An
early step on the road to GA was taken in 1969-70, when Alain Cohen, a
UCLA graduate who still teaches at UCSD, introduced me to The Pragmatics of Human Communication
by Paul Watzlawick et al. (Norton, 1967), a product of Gregory
Bateson’s psycho-communications “project” at Stanford. The notion of pragmatic paradox
struck me as the key to the esthetic–so much so, that during a visiting
professorship at Johns Hopkins in 1978, I offered a graduate seminar on
le paradoxe esthétique with no predefined syllabus. The
consequence of this decision, although professionally disastrous, was
intellectually rewarding, since it was at Hopkins that I formulated the
originary hypothesis.
Rereading Bateson after nearly forty years–and nearly thirty of
GA–recalls my early affinities with his thought, yet also reveals a
profound divide. As suggested by the title of his best known collection
of articles, Steps to an Ecology of Mind (Jason Aronson, 1972;
all page references below are to this text), Bateson’s awareness of the
interactive nature of thinking and consequent refusal to be confined
within the individual psyche puts him in the line of thought that leads
from Durkheim to GA. If nothing else, Bateson’s theory of the “double
bind,” so to speak an Anglo-Saxon version of Girard’s “French triangle”
(the quote is from James Joyce), guarantees his continued relevance. Yet
he remains, as Derrida might have put it, behind la clôture de la métaphysique.
Because Bateson analyzes communication in logical rather than semiotic
terms, notably through Bertrand Russell’s “theory of types”–which
creates a logical hierarchy that averts paradox by forbidding words to
refer to others of their own ontological level or “type”–he lacks the
conceptual means to grasp the qualitative difference between human and
animal language. As Terrence Deacon (The Symbolic Species [Norton, 1997]) is still one of the few students of human language to recognize, the types of signs that C. S. Peirce called indexical and symbolic
are discontinuous, ontologically and neurologically. Both humans and
animals communicate through indexical signs, expressions of emotions
that provide information to conspecifics, such as a cry of fear that
serves as a warning signal. In contrast, the category of symbolic or in
Saussurean terms, arbitrary signs, belongs only to humans, and
Bateson fails to appreciate the impossibility of a logic-based
“evolution” from one to the other.
Today when zoosemiosis is all the rage, it is considered bad form to
insist on what anyone but a university intellectual can see is the
qualitative superiority of human language over that of dolphins or
bonobos. Indeed, Bateson’s “ecological” view of nature, in which not
only humans and animals but their natural environment as a whole are all
part of a single system, makes him a key ancestor of modern
environmentalism, in its intelligent as well as its mindlessly victimary
aspects. Bateson’s observations in his 1967 essay, “Style, Grace and
Information in Primitive Art,” that “mere purposive rationality unaided
by such phenomena as art, religion, dream, and the like is necessarily
pathogenic and destructive of life,” that “unaided consciousness must
always involve man in the sort of stupidity of which evolution was
guilty when she urged upon the dinosaurs the common-sense values of an
armaments race,” and finally, that “unaided consciousness must always
tend toward hate” (146) are prime illustrations of the sixties critique
of “capitalism” and the Cold War whose roots lie in the postwar
repudiation of the Fascist exaltation of the principle of dominance that
culminated in the Holocaust.
Bateson begins the 1955 essay “A Theory of Play and Fantasy” by
describing his quest to understand the evolution of communication, “a
very important stage [of which] occurs when the organism gradually
ceases to respond quite ‘automatically’ to the mood-signs of another and
becomes able to recognize the sign as a signal” (178). This stage is
subsequently defined as “the drama precipitated when organisms, having
eaten of the fruit of the Tree of Knowledge, discover that their signals
are signals. Not only the characteristically human invention of
language can then follow, but also all the complexities of empathy,
identification, projection, and so on” (179). In this passage, despite
the affirmation of the uniqueness of human language implied by the
biblical reference, Bateson displays his unfortunate tendency to
conflate language with forms of emotional interaction already in
evidence in the animal world.
A visit to a zoo revealed to Bateson that playing animals “were
capable of some degree of metacommunication, i.e., of exchanging signals
which would carry the message ‘this is play’” (179). This gave him the
idea of using play as his primary model for a higher level of
consciousness than simple (indexical) “mood signs”; in order to play, an
animal must be aware that its own actions and those of its fellows are
not “real.” Bateson describes play in logical terms: “‘these actions [of
play] . . . do not denote what would be denoted by those actions which
the actions denote.’ The playful nip denotes the bite, but it does not
denote what would be denoted by the bite” (180). After pointing out that
this use of “denote” on two different levels violates Russell’s theory
of types, he concludes that “the evolution of play may have been an
important step in the evolution of communication” (181), presumably
leading to human language.
