Beruflich Dokumente
Kultur Dokumente
Approaches to Semiotics
89
Editorial Committee
Thomas A. Sebeok
Roland Posner
Alain Rey
Mouton de Gruyter
Berlin • New York
Man as a Sign
Essays on the Philosophy of Language
by
Augusto Ponzio
Mouton de Gruyter
Berlin · New York 1990
Mouton de Gruyter (formerly Mouton, The Hague)
is a Division of Walter de Gruyter & Co., Berlin.
Ponzio, Augusto.
Man as a sign : essays on the philosophy of language /
by Augusto Ponzio ; translated from the Italian and edited
by Susan Petrilli.
p. cm. — (Approaches to semiotics ; 89)
Translated revisions of parts of Per parlare dei segni and
Filosofia del linguaggio.
Includes bibliographical references.
ISBN 0-89925-602-3 (alk. paper) :
1. Semiotics. 2. Languages—Philosophy. I. Petrilli,
Susan. II. Title. III. Series.
P99.P55 1990
40Γ.41 — dc20 90-32711
CIP
Ponzio, Augusto:
Man as a sign : essays on the philosophy of language / by
Augusto Ponzio. Transi, from the Ital. and ed. by Susan
Petrilli. - Berlin ; New York : Mouton de Gruyter, 1990
(Approaches to semiotics ; 89)
ISBN 3-11-012167-0
NE: GT
Augusto Ponzio
Contents
Preface ν
Introduction 1
Susan Petrilli
Bibliography 62
Bibliography 288
In its present form, this book only exists in the current English
edition for which it has been specially organized; an exact Italian
equivalent does not exist.
This particular edition includes parts which are being presented
here for the first time in English, and others which have already been
published, in a slightly different version, in various books and scientific
reviews. All parts have been re-organized and internally connected
so as to constitute an organic whole.
An appendix, consisting of two parts written by myself, has also
been included; it takes up and develops some of the topics dealt with
Introduction 13
i.e. its interprétant, which in its turn gives rise to other interpretative
routes. Such other interpretative possibilities will eventually have to
be confronted with previous interpretations, especially if a relation
of coexistence is not possible and a choice between two or more
contrasting interpretations imposes itself.
In virtue of semiotic materiality, the interpreted has its own con-
sistency, its own resistance which the interprétant will have to take
into account and adjust to. What is interpreted and becomes a sign
because of this — whether it be an utterance or a whole line of conduct
(verbal or nonverbal), or a written text, or a dream - does not lie at
the mercy of a single interprétant. This is so precisely because the
interpreted is open to several interpretations and is therefore the
crossing point of numerous interpretative routes.
We have called this type of materiality semiotic because of its wholly
sign nature: it is not an a priori property as regards interpretative routes.
Semiotic materiality is determined and exists in interpretative routes
alone, it is obtained in the network of signs: the uninterpreted residue
of an interpretative route exists inside another interpretative route.
When a sign is produced intentionally, as in the case of a written
text or of a gesture signifying something, it already bears an inter-
pretation, which is that conferred to it by its author. Once it has been
produced, however, the sign gains autonomy with respect to the author
and, with respect to the author also, it presents its own semiotic
materiality and objectivity which, as we have said, consists in its
presenting itself to other interpretative routes different to the one for
which it was originally produced.
This is what distinguishes a sign from a signal (see above) which,
on the contrary, imposes a one-way progression. In the signal, the
interpreted and the interprétant are coupled monogamically. We may
certainly change the meaning of a signal but then a new monogamie
route is installed. An anecdote has it that on being asked by a passport
controller why he did not have one wife only, Roman Jakobson
answered that he certainly was polygamous, but only in diachrony,
while in synchrony he was monogamous. In the same way, the signal
is polygamous only diachronically and not synchronically.
As regards semiotic material we may say that the signal has less
semiotic consistency than the sign, or that it is a sign with scarce
semiotic consistency.
We call the uninterpreted semiotic residue of the sign, SIGNIFIER.
The latter has its own irreducible alterity with respect to the inter-
Meaning as an Interpretative Route 25
pretative route "X", for it also occurs in the interpretative route "Y";
but it has an irreducible alterity with respect to the latter route as
well, because it also has its place in the interpretative route "Z", and
so forth. In other words, the signifier is the sign in its autonomy
and alterity as regards a specific meaning because it can also have
another meaning in relation to which, however, it continues to present
autonomy and alterity as it can have still another meaning, and so
forth. Understood in this way, the signifier is not in a relation of
equal exchange with the signified; it presents, rather, an actual excess —
a giving without a counterpart — with respect to a specific meaning.
We may call the more or less wide margin of escape, of distancing
of the signifier in relation to an interpretative route, SHIFT. There
are signs that have very little shift for on being produced they are
already channelled into specific interpretative routes, e.g., the signs
proper to a profession or kinship role and which have a precise aim
such as teaching, persuading, informing, etc. This shift margin is created
by what escapes the author of the signs and is not part of his intentions,
it is the surplus with respect to the meaning that the sign serves. There
are signs, instead, which have greater shift because they belong to
expressive practices which are actually characterized by the autonomy
and alterity of the signifier. We are referring particularly to literary
texts, but also to every other signifying practice that will not allow
itself to be reconducted to a specific meaning, that does not fix a
sense for itself in a precise end.
A sign may have such a wide shift margin as to make the
interpretative movement look as though it is drifting without a
specific direction.
We may say that signs with minimal shift have SIGNIFICATION, and
that signs in which shift and therefore the autonomy of the signifier
are particularly consistent have SIGNIFICANCE.
Once the sign is considered as a relation between interpreted and
interprétant, the conception of sign as being composed of a physical
part (the sign vehicle, the signifiant) and of a mental part (the signifié)
no longer holds. The sign is an interpretative act consisting in uniting
something that acts as interpreted (which is not necessarily a physical
object) to something that acts as an interprétant (which is not
necessarily something mental). The interpreted may have a physical
existence, such as a written text or a phonia, or an advertisement
poster, as much as it may be a mental image, as when we attempt
to interpret what has appeared to us while dreaming, or as when we
26 Signs to Talk About Signs
that the noises from the road bother me, etc. (unless, owing to an
agreement between myself and another person, closing the window
is in fact a sign - more exactly a signal - meaning, for example, "the
road's clear"). The same is true of clothing, which may give rise to
several different interpretative routes, but which all the same has
nonsign functions - that of covering, of protecting from the cold, etc.
A pair of shoes on display in a shop window is a sign: not only do
they indicate that the shop in question is a shoe shop, but also that
a certain type of shoe is on sale in that shop. Of this type of shoe
they are the sign. If we say "I would like that pair of shoes" to the
shop assistant, we are not at all surprised, nor do we protest if rather
than getting the shoes in the shop window (even though they are
the colour and size we asked for) the shop assistant gets another pair,
in relation to which those on display are the interprétant sign. Once
the shoes in the shop window sold as the last pair available are worn,
they cease to carry out a sign function (at least their previous sign
function even if they can have others) and take on a nonsign function.
In order to distinguish it from physical materiality, we may call
this kind of extrasign materiality of nonverbal signs EXTRASIGN
INSTRUMENTAL MATERIALITY.
In relation to signs, therefore, we have distinguished between three
types of materiality: semiotic materiality, extrasign physical materiality,
extrasign instrumental materiality.
In all interpretative routes we find signs made of words, images
and material objects. We have said that no sign can exist outside of
the connection with other signs. We may now add that no sign —
whether a verbal sign, mental image, or material object acting as a
nonverbal sign — can exist without being connected to verbal signs
as much as to mental images and material objects with a sign function.
Whether this connection is made explicit or remains implicit, unsaid,
it constitutes the inexorable condition by which something acts as
sign. In other words, verbal signs, mental images, and material objects
are all necessarily part of an interpretative route (implicit or explicit
as it may be) whereby something has meaning and is thus a sign.
Interpretative routes consisting exclusively of verbal signs, or of mental
images or of material signs, cannot exist. Thus not only do all signs
involve other signs, but, furthermore, these signs mustbe heterogeneous.
No type of sign is self-sufficient. And the renvoi from interprétant to
interprétant cannot limit itself to a single type of sign; and if instead
the opposite seems to be true, this is only because the interprétants
28 Signs to Talk A bou t Signs
* The Italian term alterità (Fr. altérité) has been rendered consistently with the
term "alterity" in the first part of this volume, and alternately with "otherness"
in the second part (Trans.).
30 Signs to Talk About Signs
of a fact or result on the basis of a rule. The rule is not given prior
to and outside of the process of interpretation. The conclusion is
the interprétant of the assertion and describes a certain fact or result:
and it is from the assertion that the general law or principle (the major
premiss) ensues. The interpreted forming the minor premiss and the
interprétant, the conclusion, are in a dialogic relation which is not
predetermined by the choice of a law. The possibility of retroaction
of the interprétant on the premiss, to the point that interpretation
determines the major premiss (a determination in which the conclusion
is decided), is precisely what makes us indicate this type of reasoning
as retroduction or abduction. There are various types of abduction,
from those with a low degree of novelty and excess of the interprétant
in relation to the interpreted, to creative and audacious abductions
where the interprétant dares and risks as it evaluates the fact in the
light of a law which is not automatically recalled by that fact or which,
in certain cases, is not even foreseen by the semantic universe of the
encyclopaedia available, but is rather constituted ex novo, invented.
The Referent as Implicit Interprétant 33
2) "Venus is a planet",
or as in
or
Any sign at all, however explicative it may be, leaves certain parts
of its interpretative route unsaid. For example in (2) the interpretative
route of " p l a n e t " which makes it the interprétant of 'Venus', is
implicit. If utterance (3) is explicative due t o the different way in
which it is formulated with respect t o (1), similarly to (1) it contains
parts that are not explicative, the meanings of which are taken for
granted: 'Mercury', 'closer to the Earth', 'more distant f r o m the Sun'
(think of the completely different meaning of 'closer' in " I ' m closer
t o you now than I used to be", or in "Vailati is closer to Peirce than
t o Morris".
That which belongs t o an implicit explicative route thus enabling
us to understand utterances of the type, "The President of the Cabinet
has gone on holiday t o Cortina"; "Reagan announced the beginning
of a war with the USSR as a j o k e " ; " T h e are nine planets in the solar
system"; "Mario did n o t go to school this m o r n i n g " ; " T h e author
of the Sepolcri also wrote m a n y love letters", is called R E F E R E N T .
Therefore, the referent of a sign is another sign t o which the former
refers implicitly. Once it has been made explicit, that which was a
referent changes function and becomes an interprétant with an expli-
cative f u n c t i o n ; while that which had a referent, i.e., a sign with
implicit meaning, becomes an interpreted. Referent, interprétant and
interpreted are, therefore, the different functions carried out by
t h e sign.
It turns out, also, that b o t h meaning and referent go to f o r m the
interpretative route traced out by the interprétants of the sign, with
the difference, however, t h a t meaning is the explicit part and the
referent is the implicit part. Or, t h e implicit part of an interpretative
r o u t e (referent) is what t h e explicit part (meaning) refers to. Due
The Referent as Implicit Interprétant 35
In fact, in this case the interprétant repeats the phonia. The phonia
'we will catch the three o'clock train' has, when merely a question
of its identification, the phonia "we will catch the three o'clock train",
as interprétant.
