haiku and tanka writing. It is these structures of feeling that Barthes’s sensitive antennae caught.
3.2. Why did Barthes find a “lovable body” in Japanese theatre — and culture — as opposed to the fetishized body in bourgeois culture? This could be glossed as meaning that the fetishized body is either demonized as impure, or — in the Fascist populism of projected identification — reified into the stars of spectacle: theatre, mass media, spectator sports, and politics. I would like to concentrate here on the first alternative, and look at it from the well-known anthropological observation that East Asian societies have, parallel to an absence of monotheist teleology and God-Devil dualism, never invented sin — or its internalized Protestant and lay equivalent, guilt (cf. Delumeau). In the Chinese case, as Needham formulated this, the world was seen as “an ordered harmony of will without an ordainer” (cited from his Science and Civilization in China [1956], 2:287, in Mote 8). In Japan the multiplicity of kami-ordainers and their only intermittent presence, may, I would speculate, be functionally equivalent to the lack of an ordainer as a denial of transcendentalism and affirmation of immanentism or phenomenalism. At any rate, a number of writers, notably Benedict (222-25), have identified Japan too as a society where order or norms are kept through shame rather than guilt (Barthes was one of them, see G 123). In a “shame and honour culture, as opposed to guilt and duty cultures…which necessarily refer to the moral personality’s intimate conscience,” the Subject’s value, his “face,” is inscribed onto, or at least strongly dependent on, his or her body. Just as in Hellas, to that body belong “his name, his lineage, his origins, his status within the group along with the honours connected to it, the privileges and respect that he may rightfully expect, as well as his personal excellence, all of his qualities and merits — beauty, strength, courage, nobility of behaviour, self-mastery…, demeanour, bearing…” (Vernant, “Introductin” 18). Shame is an other-directed rather than inner-directed activity; it is directed towards being seen by other members of your social group rather than by God speaking through your conscience. Conflicts in a shame situation are metonymic, as of part to whole, and tend to supersession, rather than antagonistic, as of God to Devil, and tending to victory of one side (I develop this further in Essay 4). The characteristic Euro-American bodily destruction is murder, usually expressing inner impulses, the characteristic Japanese one suicide, proving one’s sincerity (makoto) to others (cf. Pinguet, Wolfe).
Now it is one of the basic commonplaces of Japanology that group-consciousness in Japan — while not at all preventing identification, heroism or great personalities, rather the contrary — nonetheless right up to the present envelops the Subject much more completely than in countries where capitalism was ushered in by a bourgeois revolution, such as western Europe or northern America. Taking some hints from Hellas, we could see personal and bodily experience as differently organized: the Subject is “an open field of multiple forces” (Vernant, “L’individu” 32), which seeks and finds itself in the various collectivities. A Japanese philosophical way of putting it is: “the wave which is produced and disappears…would be the ordinary self of man….[S]uch an ordinary subject revert[s] back from wave to water — i.e., return[s] to its source — and re-emerges as the True-Subject or True-Self…” (Hisamatsu 97). Individualism as an ideology was a “Western” export into all pre-bourgeois societies, and still seems to have a tough time to fully develop in today’s Japan. Sometimes this is ironically called “community at home, the Japanese way of doing things” (Najita 402); in standard works such as Nakamura’s it is called the emphasis on a limited social nexus, which entails that interpersonal relationships — in the family, in other limited, “clannish” groups, and on the scale of the nation as a whole — take precedence over or indeed largely constitute the individual (ch. 35). In theatre (including the Nô world) such a group is the ie, a fusion of kinship lineage, occupational specialization, and hierarchical — patriarchal — monopoly. This often means “a blind subordination to authority” arrogating itself the representation of the whole group, so that, as Hegel observed about Eastern religions, “the single Substance alone is True, and…an individual is only capable of assuming true value by uniting itself with Substance [i.e. with the Universal, DS], when this individual, however, is no longer a ‘Subject’…” (in my terms a Self — Nakamura 12-13). Such a social nexus has two complementary consequences. First, the Self is by no means a clearcut building brick of the universe, so that traditionally the Subject is not even externalized or objectified (and I don’t want to even enter upon frequent similar discussions of the grammatical subject, or of the recomplications in modern Japanese intellectual discourse — cf., e.g., Miyoshi & Harootunian 649 and a detailed discussion in Sakai):
The Japanese people, in general, do not give objective representation to the self as subject of action. In Japanese, “mizukara” (self) is not a noun but an adverb, that is, it is not perceived as an abstract conception. The word “onore” (self) is often used as a noun, but it is rare that it is used as subject. The Japanese have therefore never used words which mean self — for example, “ware,” “onore,” “mizukara” — as philosophical terms…. Thus, the Japanese people have seldom confronted objective reality as sharply distinguished from knowing subjects. This attitude may be called their common way of thinking. (Nakamura 574-75; cf. Suzuki 111ff. and 163ff.)
Obversely, every gaijin is stricken with uncomfortable awe upon seeing just how intimately relations of rank and intimacy have infiltrated the syntax and semantics of Japanese language, in a feedback cycle with people’s consciousness. This density of social networks impedes the Subject’s direct relating to general or impersonal Truths. There are even claims that historically “the Japanese on the whole have not been fully aware of th[e] relation [between the particular and the universal]” (Nakamura 535-36), so that they have deficient logical or abstracting powers. The great Japanese Confucianist Ogyû Sorai remarked: “The great sage rulers of the past taught by means of [particular] ‘things’ and not by means of [universal] ‘principles.’…In ‘things’ all ‘principles’ are brought together, hence all who have long devoted themselves to work come to have a genuine intuitive understanding of them.” (Nakamura 537) The most cherished Western abstract principles, applicable to every individual Self regardless of its personality, are unknown in this way of thinking: “There appears to be no close Chinese or Japanese analogy to [the abstract idea of Justice]” (Sansom, History 81).
All of this can be best seen and documented in Japanese literature. It is difficult to find in the virtuoso tankas and haiku that the poet’s subjectivity is being upheld as the touchstone of happiness or suffering, beauty or goodness, as certainly happens in Europe already with Sappho, Catullus or Ovid, and even more so from Petrarca on. The subjective, individualistic time is in Japan recuperated into the cycles of cosmic and social time; even aging and loss are socially recognized commonplaces which the tanka poet approaches (to put it into a medieval European slogan) as non nova sed nove — by new variants of the same thematic field. The classical Japanese “narrative agents” are oriented outward, towards others, as in the Shining Prince Genji’s many loves, or in Sei Shônagon’s and Kenkô’s zuihitsu, “encyclopedic” (or should one say miscellaneous) sketch-collections of bric-a`-brac observations. They do not constitute a closed interiority only within which they may be authentic, as in the novels from Don Quixote on. “I think, therefore I am” (or even: “I feel, therefore I am”), would make as little sense to a pre-Meiji Japanese as for a pre-Augustinian Hellene or Roman. This is properly (and has been) matter for book-length studies, but I want to solidify this rapid sketch with two indicative references.
First, for classical literature, with Miner’s persuasive overall argument that in Japanese collections of verse, as a rule, the Western “single identifiable personality [is] dispersed in favor of multiple personality and narratorship… [, with] integrity assumed to exist at the collective level” (“Collective” 43). Japanese poetry reveals “a conception of collective integers, of large, composite wholes that the very brevity of the poetic units either made possible or was in fact responsible for encouraging” (“Collective” 53-54). In other words, the identity of the poets, named and anonymous, who participate in a tanka collection or a linked-verse sequence as a kind of extended family or improvised clan, is in a feedback with the participation in this polyphonic enterprise. The group enterprise allows them scope for a voice both recognizable as individual and continually blended with other cognate voices. Miner’s general conclusion is that, distinctively, Japanese literary entities are (I abbreviate his suggestive series for my purposes): “1. interdependent, not discrete; 2. varied, not equal in status; 3. defined by relation to other also unequal units and to a larger, composite whole…” (“Collective” 54). Second, for modern (Meiji-period) literature, beyond what Karatani has persuasively identified as its invention of the previously unknown interiority-exteriority split (Origins ch. 1 and 2), I want to briefly adduce Maruyama’s persuasive framework for its “desperate attempt to grasp the reality of an ‘I’ which was being simultaneously endangered by two gigantic forces that propelled the Japanese ‘modernity’ forward — the ‘family’ (ie) and the bureaucratisation.” He pinpoints four main circumstances that determined modern Japanese literature:
[F]irst, the character of the Japanese language, which is no doubt extraordinarily rich in words expressing emotional and sensual nuances, but at the same time poor in words for theoretical or general concepts. [S]econd, and relatedly: the tradition of Japanese literature to express human feelings by means of seasonally changing nature, respectively to observe most precisely people’s behaviour and relationships and to lay hold in extremely refined language of their tiniest emotional movements. [T]hird, [Japanese] Realism… easily combined with […the] tradition of absolutizing concrete reality and sticking to direct sensual experience.. ..[F]ourth, the literati were…’superfluous’ existences, which had deviated from the ‘normal’ way of an imperial-Japanese subject. (Maruyama 66)
This list gives much food for thought as to the character of Barthes’s convergence with the epistemology of both the traditional and (as Karatani well argues) the Meiji-period Japanese literature.
3.3. Of course, there are traps here, of great danger. Nakamura rightly objects against some of the huge generalizations which I have been surveying in 3.2 that they cannot define any essential “Orient,” since e.g. the European Middle Ages had some very similar characteristics (12-17; cf. Barker, especially his remarks on Hamlet’s empty interior, 36-37). I would be inclined to accept this, and take all the above traits as manmade in a contingent history, which might be traced back to smaller human power in face of nature, the social formation of “Oriental despotism,” and other factors, none of which is confined to Asian soil. Surely the very long duration of pitiless upper-class dictatorship — say the Fujiwara or the Tokugawa eras — has something to do with people’s habit of obedience to it and its infiltration into or indeed moulding of language (such as the inescapable “politeness registers” of all Japanese propositions). Nonetheless, even when we have disposed of any “racial” causality, more important queries remain. And centrally, should what we would today feel as an at least semi-fascist collectivism be revaluated at the expense of bourgeois individualism, now that the latter is triumphantly threatening to destroy our globe, or should that individualism be praised at the expense of such a stifling collectivism?
The question is badly put and as such allows of no intelligent answer. Should we say, with Foucault, that knowledge generated by the centred Self is simply an avatar of power, so that Said’s determination of maleficent Orientalism could be a metonymy for all such knowledge? I think knowledge is not wholly reducible to the apparatus which produced it, and that Foucault’s assumption of a deep genetic taint or authoritarian Original Sin is over-hasty. But even if Foucault’s indignation were right, would we therefore have to go back to the Right-wing chauvinism of kokutai, and attribute the really specific traits of Japanese culture or semiotic constellation to either race or an unchanging nature outside social history? The attraction of kokutai, the ideology of a specifically Japanese “national body,” was that it was originally “neither something fully interior nor fully exterior” so that it could be used to conjure away the limits of State authority in relation to its subjects (Maruyama 48) — and to the Subjects in my sense. Tennôism, the (mostly fictitious) central position of the imperial house was proclaimed to be “the nucleus of State order [which was] itself made into the nation’s spiritual axis” (Maruyama 45). This was eventually theorized in a sophisticated variant of near-Fascism, as in Nishida Kitarô’s eulogy of the emperor precisely as the locus of nothingness (see S. Tsurumi 67), or of straight Fascism, e.g. in Watsuji Tetsurô’s pernicious worship of the State, transposed from Hegel’s Prussia to the Japanese empire as “the expression of the absolute whole which is the same as absolute negativity or absolute emptiness,” and opposed to Anglo-Saxon selfishness and Hobbean individualism as ethics to quantification, as Gemeinschaft to profit society (Bellah 581 and passim, and cf. the brilliant analysis by Sakai). (Lest I be accused of vague metaphoricity when I speak of Fascism, let me note that the undoubtedly perspicacious and dialectical Watsuji studied in Germany and belongs, I think, to what J.-P. Faye has called “the left wing of Fascism,” e.g. Pound, Jünger, or Heidegger — the S.A. rather than the S.S. faction, in German terms.) In sum, should we really conclude that Oriental despotism is better? Surely the thrust of Karatani’s article on the “two 19th centuries,” say Benthamite and Meiji, is to warn us against plumping for either horn of this dilemma; and I would answer we should not. A dose of if not individualism then certainly individuality (i.e. the self-affirmation of one’s Subject) and civic consciousness (i.e. the recognition of the dignity of other Subjects) — values consubstantial with the great bourgeois revolutions — might just be what an average Tokugawa, Meiji, or even present-day Japanese subject needed. Obversely, the war of each against each would obviously destroy Japan more quickly than most other nations (much of Watsuji can be understood from this). My conclusion is that we should exclaim “A plague on both your houses,” with the lovers Romeo-Juliet, their amiable bodies, and their fantastic theoretician Mercutio.
Now, one of Barthes’s central epistemological passages is the amateurish reading of mu (emptiness) in his fragment “Centre-ville, centre vide.” It identifies as consubstantial with (this version of) mu the invisible emperor, a sacred “nothing” and nobody who is “an evaporated idea, existing there not in order to irradiate any power but to confer to the urban movement the support of his central emptiness” (F 43-46, underlined DS). Now mu or so-called Oriental Nothingness has many characteristics the debate about which fills volumes, and it is difficult to make a semantically non-empty statement about it. The nearest one could come, however, would probably be that it means also (as Nothingness should) “without inner or outer” (Hisamatsu 82). Furthermore and clearly, in the light of the deeply repressive history and ideology only faintly hinted at in the preceding paragraph and culminating in the tennôist axis becoming a part of the world fascist Axis, Barthes swallowed a goodly dose of second-rate (or, as in the case of his Nietzschean affinities to Nishida and Watsuji, first-rate) Right-wing metaphysical politics. His mu reading thus reproduces as a deep insight “the epistemological structure of the Japanese [post-Meiji] State” (Maruyama 50), falling, as it were, from the Law of the Mythological Father into the Law of the Deified Grandfather. To do so because it was served up in a pseudo-Buddhist sauce and kanji calligraphy seems to me at the least profoundly naive, and at the worst profoundly misleading. It casts grave doubt on the whole enterprise of evacuating sense: you expel meaning and power from the centre, it recurs as imperial traffic direction…9/
4. Illuminations: Body as Aesthetics
4.0. Is, then, The Empire of Signs merely the sign of another, Nietzschean empire? I trust not. In spite of his unsatisfactory framework of explanation, Barthes may have through a Kantian aisthesis caught aspects of a non-bourgeois structure of feeling. That is predicated on believing, as I do, that a spread running from topological orientation and emotions as implied in body language through space arts and music to sung lyrics and fiction, i.e. from non-conceptualized through not fully conceptualized understanding, may be just as cognitive as conceptual verbalization or mathematics, though in different, complex and still poorly understood ways (this is argued at some length in Suvin, “Cognitive”). As Nietzsche also observed: “Thou sayest ‘I’ and art proud of this word. But the greater one …is your body and its great sense [Vernunft — intelligence, understanding]: it does not say ‘I’ but it performs ‘I'” (28-29). Yet no doubt, the corollary of the potentially cognitive character of X (standing for anything) is the potential use of X for lying and mystification. Metaphors may be used for lying, music in concentration camps, and the fetishization of image as against word, or of aesthetics against politics, has since Brecht and Benjamin been recognized as a hallmark of fascism. There be tygers here; but in certain circumstances, there is much grace in a tiger.
A further query might be raised as to the place of such non-conceptual cognition in Barthes’s opus and in this particular book. Isn’t it enclosed within an unsatisfactory (anti-)system as a small ghetto, a vent for the unsatisfied which combines attention to human sensuality with disinterest in political de-alienation, in a manner reminiscent of the famous sex-cum-art quarters of major Japanese cities of the Edo period, e.g. the Yoshiwara one in Edo city, with its courtezans, kabuki, and ukiyo-e prints? My feeling is that this is often so, and that this should not be forgotten, but that I can pick up and clean up the somewhat tainted raisins from Barthes’s cake, and reuse them to my taste.
4.1. For, on the bright side, Barthes is much stronger and more believable as an attentive observer of lovable bodies than as theoretician (witness the clever disaster of his Elements of Semiology, which he was just sloughing off in Japan). The materiality of the body, understood as the materiality of signs — or better, of signifiers — is something Barthes can relate to directly, without bothering about the signified, without having to exorcize the “inner truth.” As with Janus, the negative face whose gaze empties the centre is accompanied by the positive face whose gaze caresses the body, and which may be well glimpsed in the fragment “Sans paroles” (F 17-18). For complex historical reasons of the Cartesian tradition as well as of Barthes’s individual history, the negation is associated with language, with the Word, demonized in Manichean fashion as The Other of the body (rather than as an instrumental part or function of the body). “Living in the interstice, freed from all full sense,” having lost his “mother tongue,” dispenses Barthes from all its identifications which are also alienations — nationality, status, normality, etc. (He would have been totally unable to enjoy Japan had he filled in its “empty meanings” by learning Japanese!) On the other hand, while this interstitial status makes for poor theorizing that throws language out with the soul, it allows Barthes some — to my mind — quite significant insights into sense. It supplies him with a vantage point from which to challenge bourgeois logocracy (in theatre, say, that of Realist dramaturgy), whose slogan is: “There is no communication except by word.” I have indicated earlier how direct a monotheistic filiation can be found for this slogan, which is a technocratic translation of verbum vitae. To the contrary, in Barthes’s Japan:
It is not the voice (with which we identify the “rights” of the person) which communicates (communicates what? our — necessarily beautiful — soul? our sincerity? our prestige?), but the whole body (eyes, smile, the lock, gestures, clothing) which enters with you into a sort of babble which the perfect domination of codes has stripped of all regressive, infantile character. To settle a rendez-vous (by means of gestures, drawings, proper names) takes, no doubt, one hour, but during that hour, for a message that would have cancelled itself out in an instant had it been said (simultaneously essential and insignificant), it is the whole body of the other which had been reconnoitered, assayed, received, and which has unfolded (to no true end) its own story, its own text. (F 18)
I wish to close this essay with what I think may be recuperated from a decoding and recoding — better, desemanticizing and resemanticizing — of Barthes starting from the “Sans paroles” fragment.
Some careful disentangling may be necessary here. As I suggested above, it is a logically illicit, hyperbolic trick to pass from a voice that in a given situation — i.e., when one is ignorant of the language — cannot be used for communication (“Ce n’est pas la voix…qui communique….”) to a metaphysical opposition between bad voice and good body (by which is meant “eyes, smile…gestures…,” that is the body minus verbal apparatus). There is a conflation and confusion in this book between saying that the utopian body (in later works described as the body of jouissance) is “the whole body,” a totality of all human sense channels and sign-systems, and saying that it is what remains after subtracting verbal communication, that dominant form of bourgeois or post-Cartesian rationality and explanation. A formulation that fits better human communication, and its foregrounding in the exemplary theatrical reality, is (as a rule — with exceptions such as dance and mime, which Barthes never addresses) that it is not only, but then also, the voice which communicates (cf. Hoff’s well-taken critique of his depreciation of voice as preventing a full appreciation of Bunraku). Though Barthes does not, it seems to me, fetishize images, his devaluation of voice and language (coming at the heels of, possibly as a penance for, his phase of linguistic imperialism) is perilously near to a fetishization of the body: his awareness of that proximity is present, I think, in his preemptive denial of being regressive.