Thus Bateson extends the term “denote,” which in its literal sense
can only be accomplished by a signifier denoting its signified, to refer
to the indexical association of one act with another. “The nip denotes
the bite” may be interpreted as saying that in the universe of dog play,
the nip means the bite, corresponds to what would be a bite in
the “real world.” As for what the bite itself “denotes,” this cannot be
defined in the play world, where the bite cannot exist; thus the
paradoxical thought of its denotation constitutes a type violation.
Yet among dogs as among humans, an aggressive act does not normally
“denote” anything. If we play cops and robbers, in Bateson’s terms,
saying “bang bang” “denotes” shooting. If, however, I really shoot you,
what am I “denoting”? Shooting might be considered an index of
aggression, but what we refer to as an animal signal–a warning cry, for
example–has a presumably adaptive communicative function, whereas a
bite, like a gunshot, normally “communicates” nothing more than its
practical consequences. Bateson’s metaphoric use of logical terminology
beclouds the question of language origin that he originally posed in the
unambiguously human terms of the Tree of Knowledge.
However pregnant with future evolutionary possibilities, animal play
is not comparable to human symbolic representation, in which words and
things belong to different universes rather than one being a
“non-serious” form of the other. The formulation of the connection
between nipping and biting demanded by Occam’s razor is not that the
first denotes the second but that the first is an inhibited
version of the second. Without going into the details of dog behavior,
where play is largely subordinate to displays of submission and
dominance, it suffices to say that a dog nips rather than bites because
at the level of aggression at which nipping occurs, it has proved
adaptive to avoid bloodshed by discharging this aggression while at the
same time displaying an absence of intention to attack. The original
source of the dog’s inhibition, we may assume, is fear of being bitten
back, and eventually dogs come to “know” they are playing, but only an
uncritical anthropomorphism would extend this knowledge to awareness
that their nips “denote” real bites.
Bateson goes on to develop a second model of “denotation,” Korzybski’s model of map and territory,
which would seem to make more explicit than play the symbolic rather
than merely indexical nature of the relationship between its terms. A
map is not a reduced version of a territory, but a separate
two-dimensional diagram. Yet Bateson uses the map-territory model rather
to illustrate the paradoxical effect of ritual, where “the
discrimination between map and territory is always liable to break down,
and ritual blows of peace-making are always liable to be mistaken for
the “real” blows of combat” (182). Thus even after quoting Korzybski’s
line, “The word ‘cat’ cannot scratch us” (180), Bateson describes, as he
did with play, ritual blows as “mapping” the real blows of combat.
These formulations reflect a genuine anthropological intuition
struggling to express itself in an inadequate vocabulary. Bateson’s
fascination with the ritual confusion between map and territory
ultimately leads him to a pregnant quasi-Durkheimian reflection on
religion:
Finally, in the dim region
where art, magic, and religion meet and overlap, human beings have
evolved the “metaphor that is meant,” the flag which men will die to
save, and the sacrament that is felt to be more than “an outward and
visible sign, given unto us.” Here we can recognize an attempt to deny
the difference between map and territory, and to get back to the
absolute innocence of communication by means of pure mood signs. (183)
The “metaphor that is meant” corresponds nicely to the sacred as both signified and referent of the originary sign; the originary “name-of-God” is meant in both senses of signified and taken seriously.
And the soldier defending the flag is Durkheim’s own example of the
secular sacrality that links modern France to the stone-age tribes of
central Australia. But Bateson never conceives that this “attempt to
deny the difference between map and territory” might refer, through the
mediation of sacred history, to an originary moment in which the
uniquely human difference of map and territory, sign and thing, first
emerged.
The “absolute innocence” sought by religious sacrament is in fact
wholly different from the indexical “mood signs” we share with animals.
The “innocence” of the latter is simply their pre-human dependence on
biological “moods”; animals are innocent whether nipping in play or
slashing away in earnest. In contrast, the “innocence” of the ritual
conflation of map and territory derives from its evocation of a sacred
being that not merely reduces violence to play but suspends action
altogether, so to speak transforming a real-world cat into Korzybski’s
‘”cat’ that doesn’t scratch.” This sacred guarantee of communal peace
must precede the ritual pseudo-violence that culminates in sacrifice–and
which, as Bateson emphasizes, sometimes breaks down in real violence.
Maintaining peace in the human community is a difficult and not always
successful undertaking, but the point to retain is that the “absolute
innocence of communication” that is the aim of ritual and of all other
cultural phenomena depends on our ability to transcend the violence of our worldly “moods” in the shared contemplation of a scene of communal significance.