It would seem, therefore, that the interpreted and interprétant
are the same phonia.
In reality, the interprétant with an identification function is
different from its interpreted even though it repeats it; and if the
interprétant in question seems to be the same, to the point of enabling
us to identify the interpreted, this is due to a process of abstraction
concerning what is not relevant with respect to the identification
function here carried out by the interprétant: whether the phonia
is produced by the voice of a man, woman or child, whether it is
pronounced loudly or is whispered, whether it is articulated slowly
or pronounced quickly, is not relevant. There are interprétants that
draw illations and conjectures from these very particulars, e.g., the
timbre, tone, velocity or pitch of the voice, referred to as a means
of identifying the speaker or of working out his attitude towards
the listener.
But, in the case of identification of the phonia, all this is not relevant
and is abstracted from by the interprétant.
The interprétant identifying a phonia is thus the phonia minus
what is not relevant for its identification. In this sense, the former
does not coincide with the phonia unless we abstract from all the
excess particulars with respect to those necessary for its recognition.
Between 'We'll catch the three o'clock train', uttered softly by a
woman, and a loud repetition of it by a man 'you said "We'll catch
the three o'clock train", didn't you?', there is identity only by
abstracting from a whole series of differences in relation to which
"We'll catch the three o'clock train" and "We'll dine in the train
at three o'clock", pronounced softly by the same woman, have more
things in common.
Abstraction occurs in relation to both physical and semiotic material.
As regards physical material, we disregard what does not have a
distinctive function for the recognition of the phonia and which,
therefore, is not relevant: from this point of view, e.g., that the initial
element t of 'train' uttered by a certain person should resemble the
initial element t of 'train' as pronounced by another is not as important
(or not only) as the fact that this element should be distinguished
from the other elements of the phonematic system (the code) to
40 Signs to Talk A bou t Signs
which the speaker and interpreter refer — in this case that of the
English language - , for which 'train' differs from 'drain' because
of the initial letter, just as 'pig' is different from 'big'; 'pig' is different
from 'big' just as 'fine' is different from 'vine'; and so forth. With
respect to physical material, abstraction concerns the elimination
of all those acoustic aspects that impede consideration of the inter-
preted phonia as being the same as the interprétant with the function
of identification.
With respect to semiotic material, abstraction concerns the elimina-
tion of all other possible interpretative routes irrelevant to the identifi-
cation of the phonia.
The same thing happens when, instead of a phonia, we are dealing
with the identification of a piece of writing, whether it be a single
element, e.g., a letter, or a whole word or text drawn up in a secret
code or in an unknown language.
A question of meaning is certainly at play in both cases given that
interpretative operations are accomplished. Nor is the problem of
meaning excluded in the identification of a phonia or graphia: 'train'
pronounced with a French "r" means "train"; in a secret code, the
graphic sign 'X' means "a", i.e., it has "a" as interprétant. A kind
of cross recurring in a certain person's writing means " f " (it has " f "
as interprétant) and not " t " ; the sign 'LI' means "51" and not "li".
Thus, the problem of meaning, i.e., of the relation between inter-
preted and interprétant is also present at the level of phonological or
graphological interpretation, i.e., of formal interpretation as a phase
distinguishable from that concentrating on content. In other words,
the question of meaning is also present at the level of the identification
of the units composing words, phrases and texts.
This relation emerges with the characteristics proper to the signal.
The identification, the recognition of the verbal sign at the phonological
or graphological level is a kind of interpretation not unlike that
concerning signals.
Indeed, the interpreted-interpretant relation is not necessarily im-
mediate, certain, nor to be taken for granted at the level of phonological
or graphological identification but, on the contrary, may be merely
given as a hypothesis or conjecture; and there may be different reasons
for this, ranging from disturbed listening or reading (noise, as intended
by information theory) to cognitive deficiencies on the part of the
interpreter with respect to the code (a secret code, a language that
the interpreter is not familiar with, etc.). But such things only con-
Signality in Verbal Signs 41
verbal signs, as well as when, as paraverbal signs, they carry out the
function of traces, symptoms or clues.
We may say then, that:
— all signs (signals included) are percepts also;
— all percepts have the character of signality;
— all signs (and not only signals) present the character of signality
(signals have double signality: as signals and as percepts).
Conventionality, Indexicality and Iconicity 49
All utterances, that is, all verbal realizations may be divided into
two parts, relative, respectively, to the interprétant of answering
comprehension and to the interprétant of identification. What we
need to establish, therefore, is which part is ascribable to the higher
levels of sign resonance and which to signality.
Utterance meaning connected to the interprétant of answering
comprehension may be called ENUNTIATUM. In other words, the
enuntiatum of an utterance refers to the highest sign levels of utterance
meaning.
Utterance meaning connected to the interprétant of identification
may be called SENTENCE or sentence complex. In other words, the
sentence or sentence complex refers to the lowest abstract levels
of utterance meaning.
The sentence is the level of the deconstructable, of the linguistic
elements, while the enuntiatum is the level of linguistic unity, of
sign wholeness. The interprétant of answering comprehension relates
to the utterance as a unitary and undeconstructable totality, capturing
its general meaning; the interprétant of identification, instead, relates
to the constitutive elements of the utterance, as a sentence or sentence
complex, at the phonological, syntactic and semantic levels.
Furthermore, in relation to the interprétant of identification the
utterance is given as the repetition of certain distinctive features that
permit the recognition of phonemes, monemes and syntactic structures;
on the other hand, in relation to the interprétant of answering com-
prehension the utterance is taken in its singularity, for that which
it means here and now: not only does the interprétant of answering
comprehension not limit itself to repeating the utterance as does
the interprétant of identification but it treats the utterance in question
as something unique and unrepeatable. A repeated sentence is always
the same sentence; a repeated enunciatum is never the same enunciatum,
it cannot be repeated, or, in other words, on repeating an utterance
what is repeated is the sentence and not the enuntiatum. Each time
the utterance is repeated, the enuntiatum has a special interprétant
of answering comprehension; on the contrary, the sentence always has
the same interprétant of identification. At the level of identification,
Enuntiatum, Text and Discourse Genre 59
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68 Signs to Talk About Signs
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1985 Metodica filosofica e scienza dei segni, Milano: Bompiani, Chp. VII,
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72 Signs to Talk About Signs
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2. Adventures of the Sign
Meaning and R eferen t in Peter of Spain 77
1. This paper reconsiders and develops certain questions proposed in my paper "La
semantica di Pietro Ispano", in F. Corvino et alii, Linguistica medievale, Bari:
Adriatica, 1983.
78 Adventures of the Sign
terms, the nomina substantiva, on the one hand, and the nomina
adiectiva and the verba, on the other.
Therefore, we have:
— two forms of acceptio, that is, of the assumption of a verbal sign
for something: suppositio and copulatio·,
— two modi rerum que significantur corresponding to the above-
mentioned forms: adiectivatio and substantivatio·,
— two types of nomina: nomina substantiva and nomina adiectiva;
the nomina substantiva correspond to the substantivatio, while the
nomina adiectiva together with the verba correspond to the adiectivatio.
Peter of Spain specifies that
proprie non est significatio substantiva vel adiectiva, sed aliquid significatur
substantive et aliquid adiective, quia adiectivatio vel substantivatio sunt modi
rerum que significantur, et non signifìcationis (TractatusSO).
2.1.4 Appellatio
Appellatio est acceptio termini communis pro re existente. Dico autem 'pro
re existente', quia terminus significans non ens nichil appellai, ut 'Cesar* vel
'Antichristus' et ' c h i m e r a e t sic de aliis.
Differt autem appellatio a suppositione et a significatione, quia appellatio
est tantum de re existente, sed significatio et suppositio tam de re existente
quam non existente. Ut 'Antichristus' significat Antichristum et supponit pro
Antichristo, sed nichil appellai, 'homo' autem significat hominem et de natura
sua supponit tam pro existentibus quam non existentibus et appellai tantum
homines existentes.
Meaning and Referent in Peter of Spain 91
the reign of Louis IV would have been false, while at the same time
being endowed with appellation in addition to supposition.
Peter of Spain is well aware of the fact that semantic problems
cannot be treated adequately by considering the various parts of
discourse in isolation. The determination of the significatio, suppositio
and appellatio of a single term, as well as the correct deciphering
of a sentence are always dealt with in the Tractatus with reference
to the general context of the oratio to which the term or sentence
belongs. The meaning of the oratio is decided, in its turn, in the real
context of communication, so that the very distinction between oratio
perfecta and oratio imperfecta is made to depend upon the overall
effect obtained upon the mind of the listener.
Oratio perfecta est que perfectum generat sensum in animo auditoris, ut 'homo
est albus'; imperfecta oratio est que imperfectum generat sensum in animo
auditoris, ut 'homo albus' (Tractatus 3).
But your Signifies brings Plato and Aristotle into line with all
that is most modern in knowledge and that promises most for
the future. Even the work of Locke and J.S. Mill has fallen
short of what Signifies will do in time. It is a work like that
of Nicholas of Cusa preparing for a Copernicus. It gives us, in
exchange for a small, a great — for a poor, a rich — world of
light. It must react upon all religion and theology, on practical
as well as moral life, setting them free from the distorting pres-
sure which deforms and sterilises. It is at the heart of things —
the first glimmer of the answer and the guidance for which
we are looking (Calderoni and Vailati as reported by Lady Welby
in a letter to her daughter Nina Cust, cited by Schmitz 1985 :
clxxiv).
Allow me to thank you for the kind words wherewith you have honoured my
book [What is Meaning?] and to explain that the word 'Signifies' was chosen
Signifies and Semiotics. Welby and Vailati 95
after consultation with English scholars, because (1) it had not been used before
and had no technical associations like those of semiotic, semasiology, semantic,
etc.; and (2) because in English idiom it appeals not merely to the student and
the Scholar but also to what we call 'the Man in the street'.
All men alike with us ask naturally 'What does it Signify?' and puts aside,
ignores what does not signify. He unconsciously gives the Sign its true place
and value. He says 'never mind that' throw it away, it does not signify (it is
no sign and has therefore no sense). I think it is important to take a case where
the popular instinct is unconsciously philosophical and utilise this in favour
of an advance in thought which must concern us all, though in different ways.
[ . . .] May I add one more word. Neither Locke nor any other thinker, it appears
has ever yet analysed on 'signifie' lines the conception of'Meaning' itself.
special interest for me" (letter of May 18, 1905; see Vailati, "Sull-
l'arte dell'interrogare", in Rivista di psicologia, now in Vailati 1972:
204-209); "I have now the pleasure to send you copies of the three
translations of your articles that I have had made for my own use.
They are to me of great interest but especially perhaps that on 'The
Art of Questioning'. It is a great satisfaction to me to find that views
on education which even quite recently were laughed at are now on
all sides being more and more recognised" (June 25, 1905); "I cannot
forget that you have been among the very first of European thinkers
to encourage me in my most difficult enterprise, the need of which
you had already felt" (letter of December 28, 1907); "I have at once
given myself the pleasure of reading your article on the 'Attack of
Distinctions' for which I venture to thank you as it is an admirable
example of the critical method of Signifies (although of course in an
indirect sense)"; "I read your Article in the Journal of Philosophy
and shall look forward to the next. There could be no more interesting
subject for the significian than that of philosophical distinctions,
illusory and substantial (or indestructible)" (Letter of June 15, 1908).