The second clash of denotations and connotations has to do with infantile vs. adult. Barthes pointed out above that the body’s semiotic, non-voiced “babble” is not infantile, simply unripe: “[T]he infantile phase… consists in not reflecting on language…: obviously, this refusal to turn language back upon itself is an open invitation to major ideological impostures” (G 144). To the contrary, the utopian body — or, I would say more precisely, the body’s bearing or stance — is ostended in its own right and as its own goal, sensually and cognitively. But elsewhere at that same period, Barthes seems to equate babble with nonsense: “l’appareil du sens n’est pas détruit (le babil est évité)” (“Sorties” 58 — tr.: “the apparatus of sense is not destroyed, babble is avoided”). He was to comment on this, tongue in cheek: “Il faut que le babil japonais ne soit pas régressif, puisque les Japonais sont aimables” (RBRB 154: “Japanese babble cannot be regressive, since the Japanese are lovable”).
This account of corporeal channels of semiosis could be somewhat (not fully — there are too many opaque spots and double entendres in Barthes) disambiguated and re-presented as:
Infants have a valid biological excuse for their lack of mastery of the language code; the bourgeois have none for their lack of mastery of the gestual code or (combined with voice) the holistic stance; and indeed historically one would have to assume they fell into this monophony from some kind of a more intimate union of natural language with body or haptic language, e.g. the one adumbrated by Eliot’s “dissociation of sensibility” or any such similar Right-wing or Left-wing accounts of the original sin of the bourgeoisie contracting out of its popular or plebeian matrix. When children, before their full bourgeois socialization, “babble” in pre-speech mode, or when they later take up holistic bodily stances, they do so spontaneously or as it were “naturally,” without a self-reflective knowledge of the “language” used. Bourgeois acculturation substitutes for this an inimical, repressive second nature that fragments the original wholeness, privileging the sole voice (by which, again, Barthes does not mean singing but only verbally articulated voice). Pre-bourgeois, “Japanese,” acculturation latches on to the children’s gestual babble (and at some stage their verbal babble, which after all supplies the vehicle for this metaphor), but now with a knowledge of “codes” or semiotic conventions that enables self-correction of ideological blind spots and an undogmatic facing of new situations. The upper right case is wholly negative, the worst case — that’s us, the Parisian or “European” addressees of Barthes’s original notes and book. In a mirror symmetry to this dystopia or hell, the lower right case is the best case, the positive utopia or earthly paradise which can only be glimpsed by Barthes in an imaginary Japan.
Isn’t this somewhat Rousseauist, the children — and the Japanese — “trailing clouds of glory” (Wordsworth) before being corrupted by bourgeois civilization? No doubt; and yet that is not the point. To particularize the argument from the end of 4.0 and change its metaphor: The point is where can one get to from this somewhat improvised springboard. I prefer to desemanticize Barthes’s original ideological aspect and to begin with approach a discussion of channels of semiosis as a technical or syntactic one: semantically neutral, it shows us preconditions for de-alienated communication. The semantic fulness of the lower right case is then for the moment secondary — as befits the good nowhere of utopia.
4.2. Returning at the end to the earlier mention in 0.5 of the (in Barthes notionally subordinate) section on Bunraku, “The Three Writings,” the relation of voice to bodily movement in theatre may be educed, with leads from Barthes but possibly taking his vector beyond him, to carry on to emotion, labour vs. art, and a chance for gestural critique of ideology. Such a reading of Barthes clearly dovetails with what Brecht was getting at; if you wish, I am “boldfacing” (Eco) the Brechtian aspect of Barthes. Most important, theatre as an activity (performing) is here being taken, in a very Brechtian way, as simultaneously an experimental laboratory for and condensation of everyday life: these are confrontations of bourgeois and non-bourgeois behaviour-patterns.
BOURGEOIS THEATRE BUNRAKU
(BOURGEOIS PRACTICE) (NON-BOURGEOIS PRACTICE)10/
Body dominated by voice Body separated from voice
Gesturer identical with Gesturer separate from
gesture gesture
Activity of gesturer (actor) Activity of openly ostending
conditional on activity of gesture as activity
hiding it under the charac-
ter’s gesture
Gesturer, hidden under the Gesture emotional (causing
character’s emotion, indu- emotion), gesturer is not
ces the same emotion in Stage role induces emo-
him/herself tion in spectator
Gesture depends on emotion Gesture causes emotion
Conflation, fusion of ele- Separation of elements/media
ments/media on stage to on stage, addition in
infect spectator spectator
Only art exhibited, labour Both labour and art exhibit-
suppressed as impure ed, no shame in physicality
Strict separation art:labour No profound separation art:
analogous to class hierar- labour, art is a (crowning)
chy bourgeois:worker kind of labour
Emotion contagious, submerges Emotion fluctuating — strong
passive spectator identi- but dependent on active
fying with central charac- traffic with spectator;
ter/s/ “striated” stage media
No psychic distance Fluctuations of distance
Empathy only Sympathy/antipathy
Necessarily ideological Critique of ideology possible
Clearly much work remains to be done in spelling out and clarifying the connecting links and implications within the above isotopies. But if The Empire of Signs had given us nothing else but a possibility to reopen this discussion today, it would suffice as proof of its usefulness.
It should be, finally, remembered that the French sens has three main connotations: those of meaning, corporeal sense(s) such as sight and touch (from which are derived “sensuality” and “common sense”), and orientation of movement (Barthes himself occasionally remarked on “the precious ambiguity” of the first and third connotations, calling them “signification and vectorisation” — “Sortie” 52). The third connotation is mostly lost in English. Nonetheless, senses as making sense seem to me a valid line of materialist defense and possibly even of a new advance — if not arrested by refusals of meaning or sense.11/ Barthes may, at the end, not transcend the abyssal depths (a metaphor that runs from Augustine to Heidegger) of the individualist Self — how could any of us do that? His systematic tendency is to proclaim, with Mallarmé and Nietzsche, that the abyss is empty — a negative but still monotheistic theology. Yet, like a motorcycle rider on the vertical walls of the circus, he is skating over the abyss on the strength of his nimble centrifugal wit. And the resulting “horizontal,” ludically skewed glance may have its values. Duly heeding the needful caveats, which I have tried to develop in the wake of Karatani, further uses of a “recoded” Barthes should be found. As I mentioned, this might be profitably done on the material of Noh plays, and in the proximity of Brecht’s stance.
Notes
1/ My special thanks go to Jean-Pierre Vernant, for materials (including an unpublished typescript) and discussions on the subject of the Subject, of which he is both a pioneer and a master. The analogies between his descriptions of Hellas and my speculations on Japan, based on the tertium comparationis of non-individualist or pre-bourgeois culture, are my responsibility (yet let us remember that Barthes had been a student of Classics).
2/ In subsequent quotations, F will indicate L’Empire des signes and G Le Grain de la voix; both are cited largely using but also changing the English translations adduced in the “Works Cited.” RBRB will indicate Roland Barthes par Roland Barthes, any non-attributed English translations being here, as elsewhere, mine.
3/ Some lines of Haraway’s own “binary dichotomization” chart of notions or “production” of body in bourgeois vs. postmodern biomedical thought (12-13) could be profitably compared to this chart, here in particular “Depth, integrity” vs. “Surface, boundary” and “Individual” vs. “Replicon.” Further dicussion of caress would have to come to grips with Sartre’s l’Etre et le Néant opposition between desire-caress and thought-language, obviously fundamental for Barthes too.
4/ E.g. Saigyô 34, 56, 69, and 86, cf. Konishi’s comment 81-82, and for religious implications Grapard 199-201 and passim. A suggestive piece of evidence for “depth” as a horizontal vector in Japanese verse is given by two successive translations of Tamekanu’s tanka “Edo ni moru” from the Gyokuyôshû (early 14th Century) with the participation of the same translator. In them, the final lines “Suzushisa ni fukaki/ Take no oku kana” are first translated as “…where the coolness/ Is deep within the bamboo grove,” and later “radically adapted” into “…the coolness further deepens/ The back of the bamboo grove” (Brower-Miner 366 vs. Konishi 406, the latter translation edited by Miner; italics mine). Further uses of “fukaku” and terms with the same stem in such meanings (far back, deep grasses) can be found in Carter ed. 202 and 214 for the 14th Century, also 310, 319, and passim.
5/ I suppress some matters in Vernant which do not fit into my argument. See for a much longer discussion of this Cartesian Self Suvin, “Polity,” and the whole special issue “Non-Cartesian Subjects, East and West,” in which that essay was published.
6/ Usually, however, it can be observed that there are limitations on groups admitted to fully individual status, roughly similar to the Athenian exclusion of women, children, slaves, strangers, and other “speaking cattle” from democracy. Much of the Foucauldian micro-politics latching on to “human rights,” from Blacks to gays and indeed “animal rights,” consists of breaking down these limitations.
7/ This matter of “the soul” in the Chinese cultural sphere (as in the Mediterranean Antiquity) is complex, much debated, and studded with semantic traps. So far as I understand it, invisible principles of life were certainly present, but usually multiple, often quite material, and as a rule “unsuited as a carrier of Ego” (Liebenthal 334); the Buddhist ghosts and demons, e.g., are different incarnations in material transmigrations (ibidem 337). My use is limited to the main denotation in any Western or post-Christian encyclopedia: the Soul as transcendent equivalent of an atomic human Self.
8/ Barthes submitted his annual report for 1965/66 as “Directeur d’études” of the “Sociologie des signes, symboles et représentations” in Annuaire 1966-1967, École pratique des hautes études, Section des sciences économiques et sociales, 239-40. In it, he lists under his “Activité scientifique,” beside a seminar in Morocco and one review, his “mission au Japon, auprès des Instituts français et des Universités (mai 1966).” I am beholden to J.-P. Vernant for a copy of this report.
9/ Strangely enough, in Barthes’s first (and masterly) book, Michelet, he already evinces the same attraction to the empty centre, finding it in Michelet’s medieval French kingship, whose “strength comes from its emptiness” (27), and indeed in Michelet’s France which Barthes deciphers as being composed of the Ile-de-France negative (!) nucleus and the outlying “positive” provinces (29) — an everted Rutherfordian atom, as it were. He even sees Michelet as identifying all the feeble kings (as well as Thomas à Beckett and Jeanne d’Arc!) with the people and Christ (34). This strange Barthesian nostalgia for a holy, feminized monarchy finally found its existing representative in the tennô.
10/ These two columns or isotopies can at the furthest level of useful generalization be called Pseudo-Nature vs. Counter-Nature (“l’ acteur est sauvé s’il fait partie de la contre-Physis, condamné s’il appartient à la pseudo-Physis,” RBRB 131; cf. Suvin, To Brecht 118-19). An even pithier formula of Barthes’s runs: “Il demande à l’acteur un corps convaincu, plutôt qu’une passion vraie” (RBRB 180: “He requires from the actor a convinced body rather than a true paasion”).
11/ Here a whole post-Fregean or Ricoeurian discussion would be needed to differentiate meaning and sense, but this too must be reserved for another occasion. I attempt to approach this discussion in relation to Shakespeare criticism in Suvin, “Modest.”
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DEITY VS. WARRIOR Nô PLAYS: REVELATION, NOT CONFLICT (1996, 9,340 words)
Darko Suvin (1996, 9,340 words)
It should be clear that our study of the nô must include the resources of comparative literature. Indeed …we must study the nô drama from every possible direction, using every useful approach.
Konishi Jin’ichi, 1960
0. How May Intercultural Theatre Studies Approach Nô?
0.1. To begin with, two notes about the object and approach of this essay. First, any student of Nô is acutely aware that its verbal signs are in constant interaction with a rich array of musical and other acoustic signs as well as with dance and other optical signs; the final dance of the shite1 takes by itself often one third of performance time. Though it is misleading to call the verbal text of Nô a libretto, encompassing meaning resides only in the performance as a whole. Nonetheless, my approach is predicated on the hypothesis that the integral “stage story” is the backbone of Nô’s “performance text,” and that some crucial parameters of this theatre story-telling can be inferred from natural language and must be fruitfully isolated for an initial discussion.
Second, I take it that it is by now widely accepted that there is no stable object “out there” which would be analogous to the Moon seen imperfectly or anamorphically in our telescopes or spectrometers. The first thing that strikes one in Nô studies is (at least in my experience) how inevitable it is to foreground this realization in them. Instead of approaching a stable ontology, wiser and sadder today, we have to deal with the epistemology of competing societal stances towards, and indeed competing definitions of, an entry in the imaginary cultural encyclopedia of a given spacetime (Eco). What such an entry refers to, its referentiality, is perhaps more arbitrary in the case of the Nô play than in most other fields of theatre studies. This will be exemplified by the quite basic or constitutive decision of what are the significant units of Nô. For the purposes of this essay I shall attempt to skirt the minefield of referentiality (cf. at least Whiteside) by refusing both the contemporary ontological absolutists who believe they can travel with Plato and Saul of Tarsus from shadowy contours to the deep Truth, and the deconstructionist absolutists who believe no legs are lost in minefields and no delights incurred or emotions hurt in sexuality since all these are–since reality in general is–simply matters of discourse. To my mind the golden in-between position is to be found in a dialectical refusal to segregate to opposed poles the seeing subject and the object seen, since the act of seeing presupposes and proves that they share the same structure. As seminally introduced by Hegel, “It becomes clear that behind the so-called curtain which is supposed to veil the inner, there is nothing to see unless we step behind it, not just in order that there be someone who can see, but equally in order to have something there to be seen” (129; tr. from Taylor 147). An analogous denial of enclosed interiority or depth for both observer and cultural text is suggestively formulated in Paul Ricoeur’s two-tier discussion of sense and reference in texts:
This is perhaps most precisely phrased in Brecht’s discussion of criteria for the art of acting:
The positions (enunciations) were thus not brought near to the spectator but distanced, the spectator was not led but left to his discoveries. (17: 984)
For such a stance, it is impossible to believe any longer that cultural constructs are finally anchored by referring back to a pre-existent eternal reality or inside to an equally fixed “objective” essence of Nôness. Rather, the pragmatically useful concept and category of “Nô,” its world and its values, would become present or unfold in front of the (culturally constructed) text, as the observer’s discovery, as a methodological necessity and mandatory presupposition for speaking at all about this congerie of phenomena. As Fredric Jameson concluded: “The study of the referent, however, is the study, not of the meaning of the text, but of the limits of its meanings and of their historical preconditions…” (Ideologies 108); meaning is a given text’s “‘historically operative’ significance or function…, the meaningfulness of a gesture that we read back from the situation to which it is precisely a response” (Ideologies 145-46). The quest for meaning is unavoidable because to my mind inseparable from the human condition, the interpretive mysteries subsist, yet not in any monadic unit that bestows meaning –be that subject or object. If we are still forced to use these terms, let us at least have meaning arising between the two societal, historical and situation-bound, constructs of knower and known. The essence is historical and dynamic, the founding epistemological unit is not a monad but a relational dyad (this too can be found in Hegel).
In that sense–but only in that one–I believe the term “Nô” does refer, albeit to a subject-object constellation rather than to an objective reality; so that it still makes sense to talk about Nô (or Renaissance theatre or Brecht).
0.2. The shifting and evidently “socially constructed” nature of a unit of Nô studies–a good instance of what Saussure identified (if misnamed) as the arbitrariness of linguistic and other signs- -can be followed on at least three levels. First, when we speak about any Nô title, which text and/or variant are we speaking about? Texts and scores were until this century transmitted exclusively by the performing “extended families” (ryû), which had their own criteria of selection. Konishi has noted how “many plays popular today were not well liked during the Muromachi period, ” including some of Zeami’s masterpieces; the staging of Kinuta, possibly Zeami’s favourite, lapsed for about a quarter millennium so that no performance traditions survived. Obversely, evidence from various sources, centrally from Zeami’s own writings, establishes that “a number of important works performed at that time have not been retained in the [modern] repertory” (Rimer xxvii). Other aspects were simply changed: Konishi goes on to discuss how (e.g.) the dramaturgic agent played by the waki was in a well-known play degraded from daimyô (feudal lord) to yeoman.2 In fact, from the ca. 250 plays today considered canonical, only about 100 are performed in the original, pre-Edo verbal text. “Over half a millennium has passed since Zeami himself performed his plays, a period in which changes have inevitably taken place,” remarks Hare, so that (a striking and accurate parallel) a discussion of Zeami in terms of today’s plays “would be tantamount to discussing Shakespeare’s style using Polanski’s Macbeth” (54); he follows this up with a careful discussion (55-61 and 267) of what we can assume has changed from Zeami’s to present-day performances. A possible conclusion might be that the central red thread of plot outline has in most cases changed little, but that there are numerous, sometimes startling, transformations in many segments. In some cases the play variants may diverge widely, amounting to rewrites, and the modern printed versions may be “often simplified, even bowdlerized” (Rimer xxvii). Furthermore–although we seem to know very little about the changes in dance and instrumental music–all proportions must have been radically altered by the approximate doubling of performance time in the quarter millennium after the latter part of 16th Century, when the performance of one Nô took no more than 45 minutes (see O’Neill’s painstaking proof, Early Nô 88-90)! Other major shifts included the introduction of the tsuyogin and yowagin –roughly, “major” and “minor”– scales ca. 1680, the increased stylization of masks and the canonization of their kinds ca. 1600 (cf. for both Konishi, “Approaches” 13 and 15-17) as well as the freezing of fixed dimensions for the Nô stage (cf. Rimer xxiv). Finally, political monopolization of all Nô groups by shogunal patronage led to a strong ceremonializing trend of shortening texts, cutting down on secondary and parallel –especially female –agents, and slowing the dances (see Yokota 261-66, 268-70, and passim, also Brazell, “Nature” 214ff.). In sum, there is general agreement that the original Nô performances were more realistic and much less solemn than after the Edo period (cf. O’Neill, “Background” 20), so that, in a diplomatic formulation, “the kind of stately experience usually offered today seems at some variance with the rough-and-tumble world described in [Zeami’s] treatises” (Rimer xxiv).
However, all such deep changes in play texts shall not be pursued further here (I attempt to discuss in somewhat greater detail the case of the Nô-play Tanikô, where the shite-role probably shifted to a different agent in Edo time, in Suvin, “Use-Value”). Instead, I shall briefly face two other levels. For, second, if we take as our unit one single play, how many plays are we speaking about? And third, if we wish to approach any significant generalization about Nô, how do we categorize them into higher-order units or groups?