Bateson concludes the essay with the reasonable but insufficient
observation that “paradoxes of abstraction [i.e., that confuse different
logical types] must make their appearance in all communication more
complex than that of mood-signals, and . . . without these paradoxes the
evolution of communication would be at an end. Life would then be an
endless interchange of stylized messages, a game with rigid rules,
unrelieved by change or humor” (193). Although this less than
perspicuous formulation makes the important connection between paradox
and (the origin of) human language, it displays no awareness that
linguistic signs are neither “mood-signals” nor meta-communications
about mood-signals on the model of “this is play.” Indeed, given that
animal play must be understood as helping maintain social organization
by deferring intraspecific violence, human language can emerge only when
play of this sort and the pecking-order dominance hierarchies it
supports have proved inadequate to maintain order. The
stability of the human community is founded not on a one-on-one pecking
order but on the symmetrical interaction of all its members around a
central sacred object that defers mimetic violence, not by “subliming”
it into play but by interdicting its appropriation as an object of
worldly desire.
Before logical or linguistic categorization can take place, the
community must establish through its exchange of signs a transcendental
universe of representation, the world of Derrida’s différance.
The sacred object, by being designated as inaccessible, as present on
the scene of language rather than in the real world, is withdrawn as a
potential source of mimetic violence. The fundamental paradox that
underlies all logic and permits the subsequent establishment of “logical
types” is that the sign designates its referent as “always already”
part of this transcendent universe. What we point to is God, both/either
because pointing makes it God, and/or because pointing recognizes its
divinity.
Unlike the world of mathematics, the world of logic requires an
object-universe to which its propositions refer–and reference to which
risks generating paradoxical “objects,” such as Russell’s barber who
shaves everyone who doesn’t shave himself. But this object universe can
only be constituted in the first place by the act of faith that accepts
that the object the sign designates as significant is significant
independently of the sign. What bears out this faith is the ability of
signification, of representation-as-sacred, to defer violence within the
community. The social order rests on the equivalent of a Prisoner’s
Dilemma enforced by the community as a result of its universal
acceptance. The theory of types can only get off the ground once the
first “type,” that of the sign as ontologically distinct from the thing
it refers to, has been saved from the violence attendant on confusing
“map” with “territory,” the “aborted gesture of appropriation” with a
real attempt to appropriate the object, by the communal faith that the
signifying gesture designates a sacred being inaccessible in the real
world.
In a later essay, “Redundancy and Coding,” which first appeared in a
1968 collection on animal communication published by semiologist Thomas
Sebeok, Bateson makes a more focused attempt to distinguish between
human and animal communication. He begins by rejecting the common-sense
idea that “language replaced the cruder systems of the other animals”
(417), not realizing that by denying this “replacement” he is in effect
admitting that human language is discontinuous with animal communication and consequently cannot be derived from it.
After a good deal of inconclusive speculation on how our “digital”
language might have evolved out of the “iconic” (that is, indexical)
language of animals, Bateson settles on the emergence of the negative
“not” as the simplest criterion of this transition. Bateson sees an
important difference between “don’t” as a negative imperative that
animals can communicate indexically, for example, by threat, and “not”
as a simple negative referring in the case at hand to the animal’s own
actions: “I will not bite you” (430), which can only be communicated
symbolically.
[E]volution of a simple
negative would be a decisive step toward language as we know it. This
step would immediately endow the signals–be they verbal or iconic–with a
degree of separateness from their referents, which would justify us in
referring to the signals as “names.” The same step would make possible
the use of negative aspects of classification: those items which are not
members of an identified class would become identifiable as nonmembers.
And, lastly, simple affirmative indicative statements would become
possible. (431)
This absolute “degree of separateness” between sign and referent is
what defines symbolic as opposed to indexical signification. Although
Bateson does not make clear whether the negative is the source of this separateness or a sign
of it, we can accept his principle that human language originates with
the “negative,” provided that we interpret the latter not as linguistic negation but as cultural interdiction.
This allows us to understand Bateson’s “don’t” vs “not” as opposing, in
the first case, the animal’s one-on-one threat, and in the second, the
communal scene of human language, where the reciprocal exchange of the
“aborted gesture of appropriation” demonstrates that all members of the
group have renounced the intention of appropriating the central object.
If for no other reason, this seemingly adventurous extrapolation from
Bateson’s thought is justified by the historical fact that Bateson’s
“double bind” and Watzlawick’s “pragmatic paradox” provided the
conceptual tools for the first step on the way from Girard’s theory of
mimetic desire to generative anthropology.