Note: the following is the fourth in a series of papers titled ‘Questions in Theory, Methodology, and Practice‘.
By Nils Lindahl Elliot
A researcher was swimming in Panama’s Gatun Lake when she felt an enormous blow to the chest. By the researcher’s own account, there was a split second when she didn’t know what had happened. Sheer incomprehension was followed by the realisation that she’d been given a tremendous blow by something, and that something acquired a recognisable form when an American Crocodile (Cocodrilus acutus) surfaced in front of her. The crocodile opened its mouth and arched its tail before sinking beneath the surface. The researcher had the presence of mind to try to stay still and to call for help. Assistance was forthcoming when another academic managed to swim back to shore and bring over a boat. Despite the misfortune of being attacked, the researcher was lucky in that it seems that the crocodile used its snout to give her a warning blow, as opposed to launching a full-scale attack.
I heard the researcher recount this extraordinary event while I was conducting fieldwork for my research about ecotourism on Barro Colorado Island, Panama. It occurred to me that it offered a good (if very unfortunate) way of illustrating a phenomenological approach which I first started to develop in the context of my research about zoos (1). In this paper I would like to use the encounter with the specimen of Cocodrilus acutus to specify this approach, which is indebted to the work of Charles Sanders Peirce (pronounced as ‘purse’). Peirce is widely regarded as the foremost US philosopher, and one of two ‘founding fathers’ of semiotics, the theory of the interpretation of signs.
Before presenting the approach I should perhaps provide a very brief contextualisation that explains why and how I began to develop this approach. The first point that I should make it that, whilst researching zoos, it became apparent to me that the category of representation was not a particularly useful one when studying the manner in which visitors observed animals in zoos. To speak of representation is to assume that something has already been represented. While mental images may certainly be regarded as forms of representation, the category does not allow the researcher to adequately explain the actual process of ‘viewing’, or otherwise sensing objects that are somehow external to the subject. In my view, the twin categories of attention and observation, considered by Peirce himself and developed more recently by Jonathan Crary (2), offer a more useful avenue for explanation.
To shift from representation to observation (and attention) is not to suggest that representation ceases to be important. On the contrary, the work of Crary offers a good example of the idea, now commonplace in critical cultural theory, that the human gaze, and with it observational practices more generally, are mediated by cultural institutions, technologies, discourses, particular genres of practice, and thereby, representations. As Crary puts it, observation is best understood not as a process of spectatorship, but as an instance of the Latin verb observare: ‘ “to conform one’s action, to comply with,” as in observing rules, codes, regulations, and practices’ (3). Crary suggests that ‘[t]hough obviously one who sees, an observer is more importantly one who sees within a prescribed set of possibilities, one who is embedded in a system of conventions and limitations’ (4). Such conventions must include representation. However, Crary clarifies that the conventions entail far more than representational practices. They also entail more than one representing subject. If, he suggests, it can be said that there is an observer that is specific to a particular historical period, ‘it is only as an effect of an irreducibly heterogeneous system of discursive, social, technological, and institutional relations. There is no observing subject prior to this continually shifting field’ (5).
Readers familiar with the work of Crary might be surprised that I combine his work with that of Peirce. To this day, Peirce has a reputation for being, if not a positivist, then a pragmatist in the most caricaturesque meaning of the last term: ‘true is what works’. Such characterisations have long dogged Peircian semiotics, and have made it more difficult to explain that aspects of Peirce’s work preceded by almost a century many displacements now associated with post-structuralist theory. It is, in this sense, no coincidence that Crary himself quotes Peirce on the question of attention.