On the second question of this subsection, in the Nô’s heyday, the Muromachi period (14th to 16th Century), perhaps more than 1,000 plays were written, of which about 600 survive. To them another 1,000 or more plays were added later–mainly in the Edo period, 300 years on–but these were not at all or very rarely performed, so that O’Neill suggests they should be considered as (a separate sub-genre of?) closet plays.3 However, only about 250 are in the canon performed by the five Nô schools, the first trace of whose establishment–a list of Nô plays no longer in the active repertoire–stems from 1686 (Matisoff 254). In this canon, there are perhaps less than 100 plays performed and discussed with any frequency (according to a forthcoming investigation of mine, there are over 150 Nô plays translated into one of the main European languages in reasonably accurate versions, but only 84 of them more than once). Yet frequently there exists “a misapprehension that the existing repertory or canon of 200 plays suffices to study the nô….Most of the plays in the acting canon are excellent dramas, superior to the rest in many respects, and we seldom find a masterpiece among the uncanonical plays….Is it reasonable, [however,] to discuss the style–much less the history–of nô drama on the basis of the present-day repertory…?” (Konishi, “Approaches” 3-4)
My subsequent argument demands a reminder that in this canon Zeami is the central “playwright,” in the integral sense including text, music, and probably dance (he was also protagonist and organizer-“director,” of course). Attributions in this genre– where plays are often anonymous or rewrites–are always difficult and most frequently a matter of guesswork subject to oscillations in what one might call constructive and deconstructive waves, so that Zeami’s opus is estimated at somewhere between 50 and 110 titles. It has been increasingly recognized as not only splendid but also very personal or idiosyncratic, rather different both from his predecessors (such as his father Kannami) and from his successors, and as having set up some central parameters in terms of which Nô is being discussed and perceived– first by the players themselves, and consequently by the often intensely clannish Japanese critics, on whom necessarily much of the foreign discussion builds. (To this should be added in our century the impact of the newly published theoretical writings by Zeami; they are highly interesting but also obscure and will be only fugitively mentioned here, within a methodological choice that favours implicit over explicit poetics.) A first conclusion is, therefore, that a contemporary critic must be very cautious when generalizing from the plays seen in performance and known from translations or critical discussions to Muromachi Nô in general. Our view today is a combination of Edo-period and 20th-Century filtering and refraction. The resolute shogunal moulding of Nô into an official institution cut it off from the commoners and congealed it into rigid upper-class forms; and the post-Meiji refraction of the last 100 years largely retained that tradition within its own, nostalgic–and sometimes indeed chauvinist–agenda of a quintessential “Japaneseness.” Thus, a selection of plays and aspects to be foregrounded, quite analogous to the procedures of condensation and relocation (Verdichtung und Verschiebung) Freud discovered in “dreamwork,” is inevitable and sometimes very illuminating, but only on condition that it be clearly seen as what it is: a particular slant (or series of slants) rather than “as it really was” (the historian Ranke’s illusory wie es eigentlich gewesen). Nô theoreticians in particular should bear this in mind when attempting speculations such as those in my following sections.
On the third question, the contingent nature of determining significant units or macro-texts (cf. Barthes 155ff.) holds in spades for the various Nô categorizations. The commonest one, used in actually composing a Nô-performance program (though decreasingly so in practice) is a system of division into five categories (goban date), variously called First to Fifth Piece; or Deity, Warrior, Woman, Miscellaneous, and Final Piece (kami, shura, kazura, zatsu with various subtitles, and kiri-Nô); and other names. It reposes squarely on the nature or type of shite-role in each group, though there is strong evidence for “an older form of Nô before Zeami established the Shite as the single central figure” (Shimazaki 42), and at some point after Zeami the waki-role became a second focus in some prominent plays. The first category consists of auspicious plays about the blessings by deities, the second is about dead warriors recounting their memorable downfall, the third consists of graceful plays about beautiful women, living or dead, and about the spirits of plants or non-sentient beings. It is quite remarkable that only the first two categories are clear-cut. The third begins to grow eclectic; the fourth or miscellaneous may have for shite-role mad people, living warriors, vengeful spirits, female deities, etc., while the fifth-category shite-role is a beast, demon, non-warrior spirit, etc. However, though extremely important from the Edo period to the present, this system was arrived at precisely in the conservative systematization of the Edo period and it cannot be extrapolated backward except as an open theoretical imposition on a period that did not know it (cf. Rimer xxvii). I shall use it as a convenient shorthand to get to more important distinctions. Some other distinctions, such as the division into of geki or “dramatic” Nô vs. furyû or “spectacular” Nô (cf. Hoff-Flindt 214 and Terasaki passim) may be getting at worthwhile oppositions but seem to me too impressed by a quasi-Aristotelian, in fact European 19th-Century drama-model, and therefore not very useful today. More useful may be the distinction between plays where the shite remains in the same role throughout, called one-part Nô, and those where he plays two roles, changing mask and costume, called two-part Nô. Still, a theoretically minimally satisfactory grouping of Nô plays on the basis of clear, compatible, and encompassing parameters is not yet present.
0.3. My initial denial of objectivism does not at all mean (as I concluded in 0.1 against philosophical idealists and agnostics) that there is nothing out there interacting with our critical eyes and constricting what they may see. As Einstein once remarked, the belief into the existence of an external world, independent of any single observer, is the basis of all knowledge (though we would have to add today that the knowledge is constituted by the interaction of observers with observed). In Shakespearean studies, e.g., Terence Hawkes’s famous “sense of a text as…an area of conflicting and often contradictory potential interpretations, no one or group of which can claim ‘intrinsic’ primacy or ‘inherent’ authority…” (117) manifestly has to rely on a provisionally stable text and also on a pragmatic authority, however socially contingent, for (its) given purposes. I quite agree with him that “Our ‘Shakespeare’ is our invention” (124); but I have argued at some length elsewhere that it is not only our invention (Suvin, “Modest”). Thus, on the one hand, all interpretations are negotiations between a set of presuppositions and an object partly constructed by the obscure wish to articulate those same presuppositions. But on the other hand, the object and the presuppositions are partly constricted by material limits, resistances, and vectors coming from “out there.” The more one knows about the practice and history of interpretation, the more one realizes that what the interpreter finds is not the fixed meanings of a text (or of the Book of Nature) but only other interpretations. One could apply to the Edo-period categorizations Harry Berger’s discussion of authoritative closure by “citation” of past categories (though I believe you can never “prevent” interpretation, not even in societies with a myth-hegemony):
Myth and ritual, for example, are citational acts that…prevent against interpretation by closing down on unbound meaning. Such performances can succeed only because they presuppose and continually reinvent an iterable corpus of detextualized ‘texts’ that privilege a certain interpretation of cosmology, values, and norms, i.e., an interpretation of what there is in the world, what one ought to think about it…. (155)
Therefore, a second conclusion from the foregoing discussion, complementary to the first one, might be that, while not disregarding the significant continuities within the nonetheless changeable traditions of the Nô acting schools, both Edo and post-Meiji Nô can be illuminated by Hobsbawm’s definition of an “invented tradition.” This is:
…a set of practices … which seek to inculcate certain values and norms of behaviour by repetition, […and] normally attempt to establish continuity with a suitable historic past….The peculiarity of “invented” traditions is that the continuity with it is largely factitious. In short, they are responses to novel situations which take the form of reference to old situations, and which establish their own past by quasi-obligatory repetition. (1-2)
“Seek to inculcate” is a bit one-sided, and Hobsbawm speaks later of other types of “invented traditions” that establish, symbolize or legitimize real or artificial communities and institutions (9). Nô is clearly not instituted in the ad hoc way of various European and other nationalisms, “mass produced” since the 19th Century, but more like Scottish “Highland Traditions” or English Christmas carols, i.e. with a significant but unacknowledged break in continuity (Hobsbawm 6-7); with these caveats, much of the rest in the quote and argument seems applicable.
Thus, there is no cognitive reason why a contemporary critic cannot, with due humility, attempt to emulate the Edo-period shites of Nô or the earlier 20th-Century Japanese critics who have in fact excogitated the present canon and categories of Nô, i.e. “invented” the present “tradition,” and why she or he cannot find for new purposes some new units and categories–or indeed new functions for carefully reformulated old, not quite invented categories. Since any macro-text (e.g. “the Nô play”) is always established as a cognitive and pragmatic unit/y by specifiable agents from a specifiable point of view or stance, it stands to reason that for a different purpose all texts current in (say) Zeami’s lifetime might constitute a macro-text. This is in fact what Nô studies routinely do when elucidating any play by Zeami by means of its intertextuality with tankas, Kannami, The Tale of Genji, etc. My present purpose, as suggested by the references to Barthes, Eco, Jameson or Ricoeur, is “not an ultimate appraisal but some answers to the practical questions: what particular attractions and values have the Nô plays for [people] of the twentieth century?” (Wells 154). Now, for various interests these attractions and values will be legitimately different, ranging from interpretations of particular segments or aspects in plays that increase the spectator’s delight to very general questions that may be posed by these plays to a comparative dramaturgy and theory of theatre. While I believe that ultimately any theory is justified mainly by feeding back into an increased understanding of historical texts and attitudes, it may itself at times be a both necessary and enjoyable detour, to what one hopes would be a new vantage point for mapping. This is the road I propose to take here.
1. A Move Toward Recategorization: Zeami and the Anamorphosis of Warrior Nô From Deity Nô
1.1. Proposing to practice what I preach, I shall now attempt to build on the crucial distinction between genzai nô (where the role played by the shite or protagonist is a dramaturgic agent alive in the time of the story) and mugen nô (the “visionary” plays where this agent comes from outside of that quasi-empirical time, i.e. is a deity, spirit, and similar). This division was developed in the 20th Century, the term mugen nô being introduced by Sanari Kentarô in 1930 and genzai nô by Yokomichi Mario in the 1950s (Terasaki 14-17). Thus, it is equally anachronistic in relation to the Muromachi period, and it is not absolute or all-encompassing, but it does seem to repose on some dominant structural features of the plays such as central agent and time-horizon, so that it is better suited for a theoretical discussion than the empirical bricolage of the fivefold categorization. Today the genzai nô–the “everyday” plays in which, to repeat, the shite plays a human living at the time of the stage story–are to be found mainly in the fourth category and partly in the third and fifth categories (Miscellaneous, Woman, and Final Nô). Zeami himself wrote both genzai and mugen nô,4 but his major innovation seems to lie in the series of masterpieces which codified the mugen nô. Thus, for reasons both of fascination with his talent, comparable to very few people in the history of world theatre such as Aeschylus, Shakespeare, Molière or Brecht, as well as of ideological preference by the commentators, the main impression about Nô plays (certainly outside Japan) is based on mugen nô. This is a Meiji-period invention, sometimes traced back to the influential position formulated by Haga Yaichi in 1899: “the essence of Nô is the ghosts” (cited by Terasaki 27); in Europe, this was furthered by the elitist fantasies of Pound and particularly Yeats.
Yet historically speaking, the defining of Nô in terms of mugen nô only is an optical illusion. Even prescinding from a possible different ontology in medieval Japan, for which numinous beings were perhaps differentiated from empirical ones in other ways than in secularized thought, it seems that at the time of Nô’s inception and early development the more “realistic” plays–or better, the plays developing exclusively within supposedly empirical time-horizons–constituted its mainstream. Other templates clearly existed, and in particular the auspicious visit of a godhead in folk-rite-derived plays carried forward by priestly patronage: “some kinds of liturgical dramas, whose direct posterity is today still found in the kagura plays…of most Shinto shrines. Which, of course, does not mean that Nô itself is religious art….” (Sieffert 16; cf. also, e.g., Honda, O’Neill, Early Nô 85-93 and passim, Raz, Audience 83-85 and passim, as well as Wang for early Chinese parallels) Nonetheless, as has been argued by Kobayashi Shizuo, there is evidence that such old shushi sarugaku (sarugaku plays performed by priests in temples) were not an exclusive or possibly even not a prevailing ancestor of Nô, as compared to the plebeian, empirically oriented and often satirical, senmin sarugaku (Terasaki 22-26; cf. O’Neill, Early Nô 4-9, 87, and passim, Raz, Audience 80 and 98-101). At least one prominent history of Japanese literature has no doubts at all: “[W]e must conclude that living-figure nô…–and, moreover, other plays that had a dramatic plot–were the mainstream of nô in its early period” (Konishi, History 524). Finally, if one takes into account all Nô plays written, genzai nô seem to account for almost half of the 2,500-3,000 pieces, while in the canonic 250 repertory plays they may account for half or more (Terasaki 76-77 and 197; other estimates place genzai nô at one third of the repertory, further evidence of the unclear categorizations).
1.2. I shall begin by presenting an initial argument in the form of a table of parameters which, starting from the dominant categorization into five groups, proceeds to doubt it by means of the division into genzai and mugen nô and proposes to refine this in favour of a trisection. Leaving other matters aside, I shall then advance to focus on the first two categories–the Deity and Warrior plays–which are obviously, prima facie correctly distinguished sets, more or less monolithic because mainly created for the same purposes and same audiences by Zeami. I am banking on these clear groupings being apt for an initial theoretical discussion which could lead us to what I take to be the central theoretical problem in a discussion of Nô dramaturgy, and of immense consequence for any theory of dramaturgy and theatre, namely: the puzzle of whether conflict is necessarily present in Nô.
What I propose is, it can be seen, a first step (and only first!) toward a new categorization. As was mentioned, beginning with category 3 (which is characterized as having elegant and soft protagonists) the subdivisions of the fivefold categorization grow hopelessly miscellaneous. The very useful division into genzai vs. mugen Nô gives us a good pointer by differentiating in theshite-role between the presentation of living humans and of non-human entities (deities or specters), which entails significantly different time-flows (the arrow of empirically sequential time in genzai nô vs. multiple qualitative times in mugen nô) and time-horizons. We could call this parameter “shite-role reference and temporality.” I believe it may turn out to be necessary for a sensible definition, but it is not sufficient. This seems easily proved by the fact that each of these two categories again contains admittedly heterogeneous groups of plays, with little similarity to each other beyond the shite-role’s reference-cum-temporality. One division of genzai nô, e.g., breaks it down into plays: 1/ dealing with events contemporary to the author; 2/ drawn from previous literature (such as the Komachi plays); 3/ realistic, non-masked portrayals of historical warriors– e.g. Ataka; 4/ episodes from the earlier life of spirit-Nô heroes or heroines, marked by a title beginning in “Genzai,” such as Genzai Matsukaze (Terasaki 65-73). The mugen nô subdivisions are still more heterogeneous, as I hope partly to show in the next section. It is rather as if Kafka, Tolkien, Steven King, Isaac Asimov, and William Morris were all to be put into a single category called Fantasy Fiction (a grouping that alas is being propounded, but has at least the excuse that itdeals with matters no older than the 19th Century and usually not deemed of central generic or genological significance). Other parameters have to be introduced for a basic sense-making categorization. To begin this, in a combination of structural and historical arguments, I propose the above trisection into Deity Nô, Warrior Nô, and Others.
As indicated by the little overlap at the bottom of Table 1 between mugen nô and my “other categories,” the boundary between my second and third categories is deficient. In particular there are in Woman Nô obviously some plays (e.g. Seigan-ji, Eguchi or the plant-spirit plays such as Bashô) which are homologous to the laudatory Deity Nô, and some (e.g. Yuya, Sôshi-arai Komachi, Senju, Yoshino Shizuka) which tend toward a conflict, albeit backgrounded, muted, and/or finally amicably resolved or superseded. In between, some plays are rather similar, possibly homologous, to the Warrior Plays.5 Were this not so inelegant, my second category ought more precisely to be called “Warrior Nô and some Woman Nô and possibly some plays from the goban date Fourth and Fifth Pieces.” It is therefore adopted here as an intermediary step, provisional and clearly needing supersession, for the sole purposes of the present initial essay; it should be considered further at a later stage of the approach broached here.
In the meantime I may, to begin with, claim that I am starting from what most previous categorizations also started from, the quite central attitude-cum-emotional-aura transmitted by the shite-role, who may be largely “the incarnation of some powerful emotion” (Keene, Nô 24).
However, the shite is clearly at the antipodes of an individualistic protagonist, since the emotion this role is transmitting to the audience results from an interaction between her or his desires and the all-encompassing stance toward the world that this agent shares with the audience. Thus, my categorization introduces as parameters what seem undeniably matters of overriding importance for these plays: the shite-role’s–and the audience’s–central desire(s) and its (their) relationship with the play’s cosmological framework (permanence vs. impermanence), which is consubstantial to the type and ranking of the values espoused by the play.
1.3. I shall narrow my focus now to the relationships between the Deity Nô and Warrior Nô categories. It is generally acknowledged that the Warrior Nô were practically Zeami’s singlehanded invention, in 13 plays of which at least half are masterpieces: he certainly or probably composed ab ovo or reworked into its distinctive shape Atsumori, Kanehira, Kiyotsune, Sanemori, Tadanori, Tamura, Tomonaga, Tsunemasa, Yashima, Yorimasa, and possibly also Ebira, Tomoakira, and Tomoe. All of them are even today in the repertory of all five Nô schools (ryû), except for Tomoakira which is in the repertory of four schools. The three dubious titles and three more non-Zeami Warrior Nô in the canon are centrally imitations of his model (93 more “inactive” plays seem to have been written in this mould, see Terasaki 76). How did Zeami come to compose them thus, whence did he take their common distinctive elements and aspects?/6
Now, it would be very possible and I think useful to pose the question what do the Nô deities and warriors stand for or signify. There is little doubt that one of their central intertexts is the power relations and value horizons of Japanese politics (in the widest sense of long-duration orientations) in the country community as a whole and on the shogunal court in particular. Our distinctions between religion and politics do not obtain in the Middle Ages, when (e.g.) the deities were guarantors and indeed personifications of “an ordered country,” as monotonously repeated in one after another Deity Nô. However, before proceeding to this, I believe much more work is due on the signifier level. Therefore, I shall discuss here some central implications, modalities, and consequences of this trajectory of Zeami’s. The generally accepted thesis that the Warrior Nô were created by Zeami taking as their template the Deity Nô seems to me not only correct but inescapable. This argument may be strengthened by the fact that this innovator yet also continuator within a living theatre tradition explicitly championed such a procedure, e.g. when transforming his troupe’s traditional totally fierce demon type and Nô-play into “a variant derived from the form of the warrior,” where the usual “demon form” was transformed by adding to it the “heart/mind of a human.”7 Zeami proceeded then from “the prototype first established in kami nô” (Konishi, History 526 and passim) to Nô plays such as the Warrior Nô–as well as to some Woman Nô–in which the shite plays a human, not a deity. My argument will again be proposed first in the form of a synoptic table.
The originating parameters here are clearly the first two, the play’s overall action and central agent (shite-role), which amount to transplanting the same central understanding of action (or story) as revelation from divine to human dramaturgic agents. However, this shift is simultaneously feasible and problematic. It is possible because the humans are dead, it is problematic because their passions are still human: “Violently my heart yearns for the earthly world,” exclaims quite typically, if in a somewhat simplified translation, the eponymous hero of Yorimasa (Shimazaki 118). There is a common theological or ontological trait between godheads and dead warriors in relation to the time-horizon of other stage roles (primarily the waki-role’s horizon, imaginatively identified by the audience with their everyday horizon). As Professor Brazell put it, “[t]here is a connection between the nature of the [shite-role] and the way in which the time and space are manipulated” (“Nature” 206): both divinities and fallen warriors come from outside, and thus deny the exclusivity of, the quasi-empirical or human time-horizons on the stage, and yet both can manifest themselves within them. Furthermore, both these types of agents appear in two shapes–in a kind of disguise and then in propria persona— which require, and correspond to, the two parts of these Nô plays.