I hope your article will cause readers to appreciate Signifies as a study of grave
importance not merely from the point of view of Morals, but also from that of
Truth (8.379).
One could reply to observations of this kind with the words of Lady
Welby herself from a letter to Peirce of January 21, 1909:
Of course I am fully aware that semiotic may be considered the scientific and
philosophic form of that study which I hope may become generally known as
Signifies. Though I don't think you need despair of the acceptance of your
own more abstract, logically abstruse, philosophically profound conception of
Semiotic. Of course I assent to your definition of a logical inference, and agree
that Logic is in fact an application of morality in the largest and highest sense
of the word. That is entirely consonant with the witness of Primal Sense. Alas,
there is no word (except religion) more dangerously taken in vain than morality
(in Hardwick :91).
and to place ethics before truth. But indeed it seeks the foundation
of truth as well as of ethics and of all other values: this foundation
lies in signifying, that is, in the interpretation of the signs of ethics
and truth (in other words, of the signs by means of which truth and
other values are expressed) through interprétants that signify for us,
given that for signifies the specialists are not the sole agents, but,
as Lady Welby says, all of us could be "significians". With regards
to this last aspect, the science of signs is part of Signifies and does
not coincide with it: compared to semiotics as a specialized discipline,
Signifies presents a surplus, in consideration of which it may be called,
as I proposed at the beginning of this paper, "ethosemiotics".
I also believe that Peirce's semiotics is an ethosemiotics, and that
consequently there is a common ground to his and Lady Welby's work,
and not only because the latter's trichotomy of Sense, Meaning, and
Significance coincides with Peirce's tripartite division of the Inter-
prétant (see Peirce's letter to Lady Welby of March 14, 1909). I
cannot dwell on this point now but will simply limit myself to calling
attention, for example, to a series of papers by Peirce collected in
the volume Chance, Love and Logic.
The "logician" Vailati also was concerned with the relation between
what is true by common or scientific tradition and what may signify
because one can answer for it in person. This relation is fundamental
to the educational process, and it is significant that both Lady Welby
and Vailati should have attached so great an importance to the
educational issue.
In the article "Sull'arte dell'interrogare" (1905), Vailati compares
questions of the kind "What is it?" — which induce as answers verbal
clichés, stereotyped sentences, mechanical definitions — with those
of the kind "What would you do, if . . . " o r "What would you do to,
in order that . . .", which show the connection between concepts and
definitions on the one hand, and the behaviours, operations, contexts,
and expectations by means of which the concepts and definitions
may signify, on the other. For Vailati, too, the question "What does
it signify for you, for us?" is fundamental. That which is true may be
taught only if we bring it back to the conditions, experiences, and
experimental verifications by which we understand what it signifies
that something is true.
The connection between ethics and science does not lie, for Vailati,
in some kind of intrusion and pretension to leadership in the field
of ethics on the part of the scientist as a scientist. Rather, that which
Signifies and Semiotics. Welby and Vailati 103
I think, dear Lady Welby, that perhaps you are in danger of falling into some
error in consequence of limiting your studies so much to Language and among
languages to one very peculiar language, as Aryan languages are; and within
that language so much to words.
Such risks are always present for whoever works in the field of
philosophy of language, and one of Rossi-Landi's criticisms of English
analytical philosophy lay precisely, with his proposal of a methodics
of common speech, in its having exchanged the characteristics of
the English language for those of language in general (a similar criticism
may be directed at Chomsky). But even if the limits are those of
verbal language, what to me seems to characterize Lady Welby's work —
as well as that of Peirce, Vailati and Rossi-Landi (for the latter, see
1968; 1972; 1985) who explicitly refers to Vailati's work - is the
orientation towards the methodics of a common semiosis (or at least,
for Lady Welby, of common speech) which connects the theory of
knowledge and ethics within the ambit of that perspective which I
have proposed to call ethosemiotics.
On the Signs of Ferruccio Rossi-Landi's Work 107
at the University of Trieste. His mother was from Trieste and therefore
he was very fond of that city.
Rossi-Landi was also a great cultural promoter both as editor and
translator. He was editor, or member of the editorial board, of
Methodos (1949-52), Occidente (1955-56). Nuova corrente (1966-
68), Dialectical Anthropology (from 1975), and finally Ideologie
(1967-74) and Scienze umane (1979-81), two reviews which were
founded by him and which contain many contributions to the
theory of signs. Together with Maldonado, Prieto and Schaff he was
a member of the editorial committee of the series "Semiotica e pratica
sociale" (Feltrinelli-Bocca). Rossi-Landi's contribution to the
knowledge of semioticians and philosophers of language is also con-
siderable. However, although he published a full monograph on Morris
and also wrote on Vailati, Wittgenstein, Ryle, and other contemporary
thinkers, Rossi-Landi cannot be considered a professional historian
of ideas. As he himself said, in the aforementioned writings "my
main interest was theoretical. 1 have written only books and articles
about problems" (Rossi-Landi 1984).
Rossi-Landi's work can be divided into three cycles (as he wrote
to me in a letter in 1978). The first cycle belongs to the 1950s and in-
cludes the monograph Charles Morris (1953a, and republished with new
materials in 1975¿>), as well as Significato, communicazione e parlare
comune (1961, written between 1960 and 1961 but in fact the con-
clusion of the work of the 1950s and re-published in 1980). This
cycle also includes some of the essays collected by Rossi-Landi for
two of his unpublished volumes: Dall'analisi alla dialettica [From
analysis to dialectic - essays from 1949 to 1976; some of which
are unpublished], and Between Signs and Non-signs [essays from 1952
to 1978, in English; some of which are unpublished]. See the
bibliography of the second edition of Rossi-Landi 1961 (1980).
The second cycle belongs to the 1960s and includes: Il linguaggio
come lavoro e come mercato (1968, [1983 3 ]) [Language as work
and trade - Essays 1965-1968] ; English translation 1983. This is an
organic volume and proposes, for the first time, a theory of linguistics
and, in general, of sign production and work, laying the foundations
for the study of the semiotic homology between linguistics and
economy. Semiotica e Ideologia (1972a [1979]) [Semiotics and
ideology - essays 1967-1970] completes the preceding volume and
contains important essays such as "Ideologia della relatività linguistica"
which appeared in English in the form of a volume with the title
On the Signs of Ferruccio Rossi-Landi's Work 111
others, and towards the various sectors of cultural life. The distinction
between initial meanings and additional meanings "cuts across" the
recurrent distinction between meanings fixed by use and meanings
dependent upon the context. In fact, we are able to identify something
implicit, mediated and latent not only in meanings dependent upon
context, but also in meanings which are far more autonomous in
relation to a given communicative situation. The very meanings we
share and which are fixed by tradition are more dependent than others
upon the implicit, indirect, mediated, hidden, absent, remote,
secondary, or unconscious, in language. In any case, initial meanings
and additional meanings are present in the langue and in the parole,
in the "meaning" and in the "theme" (Volosinov) in the "immediate
interprétant" and in the "dynamical interprétant" (Peirce).
The view put forward by Rossi-Landi in his writings of the second
cycle is that common speech can be interpreted in terms of work,
by means of the categories of economic science and in the framework
of general sign production.
From the observation that words and messages do not exist in nature, since
they are produced by men, we can directly derive that they are also products
of work. It is in this sense that we can begin to speak of linguistic human work.
[ . . . ] . The aim here is to render unitary the character of the definition of man
as a working and speaking animal, who sets himself apart from all the others
in that he produces tools and words (more properly, as we shall see later,
utensils and sentences) and with this production, which constitutes "the social",
historically forms himself (Rossi-Landi 1968 [1983 3 ] ; Eng. trans. 1983:36).
Once the position of sign systems within social reproduction has at least been
glimpsed, we can afford to state that every typology of signs is necessarily a
function of social reproduction. [. . .] If there is one metaphysical belief which
is invalidated at its roots by this approach, it is the belief that it may be
possible never to discover a typology valid for all times and places, and perhaps
common to all living beings. From this it does not follow, however, that
common elements in various instances of social reproduction, or in the
reproduction of human and other animals, cannot be discovered and usefully
investigated (Rossi-Landi 197%, now in Rossi-Landi 1985:144).
My two main hobbies are classical music and sailing, and this is not for the
public to decide.
* It should be noted that some of the implications of the Italian parlare would
be better rendered by speaking rather than speech·, the latter term, however,
is here preferred as being more "common" in English (Trans.).
124 Adventures of the Sign
the still broader notion of social reproduction. It was only in 1968 with
Il linguaggio come lavoro e come mercato [Language as Work and
Trade] that Rossi-Landi dealt specifically with Saussure — the official
Saussure of the Cours — even if with his notion of Common Speech, he
had already distinguished himself from the Saussurean perspective. Com-
mon Speech was also something entirely different from Oxonian
ordinary language as well as from neopositivistic constructions of ideal
languages:
The inventum can change, and in any case, it too is always historical and thus
always "flowing"; and inventio cannot but consist at least partially in repeatable
operations and uses. In short, to reach the "constant," we need the notion of
language-in-general-as human work (SCPC 1980:169).
There are no speakers without listeners, nor listeners without speakers, nor
speakers and listeners without messages that go from one to the other, and
so forth. The whole situation slowly takes shape together; and the individual
sets himself or herself off and assumes a particular position within it only much
later(Rossi-Landi 1968; Eng. trans. 1983:149).
Meanings are the way we use terms and other linguistic units, the operations
we perform when we use them, and so forth: in any case, pieces of human
behaviour (SCPC 1980:179).
The quantity of mental work which, in using language, we all exercise and
presuppose continually, is immense, even in the case of the most simple
sentences in common speech: if, on the one hand, these constitute the small
change of the daily exchange between men, on the other, they always represent
complex situations and refer to the enormous social patrimony accumulated
by mankind during the course of its biological and historical evolution and
transmitted from one generation to the next through the learning of language;
subsequently these sentences refer to the habitual notions possessed by all
men living in a civil community (SCPC1980:180-81).
What in communication may correspond to the postal package is only its vehicle,
that is, words insofar as they are physical objects which are pronounced or
written and heard or seen [ . . . ] . But for what concerns the interpretative process
and the quantity and quality of the information transmitted, the model of an ob-
ject which changes place is totally inadequate [ . . . ] . It would be better, perhaps,
to speak of an "informative river": we immediately see, that is, capture the
surface, and we know that underneath is all the volume of the moving waters.
Enriching the image, we could speak of a boat on the river. The first corresponds
to "initial meaning," denominated because it is the more visible and conspicuous,
that is, direct and immediate, the second, to all the rest. What is communicated
is not only the boat, but also the river, and we have already spoken above
about the "floating" of initial meaning upon the thick of meaningful material
(SCPC 1980:207-08).
for instance (see pp. 222-224), is that a sentence does not simply
convey its own meaning but also instructions for its use.