That said, other aspects of Peirce also act to correct what is, in my view, the Achilles heel of much contemporary cultural theory. Many theorists in the humanities and the critical social sciences still bracket the tricky question of what with Peirce we might describe as the indexical dimension of observation, and of representation more generally. Put very simply, especially but not only when it comes to observing dynamical objects in the natural world, the objects may have a very real capacity to bite, sting, or otherwise inflect—perhaps inflict is a better word—their forms on the observer. Umberto Eco rightly noted in his Kant and the Platypus that the dynamical object—Peirce’s term for the ‘thing-in-itself’, as opposed to the represented, or immediate object—is what ‘drives us to produce semiosis. We produce signs because there is something that demands to be said. To use an expression that is efficacious albeit not very philosophical, the Dynamical Object is Something-that-sets-to-kicking-us and says “Talk!” to us—or “Talk about me!” or again, “Take me into consideration!”’ As noted by Eco, ‘Beyond a doubt the only person who made this [pre-linguistic] problem the foundation of his theory—semiotic, cognitive and metaphysical all at the same time—was Peirce’(6).
We can agree with Crary and other critical post-structuralist scholars that, even in the context of observations produced in a tropical forest, it is still crucial to consider the mediating role of discourse, technology, institutions, and of course, representations. It is, however, highly problematic to bracket the indexical force of dynamical objects such as crocodiles or toucans, poison dart frogs or phlebotomine sand flies. This being true, it is necessary to find a way of incorporating Peircian phenomenology and semiotics (I use the variant ‘semeiotics’, to distinguish the approach from Post-Saussurean semiotics) as part of more traditional approaches to cultural theory.
Those familiar with the different underlying philosophies, theories and methodologies will doubtless argue that any effort to do so is the equivalent of trying to mix oil and water. But actually, the combination works very well provided that one is able to maintain the tension that Peirce himself maintained between the semeiotic, and what Eco describes as the ‘pre-linguistic’ (I would say, ‘extra-semeiotic’) aspects of signification.
I will illustrate one way in which this may be done in a moment. First I should explain that failure to maintain this tension almost inevitably leads to one of two conceptual traps. If, as many sociobiologists do, one can only see the extra-semeiotic aspects of the encounters—or if one conceives those aspects in purely biologically determinist ways—then one falls for biologism, the doctrine that everything in human affairs is a matter of nature. But if, by contrast, one completely brackets any role for nature (or the dynamical objects that are typically the referents for the word), then the trap that winks and beckons is that of culturalism—the doctrine that everything in human affairs is a matter of culture(7).
It seems to me that Peirce’s phenomenology, and the accompanying semeiotic theory go some way in addressing both of these problems, both of these fallacies. To explain how this is the case, it may be useful to return to the unfortunate encounter with the specimen of C. acutus.
In the first split second of the attack, it seems, by the researcher’s own account, that there was sheer incomprehension, a sheer feeling of ‘blow’ which, in the terms of Peirce’s phenomenology, might be conceived as a matter of ‘firstness’—simplifying greatly, indetermination. But of course, this firstness was prompted by an actual blow, and would itself have almost instantly have been replaced by what Peirce describes as ‘secondness’: the researcher would have gone from the univocal ‘momentlessness’ and paradoxical ‘timelessness’ of firstness, to a dynamic of action and reaction, which would itself have been, however fleetingly, a matter of a fairly ‘brute’ or ‘raw’ response. If, however, this reaction involved some form of semeiosis, as it would have done almost immediately, then secondness would have itself given way to thirdness, which is Peirce’s term for a three-way mediation of the kind that defines semeiosis. To ask (or think) ‘What has happened? What has struck me?’ is to begin to mediate the encounter by way of signs.