Yet Zeami’s bold shift from Deity to Warrior Nô is also fraught with problems, for the theologico-ontological status of godheads and dead humans is after all very different. Beside coming from outside the waki-role’s human time, they have little in common. In Deity Nô, the numinous fullness of the Shinto divinities makes of the shite-role of the play’s first part (the maejite) a human incarnation of the same deity that appears in the second part (as nochijite) in one of its divine aspects. In Warrior Nô, that joy-bringing succession and clear uplifting movement necessarily gives way to the troubled succession from maejite as misleading spectre– presented by Zeami, in a direct copy of Deity Nô, in seemingly human form–to nochijite as vision of the warlike nobleman from the past (cf. Konishi, History 524-25). True, the nochijite warrior visions are more vivid than the shadowy European stage-ghosts in the tradition of Euripides and Seneca, which as a rule do not attain protagonist status (e.g. in Hamlet or Macbeth). While I doubt that Zeami deals in anything resembling individualist identity or Self (cf. Suvin, “Soul” passim), I concur that “an inability to escape the ties of a past life, love, hate, longing, and pride…[are] characteristics [that] persecute Zeami’s shite” (Hare 242). The vividness can be attributed to various factors of the Japanese cultural tradition, which in Nô come to a head precisely in Zeami’s eduction of the warrior ghosts out of the resplendent Shinto divinities that bring the blessings of fertility in the latter part of Deity Nô. This is why I have substituted the more specific “passion” for the “desire” of Table 1. Yet this same change radically transforms the logic of the story. It enforces and sets into train a set of complex anamorphic manoeuvres so that the stage-action may make sense to the Nô audience.
The resulting play-model for Warrior Nô/8 is by necessity significantly modified. I mentioned that at the beginning its maejite appears on the stage in the same way as in Deity Nô–as a lay person, usually an old man, of the locality the waki-role is visiting. But instead of a felicific (medetai, happiness-bringing–cf. Gundert 225ff.) divine revelation or theophany, the Warrior Nô proceeds then to a tale of woe and regret. This is epistemologically speaking also a revelation, and I have found it convenient to call it the revelation of a final permanence, an absolute cosmic closing chord, as supreme value. But if the dramaturgic syntax is the same, the semantics diverge. If both Nô groupings reveal a permanence, it is in Warrior Nô not a positive but either a frankly negative permanence (the warriors are often in the special realm of torment for them9); or, at best, it may become, in a second and final revelation, the “positive negativity” or zero of Buddhist nirvana attained at the end of the play (the warriors’ pre-history is usually recounted in verse, music, and dance to the waki-role listener so that he, a priest, may pray for their salvation through purgation of their martial passion as well as of any other earthly attachment–e.g. to poetic fame in the case of Tadanori).
True, in the “non-duality” (Loy) of Mahayana Buddhism a proper passage through desires may be finally conducive to enlightenment; but once enlightenment is achieved, desires are definitel left behind. This is clearly foregrounded in Warrior Nô. For all these reasons, Zeami’s adaptation of the Deity-Nô model has to modify it much more strongly in the second part of the Warrior plays, where the real situation will out. The founding divergence between Deity and Warrior Nô is that the fallen warriors’ final permanence not only contrasts with the impermanence of their earthly life, it also differs radically from the “positive” permanence of the Shinto deities. Reaffirming the evergreen continuity of time’s ongoing cycle (e.g. in Takasago’s marriage of two great historical ages of poetry as magical creativity), the deities ensure and bring forth the future to an audience that is ideally supposed to represent the community. Their fulness of value and time–the potential simultaneity of all times–is in sharp contrast to the dead warriors bringing up only their personal past (albeit typical of a hegemonic social class) for anamnesis and redemption out of time. True, in both Deity and Warrior Nô the audience in the present also experiences delight and probably (more so before the Edo period) a magico-religious awe at seeing in the shite-role’s apparition (cf. Gundert 221) respectively the promise of communal felicity or the representative passion and comforting of the great transgressor (cf. Ruch, “Medieval” 306); this should qualify my oversimplified isolation of positive vs. negative permanence, necessary for a tabular overview. Still, in Warrior Nô the only connection that I could see to the community’s future is in the nature of an awful warning about what is to be avoided.
The Warrior Nô therefore induces an affect quite distinct from Deity Nô (though these affect are symmetrically obverse and quite compatible). Or it might be better to see the Warrior-Nô revelation as working through a number of passionate affects, such as the affection for another person–kin, lover, master–or the striving for fame, but finally leaving the spectator with two main, complementary affects: first, of the sweetly sad beauty of that special impermanence of passions mentioned above, well-known in the Japanese poetic tradition and retrospectively named mono no aware, the sense of the fugacity or tears of things (cf. Morris 208-09); and second, of the final peace of nirvana.10 The latter is not always present (e.g. not in Kanehira or Yashima), but when it is present it is usually achieved in the last verses and seconds on stage, after the main dance. Furthermore, while the stage agent may have freed him/herself of passion, this achievement can only be transmitted to the audience by way of a sympathy affect, complementary to yet also sustained by the clash of desire and fugacity. The shite-role may (in some plays, not always) by his confession and the waki-role’s sympathetic intercession have been purged of “wrongful clinging” to earthly ambitions and passions (môshû), but the audience must affectively cling to the shite’s story.
For both these weighty reasons–the brief, indeed sometimes omitted, instant of mostly verbal affirmation that the shite-role’s passions have been extinguished, and the affect-laden transmission of all stage propositions–, the shite-role’s supposed release into nirvana does not seem to me so important for the spectator as verbally inclined commentators looking for official religious doctrine would have us believe. Zeami’s affect-laden refunctioning of nirvana seems incompatible with the Buddhist a-ranâ, dwelling in Peace, which combines conflictlessness with full absence of passion (cf. Diamond Sutra 9 in Conze ed., 44-45). As Professor Ruch convincingly establishes, the popular imagination and art of medieval Japan freely chose among elements of official Buddhist doctrine (embracing, e.g., karmic causality) and then even more freely or fancifully alloyed them with aspects of other “available traditions and doctrines” so as to make them “most emotionally and aesthetically satisfying to the need of the moment” (“Coping” 100 and passim). In particular, “[the Nô] plays…are not religious rites or treatises, but art; and their goal is not primarily to set forth ideas….An accurate account of Nô should convey its lack of [doctrinal] rigor.” (Tyler, “Path” 170, and see Gundert 5). This is why there can be an inherent and, as far as I can see, unresolvable contradiction between the peace of nirvana as value-horizon striven for and explicitly invoked, and nirvana as affect to be induced in a spectator who balances it with the aching beauty of the warrior’s doomed passions. The dead warriors move fluidly across the supposedly strictly separated realms of transmigration, in every play they are found “clinging to the [earthly] place of their greatest love, deepest hate, or greatest pain” (Ruch, “Coping” 102), usually near their grave. This is why I have in Table 2 called nirvanic yearning a “subordinate” affect. The Nô plays mingle “accuracy of canonical detail” with a “disregard for overall paradigm integrity [concerning the Buddhist afterlife, DS]” in a doctrinally incoherent “illogical eclecticism of major scope” (Ruch, “Coping” 103 and 129): which was yet, I would maintain for the superior instances at least, affectively coherent.
1.4. Finally, and perhaps for a comparative dramaturgy most interestingly, the last two parameters of Table 2 deal with opposition and conflict (cf. my “Revelation vs. Conflict”). In this case, Zeami’s twofold adaptations in the Warrior Nô template are not complementary but divergent. Deity Nô had no trace of conflict of individual wills. It simply told, by stage means, a story (katari, the principle of classical Japanese theatre –cf. Raz, “Japanese”) enacting the wakirole’s– and the audience’s– advance from ignorance to knowledge, or from blindness to enlightenment: a trajectory characteristic for epochs of practically absolute, and thus theoretically–or discursively–unchallengeable, norms such as partly the European and even more so the Japanese Middle Ages (in sua voluntade è nostra pace, “in His will is our peace,” is the way Dante formulated it). In Warrior Nô it was impossible to fully evacuate individual subjects and their oppositions or confrontations. First, there is the brute fact of death in war, as a rule recapitulated in the nochijite’s final dance; often, however, the opponent is either not important, simply an agent of destiny (as Rokuyata in Tadanori), or non-existent in any individualist sense, as in the suicide of the eponymous protagonist of Yorimasa, so that this as it were background conflict seems to me quite subordinate. Second, there may be a “conflict” (or better opposition) within the protagonist, which is in some cases also double: the tension between two passions (poetry and martial prowess in Tadanori), and the overall or umbrella opposition between any earthly desire and the fleetingness or impermanence (lack of stay, hakanasa), which is in Buddhism foregrounded as unavoidable suffering and in this Nô category evidently demonstrated. This is a full inversion of the happy enlightenment from the Shintoist Deity Nô into the mono-no-aware enlightenment, further tending toward a more complex, bittersweet but equally blessed, nirvana.
Notes
*/ My thanks go to the Saison Foundation for support in Spring 1992; to the Japan Foundation for an earlier Short-term Fellowship; and to the SSHRC of Canada for a two-year Research Grant–all for work on Japanese theatre. For introduction to viewing Nô I am grateful to Günter Zobel, Yamada Kazuko, and Elsa Hatsumi Tsuzuki, and for useful indications of critical material to Frank Hoff, Fredric Jameson, Karatani Kôjin, Shelley Fenno Quinn, and Jacob Raz. George Szanto, Rich Gardner, and David Loy raised potentially fruitful critical objections to earlier drafts. None of them is even remotely responsible for my views. Translations from texts identified as not being in English are mine. Japanese names are adduced with family name first.
1/ I assume that the terms of shite (= doer, central and dominant player, protagonist) and waki (= sideman, introductory player) are by now so domesticated that I do not need to put them into italics. However, analytic and indeed ideological ambiguities may appear when the shite, e.g. Kanze Hideo, is confused with his role, e.g. the Takasago deity (this shite-role I sometimes faute de mieux call “protagonist,” though there is no antagonist and strictly speaking no agon in many Nô); the same holds for “waki,” used in criticism both in its proper meaning and as ellipse for “waki-role.” I have therefore reluctantly decided that the clumsy addition of “-role” may in all ambiguous cases be unavoidable semantic hygiene. Other terms are italicized and explained in the text, but I might repeat the main ones: maejite, nochijite = in two-part Nô, where the shiteplays different roles, name for shite in the first and second part; genzai nô = Nô where the shite plays a living human in the (supposedly) empirical time of the stage story; mugen nô = Nô where the shite plays “non-empirical” entities (deities, specters), sometimes appearing in the wakirole’s dream.
It might be added that the original implication when the term of mugen nô was coined, namely that it always presents an empirically non-existing dream or vision, is not acceptable any more. It was always semiotically tricky to enforce different epistemological statuses on actors equally present on the stage. But even without invoking semiotics, it would be absurd to exclude from mugen nô one of its mainstays, Deity Nô, where the divinities appear in real spacetime (Kanai Kiyomitsu observed this apropos of Takasago in 1969, as cited in Gardner 33; and in fact Konishi seems to follow that line, cf. History 525).
2/ Konishi, “Approaches” 4 (based on Nose Asaji) and 14-15 (based on costume changes for the waki of Yoroboshi) and cf. 8ff.; had his splendid overview from 1960 had the impact it deserved on criticism in European languages, my Section 0 could have been different and briefer.
3/ O’Neill, Early Nô 101 and 94, also Konishi, “Approaches” 4-5; and see Goff 3, Keene, Nô 41 and passim. Sieffert follows Tanaka Makoto’s “Yôkyoku no haikyoku” (“Uncanonical Nô Texts,” in Nogami Toyoichirô ed., Nôgaku Zensho, Tôkyô 1942, 4: 133-35) by speaking–as do Konishi and O’Neill–of “nearly 3,000 Nô libretti,” 12; the discrepancies are largely due to the yet imperfect bibliographic control of a list of some 3,000 titles, which comprises in some cases same title for different plays and in other cases same play under different titles.
For quicker orientation, I recall the standard historical periods referred to: Muromachi–14th to 16th Century; Edo–17th to 19th Century; Meiji–1866-1912.
4/ Sieffert allots Zeami 48 plays in the Deity, Warrior, and Final categories and 59 plays in the other two categories. O’Neill, another impenitent “attributor,” gives him from among plays “thought to be directly connected with one in the modern repertoires” 49 in the Deity, Warrior, and Final categories and 76 in the other two categories (Early Nô 161 and 165-71). On the otherpole, Hare (42-47; he follows Omote Akira) confines himself to 46 plays in the present canon plus 15 “of uncertain attribution,” which leads him to allot four fifths of Zeami’s plays to mugen nô (236)…
5/ The complexities of the Woman-Nô category as constituted in the Edo-period, which also contains some plays that are possibly derivative from the revelation model but do not precisely follow either the conflictual or the revelatory pattern (e.g. Ohara Gokô, Ohmu Komachi or Yôkihi), are such that a separate investigation is needed.
6/ In the vexed and shifting matter of attributions I follow Dômoto Masaki; cf. also Shimazaki 73. In view of my comparatist purpose, I am in this paper not touching upon Zeami’s own stage “micro-syntax” of division into dan (sections) and its build-up from blocks or subsections (called shôdan by Yokomichi), nor upon Zeami’s jo-ha-kyû theory of rhythm; cf. Hare for detailed treatment of both. Zeami’s distinctions based on what I would call social type (woman, oldster, warrior) would have to be considered carefully in a more detailed treatment.
7/ I have used both the Rimer/Yamazaki (157) and the Quinn (79) translations with minor
modifications. I am much indebted to their useful comments.
8/ A somewhat different sub-type is presented by Zeami’s three kachi-shura (Warriors’ Victory) Nô, Ebira, Tamura, and Yashima, whose shite-role is a victorious warrior. This may modify the second four parameters in Table 2 (most clearly in the case of Tamura). Whatever these plays’ dates of composition, such Nô may therefore be typologically somewhat nearer to, or a transition from, Deity Nô to the “pure” make-shura (Warriors’ Defeat) Nô. At any rate, it seems most significant that the consensually most memorable plays and protagonists are the “defeat” ones, and that even the “Victory Asura” plays leave the victors in the Warriors’ Hell (ashuradô, see next note). Obversely, and I think characteristically for Zeami’s heterodox position, these “Victory Asura” plays were the most frequently performed ones for the Tokugawa shoguns (see Yokota 366). Though the kachi-shura are not analyzed here, it may therefore be seen how they could be accommodated by the above Table. For other possible divisions of Warrior Nô based on position between the poles of dance-cum-song and narration, on the social rank of shite-role, etc., see Shimazaki 185-87.
9/ Doctrinally, in Japanese Buddhism this ashuradô is not a hell but one of the six “realms of transmigration” or states of sentient existence (rokudô) through which people are cyclically reborn according to their karmic deserts until released to a paradise and ultimately into nirvana (see Ruch, “Coping” 93ff.). However, it is a place and/or state of the dead warriors’ perpetual, bloody torture in frenzied battle, befitting their passion, and usually translated as “hell” in Nô renditions (see e.g. Shimazaki 64, 84, 92, and 136). Professor Ruch stresses a significant difference between officially “commissioned” and “noncommissioned” works, e.g. “religious/ didactic writ” vs. poetry and most prose in Japanese Middle Ages (“Coping” 106 and passim).
Nô seems in this usage too to show its hybrid nature, arising out of a contradictory fusion of “low” with “high” cultural and ideological elements (cf. Ruch, “Medieval”).
10/ This matter of affects is crucial for any discussion of Nô as plays composed to have effects for given audiences. It is also the major unresolved crux of present-day theatre theory. Cf. some interesting hints on the “affect pattern” of mono no aware in Hijiya-Kirschnereit 214.
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ON COGNITIVE EMOTIONS AND TOPOLOGICAL IMAGINATION (1995, 16,360 words)
Darko Suvin (1995, 16,360 words)
Critique is not a passion of the head, but the head of a passion.
(Karl Marx)
0. One of the central and centrally vexed questions of the theory of the Subject, and of epistemology (theory of knowledge) in general, is the relationship of “emotion” and “reason” in people. I propose to discuss here some key problems of this relationship with help of new insights in several converging disciplines. My approach begins by centripetally assembling and strengthening arguments that deny the split between emotion (and/or imagination) vs. cognition; and I shall conclude by doubting the relevance of this whole — and any homologous — unhealthy polarization. This would mean that the concept and connotations of reason should be envisaged anew so as to acknowledge the major role of topological thinking within it, from which conceptual systems sediment as in many crucial ways quite indispensable but also inadequate precipitates.
I do not believe that Robinson Crusoe (after all, a castaway) is a paragon for shared knowledge, nor that in today’s specialization run amuck there can be any overview without standing on the shoulders of many predecessors; and I shall proceed by focussing in most sub‑sections on carefully selected, privileged midwives for understanding — from some history of philosophy (Kant, Hegel), philosophy of cognition (Johnson) and a feminist contribution to epistemology (Jaggar), through discursive rhetorics (Angenot) to psychology (Gendlin) and metaphorology (Black, Ricoeur), with a dash of sociology of knowledge (Weber), AI theory (Minsky), Neo‑Marxism (Williams, Jameson), and cognitive psychology‑cum‑linguistics (Langacker, Petitot) thrown in for good measure, while other major stimuli (Marx, Brecht and Benjamin, Freud, phenomenology, hermeneutics) remain mainly implicit. Of course, this essay does not at all pretend to exhaustive coverage or even survey, either insofar as the possible disciplines or insofar as the interlocutors inside the selected disciplines are concerned. My foci were in both cases chosen for vividness and what I take to be salience, as instances which are themselves meta‑instancings for my argument that arguing by induction, by instances, and finally by analogy is cognitively legitimate.2/
- Cognitive Reason vs. Non‑Cognitive Emotion?: A Division Denied
Because M. Proudhon places eternal ideas, the categories of pure reason, on the one side and human beings and their practical life, which, according to him, is the application of these categories, on the other, one finds in him from the beginning a dualism between life and ideas, between soul and body, a dualism which recurs in many forms. You can see now that this antagonism is nothing but the incapacity of M. Proudhon to understand the profane origin of the categories which he deifies.