SCPC, as we said before contains an affirmation that was already
present in Rossi-Landi 1953a, and to which the author later returned,
particularly in his criticism of certain distorted interpretations of Morris'
semiotics. It concerns the inseparability of the three dimensions of the
sign, that is, the syntactic, the semantic and the pragmatic. This view
of things is particularly rich in theoretical implications: the sign does
not exist if not with other signs; the sign does not exist if not for an
interpreter·, the sign does not exist if not with a signification or designa-
tion, and eventually a denotation. From this point of view, Rossi-
Landi's theory of Common Speech provides an important point of
reference for Chomskyian linguistic theory. In fact, even if Chomsky,
in contrast to what he had previously stated (see Syntactic Structures),
recognizes the necessity of connecting the syntax to the semantics of
verbal language, and of examining them together with the phonological
aspect, he continues to deliberately leave aside the pragmatic
dimension. In contrast to such an approach, Rossi-Landi insisted
that pragmatics is at the basis of syntactics and semantics, just as in
their turn syntactics and semantics are at the basis of pragmatics (see
SCPC 1980:171). Concerning this point, most relevant is Rossi-Landi's
specification that signification and denotation belong to the dimension
of semantics, whereas meaning, intended as having sense or signifying
something, "is present in all three dimensions."
Schaff has dealt with the issues of the human individual and of
socialist humanism since 1947. Writings from this period prove the
fallacy of the thesis of an existentialist influence on Schaffs Marxism.
Among other things they testify to the presence of anthropological
issues among Polish Marxists even before the diffusion of existentialism
- and Schaffs own position is indicative of this. In fact, as early
as 1947 we already have a discussion of two main tendencies which,
though seemingly opposed, are both based upon the division be-
tween Marxism and "humanism". On the basis of the assumption
that such a separation exists, the first tendency proposes to "inte-
grate" Marxism and humanism; the second tendency maintains that
Marxism is intimately opposed to "humanism". In contrast to these
two main tendencies, Schaff believes that Marxism is the humanism
of our time. In fact, differently to other forms of humanism, insofar
as Marxism is scientific socialism, it also has the real capacity of in-
dicating the way to a profound transformation of the current relations
of inequality and exploitation.
154 Adventures of the Sign
to the extent that it deals with the function of the individual in social
relations and with problems of traditional ethics (which does not imply
any form of moralism) — must inevitably consider that individual
behaviour is conditioned by society mainly through the influence
of language. This leads us to a new vision of issues related to language:
the problem of the connection between language and ideology, concept
and stereotype, language and social praxis. On considering the concepts
of "choice", "responsability", "individual freedom", we need to take
account of the "tyranny of words", of the problem of "linguistic
alienation". We should reject the idealistic and conservative point
of view which refers contradictions and individual alienation to a
semantic origin and maintain, similarly to the young Hegelians, that
man can be "set free" by simply clarifying the meaning of words
and by substituting false ideas with true ones.
Die Eleaten bejahten den Satz vom Widerspruch und negierten folglich die
Objektivität der Bewegung; Hegel stand umgekehrt auf dem Standpunkt der
Objektivität der Bewegung und verwarf infolgedessen die Gültigkeit des Satzes
vom Widerspruch in der Beschreibung der Bewegung (Schaff 1975:26).
the school of the logical analysis of language (above all the Circle
of Vienna and the school of Lvov-Warsaw). From this point of view,
we have two main forerunners of generative transformational grammar:
Carnap and Ajdukiewicz. For an understanding of the "filiation of
ideas" underlying generative transformational grammar we need to
consult Carnap's The Logical Syntax of Language, and Ajdukiewicz's
works published by "Erkenntins" in 1930. Rules for a theory of
language (rules of meaning and of syntax), absent, as Chomsky points
out, in traditional structuralism, while on the contrary fundamental
to the conceptual apparatus of generative grammar, were particularly
developed by neopositivism with Ajdukiewicz as one of its major
representatives (see Gramatyka generatywna, 1972). Thus the semantic
component of transformational grammar (the others being the syntactic
and the phonological), gives deep structures semantic meaning and
behaves in the same way as Ajdukiewicz's rules of meaning.
The theory of generative grammar aims at being a universal model
capable of explaining the creativity of language also, that is, it presents
itself as a model capable of generating and understanding an infinite
number of sentences on the basis of a finite number of elements and
a limited experience of language. The conception of innate structures
underlying linguistic behaviour and the linguistic apparatus is, there-
fore, fundamental to generative grammar. It is on the basis of this
thesis that the universality of grammar and of deep structures is
asserted. In Schaffs opinion, the thesis of "linguistic universale"
is essential to generative grammar in the same way that the thesis
of "linguistic differentials" is essential to the theory of linguistic
relativity as conceived by Sapir and Whorf.
In Chomsky's work, the assumption that innate and universal
structures exist constitutes a preliminary axiom of generative grammar
which therefore appears as a hypothetical-deductive model. Such an
assumption not only takes on the value of a thesis to be verified,
that is, a hypothesis, but also appears as an empirical thesis which
has already been demonstrated, though this is not the case.
Schaff stresses the fact that Chomsky's conception of innate
structures — which in his 1957 review of Skinner's Verbal Behaviour
was simply put forward as a hypothesis and a prudently formulated
postulate — was presented more emphatically in his later works.
This is particularly true of Recent Contributions to the Theory
of Innate Ideas (1967) and of Language and Mind (1968). What Schaff
wishes to stress is that such a development is not the result of scientific
168 Adventures of the Sign
We may also deal with problems concerning ideology and the "sub-
jective factor" of human knowledge - where the subject, as we have
seen, is viewed as a social rather than individual product from the
viewpoint of the sociology of knowledge. This discipline, in fact,
acknowledges the subject as a socially produced and conditioned
individual. As Schaff frequently stresses, the sociology of knowledge
derives from Marxism and particularly from the structure and super-
structure theory, it is also directly related to epistemology and to the
theory of knowledge.
Schaff divides the definition of the concept of ideology into three
groups so as to avoid any ambiguity and equivocations: a) the genetic
definition which examines the conditions of development of ideology;
b) the structural definition, which attempts to define the specific
character of ideology, and therefore to establish the differences, from
the logical point of view, between the structure of ideological discourse
and the structure of scientific discourse; c) the functional definition,
which underlines the functions fulfilled by ideology in relation to
social, group, and class interests, etc.
Furthermore, Schaff believes in the necessity of distinguishing
between the problem of the definition of ideology, on the one hand,
and the problem of the value of ideology in relation to objective truth,
on the other. Though related, these problems are different and should
not be confused: the definition of ideology is one thing, while its
value in relation to the question of objective knowledge is another.
Therefore, though apparently a definition, the statement "ideology
is false consciousness", is not, in fact, a definition, but is rather an
answer to the question of the value of ideology. The main error made
by Mannheim in his theory of ideology and in his criticism of Marxism,
lies in his having mistaken the statement "ideology is false conscious-
ness" for a definition of ideology.
We also need to distinguish between the meaning Marx and Engels
gave to the word "ideology", and the meaning it was given in the
Marxist tradition (especially from Lenin onwards). Such expressions
as "bourgeois ideology", and "ideological science", are very much
in use. They characterize ideology on the basis of its function. In
Schaff's opinion, therefore, we may give the following functional
definition of ideology: by ideology we mean a system of opinions
related to the aims of social development which are founded upon
a system of values; these opinions are at the basis of specific attitudes
and behavioural patterns in the different objective situations.
172 Adventures of the Sign
can endure a Marxist critique, and vice versa, the resilience of the
Marxist system (in the sense here put forward) in the face of the
developments of the science of signs.
I believe that a relationship of complementarity and of mutual
support between Marxism and semiotics rests on a theory of signs
based on the following theses (cf. also 1.1).
1) For semiosis to exist, we must necessarily have a body, a physical
object which acts as sign material whether it is a natural body or an
artifact.
2) It is only in the historical-social dimension that a body becomes
sign material; in this sense, even the so-called natural signs are social.
3) Semiosis presupposes that the sign body is integrated in a system
of sign bodies. An isolated body cannot transmit any meaning: it
refers to a system formed by a number of signs (at least two) with which
it enters into paradigmatic relations each time it makes an appearance.
4) As a body the sign is material in a physical sense; as a sign it
is material in the sense that it is a historical-social product. It is through
its historical-social materiality that a sign is such; and it is this
materiality that is of interest when a body is considered and studied
as a sign, that is, from a semiotic point of view. The fact of belonging
to both physical reality as well as to historical-social reality makes
of the sign something fully objective. As regards meaning, sign
materiality — where it is understood only in the physical sense -
presents itself as a vehicle of meaning, as an instrument for the
transmission and circulation of meaning; on the other hand, where
the materiality of the sign is understood as historical-social reality,
that is, when considered from the semiotic point of view, it no longer
acts as a mere vehicle, as a means for the circulation of meaning, but
rather is inseparately connected up with meaning.
5) Any body whatsoever can become sign material and take on
an indeterminate number of meanings. All sign material can have
several meanings not only in succession (diachrony) but also con-
temporaneously (synchrony); and from this point of view a difference
can be established between "sign" and "signal" in that the signal
establishes a one to one relationship between sign material and
meaning. We may therefore consider the signal function as the lowest
level of the sign function.
6) The meaning of a sign is the class of sign materials that may act as
signs of each other, that are in a relation of reciprocal substitutability
among themselves. The concept of meaning and the very question
Notes on Semio tics and Marxism 181
of the parts is certainly possible, but then the sign situation is another.
9) If by ideology we mean the practical orientation, the opera-
tive intentionality that a sign assumes in a concrete sign situation,
and that accompanies it (even if rather weakly and even when the
ideology is considered separately from the text-context of semiosis),
we can maintain that all signs are ideological. Ideology does not
exist outside sign material and like the sign it has a social charac-
ter. Just as it is made of signs, the social in its entirety is also made
of ideologies. The ideological and sign systems do not each represent
a separate stratum, a sphere in its own right, in which social organi-
zation is reflected. Signs and ideology actively intervene together
in all forms of social relations, from the "base" to the "super -
structure", and without the ideological sign (Bakhtin), without sign-
ideological material, the whole of social reproduction would be
inconceivable. This also means that the ideological sign does not
passively reflect social inequalities and contradictions but is a con-
stitutive part of social organization in its various forms of "inequality
and of dominion" (Balandier). In those societies in which classes
(bourgeois societies, socialist societies) subsist, ideology takes on a
class connotation that is stronger or weaker relatively to the role of
determined messages and sign systems in class interests. This is
dependent upon the hierarchical relations that come to be established
between the different fields of the sign-ideological. Being an active
expression of class contradictions (and not their mere re-presentation),
the ideological sign is itself contradictory, it is ambiguous, plurivocal,
and it is increasingly so the more the social contradictions grow and
the more the sign ideological system in which the sign appears becomes
decisive for the social organization and development of the productive
forces. Concerned with reproducing itself, the dominant class forces
itself to give a univocous, definitive and "serious" character to signs.
But signs are not the product of a single class; they are the product
of a whole society, and social contradictions make them burst out
into plurivocality, ambiguity, and double meanings.