In Peirce’s words, ‘Firstly come “firstnesses,” or positive internal characters of the subject in itself; secondly come “secondnesses,” or brute actions of one subject or substance on another, regardless of law or of any third subject; thirdly comes “thirdnesses,” or the mental or quasi-mental influence of one subject on another relatively to a third’(8). In Peirce’s philosophy, the references to thirds are references to semeiosis. Unlike Ferdinand de Saussure (9), the other ‘founding father’ of semiotic theory who conceived of signs as dyadic or two-way entities (signified and signified), Peirce conceived of signs as triadic entities. Signs and thereby semeiosis involve a three-way relation between an object of representation, a representamen (or the ‘sign itself’), and the interpretant, Peirce’s term for the process of translation that is required to make sense of signs. A sign is only meaningful in so far as it is translated into other signs: a crocodile is a reptile, has a long tail, etc. etc.. This last aspect of signs, which is not to be confused with the concept of the interpreter, is by no means external to signification: signification occurs only in so far as the three-way inter-relation between object, representamen, and interpretant occurs. Peirce was nonetheless at pains to show that signification is not the kind of free-floating process that has been celebrated by many post-modern scholars. Even in the fullness of thirdness or semeiosis, there may persist a certain secondness, and a certain firstness. This may be a ‘physical’ matter, a matter of a degree of real indetermination, or its semeiotic equivalent ‘within’ signs. So it is that one may be ‘struck’ by someone’s words, and that even as a sign is used again and again to express something, each and every use is, in some respect, the very first.
Extrapolating from Peirce’s phenomenology, and from his semeiotic, I distinguish between three different ‘levels’, or perhaps we should say ‘moments’ of observation: immediate, dynamical, and habitual forms of observation (10). An observation, sensu stricto, must always entail a degree of thirdness, or habit (more on this last term, below). But especially in sudden encounters such as the one with the C. acutus, observation will often involve pre-semeiotic aspects. In the first moments, the researcher who encountered the crocodile experienced an immediate form of observation in so far as her thoughts were not guided—perhaps I should say preceded—by semeiosis. If there was semeiosis, then it was semeisosis of the kind associated with what Peirce describes as an ‘immediate interpretant’: the object, in this case the crocodile, regarded as an unrecognised dynamical object, was observed, however briefly, in a rhematic fashion, or as Peirce puts it, by way a kind of sign for which the observer ‘leaves [the] Object, and a fortiori its Intepretant, to be what it may’(11). This is observation considered as a fleeting—indeed almost entirely evanescent—firstness.
As soon as the researcher’s observations began to become observations, in the strict sense of the term, she would have unselfconsciously and seamlessly switched to a dynamical form of observation. This is observation from the point of view of secondness, or what Peirce describes as the ‘dynamic’ interpretant. The dynamic interpretant is the ‘effect on the mind’ actually produced by (and with) the sign (12). We can say that on this level, the researcher begins to observe in a manner which distinctly indicates a subject (and so involves what Peirce described as a dicent sign [13]). She began asking herself, even if only for a split second, ‘What is this? Is this a croc?’ and so forth.
Note that in dynamical observation, a degree of indetermination remains on the level of the interpretant; more generally, this is the kind of observation that might be associated, under rather more controlled conditions, with the formulation of hypotheses. Once the hypothesis gives way to a certainty, to a full recognition or apparent recognition such as ‘Ah, it is a croc, and it is displaying its dominance’ (or some such representation), then we have ‘normal’ or habitual observation, however abnormal the circumstances. Observation reaches, in effect, the ‘fullness’ of thirdness, which is to say, the production of habitual interpretants, i.e. the kinds of signs that are usually used to interpret a recognised, or what is thought to be a recognised phenomenon.
Peirce defined habit as a ‘readiness to act in a certain way under given circumstances and when actuated by a given motive’; and he defined belief as ‘a deliberate, or self-controlled, habit’(14). We may question just how controlled, and deliberate a habit may be, but it was this ‘final’ or ‘real’ logical interpretant which Peirce believed was the ultimate subject of study of pragmatist (or as he later called them, ‘pragmaticist’) forms of enquiry. As he put it in his characteristically convoluted fashion, concepts, propositions or arguments might be logical interpretants, but not the final logic interpretants:
“the habit alone, which though it may be a sign in some other way, is not a sign in the way in which that sign of which it is the logical interpretant is the sign […] The deliberately formed, self-analyzing habit—self-analyzing because formed by the aid of analysis of the exercises that nourished it—is the living definition, the veritable and final logical interpretant” (15).