Marx to P.V. Annenkov, 28/12/1846
1.0. Knowledge as Union of Conceptual and Non‑Conceptual Modes
The first and main obstacle to be disposed of is the still dominant bourgeois polarization of reason and emotion, the former faculty carrying “objective” and thus generally valid knowledge and the latter carrying “subjective,” inner feelings only — whatever the value allotted to either of these terms, between the extremes of Romantic fixation on and Positivistic downgrading of the “emotion” pole. This has resulted in the meaning of emotion “in Psychology” being defined by the OED — begging as many questions as its sources, which are here a medical journal, Emerson, and Victorian non‑fiction writings — as “A mental ‘feeling’ or ‘affection’…, as distinguished from cognitive or volitional states of consciousness” (508, under 4b.). My thesis is, on the contrary, that a useful way of getting at what may perhaps be recuperated from this intuitive dichotomy is to postulate — following a great deal of evidence — a much more fertile distinction between conceptuality and non‑conceptuality as modes or subdivisions within the overarching domain of people’s cognition, knowledge or understanding of their common world and existence. Technically speaking, I propose that the class of “not conceptually expressibles” is not cognitively empty: e.g., that a quartet, a sculptural frieze, a theater or video performance, a metaphoric system or indeed a personal emotional Gestalt may be no less cognitive (though, no doubt, in different ways) than a conceptual system. Obviously there may and will be cognitively empty or banal symphonies, paintings, metaphors, and emotions galore, just as there are concepts and conceptual systems galore to which almost all of us would deny a cognitive status: Bouguereau and other pompierristes are cognitively neither better nor worse than the 19th‑Century “sciences” of phrenology or prehistoric race theory, and the same holds for — say — 20th‑Century S&M pornography or Great Man charismatics vs. sociobiology or “Creation theory,” since all zeros tend to be equal. Obversely, both the conceptual and the non‑conceptual ways of understanding, when they are truly such and not institutionalized mimicries, share the quality of allowing people to deal with alternatives, i.e. with not merely or fully present objects, aspects, and relationships (to adapt Blumenberg’s “freie Verfügung über das Ungegenwärtige,” 90). The entities which were not present to people’s perception and reflection now become available for evaluative inspection, choice, and subsequent intervention, by means of a cognitive organon: conceptual, emotional or whichever. (I shall in fact end up by arguing that as a rule there is a fusion of the conceptual and non‑conceptual in articulated cognition; but in order to get there, I shall start by arguing for the possibility of non‑conceptual cognition.)
What can thus, in my hypothesis, count as understanding, cognition or knowledge (the multiplicity of terms is itself a testimony to the obscurity of this domain)? Anything, I would posit, that satisfies two conditions, or two aspects of one condition. First, that it can help us in coping with our personal and collective existence. Second, that it can be validated by feedback with its application in the existence, modifying it and being modified by it. I see no permanent or “anthropological” reason to allot (or withdraw) a special privilege to any human activity or faculty here, e.g. to words, numbers, geometrical figures, arranged sounds, concepts, metaphors, movements or what have you; though it might almost go without saying that particular social groups in particular historical chronotopes will always have specially privileged activities, sign‑systems, etc. Since, as Spinoza has taught us, any determination is best clarified by negation, I shall try to delimit such a concept of knowledge by positing two antonyms to it. The passive antonym — people’s state lacking knowledge — might be called nescience, ignorance or (in the time‑hallowed sensual metaphor) darkness. The active antonym — people’s state impeding knowledge — might be called misapprehension, misinterpretation, mistaking or obfuscation. No doubt, these are two positions on a single globe and their spheres of influence are also spheres of confluence: a true or full cognitive passivity is almost impossible for Homo sapiens sapiens, one is almost always actively mistaken or misinterpreting. Any exception runs into the Socratic paradox that only when one knows that one doesn’t know X is one really nescient — and yet simultaneously scient or cognizant of one’s nescience as the first step on the road to cognition. Thus, the emotion of love, hate or fear might in some situations be just as ignorant or obfuscatory as the conceptualized systems of racial superiority or State worship or individualism, while in other situations all of these might also be illuminating or cognitive (racial superiority in the case, say, of pigeon‑breeding, love for a life‑furthering partner or cause, emperor worship in the ancient China of the Three Kingdoms, individualism as opposed to the Verona vendettas of the Montagues and the Capulets). In short, while it would certainly be aporetic and what’s more ridiculous for this conceptualized essay to deny the potential cognitiveness of concepts, anybody who has ever found that her or his love, fear or feeling of “being left out” were justified will begin suspecting that it is possible to have cognition without conceptual systems.
Indeed, while the place of conceptuality within knowledge (by the way, both correct and incorrect knowledge) is universally recognized, a large part — probably a larger part — of our knowledge is in that sense not only conceptual. “[E]motion, like sensory perception, is necessary to human survival” (Jaggar, “Love” 155). It can and should be verbally discussed by means of concepts but it is only rarely, if ever, fully reducible to concepts and especially to conceptual systems. I do not wish to stress here such central “tacit” bodily (not only sensori‑motoric) understandings as that of walking or riding a bicycle, though their value will be acutely felt when attempting to gain or regain them. The “topological” knowledge of how to do an intricate dance and how to model a sculptured face; or how to find the proper inflections in a passage of Brecht, Zeami or Shakespeare; or how to read a script, a photograph, a score — is nearer to my concerns here: I cannot see in these anything that is primarily conceptual, but I would have ingent difficulties in understanding how they could be banished from cognition.
Obversely, I would also have difficulties in believing that even the few highly specialized pursuits, with specially invented sociolects, which claim pure conceptuality — such as philosophy and (together with the mathematical sociolect) theoretical sciences — do not necessarily include also such non‑conceptual modes of understanding as, e.g., intuition or passion. This may be so far best studied in the case of the verbal cognition that scrambles up conceptualizing, i.e. metaphoricity. The relation of non‑conceptual and conceptual systems may be analogous to the connection by means of a thick bundle of nerves between the base of the brain, which is supposedly more associated with emotions and certainly responsible for the neuro‑chemical bath regulating the whole organism, and the frontal lobes, supposed to be the seat of the “intellectual” or conceptualizing functions (cf. Bohm and Peat 218‑19). None of this is to say that emotions are in the last 2,500 (or is it 50,000?) years more important or more valuable, while conceptualizing is less valuable or only valuable as expression of emotions.
1.1. Division Street, Propertarian Middlesex
An acre in Middlesex is better than a principality in Utopia.
Lord Macaulay
How did we, then, get into this less than helpful, indeed obfuscating division of reason vs. emotion, into these dualistic — intellectually scandalous but powerfully hegemonic — ontological isotopies where reason is seen as: masculine, analytic, proper to the mind, cold, objective and universal, public, etc., while emotion would be: feminine, synthetic, proper to the body, warm, subjective and particular, private, and so on? Obviously this is not an eternal but a historical way of slicing up the world of human faculties or people’s traffic with the Lebenswelt, and while genealogy may not be a sufficient explanation, a most rapid look at it promises to help us gain the proper estranging (verfremdend) distance.
The invention itself of stringently clear and delimited concepts as pivot of cognition seems to be due — at least in the most influential world‑historical instance of Europe — to Plato’s Socrates (cf. Weber 319). Though I would impenitently maintain this is one of the most magnificent tools of humanity, on a par with fire and story‑telling, its immediate imbrication into and long‑lasting cooptation by class‑society metaphysics, claiming eternally unchanging validity and hierarchical “highness,” was most unfortunate. It lent itself to the further decisive break with emotion or “dissociation of sensibility” with the coming to power of the capitalist ratio, exclusively oriented by profit and founded upon book‑keeping, and with the complex reorganizations of the cultural encyclopedia attendant upon this new episteme or structure of feeling. Already the socio‑economic rise of the still politically underprivileged bourgeoisie had meant the coming to the fore of a Cartesian and Baconian epistemological individualism which split up the world into the exemplary or allegorical individual (Crusoe) and an objective reality “out there” facing his understanding (or, distributively, that of all individuals), yet in principle accessible to his reason. This mechanical or metaphysical materialism employed the new, powerful tools of analytical geometry and arithmetic calculation, but it could also draw upon a considerable tradition of “high” power vs. “base” matter, apparently a longue durée class‑society constant. It may be enough to recall Aristotle’s position that slaves were talking cattle while women’s souls were at best less rational and more turned toward the passions or appetites (Politics 560), reinforced by Judaism’s and Christianity’s dogmatic formulations which equated the inferior (woman) with flesh, senses, and passion as against the superior (man) who was spiritual, rational, and intellectual. The decisive twist of the screw was then the organization of labour by capitalist rationalism, which becomes the shaping principle of the European social formation, leading among other things to the calculability of — increasingly dynamic — technological factors (cf. Weber 347‑50): “Like the Platonic and Aristotelian dualism of slave society, Cartesian dualism reflects a divided society, characterized by a small, ruling stratum that exploits and appropriates the wealth created by the producers” (Berman 240, and cf. 233‑35). The post‑Cartesian bourgeois tradition in practice and theory meant the domination of a redefined, thisworldly rational thought as the individual’s principal faculty for understanding, for getting at the eternal “objective” truth. While up to and including Spinoza, Locke, and Hume, or even Rousseau, passions were still taken — for better or worse — to determine human impulses, the interaction of which organized social life, by the time of the full domination of the bourgeoisie they are collapsed into “the drive for the ‘augmentation of fortune’,” as Adam Smith put it (cf. Hirschmann 108). The obverse of this calculating rationality, sentimentality or “mysticism,” was left to women, wimps, parsons, and lower classes.
This is the major result of the rich century ca. 1760‑1860, a period that cannot be dealt with here except to mention there were also submerged counter‑currents in it, of which Hegel’s dialectics will be discussed in the next sub‑section. However, even Hegelianism soon degenerated into epigonic dogmatism, so that only a very few marginal figures such as Marx and Kierkegaard drew proper lessons from it. A similar fate befell even the less radical Kantianism in the triumphant positivist Objectivism of 19th‑Century capitalism. Though I shall also have something to say about an important breakthrough which can be educed from Kant in section 2, he was still enthralled by the English empiricists’ “atomic” mental representations, and he had retained the Cartesian ontological split between the bodily and the rational. Thus, for all his refinements and partial agnosticism, Kant rigidly separated cognitive faculties into “the formal, conceptual, and intellectual, on the one hand, and the material, perceptual, and sensible, on the other” (Johnson xxvii). His reason (Vernunft) ruled virtuously over the necessarily blind affects, passions or appetites; though he proposed to avoid feudal despotism, inner‑directed reason was supposed to stoically command them inside the character’s conscience, as in a marriage of convenience or paternalistic household (cf. Grimminger 133 — the topos stems all the way from Aristotle). The consolidated 19th‑Century hegemony, whose pernicious rule is still with us today in politics, science, and everyday life, adapted the Aristotelian and Cartesian line into a paradigm which I shall approximately characterize through this summary by Mark Johnson:
The world consists of objects that have properties and stand in various relationships independent of human understanding….[T]here is one correct ‘God’s‑Eye‑View’ about what the world is really like….and correct reason mirrors this rational structure. ‑ To describe an objective reality of this sort, we need language that expresses concepts that can map onto objects, properties, and relations in a literal, univocal, context‑independent fashion. Reasoning to gain knowledge of our world is seen as requiring the joining of such concepts into propositions that describe aspects of reality….There is nothing about human beings mentioned anywhere in this account — neither their capacity to understand nor their imaginative activity nor their nature as functioning organisms…. (x)
The European tradition of a deep chasm “between our cognitive, conceptual, formal or rational side in contrast with our bodily, perceptual, material and emotional side” (xxv) culminates in such “Objectivism,” for which reason means the analysis of a permanently delimited object within a single neutral — value‑free and simultaneously eternally valuable — framework for inquiry. For all the changes since Descartes, dominant Euro‑American philosophy and capitalist practice, up to and including computerized corporations and analytic philosophy (cf. Rorty 8‑9, whose pragmatism extends only to the latter), have held fast to it. Kleist called it the difference between metaphor people and formula people (Blumenberg 89).
1.2. The Dialectical Breakthrough
In spite of this sketchy reconstruction of a coherent objectivist or “reason‑emotion splitting” tradition, neither practice nor philosophical traditions are monolithic. Not only are most major names themselves rich and internally contradictory, but also, even though almost always severely repressed, there is an alternative lineage: alongside Plato and Aristotle there are Epicure and Heraclitus, alongside Descartes and the mechanists there are Gassendi, Spinoza, and Diderot; and these Benjaminian contraband side‑paths (Pach‑ und Schleichwege) broke out onto the royal road with Hegel. In what his self‑conscious language calls “a qualitative jump…[at] a time of the birth and transition to a new period” (15), and in what I take to be a startling anticipation not only of Marx but also of the most interesting 20th‑Century strivings, Hegel provided a sophisticated and supple stance from which to proceed toward an adequate present understanding of the emotion vs. reason conundrum.
Hegel’s strategy was to incorporate the already acute Romantic refusals of calculating bourgeois rationality by refunctioning a Kantian distinction and opposing a necessarily negative Verstand (literally “understanding,” to be understood as analytical intellect) to an axiologically positive Vernunft (literally “reason,” to be understood as sublating wisdom?). In the Foreword to the Phenomenology, he proposes to show the coming about of science or knowledge (Wissenschaft — cf. Suvin “Two Notions” and “Utopian”). Feeling and intuition (Anschauung), religious ecstasy or muddy enthusiasm, do not suffice; their “insubstantial intensity” (15) is in fact shallow, casual, and arbitrary; indeed, to stop at them would be animal (26, 13‑14, 56). A grasping (begreifen) of reality through concepts (Begriffe) is quite indispensable. True, this most wondrous and tremendous power of negating the original holistic but superficial intuition is also irreducibly allied to death. We could say that insofar as the Verstand holds fast to the static Aristotelian principle of identity in which A = simply A, it is an apotheosis of possessive individualism, of Hegel’s “pure I.” Merely analytic and individualizing (i.e. atomistic), this intellect kills. And yet, it is an indispensable step for achieving clarity and rigour, apostrophized by Hegel in one of his poetic, almost Nietzschean passages:
Death, if this is what we want to call that unreality, is the most terrible thing, and to hold fast to what is dead requires the greatest strength. A strengthless beauty hates the intellect (Verstand) because it demands what beauty cannot accomplish. But only that life which does not shy back from death and does not keep itself pure from desolation, but rather bears them and encloses them in itself, is the life of the spirit. The spirit gains its truth only…by looking upon the countenance of the negation, by dwelling on it. (29‑30)
This antithesis brings movement into unawakened or brutish thought and sets its course upon the return loop of such a spiral of experience (Erfahrung), toward reconciling contradictions in being. Conceptuality as negation of mere feeling or of intuition is thus both wrong — when claiming to be final and absolute — and yet right — when “a phase (Moment) of truth” (343). It then leads to Vernunft which is “the thinking that follows reality in its contradictions,” subsuming identity and non‑identity. Having his own agenda as a professional philosopher, Hegel sometimes sounds as if this overarching knowledge or Wissenschaft must itself be primarily conceptual (e.g. 44, 57). But on the whole, though in his time he rightly refused obscurantist appeals to muddy (religious) feeling, his fluid dialectics give a place both to cognitive division and cognitive unity, as “perhaps the central and most ‘mind‑blowing’ idea of the Hegelian system” (Taylor 116 and 49, and cf. passim). Despite the post‑Marxist fashion for denigrating Hegel (whose historiosophy certainly merits it), I propose to start from some of his dialectical insights.
1.3. Cognitive Emotions: Epistemology and Hegemony
The 17th‑Century chasm between emotion and reason was largely created to deny the medieval religious syncretism of truth and dogmatic value. Now, discrete facts were sundered from value or evaluation, which is inescapably tied up with emotional orientation. The overriding presupposed, and supposedly value‑free, system of modern “positive science” was an equally monotheistic jealous god, tolerating no other values beside itself. It is the heretical and subversive movements of socialists, psychologists (psychoanalysts, and only lately clinical and cognitive psychologists), and feminists in the last 150 years who have most systematically developed alternative approaches across this chasm. The influence of two of the earliest great doubters of free‑floating ideas and pure conceptual systems will (I hope) be felt in my own position rather than in retracing theirs. This is, first and foremost, Karl Marx, whose project might be fairly described as taking “[Hegel’s] idea of reason [and superseding it] by the idea of happiness” (Marcuse 293). Aristotle characterizes happiness as “the highest of all good achievable by action,” and action itself as the end or telos aimed at by passions in an immature person and opposed to the telos of knowledge (Ethics I.3‑4). Marx’s project denies all such opposition between passion and knowledge, achieving in its own passionate cognition that overriding, indispensable synthesis between Rationalism and Romanticism which is still a beacon if not the horizon for any enterprise such as this one (cf. also Gendlin, “Critique” 266‑68). Second, it is Sigmund Freud: in spite of my grave doubts about his essentializing approach and much of his systematics, which entail refusing the centrality of an “Oedipus Complex” and of any “depth” topology of the soul, the great achievement of his mostly intuitive narrative can be seen in his rich descriptions of “overdetermined” experience, of the quite metaphoric condensation and displacement (Verdichtung und Verschiebung) characteristic of dreams, jokes, etc.; one formulation encapsulates it as the reinstatement of “the economics of affects…as an economics of the unconscious” (de Certeau 218; cf. also a critique in Suvin, “Subject”). As to the women’s liberation tradition from, say, Woolf on, in this sub‑section I shall attempt to strengthen my case by using a number of propositions from an excellent brief overview by Alison Jaggar in “Love and Knowledge: Emotion in Feminist Epistemology.” Her article is to my mind of general epistemic validity, not to be segregated into a feminist enclave, and it will at a couple of crucial junctures be conjoined with the Neo‑Marxist positions of Raymond Williams.
Jaggar points out that the concept itself of emotion, both as paired off against reason and in its inner articulation, is not only different in different societies but indeed invented as a closed semantic field only in some of them. I would instance that in Japanese culture the term and concept of “kokoro” means equally what is in English expressed by a person’s disposition, heart, mind, feeling, spirit or conception, i.e. something like the aware and feeling essence of personality (since the Japanese have no Christian concept of “soul,” awareness is awareness of one’s embodied personality, not split between reason and emotions — cf. Suvin “Soul”). Jaggar continues by a working delimitation of emotions which I too shall follow, excluding “automatic physical responses and nonintentional sensations, such as hunger pangs,” and backgrounding the term of “feelings” as too suggestive of physiological sensation (148), whereas emotions are dispositional, i.e. both oriented toward certain targets and not necessarily only momentary. Most important, emotions are not in some kind of totally non‑rational limbo or “dumb”; they comprise not only feeling but also orientedness or intention. This “cognitivist” view of emotion has illustrious precursors; William James wrote: “so surely as relations between objects exist in rerum naturâ, so surely, and more surely, do feelings exist to which these relations are known” (1: 245). Emotions are here identified “by their intentional aspect, the associated judgment” (Jaggar 149). Of course, asking just how does the feeling or affect and the cognition interact in any specific emotion is to find out that this considerable advance is still partly caught up with the old mechanical dichotomies, whereas to my mind (if we cannot manage without binaries yet) a chemical osmosis or cybernetic feedback would be a much more appropriate, Hegelian model.
In this perspective, Jaggar embarks upon some discussions that seem most cognate to my interests here. First, emotions are clearly social constructs which use biological potentialities in a number of culturally overdetermined ways. In that sense, personal concepts and emotions relate to the dominant social concepts and emotions as Saussure’s parole and langue. Centrally, Jaggar argues that “[i]f emotions necessarily involve judgments, then obviously they require concepts, which may be seen as socially constructed ways of organizing and making sense of the world” (151). In a consubstantial parallel, “emotions provide the experiential basis for values,” so that these two induce each other (153); values and value judgments are in close feedback with emotion. I would doubt that the concepts required for emotions are necessarily very clear, but certainly emotions are in each person hugely inflected by the semantic hierarchies we are most powerfully socialized into (e.g. the undoubtedly strong macho emotions about female virginity or chastity). As for values or evaluations, they are both intimately inflected by concepts and in immediate experience, no doubt, emotional.