10) As regards the various studies in particular fields of social com-
munication - the various "semiologies" we could say thus distinguishing
in this sense the term "semiology" from "semiotics" — not only does
semiotics present itself as a purely theoretical science, as a general
theory that determines the categories and methods in the study of
signs and establishes the theoretical foundations, it also has a totalising
function with respect to the sectorial nature of the various semiologies.
184 Adventures of the Sign
(i) Semiotic studies are deeply involved in the study of social reproduction.
In fact, social reproduction is also, necessarily, the reproduction of all sign
systems. Even in those sectors or moments of social life where no work in
the material sense is performed, sign work of which linguistic work is a species
continues to be expended, whether consciously or not (the latter, not the
former, being the normal case). But usually students interested in sign systems
give little importance to social reproduction, and vice versa. Thus there are
Marxist scholars who know everything about social reproduction, except . . .
that it is also, necessarily, the reproduction of sign systems (an extreme example
of a totally a-semiotic and therefore pre-semiotic approach is Althusser's). And
there are semioticians who tackle sign systems as something existing independent
of social reproduction, without ever dreaming that for sign systems to exist
there must be other social processes going on as well.
(ii) The sign systems reproduced within social reproduction are both verbal
and non verbal. No consideration of verbal languages by themselves would be
sufficient from the point of view of social reproduction. The difference between
linguistics as the science of verbal sign systems and semiotics as the general
science of any sign systems whatsoever becomes here particularly evident. A
proper approach to the sign factors of social reproduction cannot be but a
fully semiotic approach. No merely linguistic approach would ever do. The
internal weakness of Sapir's and Whorf s theories concerning so-called "linguistic
relativity" is evidence of the inadequacy of linguistic intellectual tools to cope
with society at large. Semiotic tools are required instead.
(iii) Everything that goes on in social reproduction is also a sign process. The
production of corn in the fields or of cars in an assembly line is also sign
production. By this we mean, almost tautologically, that nothing made by man
can be exempt from signs at the human level. Also animals use signs; but stating
that corn or car production is human does not seem to be irrelevant when
measured against common ecological literature on animal behaviour and natural
settings. There is, therefore, a semiotics of material production. Sign processes
which accompany or even are at work within material production are themselves
a huge chapter of the semiotic enterprise.
(iv) However, it seems that the semiotic approach acquires its full strength when
applied to non-material production, i.e., to the production of superstructural
For a Critique of Equal Exchange Semiotics 191
items such as legal systems, religious and moral sets of rules, arts and poetry,
philosophies and ideologies. Notice that, for instance, rituals and rules are non-
verbal sign systems independent from whether or not they are also verbally
expressed. In other words, not even at the superstructural level is a merely
linguistic approach sufficient. But then the economic base and the super-
structures are developing together in a condition of continuous reciprocal
influence.
(v) Consideration of some of the above difficulties — more of those which have
here remained between the lines than of those I have openly hinted at — has
brought me to an attempt at introducing sign systems as a "third i t e m " in
between the economic base and the superstructures. This acquires perhaps
more sense if we call the former mode of production and the latter ideological
superstructures. It would appear that passing f r o m a dichotomy t o a trichotomy
is of help here. "Civil society" as defined b y Gramsci would be the most proper
place for the study of sign systems, whether verbal or non verbal. This is the
zone of social reality where consensus is produced. It would then also appear
that the semiotic endeavour can acquire a demystifying power. It does not
follow that it should not extend t o other zones.
that meanings are not given once and for all in the form of static
univocality, while communication is viewed as an open process with-
out the guarantee offered by the possibility of appealing to meanings
which exist autonomously, outside the communication process itself.
Symbol, Alterity and Abduction 197
suppose, that is, that there is a mere relation of identity between the
symbol and interprétant. In such a case the relation between the
conclusion and premiss would be of deduction and as a constrictive
argument it would have the character of indexicality.
From what has been said so far, the reciprocal complicity between
the symbol, icon and index is evident. These three different shades
of the sign are in their turn implicated in the cognitive process. This
means that they are at the same time categories of both logic and
semiotics. This is of importance to that which concerns the character
of the Argument and to the role of the icon in the argument of the
abductive type (cf. also section 2.11.2, this volume).
Between the sign and the interprétant the relation is not of equality,
similarity, reduction of the differences, of ultimate equivalences, or of
substitution of the identical with the identical (see Eco 1981α:663).
On the contrary, there is a relation of reciprocal alterity which implies
that the sign and interprétant are not to be viewed within a monologic
framework: their rapport is dialogic. Such a relation is internal to the
sign since the interprétant is basic to the sign function. Furthermore,
given that the interprétant, as a sign, refers to another interprétant,
and that the sign function is thirdness — a triadic relation between
the sign, interpreting thought and object (which as the immediate
object refers dialectically to the dynamical object), not only are the
dialogic voices internal to the sign, but the dialogue itself is polysémie
and open ; it is not univocally orientated towards a single conclusion.
Given the polyphonic structure of dialogue constitutive of and
internal to the sign, alterity, in Peirce, cannot be conceived as an
accessory, as something external or mechanically opposed to identity,
to subjectivity, or to the interpreting thought. Alterity is essential to
the constitution of subjective identity, it is the internal condition, the
only possible mode of existence of subjectivity. Therefore, the relation
with the other self is by no means different from that with internal
alterity. By the latter we mean the multiple others in dialogue within
the single individual continually experienced by the self and with
which the self dialectically co-exists and increases (or decreases).
204 Adventures of the Sign
Take, for example, a husband and wife. Here there is nothing but a real twoness;
but it constitutes a reaction, in the sense that the husband makes the wife
a wife in fact (not merely in some comparing thought); while the wife makes
the husband a husband (2.84) (see also 2.12.4, this volume).
In the renvoi and deferment between the sign and the interprétant
which forms the thought process, we have, in abduction, signs that
though related do not follow on mechanically one from the other,
nor do they correlate perfectly: what we do have is a surplus which
stimulates the qualitative amplification, modification and revision
of the totality with which at a certain point thought identifies. The
iconicity of abduction consists in establishing a relation between
that which originally and naturally is not related: imaginative re-
presentation attempts an approach to that which is given as other
in order to lead it back to a relation of similarity.
Similarity is rightly listed by Peirce together with all that we
associate with the category of obsistence; in fact, originality or firstness
is surpassed by secondness or obsistence when whatever exists au-
tonomously is related to something else. To have an understanding
of alterity in a certain sense means to exceed it. The innovating,
creative, displacing capacity of abduction is not to be found there-
fore, so much in its exhibiting an image which draws that which seems
to evade all constraints nearer, as in its directing itself towards the
autonomously other. In the abductive process we run the risk of
surpassing the datum, thus developing an interprétant that has its
own alterity and autonomy in so far as it is not motivated, justified
or compensated by the object-datum it specifically refers to. Such
self-sufficiency of the abductive interprétant, that is, its iconicity
and originality presents a challenge, a provocation with regards to
the concept of identity and totality. It thus questions even that which
seemed settled and definitive, and exhibits an image which can neither
be incorporated nor accounted for whether through immediate
reference to the fact or datum, or on the basis of a system of pre-
established laws. With a logic that goes beyond the logic of exchange
and equilibrium, it is possible for an argument to actualize firstness,
originality, or alterity in the very core of the symbolic, of the law,
214 Adventures of the Sign
What we have in mind here is not an abstract language, in the sense of a system
of elementary forms (linguistic symbols) guaranteeing a minimum level of
Dialogue and A Iterity in Bakh tin 217
Language is not a neutral medium that passes freely and easily into the private
property of the speaker's intentions; it is populated, overpopulated with the
intention of others. To expropriate it, forcing it to submit to one's own in-
tentions and accents, is a difficult and complicated process (Bakhtin 1975).
and novel, the "monologic novel" and the "polyphonic novel". When
the novel as a genre dominates in literature, the relativism characteristic
of the word of the novel infiltrates the other genres as well (see Bakhtin
1975): the other literary genres are "novelized", in other words,
they assume the character of stylization, the technique of the word
held at a distance and put between inverted commas, in certain cases
they also present the phenomena of parodistic stylization.
down topsy turvy world with the abolition of the hierarchical order,
the jumble of values, thoughts, phenomena and things (sacred and
profane, sublime and infamous), and profanation (carnival sacrileges,
parody of sacred texts, parody of the mysteries and so forth).
Comic popular culture is analysed in detail in Tvorcestvo Fransua
Rabie (Bakhtin 1965). Here Rabelais' system of images becomes
the place of assembly and unification of the contents and forms of the
comic rites and spectacles diffused throughout all countries of Medieval
and Renaissance Europe, especially the Romance countries. Here,
too, we encounter the alien word with its specific ideology, both
different and opposed to "official" culture. In Rabelais, Bakhtin
continued his analysis of the relations between official and unofficial
ideology begun in Freudianism (see Volosinov 1927) where the
Freudian unconscious is interpreted in terms of "unofficial language
and ideology". The comic and the serious are closely connected in the
primitive phase of civilization: alongside the serious cults we have
the comic cults (ritual laughter) and both enter into official culture.
With the formation of the state and its social classes, however, this
kind of coexistence, where equal rights are conferred to the two
aspects, becomes impossible. As a consequence, all comic forms — some
before and some after — are relegated to the domain of the unofficial.
Bakhtin examined the dialectic between the ideology of comic
popular culture and of semi-official culture and identified a certain
fusion of this double worldview in particular moments of humanistic
and Renaissance literature. As the feudal and theocratic regime was
gradually extinguished, we witness the infiltration of non-official
culture into official literature at different moments in the various
European countries: after having flourished in popular culture in
the Middle Ages, carnevalesque laughter erupted into "high" literature
through Boccaccio, Erasmus (Eulogy of madness), Rabelais, Cervantes,
and Shakespeare. The use of vulgar languages through which the
ideology of everyday, popular life passed into literature contributed
to the temporary fusion and amalgamation of official and non-official
culture. Such fusion sparked off a double process in humanistic and
Renaissance literature: comic popular culture enriched and invigorated
official literature and, at the same time, the transition from the extra-
official to the official caused comic popular culture, characterized by
its radical, dialectic and material nature, to pass from a stage of
spontaneous existence to a stage of awareness. And so it became the
expression of the new, free, critical and historical consciousness of the
Renaissance (see Bakhtin 1965).
228 Adventures of the Sign
towards a single and definitive conclusion for which all the various
parts of the work must be functional. The very object of Bakhtin's
research makes the application of dialectics of the Hegelian type
inappropriate: this object remains constant throughout his analyses
even though the materials and problems change: the sign in its whole-
ness and not as a single element, an isolated term endowed with
meaning. This conception of sign with its polysémie, dialogic and
polylogic character, makes Hegelian dialectics figure as a unilateral,
rigid, and fossilized conception, in the final analysis as pseudo-dialectic.
Bakhtin made numerous polemic allusions towards Hegel and the
monologic dialectic of his system. As early as the criticism of Hegelian
philosophy operated by Marx in 1843, it is evident how in Hegelian
dialectic contradictions are posed and fictitiously overcome, with
the word that arrogates an absolute point of view. In "From the note-
books of 1970-71", Bakhtin describes the process of the constitution
of monologic dialectic which originates from the dialogic character
of the word: "In dialogue we take out the voices (the division of
the voices), we take out the intonations (personal and emotional),
concepts and abstract judgements are drawn from the living words
and responses, all is mixed inside a single abstract consciousness and
this is how we obtain dialectic" (Bakhtin, 1970-1971).