* * *
I have provided the briefest of outlines of what is a more complex theory of observation. Hopefully, it will nonetheless give some idea of how I employ aspects of Peirce’s work. Lest there be any misunderstandings, there are three points that I should clarify. The first is my awareness of the importance of observational process: almost as soon as immediate (perhaps I should say ‘i-mediate’) observation occurs, it is no longer that, and the same is true again of dynamical observation: to begin to ask questions is of course to mediate the dynamical object, and so to subsume it within a certain thirdness. It probably is true that most of our observations are already a matter of thirdness, but that must not obscure the possibility that in some circumstances, this is not necessarily the case. More importantly, perhaps, Peirce’s phenomenology, as linked to his semeiotic, allow us to conceive of a certain indetermination, a certain ‘brute force’ even within the semeiotic mediation.
This leads me to the second clarification: whether or not one calls immediate observation a form of mediation (or says that it involves a semeiotic), depends to some extent on one’s conception of the role of semeiosis in the universe. Peirce is often portrayed as a ‘pansemioticist’—he is quoted, again and again, for having suggested that the universe is perfused with signs, and a number of Post-Peircian scholars have taken this to mean that the universe itself is a sign, or a matter of signs. If so, then everything is already semeiotic, albeit not necessarily a matter of semeiotic habit. In my own interpretation of this question, I prefer to think in terms of degrees of ‘semeioticness’, and as part of this approach, of aspects or levels which are emphatically pre-semeiotic. To do otherwise is to fall for representationalism, which I regard as a variety of the nominalism which Peirce himself opposed.
The last point that I should clarify is that I am fully aware that Peirce was no sociologist (alas, he was also emphatically not a ‘psychologist’). This being the case, today we must recontextualise his theory as part of an account that, in Crary’s terms, does recognise the role of discourses, institutions, technologies and habitual forms of representation. In my own research, I have grown more and more interested in tracing the issues that arise when the latter set of dimensions come face to face, as it were, with the nature of firstness and secondness in spaces such as Barro Colorado Island (16).
Notes
1) ‘The New Zoos: Science, Media & Culture’. Research supported by the ESRC. An account of the initial phenomenological approach can be found in Lindahl Elliot (2006) Mediating Nature. London: Routledge.
2) See J. Crary (1990) Techniques of the Observer, London: M.I.T. Press, and Crary (1999) Suspensions of Perception: attention, spectacle and modern culture, Cambridge, MA: MIT Press.
3) Crary, Techniques of the Observer, op. cit., p. 6
4) Ibid.
5) Ibid.
6) U. Eco (1999) Kant and the Platypus: Essays on Language and Cognition. London: Secker & Warburg, pp. 13-14.
7) T. Eagleton (2000) The Idea of Culture, Oxford: Blackwell, p. 91.
C.S. Peirce (1931-58) Collected Papers, 8 Vols., C. Hartshorne & P. Weiss (eds.), Cambridge: Harvard University Press. Following the convention widely used by Peircian scholars, I will refer to this work as ‘CP’, and will then cite the volume number and then the numbered paragraph for each citation. In this case, Peirce CP 5.469.
9) F. de Saussure (1983) Course in General Linguistics, translated by Roy Harris. London: Duckworth.
10) see Lindahl Elliot, Mediating Nature, op. cit., pp. 35-36.
11) Peirce CP 2:95
12) Peirce CP 8:343
13) Peirce CP 2:95
14) Peirce CP 5.480
15) Peirce CP 5.491
16) For an account of Barro Colorado, see Lindahl Elliot (2010) ‘A memory of nature: Ecotourism on Panama’s Barro Colorado Island’ in Journal of Latin American Cultural Studies, 19:3, pp. 237-259.
Copyright © 2011 Nils Lindahl Elliot All Rights Reserved.