It is illuminating, I think, to prolong this argument with help of Gramsci’s and Raymond Williams’s hegemony, an overarching “structure of feeling” unthinkable without emotions. Parallel to and subtending many kinds of direct political control, social group and class control, and economic control, Williams argues, hegemony is a complex of interlocking forces that
[while not excluding] the articulate and formal meanings which a dominant class develops and propagates…sees the relations of domination and subordination, in their forms as practical consciousness, as in effect a saturation of the whole process of living….It [hegemony] is a whole body of practices and expectations, over the whole of living: our senses and assignments of energy, our shaping perceptions of ourselves and our world. It is a lived system of meanings and values…which…constitutes a sense of reality for most people in the society…. (109‑10, emphasis added)
Within this magnetic field of an always “already there” hegemony (or, more rarely, a battlefield of competing hegemonies), emotions necessarily tend toward what Jaggar optimistically calls “active engagements” and what I would more prudently call bearings or stances (cf. Suvin “Brecht: Bearing”). Though the dominant notion about emotions is that they must be largely involuntary and private, they are never only such. In the most significant cases (e.g. in art, which is among other things an education of cognitive emotions), they are indeed active engagements of the whole personality, integral psychophysical stances. As social constructions they are perhaps similar to deeply socialized roles which “we ordinarily perform so smoothly and automatically that we do not realize we are giving a performance”; only to a rather limited degree are we entitled to disclaim responsibility for them. As is also found in Marx (and any self‑reflective activism), emotions are necessary concomitants of any horizon of action. This is particularly true for long‑term emotions, which are obviously not simply point‑like feelings or affects. It is thus not very useful to apply the hackneyed “action/passion dichotomy” to emotions. Once we are outside the Cartesian ego, it is possible to see that they are neither fully intentional nor fully non‑intentional or irrational but matters of a holistic practice which is falsified by undue dichotomizing (cf. Jaggar, “Love” 152‑53 and passim).
Second, not only are evaluation and observation not to be sundered, but both of them are closely related to emotions; observation too “influences and indeed partially constitutes emotion.” If emotions are partly intentional stances, this intentionality is deeply enmeshed with observation, “an activity of selection and interpretation,” e.g. in the choice of what to focus on and privilege or of the interpretive frame. What will in a given situation be taken, by given agents, for undisputed facts depends (pace Hume) on socially constructed “intersubjective agreements that consist partly in shared assumptions about ‘normal’ or appropriate emotional responses to situations” (154).
Third but not least, there is a range of subversive and potentially productive emotions incompatible with the dominant perceptions, intentions, and evaluations. Such emotions may follow on our convictions or they may indeed precede them: “Only when we reflect on our initially puzzling irritability, revulsion, anger or fear may we bring to consciousness our ‘gut‑level’ awareness that we are in a situation of coercion, cruelty, injustice or danger” (161). The feedback between emotions and conscious reflecting on them is particularly necessary for societal groups struggling for a “perspective on reality available from the standpoint of the oppressed…[as] a perspective that offers a less partial and distorted and therefore a more reliable view” (162), and their potentiality or horizon is to be epistemologically privileged (cf. also Hartsock; Jaggar, Feminist; Jameson; Lukács; Suvin, “Subject” and To Brecht, ch. 4). This means in turn that people who wish to solidify this point of view have to make sense of what Jaggar has encapsulated as the epistemic potential of emotion.
In sum,
it is necessary to rethink the relation between knowledge and emotion and construct conceptual models that demonstrate the mutually constitutive rather than oppositional relation between reason and emotion. Far from precluding the possibility of reliable knowledge, emotion as well as value must be shown as necessary to such knowledge. (Jaggar, “Love” 156‑57)
As already mentioned, this does not confer any magical efficacy on emotions as compared to concepts. Like concepts, emotions have an “epistemic potential” (163). But both may be erroneous; both need subsequent validation, though possibly in incommensurable ways (e.g., asymmetrically, by each other). “Although our emotions are epistemologically indispensable, they are not epistemologically indisputable. Like all our faculties, they may be misleading, and their data, like all data, are always subject to reinterpretation and revision.” (163) But both participate in Williams’s “structure of feeling,” a crucial site of social knowledge and conflict, which he defines as:
not feeling against thought, but thought as felt and feeling as thought: practical consciousness of a present kind,…as a set, with specifical internal relations, at once interlocking and in tension…. [S]tructures of feeling can be defined as social experiences in solution….[Yet this solution] is a structured formation…at the very edge of semantic availability…. (132‑34)
- On Topological Cognition
Our discussion will be adequate if it has as much clearness as the subject matter admits of….We must be content, then, in speaking of such subjects and with such premisses to indicate the truth roughly and in outline….
Aristotle, Nicomachean Ethics, I.3
2.1. Topological Imagination
If understanding, cognition or knowledge is — as I began to argue in 1.0 — a term that should cover anything which allows people to deal with not merely or not fully here‑and‑now objects, aspects, and relationships, making them available for evaluative inspection, reasoning choice, and useful intervention, then it is a series of interlocking events, a process that “provides a means by which we have a shared, relatively intelligible world” (Johnson 209). Our personal and collective coping with the world and its existents validates or invalidates this process at crucial points. Powerful interests of social groups and classes may have illicitly inflected the undoubted necessity of concepts into a metaphysical necessity of the concepts being, first, “literal” (i.e., definite, discrete, and fixed), second, frozen into univalent conceptual systems, and third, the sole constituents of cognitive meaning (cf. Johnson xxiii). No doubt, concepts — e.g. of object categories — intervene in the work of organizing any shape behind what we perceive, but such work is not reducible to their linkage into conceptual systems. As against this, I suggest there is at least one distinct mode or level of cognitive operation which yields highly meaningful orientation — i.e., knowledge — and yet is not only and not always conceptual. Using in this section the handiest review of the field by Mark Johnson, yet also in some places modifying and even tacitly contradicting it, I adopt the usual and perhaps unavoidable term of imagination for this mode. In a first approach, this may be defined as the mental consideration of events, objects, and relationships not present to the senses here and now, and the human faculty for doing so. I use the term faute de mieux and with some unease due to its high degree of polysemy, where meanings range from having it embrace practically all mental operations beyond simple perception (see OED) to Romantic restriction for “creative genius” only. Still, I would propose a middle way by which conceptuality is a very specialized offshoot or precipitate of imagination, unable to escape fully from the mother‑liquor. I hope this may be a cautious sublation of the tradition from, say, Aristotle to Spinoza, which divides mental operations into specific “faculties” (e.g. of perception, imagination, and intellection). From it, I wish to salvage not so much the fact of such distinguishing, though we seem stuck with something like it, but rather the recognition that all of these capacities may contribute to genuine knowledge (cf. Johnson 139‑40).
Though Kant, as I quite briefly suggested in 1.1, was badly served by his reliance on Empiricism, which believed knowledge was produced as in early manufacture: the raw materials of perceptions, acquired from the outside through our senses, being then articulated within each of us; yet I think he contributed a major pointer to a way out of the present dilemma by allowing for two ways of articulation: by concepts and by spatio‑temporal schemata for experience. True, in the first case, the Kantian argument that knowledge of objective experience is organized by means of concepts, which enunciate and stabilize the properties of a series of perceptual representations, builds upon the Empiricist tradition, so that “The concept ‘dog,’ for example, is a rule specifying the properties any object must have if it is to be a ‘dog'” (148). Concepts are then combined in propositions of judgment; e.g., “My dog is faithful” shows “dog” participating in “faithfulness.” In retrospect from full‑blown Objectivism we would have to reject all self‑contained, billiard‑ball‑type entities. Thus we would view the perceptions themselves as at least to an important degree dependent on people’s embodied psychic apparatus — e.g. in the registering of perceptions, their hypotyposis (bringing under or allotment to concepts), and the inalienable emotional aura determining the availability and urgency as well as qualitative feel and connotations of such perceptions or sensations (vividness, salience, etc. — cf. Nisbett and Ross). Our finest traffic with reality fails to provide value‑free or “theory‑neutral” data, the raw materials of reason are already imbued with emotional evaluations and interests. But Kant admitted a second means of articulating knowledge, a structure of spatial and temporal organization for all our experience. For him this was tightly tied to concepts, and this is in the final instance probably correct (see 3.4). Yet there are distinct advantages to analytically isolating the space‑time schemata as a counterpoise to logical formalism. They have therefore largely been (re?)interpreted as being adjoined to and going beyond concepts (see, e.g., Johnson 148, and 165ff.). James remarked, “The time‑ and space‑relations between things do stamp copies of themselves within. Things juxtaposed in space impress us, and continue to be thought, in the relation in which they exist there.” (2: 632) In other words, the space‑time relationships participate in the very setting up of our “life‑world” perceptions. Since this most intimately cognitive activity is expressly not conceptual, and not necessarily verbal either, it seems to me a quite major breakthrough, which ought to be borne in mind as a basis for a not only conceptual cognition, and as a complement to Hegelian dialectics.
Such primarily non‑conceptual cognitive structures have been admitted by psychology as organizing our “scene and event knowledge” (Mandler 465) since the path‑breaking work on “schemas” in children by Piaget in the 1930s. They have by now diversified into sophisticated “frames,” “scripts,” and even “stories” by artificial intelligence theorists (cf. Schank and Abelson, Minsky), where the schema involves personal participation in an institutionalized event with a temporal dimension, and into “personae” incorporating typical characters as knowledge structures (Nesbitt and Ross 35). This approach is interestingly developed by Lakoff and Johnson in their studies of “image‑schemata,” such as space orientation, balance vs. weighting or vectorial force. It is implied in the illuminating work of Gendlin, to which I shall come later. It could also be brought into the vicinity of Bakhtin by calling it chronotopic. However, that term would still seem too general. This kind of cognitive imagination has to encompass Piaget’s dynamic interrelations in a schema such as “object conservation,” that encompasses knowledge of relations between mass, volume, position, and alternative actions, as well as instances of the kind mentioned in 1.0 — e.g. the knowledges necessary for Minsky’s “birthday party scenario” or for the “script” of buying a weekly choice of cheeses, which includes walking, driving a car, recognizing a colour or a smell, counting money, and so forth. Therefore, I propose to call it, more precisely, topological imagination. This uses the OED senses transferred from the denotation of topology as a “qualitative geometry” of situation in space — and in a time analogized as a space — that typically involves transformation and yet continuity (invariance in some respects), and includes the sense 3d, “The way in which constituent parts are interrelated or arranged.” While in orthodox Piagetism one would not call (e.g.) landmarks, routes, and configurations topological, for my purposes of opposing analog qualities to conceptual systematicity they are elements of topological cognition (cf. Piaget and Inhelder vs. Mandler 451).
The topological imagination (which is, of course, not at all reducible to vivid images) can therefore encompass orientation, articulation (into shapes), and the dialectics of variance‑cum‑invariance — in short, relations to an entity’s stances, inner structuring, and shifting continuity in space and/or time. It is not to be sundered from the qualitative aura and connotations stemming from our interests, and it is in close and constant feedback with the bodily perceptual capacities, motor skills, attitudes, etc. Since “an event becomes meaningful by pointing beyond itself,” to other event structures actual or possible in past or future experience or in semiotic space, the always strongly orientational topological imagination is also intentional, i.e. directed at or toward some value‑laden “dimension or aspect of one’s existence” (Johnson 177), and participates in the deeply cognitive induction‑deduction cycle constituting meaning.
One could find very many other arguments in favour of a cognitive status for topological imagination. I shall here mention three:
- Fredric Jameson’s repeated recurrence to the concept of “cognitive mapping,” extrapolated to social structure from Kevin Lynch’s remarkable study of people’s interest‑inflected spatial imagination, presupposes an imagined and imaginary social totality that was to have been mapped; Jameson calls this unrepresentable (“Mapping” 356), but it is obviously a cognitive construct of the highest hypothetical order. Therefore I would rather call it (literally) unconceptualizable or — better, since Jameson gives an excellent partial conceptualization for it — not fully and systematically conceptualizable, but imaginatively presentable as a feedback between two wholes: our global capitalist Lebenswelt and an ambitious plea for (and, in other writings of Jameson’s, sustained attempt at) a global topology of it.
- Such neurological disturbances as “the phantom member” or apraxia (inability to imagine and therefore execute bodily action in spite of an intact nervous system, see Merleau‑Ponty 117ff., Suvin “Performance,” and Wood) testify that imagination is crucial for any literal and metaphorical stance and movement with the intention of manipulating objects, envisaging subjects, and all other orientations.
- Lakoff’s mental exercises in “image‑schema transformations,” such as shifting path‑focus to end‑point‑focus, changing objects from multiple to mass and back, envisaging a trajectory or expanding and contracting images of container vs. contained (see his case study 2), are non‑propositional and non‑conceptual yet clearly cognitive mental operations.
If this rough outline has merit, imagination is richer if messier than conceptuality. Topological imagination might represent the submerged ten elevenths of the iceberg of which conceptual systems show above the surface. Though this metaphor, as well as those of “background,” “context,” and my earlier one of the base vs. frontal lobes of the brain, has the merit of indicating the foundational primacy of imagination, it may insufficiently indicate how intimately concepts are interfused or shot through by it. Possibly the analogy of innervation or sanguine system in our flesh would come nearer. If nothing else, all this points out two crucial matters. First, that I take it as established by metaphorology from Vico and Nietzsche to Eco and Ricoeur that concepts are, verbally speaking, precipitates or a caput mortuum of metaphoric work. In fact, even the term “conceptuality” (the concept of “being a concept”) adjoins to its overriding univocity some metaphoric echoes. Second, that — in diametrical opposition to Christianity, Descartes, and the whole idealist filiation down to most of Kant and to Hegel’s Absolute Spirit — understanding is necessarily embodied, which also means macro‑culture‑bound, class‑bound, and engendered. Though in my opinion all imagination, and even more clearly concepts, can transcend some limitations of such embodiment, the degree to which they can truly do so (rather than pretend to be doing so) is unclear: certainly existing but certainly finite (0>n>oo). Finally, there is a clear choice: meaning and reason are to be grounded either in God or in (personal and collective) human bodies: tertium non datur. We would therefore have to conclude that imagination supplies much (though not all) of the indispensable delimitation and articulation for all knowledge, for “the connecting structure by which we have coherent, significant experience, cognition, and language” (Johnson 165).
Of course, as Johnson points out, a huge amount of further work remains to be done if one adopts this stance: we then need a theory of categorization of human experience, which “is basic to any theory of cognitive structure, for it explores the way we organize our experience into kinds” (191, see also 171‑72 and 213 — cf. Lakoff, Bloch), and theories of the attendant central tools of metaphor, metonymy, and narrativity (e.g. in dialogue with Bakhtin, cf. Suvin “Metaphoricity,” and with Ricoeur). As Aristotle’s Poetics (as well as the ancient South and East Asian commentators) knew, these are the very foundations of the pleasure of thinking, cognition or understanding, very much including art (depiction and narration). I shall deal with the possibly basic instance of metaphoricity in one of the later sections of this essay. But in the meantime I would adopt as a central hypothesis Johnson’s conclusion: “Instead of being nonrational, imaginative structures form the body of human rationality. Therefore, if imagination is not strictly algorithmic [i.e. a set of rules, usually in algebraic notation and digital], then this cannot be essential for rationality, either.” (169)
2.2. On the Dialectics of Proposition: Not Only But Also
The distinction between exclusive conceptuality and topological imagination may be furthered by considering propositions. I am using this term in the OED 4a. senses: “(a) the making of a statement about something; a sentence or form of words in which this is done, a statement, an assertion. (b) In Logic, a form of words in which something (the PREDICATE) is affirmed or denied of something (the SUBJECT)…,” sometimes extended to what is more strictly a judgment (1448). Clearly, the first sentence quoted embraces non‑verbal statements too (e.g. “body language”), beyond the main sense of a “statement,” that of a full or definite declaration in words (1889). Johnson enumerates five senses which concur in having any proposition assert something by means of a finite number of clearly delimited elements, but then advances a different sense by which a proposition can be “a continuous, analog pattern of…understanding, with sufficient internal structure to permit inferences” (3‑4). Since I cannot see how concepts could consist of “continuous, analog patterns,” this controversial, added sense is the only means of doubting the monopoly of conceptuality on knowledge. The first group, the usual philosophical and logical senses of “proposition,” put forth conceptually univalent statements, whose basic form is typically of the “My dog is faithful” shape mentioned earlier. They may form an algorithm (e.g. a syllogism) of the digital or binary kind that is characteristic for at least the Socratic use of concepts, which culminates in the “Yes, yes — No, no” (Mat. 5:37) dichotomy of monotheism — the template for all other dogmatisms, such as the “objectivist” one, in the Western tradition.
I am here operating with the distinction pioneered by computer theoreticians, extended by Gregory Bateson, and encapsulated by Watzlawick, between analog and digital modes of communication and understanding. An analog operation “can be more readily referred to the thing it stands for.” It prevails not only in animal mood indication but in human “body movement, …posture, gesture, facial expression, voice inflection [and…] rhythm” (Watzlawick, et al., 62‑63). Its ubiquity and flexibility makes of it the privileged mode for rendering “contingencies of relationship” (66). What it cannot present (at least not explicitly) is perhaps similar to what Freud’s dreams could not represent: the causality as against succession (e.g. “if‑then”), the tense or time‑horizon indication, and the conceptualized abstraction (65; but see sub‑section 3.4 for advances on Watzlawick’s skepticism). Digitalization therefore seems to me necessary for important but particular purposes, and it also seems to always be an ingent simplification of processes from reality: e.g., the analog wavelengths of light are cut up in various cultures into digital oppositions of colours. The analog — spread or spectrum‑like — kind of process is clearly characteristic of topological imagination. I would agree with Johnson (96‑100 and passim) that, if the analog kind of proposition is articulated to judgments and their attendant values, it permits inferences, which have been justly called “the birth of reason” in the child and “the great business of life” (Reid in 1788 and Mill in 1843, cited in OED, s.v. “Inference” 2). If so, an analog proposition is a form of reasoning that may satisfy Mill’s logical condition of advancing from known to “distinct” truths (cited in OED, ibidem 1.a; cf. Nisbett and Ross). The way is then open for it “to enter into transformations and other cognitive operations” (Johnson 4), such as the orientation, articulation, and dialectics of shifting (though not what Hegel would call “muddy”) identity that I argued for earlier. Music, sculpture or body stances — not to forget metaphors and narratives — are therefore potentially cognitive modes of imagination, in ways not only significantly different from purely conceptual systems but also constantly complementing or undergirding them. Even in natural language, “(1) meaning…begins in figurative, multivalent patterns that cannot typically be reduced to a set of literal concepts and propositions; and (2) the patterns and their connections are embodied and cannot be reduced to a set of literal concepts and propositions” (5; see my discussion in 3.4).