Unidirectional, providential logic which looks to a single end is
put into crisis by polysemy, ideological pluridirectionality, and
polylogy of the sign. It is difficult to say where a sign begins and
where it ends once it is no longer reduced to the single element or
broken up into its various component parts. This is so because it is
not a thing, but a process, an interweaving of relations. The overall,
unitary sense of the sign is inseparable from the concrete communi-
cative context, social interaction, and relation to specific ideologic
values and orientations. The interpretation of a sign cannot be limited
to its identification. It requires an "active comprehension". The sense
of a sign consists in something more with respect to the elements
that allow its recognition: it is made of those semantic ideological
aspects which are in a certain sense unique, which have something
special and are indissolubly connected to the situational context
of semiosis. Comprehension of the sign is active comprehension
because it requires a reply, the taking of a position, it arises from
a dialogic relation and provokes, in its turn, a dialogic relation: the
sign flourishes as a rejoinder in a dialogue (see "From the notebooks
1970-1971"). These aspects of the sign are already analysed in the
Dialogue and Alterity in Bakhtin 231
The relation between the author and the hero, as well as that be-
tween the form and content, is analogous to the relation between the
literary word and the word as it is used in real life, the artistic form
and the contents of social life, aesthetic value and extra-aesthetic
values. The artistic representation of the world is achieved in the
tension of these rèlations, and while it penetrates into social life and
all its values, at the same time it proposes a point of view which is
external to real life. It is this external point of view that constitutes
the otherness of artistic representation, the specificity of the artistic
form, the surplus of the author's point of view (izbytok videnija),
his "extralocality" with respect to life as it appears in his representation.
"Finding oneself on the outside", extralocality, is, therefore, a
determining condition of the literary word, in the same way as is
participation in life, in the contents and values of social life. The
literary work assumes different physiognomies according to how
the dialectic between the "being inside" and the "being outside"
of the literary word is characterized and which, therefore, always
involves a certain distancing (even where there seems to be identifi-
cation) between the author and hero (or character) as a condition
of the fact that the content receives an artistic form. The literary
word is always an indirect word, even if Bakhtin characterizes certain
literary genres (e.g. epos, lyrical poetry), as compared with others,
as genres of the direct word. Furthermore, owing to its extralocality,
the literary word is always dialogic, even if Bakhtin considers certain
genres together with some of their variants as monologic in compari-
son with strongly dialogic genres (the novel and particularly the
"polyphonic novel"). (The characterization of Tolstoy's novels as
"monologic" is obviously relative to Dostoevsky's "polyphonic"
novel). In the same way, if certain literary genres are characterized
as being relatively serious, the literary word, precisely because of its
extralocality, is always an ironic word, a word that takes its distances,
that does not identify itself wholly with its own contents. Even where
the author identifies himself with the character, as in autobiography,
the literary nature of the text is determined by a certain degree of
distancing between the author and character, which causes the latter,
as it were, not to be taken seriously. His worldview is presented as
being relative to and overcome by an external point of view which
makes him an "unfinishable" character (Bakhtin 1970-71) so that he
finds his place beyond the limits of the world that renders the word
complete and finished. As Barthes (1984:412) says, the question
238 Adventures of the Sign
to ask concerning the hero of the diary is not the tragic question
"who am I?", but rather the comical question "is it me?" Literary
writing always places itself, more or less, outside functional and pro-
ductive discourse; given that it places itself outside life, it has a certain
relation with death, and always looks to the human condition from
the "extreme threshold", and therefore with a degree of irony,
that is, with a serious-comical attitude, that is more of less accentu-
ated according to the literary genres and their variants. Bakhtin
describes the aesthetically creative attitude as one which views the
literary character as a dying subject (moriturus). The aesthetic event
enables us to view man from the outside, from an external point of
view, so that we are plainly able to see in man and in his world precisely
what in principle man does not see in himself, given that he remains
closed within himself and lives his life seriously (see Bakhtin 1920-24,
in 1979:165).
The characterization of the writer's "position" as external to the
literary work calls to mind Blanchot's theories on the relation between
writing and death (see, e.g., "La littérature et le droit à la mort" 1949,
now 1981 and the pages devoted to Kafka in L'espace littéraire 1955).
For Blanchot, too, there is no other perspective for the writer but that
"of the outside", the eternal flowing of the outside. Through Kafka's
Diary, Blanchot arrives at the following conclusion: the writer is he
who finds the possibility of writing in an anticipated relation with
death, which enables the author to look towards his characters, and
towards himself as the character of a diary, in a way which is not
restless, so that he is able to approach them in "clairvoyant intimacy".
Writing, as the practice of the writer, "intransitive" writing as intended
by Barthes, requires that the relation to the world of normal life
be interrupted, and it is this detachment, this being on the outside,
that characterizes the writer's point of view, and makes his characters
belong to the indefinite time of dying.
Nous appelions éthique une relation entre des termes où l'un et l'autre ne sont
unis par une synthèse de l'entendement ni par la relation de sujet à l'objet et
où cependant l'un pèse ou importe ou est signifiant à l'autre, où il sont liés
par une intrigue que le savoir ne saurait ni épuiser ni démêler.
Contrary to Sartre and Hegel, for Lévinas the self of "being conscious
of oneself" does not coincide with consciousness nor does it pre-
suppose it; rather, it is pre-existent to consciousness to which it is
connected by a relation of otherness and autonomy. This leads to
the irreducible insinuation of a me/other relation inside the very
self. Bakhtin:
Does the person who is conscious coincide with the object of his conscious-
ness? In other words, does man remain only with himself, that is, solitary?
Does not the whole event of the being of man change here radically? This is
exactly the case. Here something absolutely new appears: the sur (nad-) -man,
the sur-ego, that is, the witness and judge of all man (of all self), therefore, he
is no longer man,, he is no longer self, but another. The reflection of self in
the empirical other which we must cross in order to arrive at the ego-for-self
(can this ego-for-self be solitary?). Absolute freedom of this self. But this free-
dom cannot change being materially as it were (and it cannot even desire this):
it can only change the sense of being (recognize, justify, etc.): it is the free-
242 Adventures of the Sign
dom of a witness and of a judge. It finds expression in the word. Truth is not
inherent in the being, but only in the known and pronounced (Bakhtin 1970-
71, in 1979:341).
Witness and judge: once again and similarly to Lévinas, ethical terms
are used for a problem normally dealt with in terms of knowledge
and ontology, and once again we have the relation of extralocality
which writing accentuates to the highest degree of "answering com-
prehension" and dialogization, as in the "polyphonic novel".
Literary extralocality enables the representation of this otherness
constitutive of consciousness and of the word. The word is objectivated
0ob'ektnoe) and the author remains external to it. The literary work
as such is irremediably separate from the author: in it we will find
the represented author, who is someone else with respect to the
author who is representing, but not the latter himself, the pure author,
the writer (see "Problema teksta", Bakhtin 1979:288).
Another point of encounter may be here established with Blanchot's
theories: Blanchot represents the theme, taken from Mallarmé, of the
disappearance of the author in the work of art, of the writer as the
place of absence (Blanchot 1959: Le livre à venir). The starting
point for the realization of the literary work is the writer's absence,
the omission of self, a sort of death that literary writing involves.
In order to defend himself from this oblivion of self and maintain
a relation with self as he actually is, apart from objectivation in writing,
the writer, says Blanchot, resorts to the diary: here the writer wishes
to leave memory of himself, of the person he is when not writing,
as he is in everyday life. This is an illusion, similar to that of the literary
critic who searches the diary for the true image of the author, for the
real author as he is outside his work. The lot of the writer, however,
is ironic, for the diary is also the expression of a form of writing and,
therefore, it represents the objectivation of the author in writing,
in a specific discourse genre (see Blanchot 1955:14-15).
In "Problema teksta", Bakhtin clarifies the concept of distancing
between the author and his work, of the author's "extralocality" even
when he is the hero of his own writing. When looking at the portrait
of an author, what we see, says Bakhtin, is not the author it represents,
but only the artist's representation of the author. The "image of the
author" is a contradictio in adjecto. Insofar as it is an image, a re-
presentation, an objectivation, the "image of the author" is distanced
from the author, it is other with respect to him. The author, as he
is represented in the literary work, presupposes a "pure", representing
Writing and Otherness in Bakhtin, Blanchot, Lévinas 243
author who as such remains irremediably outside the work and, there-
fore, as Blanchot says, he remains in a state of "essential solitude",
of "absence", and of "oblivion": a sort of death. According to
Bakhtin, insofar as they are represented images, the image of the
first person narrator of a story, the image of the hero in auto-bio-
graphical works (autobiographies, confessions, diaries, memories,
etc.), all have an extralocated author (see Bakhtin 1979:288).
No doubt, says Bakhtin, discourse may be pictured, represented
and objectivated in extra-literary language as well, but such an ob-
jectivated image is not part of the author's intentions and goals. On
the contrary, the literary word is always an objectivated word. For
this reason, in literary discourse we may perceive the author's presence
but not see him directly, while, instead, in extra-literary discourse,
in direct discourse, the speaker or writer identifies himself with the
self of discourse. Literary discourse is always more or less indirect,
distanced discourse, and as such it represents the otherness constitu-
tive of consciousness and of self-awareness, that is, of the internal
dialogization and heteroglossia of the word. On the other hand, in
discourse turned towards an external goal, rather than towards the
representation of itself as the word of someone else, otherness and
dialogization must be forgotten and set aside. In literature, we never
have "pure" words, that is, we never have the direct words of the
author characterized by the tendency to find expression in a single
voice, as occurs outside literature where this very tendency instead
motivates and orientates the word, despite its constitutive dialogicality
and internal otherness. Every author, says Bakhtin, even the pure
lyric poet, is always a "dramatist", in the sense that he distributes
all the words he uses among the voices of others, including the "image
of the author" (and the author's other masks). "The writer is he who
knows how to work on language while remaining outside it, is he
who possesses the gift of indirect speech" (ibid. ).
No doubt, the phenomenon of "internal dialogization" in the word,
particularly evident in the various forms of reported speech, is present
in spoken language, in written language, in literature, as well as in
extra-literary writing. Therefore, we obviously find the different
models (and their variants) of reported speech, as well as the dialectics
between one's own word and the alien word, in extra-artistic (every-
day, rhetorical, scientific) prose, also. But when, in literature, the
internal dialogization of the word becomes the object of artistic re-
presentation, that is, in the novel and especially the polyphonic novel,
244 Adventures of the Sign
Writing knows and tastes (latin sapere) of the death that language
confers upon things when it pronounces them; language that becomes
ambiguous tells of the absence of these things, of their forbidden
presence, of their challenge to the kind of language that wishes to
reveal them and determine them, ambiguous language tells of the
nothingness of things with respect to what it makes of them by denying
them. Language relates to death twice-over: to death as the assertion
of its own truth, on the one hand, and to death as death without
truth, on the other. The expulsion of death from the order of dis-
course renders it a transgression, a surplus, an "incurable deviance"
(Baudrillard). As in the carnival vision insisted upon by Bakhtin in
his Rabelais, life is not the opposite of death. It becomes so when
246 Adventures of the Sign
life, in the illusion that it can be nothing else but life - in its dissimula-
tion of all ambivalence, unproductiveness and loss, and on becoming
a linear design of production and accumulation, becomes itself death,
the absence of life.
For Blanchot, language borders on what is other with respect to
the human person, close to that which is irreducible on the horizon
of Being, on the horizon of the possibilities of the Self {Même) and
of the Totality {Totalité), as Lévinas would say. Blanchot's research
cannot be separated from reflection on the relation of otherness in
the very terms used by Lévinas: a kind of otherness that goes beyond
the totality, the objective word, utility, economy, and the power
of language.
To assume the viewpoint of literary writing means to give up the
assumption of a subject who is always ready to answer for his own
word, to justify and clarify it. Moreover, reference to literary writing
involves further consequences regarding the right to ownership over
the word and regarding the category of "subject". Literature, especially
in certain genres and in certain works, appears as a sort of disarrange-
ment and decomposition of the self, as a form of distancing, irony,
and disengagement with respect to the edifying, authoritative, and
unilaterally ideological word. And even when literature attempts to
make one foreget its unproductiveness by engaging in political or
social action, according to Blanchot (1981:92) "cet engagement
s'accomplit tout de meme sur le mode du dégagement. Et c'est l'action
qui devient littérature".
Like Bakhtin's metalinguistic s {metalingvistika; translinguistique
(Todorov), translinguistica), Blanchot's word tells of what linguistics
(of the langue and parole) does not know about language; and this
is possible thanks to the immanent going beyond — within language
— that literature permits.
Bakhtin's philosophy of language is closely connected to literary
criticism and could be called literary semiotics, not because it may
be applied to literature, but because it uses literature as its point of
view. In fact, in Bakhtin it is precisely the kaleidoscopic nature of litera-
ture that offers us the opportunity of seeing, in language, that which the
linguistics of equal exchange in communication cannot grasp: that
is, the alien word, not only in the sense of the word that belongs
to other people and that calls for answering comprehension, but also
in the sense of the voice of others that rings in the word of the "same"
subject. As Todorov (1981:165) says, "c'est Dostoïevski, et non
Writing and Otherness in Bakhtin, Blanchot, Lévinas 247
If "irony has entered all languages, all words and forms of the
modern age", so that " t h e modern age man does not proclaim, but
rather speaks, that is, [. . .] speaks with reserve" (ibid.), writing
accentuates this irony, this distancing which sets the word free.
Whether intentionally or not, every discourse always forms a dialogue
with other discourses. The dialogization of writing, particularly obvious
in the polyphonic novel, is characterized by the disengagement of the
writer insofar as he is a writer, by his discourse which is indirect,
déplacé: the writer escapes that rule of discourse according to which
all subjects are obliged to take up a stance.
Bakhtin's metalinguistics not only tends to surpass linguistics but
also language itself, and this is possible thanks to the immanent sur-
passing afforded by literature within language. This new science,
metalinguistics (Bakhtin 1963), is a science of literature. Here, "of
literature" is, grammatically, the possessive case. The viewpoint of
literature enables us to perceive the possibility of a metalinguistics:
beyond language, beyond linguistics, beyond the oppositions forming
the system of language, beyond the otherness determined through
oppositions - otherness as identity dependent upon renvoi to another
identity, otherness which has no sense for itself.
The otherness of writing is not complementary to the assertion of
consciousness, to its constitution as a totality; it is not the otherness
necessary for the achievement of identity, or functional to the sphere
of the self. It is, instead, the kind of otherness that may be described,
using Peirce's categories, as firstness, originality, or orience (Peirce
uses this term t o designate the category of firstness, of that which
has value in itself without need of reference to something else; absolute
otherness), that is, as something that is what it is without referring to
anything outside itself, free from all forces and reason; like the essence
of a thing as it is without regard for anything else.
The literary word is an alien word, with its own unfinalizability
and surplus with respect to the culture of which it is a part; this
differentiates it from all other functional and productive words which
are realistically adequate and respondent to specific communicative
contexts. Bakhtin identifies this difference between Dostoevsky the
journalist who, as such, remains within the confines of a finished
dialogue, a dialogue which adheres to and is functional with respect
to real problems and which is, therefore, wholly comprehensible and
justifiable within the limits of the contemporary cultural context,
and Dostoevsky the writer, who, as such, succeeds in representing
Writing and Otherness in Bakhtin, Blanchot, Lévinas 249
It seems to me that the following has emerged from this paper: the
problem of the sign cannot be separated from the problem of other-
ness. Indeed it is just this connection between the two that confers
philosophical consistency on semiotics: semiotics is inevitably phi-
losophy, especially philosophy of language (in the broad sense of
the word language), if we recover from philosophy its original tension
towards the foreign, different, irreducibly other and, therefore, towards
dialogue. Such dialogue is not only structural but is part of the very
make-up of philosophy, which is always discovering something more,
250 Adventures of the Sign
something which has not yet been encompassed by the official sciences
and which is characterized by an uncontrollable desire of displacement,
adventure, risk: of the irreducibly other.
Semiotics Between Peirce and Bakhtin 2 51
2.11,1 Homology
fying, by Peirce and Bakhtin. I have put aside other notions such
as Icon, Index and Symbol (Peirce) and Text and Intertextuality
(Bakhtin), which I intend to look into further on in this paper.
As we have already seen in section 2.1, the semiotic model just
described very strongly resembles that proposed by Peter of Spain
(12057-1277) in his Tractatus or Summule logicales. Moreover, Peter
of Spain situated his own language theories within the field of dialectics,
which he viewed as dia-logic, thus stressing the etymologic relation
between dialectic and dialogue. The model of sign as proposed by
this scholar is described as containing the following elements: vox
significativa (= representamen); significatio or representatio (immediate
interprétant, dynamical interprétant; meaning and theme); res significata
or representata (immediate object); acceptio pro (to stand for); divided
into copulatio (reference to a designatum) and suppositio (reference
to a designatum which is also a denotatum)·, aliquo (dynamical object).
As surprising as this resemblance may be (though Peirce in fact
often refers to the Tractatus in his Collected Papers), still more sur-
prising is the fact that the "discovery" of semiotics in the 1960s
(especailly in France and Italy) was generally characterized by recourse
to a rather oversimplified and reductive model of sign inspired by
Saussure, ignoring, on the one hand, the tradition that from Peirce
extends back to medieval semiotics, and, on the other, the objective
historical context. Bakhtin, who in the 1920s had already distanced
himself from Saussurean linguistics, was also left aside. The failure
to take such traditions into account led to the debates of the 1960s
and first half of the 1970s (in Italy, Eco's Trattato, 1975, emble-
matically brings this phase to a close) on such alternatives as: semiotics
of communication versus semiotics of signification; non-referential
semantics versus referential semantics, etc. However, it is especially
thanks to the influence of Jacques Derrida, Julia Kristeva, and Roland
Barthes (for the Barthes of the "third sense", see further on), that the
Saussurean model of sign based on equal exchange between signifiant
and signifié is finally overcome. As Derrida shows, the implications
of this model are still present in the "Seminaire sur la lettre volée"
(the programmatic manifesto of Lacan's Ecrits), as well as in the
Saussure of the Anagrams (see Saussure's perplexities as described
by Starobinski), even though they clearly express a tendency towards
the conception of the autonomy of the signifiant and of renvoi from
one signifiant to another (so that the model of sign can no longer
be reconducted to the logic of equal exchange).
260 Adven tures of the Sign
Semantic phenomena may exist in hidden, potential form only to reveal them-
selves in semantic cultural contexts of subsequent epochs favourable to such
revelation. The semantic treasures placed in his works by Shakespeare developed
over centuries and millenia: they lie hidden in both literary and popular language
at levels which, during Shakespeare's time, had not yet entered into literature,
into the multiform genres and forms of discourse exchange; they were hidden
in the different (prevalently carnival) forms of a powerful popular culture which
had developed over thousands of years; they were hidden in the spectacular-
theatrical genres (mystery plays, farces, etc.), in plots that have their roots in
ancient, pre-historic times, and finally, in the various forms of thinking [...].
The author and his contemporaries see, comprehend and evaluate, in the first
place, that which is closest to their own present. The author is a prisoner of his
times, of his contemporaneity. Subsequent epochs free him of such imprison-
ment and the science of literaure is called upon to help towards this liberation.
towards that which is close at hand at both the temporal and spatial
levels. According to Bakhtin (1959-61), Marx believed that conscious-
ness becomes real consciousness for the other as well as for myself
only through the word. And this "other" does not merely refer to
the other that is closest to us, for in the search of answering compre-
hension the word pushes itself further and further away.
The dialectic of the sign is given in Peirce by the interaction of
three components: the symbolic, iconic and indexical. All signs con-
tain symbolicity, iconicity and indexicality in varying degrees (cf.
2.8.2, this volume).
As a symbol, the sign refers to a given object from a given point
of view thanks to the mediation of the interprétant. It is the inter-
vention of the interprétant that makes it a sign and, in fact, as a symbol
the sign relates to its object solely through the interprétant. There-
fore, the symbol is a sign on the basis of convention, in virtue of
a law which determines that a given sign (symbol) refers to a given
object. In short, the symbol, says Peirce, "is itself a general type of
law, that is to say, it is a Legisign" (2.249). However, as much as
it is based on a convention, on a law, the particular relation established
by the interprétant between the symbol and its object is not based
upon the authority of a code free of the risks of interpretation (a code,
that is, conceived as a system of univocal correlations between com-
ponents at the level of content and those at the level of expression),
the relation is based uniquely upon the renvoi from one interprétant
to the next, which in its turn, can account for itself only through
another interprétant and so forth ad infinitum.
Thus the law of the symbol is founded upon the endless flight
of interprétants, upon an interminable process of deferral and renvoi.
Therefore, even as a symbol and despite the fact that as such its re-
lation to the object is determined by a law, the sign (symbol), is not
static or repetetive, it does not benefit from the guarantee of a code
without sharing in the risks involved in belonging to an interpreta-
tive process.
However, the sign is never a symbol only: it is always more or less
"degenerate", in the sense that it contains simultaneously traits of in-
dexicality and of iconicity to a weaker or stronger degree. In its turn, as
much as a sign may be above all of an indexical or of an iconic nature,
it is also, at the same time, a symbol. This means that it needs, even if
to a smaller degree with respect to a sign that is predominantly symbolic,
the mediation of an interprétant and recourse to a convention.