In that sense, knowledge may typically come about by complex, dialectical interaction between analog and digital, non‑conceptual and conceptual, fully focussed and multiplex modes:
Take, for instance, a skill like skiing. Our ability to ski is tied up with all sorts of perceptual and motor‑program schemata that have plenty of internal structure. The term “skiing” calls up (potentially) all of these structures as part of its meaning when it is used in an utterance. (189)
Replacing motor programs with hyperactive imagination, I claim the same holds for, e.g., theatre performance (see Suvin, “Performance”) or poetry. Ricoeur has repeatedly elucidated how in poetry the reduction in “referentiality of ordinary discourse” (which is, I think, coextensive with clichetized, closed conceptual systems) “allows new configurations expressing the meaning of reality to be brought into language,” and obversely that poetic discourse necessarily brings to language “modes of being that ordinary vision obscures or even represses” (Interpretation 60). Though in our meta‑language, striving for precision, such matters must begin to sound formidable, the learned detour is there for the purpose of a much closer feedback with people’s everyday practice. In that non‑elitist sense, as Gramsci and Brecht stressed, each person is a philosopher and every planning of action has to do with reason. Especially today, faced as we are with a concerted assault on reason, nothing in this essay is to be taken as speaking against it.
In this perspective, there are many collective, cognitive meanings not reducible simply to the binary mode fostered by conceptualization. While the “either‑or” logic is necessary at a number of crucial junctures, the “not only but also” logic (Brecht’s nicht nur sondern), dialectically subsumptive rather than adversative, is not only older but also richer and more frequently applicable. In Williams’s proposed epistemic concept “structure of feeling” the first, binary mode of cognition supplies the “hard” element of structure, and the second, analog mode of cognition the “soft” but primary element of feeling, an emotionally imbued yet not merely individual imagination, which is precisely why it seems to me superior to Foucault’s exclusively conceptual and systemic “episteme.” What all of this implies about priorities that emotions may (in some respects) have in relation to concepts will be faced in the Conclusion.
2.3. Analogical Reasoning, Verisimilitude
In this perspective it is also useful to revisit reasoning by analogy, which I shall do by incorporating in this sub‑section some illuminating arguments brought forward by Marc Angenot. It is an operation treated with the greatest suspicion by the hegemonic tradition, which has defined reasoning as a partially redundant horizontal chain of “literal, univocal, context‑independent” (see 2.1), and non‑contradictory propositional judgments. Yet this one‑dimensional syntagmatic chain has huge in‑built problems both as to its coming about and in its internal aporias. As to the former, unless one takes Plato’s Ideas or the monotheistic God literally, it is not clear how it ever could have arisen from brute matter in the fully hermetic form of logical space. As to the latter:
All “normal” reasoning standardizes its data by effacing variables, bracketting the contingent, and mediating between different levels, so as to permit the compatibility and derivability of propositions…, the passage from qualitative threshold to the quantifiable, the reduction of multidetermination to univocity, the polarization of ambivalences, and the axiomatic introduction of preponderances and hierarchies in places where to begin with only disparate tendencies were perceived which were not co‑intelligible. (Angenot 154)
Thus, this “classical model of reasoning” is brought about by a series of strong interventions levelling the analogical mode onto a conceptual projection, where “the proof’s purity was in proportion to its poverty” (154). This holds particularly for the traditionally “noblest” form of reasoning, deduction. Already reasoning by induction and examples were rather suspect as too plebeian, while the final mode, reasoning by analogy, was marginalized as unformalisable. Yet it is not clear why it should have an inferior cognitive status. Of course, any proof by analogy is only as “right” as its constituent parts and relational presuppositions — e.g., the standard 19th‑Century bourgeois analogy between father‑child and capitalist‑worker, extending to the academic position of professors in loco parentis to students. But then, the same holds for reasoning by deduction and induction. All of them, though in different ways, owe their efficacy to cultural and ideological verisimilitude. Just what is the difference between the verisimilar on the one hand, and the true and necessary on the other, has never been clarified since it reposes on the ideological maxims or common sense of a given period, so that one can at best oppose deep and long duration maxims to short duration ones (which is, no doubt, of great importance for any particular investigation). Beginning with Aristotle, “the theory of topoi is essentially a reflexion on the implicit, in its twin character of occultation and regulation” (163). Regardless of how general the validity they pretend to, all of them formalize social experiences and relationships in culturally highly specific ways. We have rightly learned to suspect the self‑evidence of any such ahistorical stance, e.g. an eternal distinction agent‑action (Yeats’s knowing the dancer from the dance).
I believe this sub‑section has, among other things, added an important cognition to our arsenal: the difference in all seemingly factual propositions between the horizontal and vertical orders or modes of establishing the correctness (veracity) of a proposition. I call “horizontal” the concept‑driven reliance on the syntagmatic chain of formalized, presumably literal, univocal, and non‑contradictory, propositions; and I call “vertical” verification a frequent experience‑driven interruption of such a chain in favour of confrontation with other (possibly non‑conceptual and thus less formalized) derivations from material empirical evidence. This is analogous to Locke’s distinction between “mental truth,” which is always hypothetical, vs. “real truth,” which depends on experience (see James 2: 664) . It participates in the widespread modern complaint (e.g. in Husserl’s The Crisis of European Sciences) that scientific rationality has become alienated from praxis, in other words that a collective human project has by now been so coopted as be at best indirectly related and at worst inimical to the need for a livable world.
Both the horizontal and the vertical mode rely on a system of “topical” presuppositions (cf. Angenot 187), that makes possible the melding for which I shall argue in the Conclusion. If thinking is, in the first and possibly still best metaphor of European philosophy, Heraclitean fire, then reason might be the flame and emotion the consubstantial heat. I would conclude, with Johnson, that “we [might] expand our notion of logical correctness” (12); and with Angenot, that
[reasoning by analogy] is not a less rigorous type of reasoning than deduction; it corresponds to a different way of thinking and a different establishing of proof, which is here regarded as a transfer of evidence….[It] constructs around the object being proved a relational structure capable of being perceived as isomorphic to another structure situated in a quite different field. (197)
In its clearest form, it is a rigorous homology of the rule of three (A:B = C:D) kind, and it can render much more closely the sinuosities and contradictions of people’s relationships to each other, their institutions, and universe — and indeed of their natural languages — than grand universal syllogisms. I shall return to this in the discussion of metaphor; as Blumenberg notes, “analogy is the realism of metaphor” (88). The undoubted affinities between analogical thinking and emotion‑suffused evaluation can once more be seen as qualitatively different from deductive conceptualization but no less (potentially) cognitive.
2.4. Operativeness, Eduction From Psychotherapy
Assuming the class of “not conceptually sayables” (or even not only and not primarily conceptually expressibles) was not empty, as advanced in 1.0 above, I have been worrying in this essay at the question which part of that class may be cognitive, and in what ways. One precondition for cognitiveness is articulation which allows operativeness or manipulability. Articulation means the division of a cognition or cultural unit of knowledge into definable parts together with some syntactic indication of the parts’ relationships to each other and some pragmatic indication of their relationships to other units or articulated parts thereof. It is because they are suitable to recombination that the articulated units may participate in cognitive operations which make sense of some segment or aspect of our Lebenswelt. Thus, when Jaggar speaks of the emotions’ inner articulation, when Kant speaks of spacetime schemata, when psychologists (with some philosophers and some sociologists such as Goffman) differentiate this into scripts, frames, and personae, or when the language proposed here speaks of topological imagination as one epistemic way of articulating knowledge, it is implied that such analog‑type mental operations — in spite of having a crucial non‑conceptual aspect — can permit subdivision, anamorphic transformation, and rearranged aggregation or re‑constellation of units of understanding (sememes, if you wish) into valid cognitive operations, such as intentional orientation or reorganization of identity and indeed of categories. While concepts seem to be already enmeshed with some basic topological categories, and while the greater part of institutionally formalized knowledge will at some (possibly early) point in its operating advance from this to a conceptually systematized organization of knowledge, the non‑conceptual mode will, I believe, always remain a part of the resulting structure — at the very least as a system of presuppositions and implications (e.g. about what domains and stances are proper for a scientific discipline). This non‑conceptual, analog aspect of knowledge is not only prior to the great phylogenetic and ontogenetic divide of language, as has been shown both by child psychologists — from Freud’s fort‑da to the systematic observations of Piaget — and by ethologists. Even simultaneous to the use of language, topological cognition reigns supreme in all the bodily activities, crafts, techniques, and arts I hinted at earlier, from swimming to painting. Furthermore, it accompanies, founds, and infiltrates all language in the form of metaphor (which Goodman nicely defines as “a calculated category‑mistake,” 73), rhetorics (cf. Angenot), and narrative organization.
I want here to add to the post‑Piaget turn (and one would have to mention also parallel Soviet experiences of Vygotsky’s and his followers such as Luria) the illumination from a philosophical approach to therapeutic psychology in the work of Eugene Gendlin. In numerous contributions of the last three decades (from Experiencing through “Critique” and “Thinking”), Gendlin has been appealing to self‑ordering patterns in “experience (situations, practice, the body, intricacy…)” to argue that syntactically definite and pragmatically precisely oriented univocal forms of a more than conceptual nature are always already at work in thought (“Thinking” 28‑29).3/ I shall in this sub‑section mostly use his long study “Thinking Beyond Patterns,” to which all citations refer unless otherwise noted. Arguing with Dilthey that experiencing is an implicit understanding (34), he also reveals his own standpoint from experience: “Today…[the] old forms still exist, but often as official demands….But body‑life is no longer carried forward by them. Our more complex and partly undefined situations are another ‘social reality’.” (“Critique” 275)
Gendlin reminds us that practice, the sum of people’s relationships to each other and the universe, is richer: “practice must always be permitted to surprise the theory” (45). He would have agreed with the great Japanese Confucianist Ogyû Sorai’s remark: “The great sage rulers of the past taught by means of [particular] ‘things’ and not by means of [universal] ‘principles.’…In ‘things’ all ‘principles’ are brought together, hence all who have long devoted themselves to work come to have a genuine intuitive understanding of them.” (Nakamura 537; cf. Lee 148) Convincingly inducing from experiences of his therapeutic practice, Gendlin pleads for a revaluation of cases or instancing, as opposed to hypotyposis that strives to filter or “drop out” all elements that do not fit a concept; of story‑telling; and of what one could call pre‑implications. In his own wonderful “Stories from psychotherapy: The bodily ” (86‑98; see especially the “house on stilts” metaphor, 92), the underlined three dots stand for the patients’ groping toward full cognitive formulation. The apparent blank in a sentence is syntactically clearly defined and modally clearly oriented but semantically not yet formulated. This groping forms something new, simultaneously continuous with and different from what was realized before. It is what James in an analogous discussion called a “feeling of tendency” or “a sign of direction in thought”:
…a gap that is intensely active. A sort of wraith of the name is in it, beckoning us in a given direction….If wrong names are proposed to us, this singularly definite gap acts immediately so as to negate them. They do not fit into its mould. (1: 251; cf. 249‑57)
The gap is eventually exfoliated and evolved into a powerful semantic turn that will, at least in ideal cases, “maximize (reinforce, nurse, feed, help one savor) the mood” (100). This accords astoundingly well on the one hand with poetic practice, as testified to by all accounts of how a poem is written with help of rhythmically and modally precise blank spots (e.g. the famous essay by Mayakovsky) and remarked on by Gendlin too (61‑66), and on the other with the macro‑structures of feeling that Williams defines as “pre‑formations” preceding semantic figures, as “social experiences in solution” and as “structured formation[s]…at the very edge of semantic availability” (133‑34, see end of 1.3). With the help of such proceedings, Gendlin attempts to “think the actual situations” (112) as an implicit and intricate multiplicity, whose possibilities fan out to other possible situations. Or, more personalized: the initially unclear [], where the “silent sensing” situation contains implicit possibilities of language, opens up through a series of precise if zigzagging (because not logically deductible) steps, unfolding its latent protean intricacy. “Each such step arises from a bodily sensed [], her bodily sensed social reality” (“Critique” 288 and 283). Each step retroactively revises the meaning and the time‑horizon of preceding steps. The AI theorists might have said that the frame’s terminals have only loosely attached default assignments functioning as variables or a special kind of reasoning by example (see Minsky 212‑13). This also does away with a fixed nuclear Self. As in Laplace’s explanation to Napoleon about God, any post‑Freudian “unconscious” becomes here an unnecessary hypothesis (cf. “Critique” 277‑89 and “Thinking” passim).
The (pre‑)implications resident in an individual or collective situation for each of us, and which have to be teased out of it by means of not primarily conceptual analysis, are a founding notion of Gendlin’s. What we retroactively see was implied is the eventual articulation through “carrying‑forward” steps: “A situation is the implying of further events”; it “consists of implicit action‑possibilities”; “it sets itself apart because it implies a change in the stories that it now implies” (118‑19). These implications are what is to be cognitively defined, in the sense of rendered sufficiently definite. They are different from logical or mechanistic determinism: “The whole series cannot be predicted from one step, because each step carries forward an implied change in implying” (121). In a bodily sensed way, which makes nonsense out of the dichotomies body/mind or emotion/reasoning, the situation implies statements about‑to‑be‑said (cf. 130‑32) — the semantic blanks induced by the subject/situation feedback and awaiting cognition. “Body, situation, and language imply each other, but that means we cannot do with less than all three….The body provides the focal implying without which there would not be situations or language….Indeed, all the functions of implicit intricacy in language and situations are functions of the body.” (132‑33)
Finally, Gendlin claims that such inventing and filling in of semantic blanks, which redefines a poet’s, a psychiatric patient’s or indeed everybody’s meanings‑in‑situation, is more realistic or adequate to the situation. In the language of my sub‑section 2.3, the horizontal order of veracity for a proposition (relying on the sequence of formalized and non‑contradictory conceptual arguments) is at all crucial points which require new formulations of a newly arisen situation backgrounded in favour of “vertical” confrontation with the material reality. This is cognized largely by means of topologically articulated emotion (cf. the mentioned patient’s “house on stilts” feeling, and Gendlin’s discussions of spatial imagery in 88‑89 and 106‑07), by means of a “structure of feeling.” The “truth” resides in the bodily “implying of situations” (121), in what Ernst Bloch would call the dialectical tendency‑latency of human reality (144ff.). And since “anything concrete belongs to other systems as well” (“Critique” 295), Gendlin has some interesting though preliminary reflections on how it would be necessary to move from personal experience to larger economico‑political, collective situations determined by social forces, such as the US Federal Reserve Bank’s restrictive policies which have radically affected the bodily situation of millions by destroying their livelihood (295‑96). The evidence of senses here becomes quite insufficient: as Brecht remarked, almost no “statement about reality” (cognition) can be drawn from a photograph of the reified Krupp factory (18: 161‑62) — “artful” statistics, graphs, and narratives would have to be also called in.
2.5. Briefly on Metaphoricity, With a Pointer to Narrativity
In an earlier and lengthier study (Suvin, “Metaphoricity”) I adopted a working definition of metaphor which I would render slightly more precise here as a unitary meaning arising out of the interaction of disparate semantic units from different category domains; and I argued that metaphor presents a complex cognition not by literal or analytic statement but by sudden confrontation. Whether verbal or visual (e.g. on the stage, cf. Suvin, “Brecht’s”), metaphor results in the perception of a possible relationship with a new norm of its own, and it always embodies a value‑judgment correlative to an integral, i.e. also emotional, involvement. From literal dictionary meaning current in a given culture and sociolect, the new metaphoric meaning modulates into an imaginary entry from the encyclopedia of cultural commonplaces, presuppositions, and categories (cf. Eco Lector and “Metafora”); or indeed into a newly posed entry, invented ad hoc by the metaphor’s author and enforced by its context. Such determinations hold fully only for the so‑called full or true metaphor, a unique presentation of previously non‑existent meaning. In it experiential orientation accessible to us in no other way is being formed and explored: we have no other ways at hand for “thinking through” the relationship such a metaphor refers to. The full‑fledged, interaction or transformational metaphor cannot be paraphrased into conceptual propositions without a significant loss of cognitive yield (Black Models 45‑46), as opposed to the low‑grade, substitution or comparison metaphors which can be exhausted by paraphrase into concepts and commonplaces.
As Ricoeur has not tired to remind us, however, metaphor is not an atomic unit but the function of “the operation of predication” in a complete sentence (Interpretation 50, and cf. Rule). In the language of 2.2 above, metaphor is a function of an analogical proposition permitting inference, transformation, orientation, and other cognitive operations (that “transference by analogy” is the strongest form of metaphoric functioning has been clear since Aristotle’s Poetics, 1457b). The sum of all the cultural topoi and categories advanced, presupposed, and implied by the sentences and propositions of a text constitutes the ideological system of its social addressee, whose maxims encompass the connotation chosen in a metaphor. In “This man is a wolf,” the stock metaphorological example, “The wolf‑metaphor…organizes our view of man” and viceversa: when wolf and man are projected upon each other, a new whole emerges (Black Models 4l and passim; cf. Eco “Metafora”) in feedback with, e.g., a Social‑Darwinistic or obversely a totemic system of maxims about wolves/people.
Thus, the delicate negotiation between immanence in and transcendence of discourse is at stake in metaphor too. Another argument by Ricoeur upgrades Frege’s distinction between sense and meaning (Sinn und Bedeutung) into one between sense and reference. Sense results from a largely horizontal, semantic, proceeding and identifies an entry in the imaginary cultural encyclopedia subtending what one could in short call the metaphoric proposition. Reference is “[the proposition’s] claim to reach reality” (Ricoeur, Hermeneutics 140), even if often a redefined reality, and it adds to sense an emotional and imaginative, pragmatic verticality which in the final instance can also be connected to bodily stances. If metaphor is thus a specific cognitive organon, what is its specificity of reference? Despite much solid spadework documented in my “Metaphoricity” study, this seems to me still poorly understood. I believe metaphor is directed toward and necessary for an insight into continuously variable and internally contradictory processes, Eco’s “dinamismi del reale” (“Metafora” 212), when these are being handled by language, which is composed of discrete and fixed signs (Hesse, Ortony; curiously, Thom [Paraboles, 120 and 159] founds mathematics in the same insight). If metaphor is this dialectical corrective of all analytical language centered on concepts, as all language it also refers, among other things, to what a given culture and ideology consider as reality. This means that some conclusions educible from any metaphor — e.g., “people are cruel,” “wolves are conscious” — are pertinent to or culturally “true” of given understandings of relationships in practice. The metaphor can affirm such an understanding or, in the best case, develop “the before unapprehended relations of things” in ways at that moment not otherwise formulatable (Shelley 357). Cognition through a full metaphor reorganizes, on the basis of topological analogy, the logical space of our conceptual frameworks. It is only from the point of view of Objectivism or positivist metaphysics that the literal coincidentio oppositorum of metaphor is Goodman’s “category mistake” or an absurd impertinence: a Man is a Man is a Man and NOT a Lion. Exploding literal referential pertinence and literal semantic statement, frozen into univalency and binary‑choice linkage, metaphor proposes a new, imaginative pertinence by rearranging the categories that shape our experience. This imaginative cognition is not to be reduced to mystical insight or magical transfer but rather thought of as an analog (rather than digital) hypothetic proposition with specifiable yields and limitations; parallel to other forms of cognition, metaphoric analogies can be partly or wholly accepted or rejected by feedback from historical experience, verbal and extra‑verbal.
In my study I also went at length into what might be the basic conditions for a full‑fledged metaphor. I proposed there were three: coherence or congruence, complexity or richness, and novelty. This means that metaphor is necessarily (at least in part) historico‑referential insofar as it disrupts the synchronic cognitive system current when it was coined. The criteria for deciding which metaphors are to be seen as dead, remotivated or farfetched are all drawn from historical semantics and pragmatics. Beardsley — who admits only the first two — notes that such axiomatic conditions may be considered as analogous to Occam’s razor in literal, e.g. scientific, texts (145). These conditions are the presuppositions of metaphor — i.e., they are simultaneously inside it and overarching it. They allow for Ricoeur’s argument that “the relation between literal and figurative meaning…is a relation internal to the overall signification of the metaphor,” i.e. that both denotation and connotation are legitimately cognitive. Ricoeur concludes that “such semantic innovation marks the emergence of [conceptual] thought,” that “new possibilities for articulating and conceptualizing reality can arise through [it]” (Interpretation 47 and 57).
In that sense metaphors, when expanded into metaphorical sequences and metaphorical texts (i.e., as I argue in “Metaphoricity,” finally into narratives which add a chronotopic organization), both literally and technically create for their addressees another, Possible World, as a dialectical fusion of vertical and horizontal, syntagmatic and paradigmatic reference: “the poetic world is just as hypothetical a space as is the mathematical order in relation to any given world”; both are “a second degree reference, [in…] the fictive dimension revealed by the theory of models” (Ricoeur, Interpretation 59 and 68). Metaphor may thus sketch in lineaments of “another world that corresponds to other possibilities of existence, to possibilities that would be most deeply our own…” (Ricoeur, Rule 229). On its own and as underlying any narrative, metaphor is one of humanity’s great cybernetic machines for interpreting the world — not only Wittgenstein’s “all that is the case” but also Bloch’s “not yet” (to mention what I take to be the two poles of modern philosophical revision of classically undialectical categories, allowing for more elastic boundaries, bases for category membership, prototypical status for members, etc.).
Without entering upon a fuller discussion of narrative text, it may be provisionally identified as a finite and coherent sequence of actions, with correlative agents located in the spacetime of a possible world, proceeding from an initial to a final state of affairs, and embodying a paradigm or macro‑metaphor. Its minimal requirements would be an agent, an initial state changing to a commensurate final state, and a series of changes consubstantial to varying chronotopes (cf. Eco, Lector 70, 107‑08, and passim), unified by a plot with metaphoric tenor. In comparison to “propositional metaphor,” narrative permits much more detailed and articulated exploration of its key hypothesis — which is also its founding metaphor — as to its properties, most prominently the relationships between people it implies. Such evaluation of its thought‑experiment is always in feedback with the reader’s vision of empirical reality. The intense flash of metaphor is too brief to be judged by anything except its fruits, the “thick” and immediate shock‑effect of a “category‑earthquake.” In any story or tale, however, it ought to be possible to verify examined aspects of the central propositions which have by means of coherence, plenitude, and novelty created the narrative universe of that tale. In so doing, both metaphor and narrative redescribe the known world and open up new possibilities of intervening into it: they are — potentially — what Brecht called “meshing thought” (eingreifendes Denken).
- Concluding Horizons
I do not like the following model very much, but something of the sort seems needed.
Minsky, “A Framework…”
3.1. The Archimedean point from which the fruitful intricacy of cognition may be raised is the proposition that our social existence is both source and goal of human concepts and emotions. The horizon of this proposition is a pragmatics of social productions. Only pragmatics can insert into this discussion the empirical situation of people and their relationships within given epistemological (cognitive and ideological) presuppositions, conventions, economical and institutional frames, etc.4/ Exclusively conceptualized veracity, I began to argue in 2.3, implies a horizontal chain of mutually reinforcing concepts which, like any other syntagmatic system of abstract symbols, cannot by itself provide any meaning. While conceptual chains have historically — e.g. when based on Baconian experiment — led to world‑historical breakthroughs in understanding, this type of veracity is by now showing the drawbacks of (as a poet can best note it) being “spitted on fixed concept like/ roasting hogs, sputtering, their drip sealing…” (William Carlos Williams, Paterson). However, this rejection of Objectivism and of pure logical formalism does not land us in the quagmire of absolute relativism. There are important material, historico‑political constraints built into all human productions (actions), that largely determine what inferences and propositions can be held, though themselves up to a point in significant feedback with socialized imagination. Refunctioning terms from Putnam, who builds on the Lockean opposition of “theoretical beliefs” and “experiential beliefs,” I propose to call the horizontal consistency of conceptual cognitions with each other “coherence,” while the vertical recourse to experiential beliefs consistent with practical tryout could be called “fit” (54‑55, and see Johnson 211‑12). As I further argued after Gendlin, horizontal coherence can be saved from pure conceptual chimeras (Hirngespinste, “brain cobwebs”) by interrupting, verifying, and supplementing it at strategic points by means of an imaginative fit immediately rooted in topological imagination and closer to bodily emotions.
We have of, course, witnessed in this century only too many variants of polluted emotions: “The sources of [a person’s] feelings and passions are just as muddied up as the sources of his cognitions,” noted Brecht (15: 295). Indeed, his life‑long advocacy of interruptory Gestus may be the most illuminating systematic inquiry into this verticality (cf. Benjamin), within his struggle against uncritical empathy which led to a “theatralics of fascism” (and of “patriotic” nationalism, and of Stalinism). Therefore I have repeatedly stressed that emotions, the body, analogy, imagination or topology are by themselves no talisman guaranteeing cognitivity. What I argue for is the interactive feedback between vertical (topological, analog, referential) fit and horizontal (purely conceptual, binary, sense‑producing) coherence. Hegel’s dialectical three‑step of conceptuality (the Schoolmen would have said scientia) negating mere feeling or shapeless intuition but then being itself sublated — preserved and simultaneously subsumed — under a thinking wisdom (sapientia) that follows the contradictions in reality seems to be an early approximation to such spiral induction‑deduction with goodly space for analogy. What such a feedback unity in topological imagination, based on common topical presuppositions (see 2.3), produces could be called figuration in Jameson’s sense. He notes that this englobes, e.g., Lévi‑Strauss’s Amerindian myth shapes, the Deconstructionists’ — to my mind, quite one‑sided, though at times destructively useful — emphasis on all discourse being tropes, and Freud’s insight that instincts always already “come with their own figuration, …bound in the forms of certain fantasies.” so that “reality is always figured” (Theory 113‑14 and 162).
3.2. Yet at this point I have to confess that we seem to be caught in an unresolved halfway house between two discourses, the old emotion vs. reason one and a newer one on conceptual imagination in mutual induction with topological imagination. This impurity may not be too exhilarating but I shall argue it is not only a faithful reflection of the mess we are at, inside the present historical epoch, but also allowable for my present purposes.
I started from the muddy opposition emotion/reason and argued that the dumbbell constellation of dry, calculating, male reason vs. fluid, intuitive, female emotion had a goodly Hellenic and Hebraic pedigree. Yet the post‑Cartesian foregrounding of this dichotomy arose with the coming to power of the bourgeoisie and precluded further useful reasoning about how to cope with our world. I therefore incline to think it would be better if we scrapped this polarizing configuration entirely (e.g., I’d much prefer the Buddhist identification of the six senses as vision, hearing, smell, taste, touch, and cognition), perhaps putting an at least provisional embargo — say during the next century — on the term of emotion. However, only a qualitative reversal of social practice would give us that opportunity. No individual can radically alter language in its central classifications before such time; at best, I might persuade my readers we should redefine a few of the important categories of the doxa. Then, by the middle of this essay I arrived at my second discourse, which features the more graspable and fertile difference — not dichotomy — and feedback between topology and conceptualization within imagination and cognition. It proposes a topological imagination, functioning by analogy and having much better chances (if they will but be used) to draw corrections from a dialectical verticality that plumbs experience. Of course, to develop this we should have to scrutinize much further the close relationship to topological imagination of conceptualized thought, and conversely of the body bearings, stances or orientations; upon both of them there are inscribed our class, gender, and other identifications, and they seem to me to meet in at least two key points: first, in the categories of intention and interest; second, in the activity itself of categorization. The latter is “a basic ability…that almost certainly must be posited as a primitive of psychological functioning,” so that on the one hand “in its basic sense [it] cannot be distinguished from schema formation” (Mandler 466), but on the other hand it is also highly culture‑specific, shaped in and by historical epochs and sociolects (cf. Lakoff’s arguments, e.g. about the category of anger in English, 68). At the latest since Marx, we should have detheologized our discourse so as to draw full consequences from a defining of human potentiality as historically delimited: in the double sense of concrete historical possibilities and concrete historical alienations from them (cf. Marcuse Luther 28‑29 and passim). If we embarked on such scrutinies, I believe we would end up by making much better sense of our feedback relations with the world. However, at the moment I have to balance bits and aspects of this second discourse with the first or dichotomizing one, which threatens to reproduce itself parasitically in my new proposals too. History is real, the hegemony also.
But, as Beckett tells us through the exemplum of the two thieves on the Cross: do not presume, yet do not despair either. I think a number of differences between the two discourses are very technical, and thus doubly foreclosed for me and my readers. First, we are probably (and I am certainly) not competent to enter into many of those details. Second, for my possibly foolhardy purposes of clearing the ground for a discussion of cultural texts and social discourse, even this halfway house would be a great deal further along the road than where I set out from.
3.3. How is, for example, the intense va‑et‑vient traffic between topological imagination and conceptuality to be grasped? It can only be conducted by a “chromosomal” transfer of traits (units of articulation) through shared intentions, observations, assumptions, inferences, etc.,5/ adumbrated by Jaggar as a “mutually constitutive rather than oppositional relation between reason and emotion.” Beyond already presented arguments, such as the unity of our social existence and of the sensorium, and the ubiquity of categorization, this is made possible by two further central reasons. First, concepts are all founded on judgments, many if not most of which, e.g. judgments of logical quality — assertion and negation — , depend on evaluation (cf. Bloch 42) and thus, I would conclude from this whole discussion, on interests and emotion. Even our central categories such as spatial orientation (up‑down, left‑right, here‑there), pressure and weight (gravity), similarity and difference, etc., largely involve imaginative structures of understanding which are of a topological, very often metaphoric, kind. Thus it is the melding of conceptual and topological that brings about the “wise,” hypothetical, cognitive space; the best studied examples we have of it are the thought‑experiments of art (metaphoricity, narrativity, music, the spatial arts, etc.), but it is at least equally present in the practice of action (e.g. in love, or in great movements of political liberation). I believe all of this is implied in the Fifth (and the Ninth) of Marx’s Theses on Feuerbach: “Feuerbach, not satisfied with abstract thinking, appeals to sensuous contemplation; but he does not conceive sensuousness as practical, human‑sensuous activity” (Marx‑Engels 108).
Second, topological imagination is strongly socialized; it is not reducible to inchoate feeling or biological instinct. As I argued earlier by way of Angenot, both topology and concept are based on historical topics. In the sense proposed in 3.1 and 3.2, concepts are obviously also (and always already) historical. There is no eternal ahistorical matrix for anchoring the nature of knowledge, truth, rationality, or indeed reality. For one thing, e.g., what is a fact notoriously depends on the filter for or frame of recognition, chosen by changeable imaginative inclinations and constraints which are as a rule shaped into ideologies. For another, the frame of categories is itself a quintessentially historical and indeed ideological construct. There are, however, some “long duration” concepts that may last through an entire social formation, and a few that may last through several, in topologically mutated but still recognizable shapes. I would not shy away from saying that, within an entirely historical horizon of material relationships, there should be a place for (possibly very few) long‑duration concepts that may last through the entire history of class society — e.g. “war.”
Obversely, one could go on to argue that beyond judgments of quality, even the logical judgments of quantity (what is singular, particular or general) are, at least in their presuppositions and horizons, deeply enmeshed in history, evaluation, and indeed ideology. On the one hand, a sanitized rational generality, the representative in logic of bourgeois society, is deemed superior to particulars, e.g. in the equality of individuals before the law. “The Law forbids sleeping under bridges with equal majesty to beggars and millionaires,” quipped Anatole France; the Law also allows a single mother to compete for a job on “equal” basis with a bachelor. On the other hand this individualism is extolled as superior to any claims of totality, which is implicit in the very definition of mental operation, and yet which is in a bad Cold War pun equated to the muddy category of totalitarianism. In spite of this obfuscation, a central axiom of economy in reasoning argues in favour of stressing totality, in the sense of a semantic thesaurus with provisional hierarchies of categories, while complementarily “[w]ords expressing totality, such as all, always, forever, never, and only, are the key ingredients of many popular songs…whose meaning is aimed at stirring up all sorts of strong feelings” (Bohm and Peat 218). Finally, we have one brain and body, the senses and the sensorium mesh. Finally also, I agree with Jameson that the “mode of production” — in the widest Marxian and Brechtian sense in which one produces not only shoes but also love, not only pianos but also music (cf. Suvin, “Brecht: Bearing”) — is “a total synchronic structure” which is for the foreseeable future the “ultimate and untranscendable” (Jameson, “Marxism” 149) imaginative horizon of illumination. It does not have to be treated as a master code, but as a user‑friendly code: on the penalty of “the obscurity of nearness, so convenient for every ruling class” (Bloch 67), the lack of appropriation because of the lack of distanciation, which means slavery to the eternal consumption‑cycle return of the masters’ wars, depressions, and other daily catastrophes.
3.4. Let me indicate, finally, that some interdisciplinary depth developments seem to bear out my approach. Potentially perhaps the most sensational is a remarkable turning point in or out of recent linguistics (since it perhaps should by now be given a different name) which may be represented by some implications of Langacker’s “cognitive grammar.” Radically jettisoning the logico‑algebraic formalism of classical linguistics as a self‑enclosed horizontal chain of propositions (Hjelmslev, Benveniste, Martinet, etc., down to Greimas — see their thorough demolition by Coquet), this approach derives all linguistic concepts from positions and configurations in “basic domains” of perceptive and representational space. All that is necessary for such a derivation are the topological properties of dimension, articulation, distance, degree of intensity, etc., and their sufficiently precise mathematical processing. This is elegantly based on the cognitive operation of scanning, that by registering qualitative contrasts finds shapes by means of borders drawn against a basis, and by which all things or entities of and in language may be defined as “regions” in some domain. There are various types of scanning, and they all dovetail with Thom’s definition of morphology as a system of borders or qualitative discontinuities. Since Langacker proposes to satisfy the constraint of informationally finite local scannings as well as of defining the routes of propagation from local to global, this morphological cognition may be transformed into conceptual cognition in the sense of a theory of scripts or frames, or indeed of Lakoff’s and Johnson’s schemas (also of Kosslyn’s work in cognitive psychology, etc., see Danesi). In the best synthesis of the field that I could find, Petitot has put forward very strong arguments for integrating this on the one hand with Jackendoff’s cognitive linguistics and Talmy’s “force dynamics” in cognition, and on the other hand with Thom’s mathematical models of morphogenesis or shape‑changes latching on to the mathematical theory of catastrophes. Even if one doubts that this is the final solution to all gaping problems on the borders of linguistics and psychology (for one thing, there is more than a touch of illicit extrapolation toward biological essentialism in some protagonists of this paragraph), the way may be thus open for a materialist “bottom‑up” treatment of language and cognition. In it, concepts and topology (or reason and emotion) are no longer even notionally to be sundered, and the brain’s analog ability of topological orientation, articulation, and anamorphosis is basic to and permanently involved in all digital conceptualization.
Such a horizon would take us beyond that of Jaggar’s brilliant and seminal essay. Yet located where we are now, we still have to argue for an emotion which is ontogenetically and phylogenetically prior to conceptuality, but axiologically a necessary intimate component of all reasoning or cognition, topological or conceptual. Her indication that the clarifying feedback between emotions and conceptual reflecting on them is particularly necessary for oppressed societal groups is for me still central, even if rephrased as a feedback traffic between the submerged topological and visible systematico‑conceptual parts of an iceberg. This plebeian point of view from below belongs, I would add, to social classes and groupings where it is in people’s interest, in order both to survive under and work to change exploitive and humiliating conditions, to yoke together and mutually clarify “gut feelings” and cognition; as opposed to people in the upper classes who have a strong vested interest in their isolation and muddying. True, in hegemony‑ridden practice the plebeian imagination and plebeian interests are repressed and as a rule coopted, thus often not recognized by themselves. Nonetheless, their potentiality or horizon must be given a preferential epistemological option. Obversely and complementarily, this means that those of us who wish to turn such an orientation into a stable stance have to begin by taking seriously “the epistemic potential of emotion” (Jaggar, “Love” 163) — and of the topological imagination.
The only useful definition of reason, taking off from the OED sense 10.a: “intellectual power…employed in adapting thought or action to some end,” necessarily includes emotion — for how could one adapt thought or action to some end without evaluation, intention, and similar epistemic goads or stimuli? In that case, reason should be added as yet another pseudo‑synonym to the cognition, knowledge, and understanding from 1.0. I strongly wish to retain and indeed expand the concept of reason (as well as others developed to deal with its internal articulation and connections, such as inferences or entailments). But in face of the terrible ravages of capitalist ratio and bureaucratic binarism, this can today only be defended on the understanding that “the structure of rationality is much richer than any set of [disembodied] logical patterns…” (Johnson 5), or any horizontal recombination of such exclusively conceptual sets considered without the vertical body stances, evaluations, emotions, and other imaginative, topological interactions with collective reality.
Notes
1/ My thanks for support in research leading to this article go to the SSHRC of Canada as well as to the Killam Award of the Canada Council; for our indispensable discussions to Marc Angenot, Chang Huei‑keng, Fredric Jameson, and particularly to Gene Gendlin, whose generous comments made me rewrite much of the emotion vs. concept argument, even if not radically enough for his taste; and for critical reading to Paul Coates. All translations from non‑English texts, unless otherwise indicated, are mine.
2/ In particular, I have for practical reasons chosen not to instance here from a great number of fields and approaches which I suspect could also be useful. Let me mention only — exemplarily — the post‑Marx analyses of capitalism, the Durkheimian micro‑sociology of group “rituals,” and the post‑Weber sociology of knowledge and religion or myth, where I am aware of substantial contributions by (e.g.) Mauss, Mannheim, W. Mills, Garfinkel or Goffman. But such fields may be endless: Mauss already implies anthropology, and what would Lévi‑Strauss be without topology (spatial and tonal)?
3/ As can be seen from his title, Gendlin is actually dubious about the terms “form” and “pattern,” and assigns them usually to logical or conceptual thought only. But then he rightly finds (e.g. in 77, 102, 145‑47) that he can use them for non‑conceptual articulation too, and I shall follow the latter practice which does not surrender the terms to Objectivism. The ellipse in the first quote is Gendlin’s.
4/ See Suvin, “Performance” 11‑13 and passim (with a lengthy bibliography). Investigation of socialized action, I argue there, englobes formalized semiotic procedures. They were not addressed in this first approach, but considerations of signic meaning and systems, in particular the central organon of historically induced Possible Worlds, would at a later stage of discussion become indispensable.
5/ I would situate here also entailment, which I would attempt to redefine (just as inference and reason itself may be redefined by foregrounding their hegemonically recessive senses), in this case by using the recognized but downplayed sense of entailment as “material implication” (rather than the strictly conceptually necessary, “strong” implication — see OED 519).
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