266 Adventures of the Sign
2.11.3 Difference
In the last ten years we have been witnessing a more direct and explicit
assumption of the epistemological presuppositions that have made
it difficult for "semiotics of the code", or of "equal exchange" to
take root in Italy. The latter alludes to the general model of sign
according to which messages are formulated and exchanged on the
basis of a code (which has been defined and fixed antecedently with
respect to the actual use of signs so that, requiring only decodification,
it does not present the risks involved in interpretation), of a two way
correspondence between signifiant and signifié. Code semiotics, the
product of a distorted interpretation of Saussure and of the reformula-
tion of the Saussurean dichotomy langue/parole in terms of the theory
of information (see The Mathematical Theory of Communication,
by Shannon and Weaver, 1949), is tied to a notion of communication
276 Adventures of the Sign
It has been said that semiotic research today is celebrating a "cold war"
between semioticians of Saussurean/Hjelmslevian/Greimasian orienta-
tion and semioticians of Peircean orientation: these two factions
seem to oppose binarism to triadism. I am convinced that the heart
280 Adventures of the Sign
of the matter does not lie in the opposition between binarism and
triadism, but rather between a model of sign that tends to oversimplify
things with respect to the complex process of semiosis and a semiotic
model (as is that perspected by Peirce) that seems to do more justice
to the various aspects and factors of the process by which something
is a sign. This is achieved not on the mere basis of an empty triadic
form, but rather thanks to the specific contents of Peirce's triadism, that
is, to the categories it in fact consists of, the typology of signs it pro-
poses, the dynamic model it offers by describing signs as founded
upon renvoi from one interprétant to another. The categories of
i
'firstness', 'secondness', and 'thirdness', the triad representamen\
'interprétant', and 'object', the characterization of the sign on the
basis of its triple tendency towards symbolicity, indexicality and
iconicity, permit the emphasis and maintenance within a semiotic
perspective of the alterity and dialogism constitutive of signs. In an
article published in Versus (n. 34, 1983) and entitled "Abduzione
e alterità", I attempted to put into evidence the dialogic and polylogic
character of Peircean logic (see 2.8). The merit does not go to the
triadic formula. The proof is offered by Hegelian dialectic in which
triadism, abstracted as it is from the constitutive dialogism of sign
life, gives rise to metaphysical, abstract and monological dialectic.
Bakhtin gave a good explanation of how this type of dialectic is
formed in his 1970-1971 notebooks, showing how it actually has its
roots in a vital dialogic sign context: the process consists in taking
out the voices (division of voices) from dialogue, eliminating any
(personalistic/emotional) intonations, and thus transforming live
words into abstract concepts and judgements, so that dialectic is
obtained in the form of a single abstract consciousness. Peirce himself
also took a stand against the systematic skeleton of the Hegelian
analysis, against dialectic intended as a kind of hypocondriac search
for an end, that is, oriented unilaterally instead of being open and
contradictory (on the relation between dialogue and dialectic in
Peirce and Bakhtin, see Ponzio and Bonfantini, 1983) (cf. 2.11.2).
The alternative, therefore, is not between binarism and triadism,
but between monologism and polylogism. The limit of the model
of sign as proposed by the semiology of Saussurean matrix is not deter-
mined by binarism as such, but by the fact that such binarism finds
expression in the conception of equal exchange between signifier and
signified, and in the reduction of complex sign life to the dichotomous
schema of the code and message (2.7).
Looking Back While Moving On 281
who understand everyone completely and who (in spite of their claim
of knowing all about languages) succeed in communicating with anyone
who does not work in their same field.
288 Adventures of the Sign
Bibliography
Note
The subsections in the bibliography correspond to the chapter divisions in Part 2.
Jakobson, Roman
1975 "Glossen on the Medieval Insight into the Science of Language", in
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3. Appendix I
Susan Petrilli
Introduction 315
[...] I see strongly how much we have lost and are losing by
the barrier which we set up between emotion and intellect,
between feeling and reasoning. Distinction must of course remain,
[...]. But I should like to put it thus: The difference e.g. between
our highest standards of love and the animal's is that they imply
knowledge in the logical order. We know that, what, how and
above all, why we love. Thus the logic is bound up in that very
feeling which we contrast with it. But while in our eyes logic is
merely "formal", merely structural, merely question of argument,
"cold and hard", we need a word which shall express the com-
bination of "logic and love". And this I have tried to supply in
"Signifies" (letter by Victoria Welby to Charles S. Peirce of
December 22, 1903, in Hardwick 1977:15).
3.0 Introduction
The authors considered in this paper share yet another very important
characteristic in their approach to the study of meaning: they put into
focus different aspects of signifying value which, to use Morris' termi-
nology (1964), could be grouped into all that has to do with "signifi-
cation", on the one hand, and with "significance", on the other. We are
alluding to the difference (which of course does not imply separation)
between the intentional and the extraintentional, the literal and the
figurative, meaning in the linguistic sense and meaning in what in
this paper we have proposed to call an "ethosemiotic" sense. In
other words, we are dealing with the distinction between what
Welby calls "sense" and "meaning", or Peirce "immediate interprétant"
and "dynamical intepretant", or Bakhtin "meaning", on one side,
and "significance", or "final interprétant", or "theme", respectively,
on the other.
Welby was effectively in contact during her life-time with Peirce
and Vailati, using them both, quite typically, as sounding boards for
her own ideas. She maintained epistolary relations with them for
several years and even met Vailati personally in 1903. Bringing
Bakhtin into the picture, on the contrary, means establishing a re-
lation between people for whom it was virtually impossible to meet
in real life, as is immediately obvious from their birth and death dates:
all the same, this has by no means impeded us from making our two
authors meet ideally at the theoretical level.
Signifies, Meaning and Signs 317
Founded as it was upon the notions of langue and parole, the Saussurean
model of sign lent itself to the identification of a direct link with
the mathematical theory of communication and, therefore, it made
use of the similar terms code and message, transmitter and receiver.
Consequently, we may designate the semiotics of Saussurean derivation
as semiotics of the code and message (see Bonfantini 1984; Rossi-
Landi 1985). In code semiotics the sign is divided into two parts:
the signifier and the signified, which refer respectively to the sign
vehicle and its content. These parts are conceived as being in a re-
lation of equality or of equal exchange, they are considered to be
the expression of a perfect correspondence between communicative
intentionality, on the one hand, and interpretation, on the other. As
was brought to attention as early as 1961 (see Rossi-Landi 1961),
this model views communication in terms of the passage of a postal
package from one post office to another: the receiver need only re-
gister the content of the message, he is only required to decodify
the message without interpreting it. It is well worth remembering, as
has been amply demonstrated (see Ponzio 1986c?), that the Saussurean
model of sign bears traces of the theory of value as conceived by
marginalistic economy of the school of Lausanne (Walras, Pareto).
The assimilation of the study of language to the study of the market-
place as it appears in an ideal state of equilibrium, gives rise to a static
conception of sign. In fact, in this perspective, signs are studied in
their synchronic layout, according to the paradigms of the logic of
perfect correspondence between that which is given and that which
is received, that is, according to the paradigms of the logic of equal
exchange regulating all social relations in our current economic system
(Rossi-Landi 1978Ô, 1974).
Code semiotics does not provide adequate instruments for the
description of the heteroglossia, plurivocality, ambiguity, and semantic
resonance of signs. Owing to its complexity, verbal language in particu-
lar cannot be contained within the two poles of langue and parole (on
this point see Bakhtin's critique of Saussure which goes back as far
as 1928). Furthermore, the sign in general, in virtue of its sign quality,
cannot be reduced to the level of mere signality (e.g. road signs).
Signifies, Meaning and Signs 323
There is, strictly speaking, no such thing as the Sense of a word, but only the
sense in which it is used — the circumstances, state of mind, reference, "universe
Signifies, Meaning and Signs 325
It may then be suggested that while the sense-scheme of the primitive mind was
for obvious reasons more exclusively dominant than it afterwards became,
and may be supposed to have reacted to more subtle appeals from the various
realms of nature [...] the meaning-scheme, now so highly developed, was still
embryonic; while the element of Significance, as we now at least tacitly re-
cognise it, was not yet assimilated. In other words, the primitive form of
intelligence may be supposed to have been sensitive to certain modes of energy,
modes which it was incited to translate somehow into cult of some kind and
then into formal doctrine; just as it was impelled to translate the sense of hunger
into the taking of food, and, in a higher stage, to translate the whole experience
into articulate statement. Only, in the last class of cases, the translation, as life
directly depended on it, had to be the right one; in the case of the more indirect
forms of stimulus, the translation was purely tentative, and was thus liable
to be grotesquely wrong. Even where its principle survives, on the one hand
in the highest scientific, and on the other in the highest religious, poetical, or
philosophical thought of our own days, its earliest applications were repulsive
as well as fantastic.
This, however, would be, from a signifie point of view, just what we would
expect to find. Man's sense-world includes much which requires the discipline
of a meaning-sense to interpret rationally; and this sense, this sensitiveness
to the meaning, intent, purport, purpose, "end" of experience, direct and
indirect, culminates in the sense - now become the recognition - of Signi-
ficance; of the import, the importance, the ultimate value, the supreme moment
of all experience and all knowledge (ibid. : 193-194).
lation between sign (symbol) and object was too restrictive. Peirce
extended his approach to include the relation between sign (symbol,
index and icon) and interprétant. This involved setting the analysis
of the relation between symbol and object within the broader context
of the general theory of signs.
In a letter to Welby of March 14, 1909 (the same published by
Ogden and Richards in The Meaning of Meaning), Peirce himself es-
tablished correspondences between Welby's three levels of meaning
and his own triadic division of the sign (see also section 3.3.4 further
on). He maintained that his immediate interprétant, dynamical in-
terprétant, and final interprétant could be related respectively to
her sense, meaning and significance. Peirce's immediate interprétant
regards the meaning ordinarily and habitually used by the interpreter
and, therefore, as Welby says concerning sense, it regards the inter-
preter's immediate response to signs. The dynamical interprétant
concerns the sign's signification in a specific context and, therefore,
as Welby claims for meaning, it is used according to a specific in-
tentionality. That Peirce should have matched his final interprétant
with Welby's significance is of particular interest in the context of our
current discussion. In fact, Peirce's final interprétant concerns the
sign as it appears at the extreme limits of its interpretative possibilities,
that is, it concerns all those possible responses that signs may provoke
in the unlimited chain of interpretante. In other words, similarly
t o Welby's significance Peirce's dynamical interprétant designates
the creative potentialities of signs:
from reading over what you say that it is the first effect that a sign would have
upon a mind well-qualified to comprehend it. Since you say it is Sensal and
has no Volitional element, I suppose it is of the nature of an "impression".
It is thus, as far as I can see, exactly my Immediate Interprétant (in Hardwick
1977:109-110).
In the light of these considerations, we may now recall the opening
part of this section (3.1.2a) and state that Welby may well be seen as
taking her place in those current trends in semiotics that, thanks to a
greater awareness of the nature of signs and of signifying processes, are
now overcoming the limits of the kind of analyses that stop at the
identification of biunivocal correspondences between the signifiant and
signifié. Today, in fact, studies on meaning have gone beyond the
phase we have tagged "code semiotics" or "semiotics of equal ex-
change" and which, on the basis of a perfect correspondence esta-
blished between the two faces of the sign according to the rules of
a pre-determined code, describe meaning as something fixed, pre-
established and frozen inside the system of language. Against such
a conception and in line with what today is known as semiotics of
interpretation, Welby emphasized the changeability and inconstancy
of signs, their plurivocality, semantic flexibility, dialogicality and
essential alterity. For Welby meaning is something in becoming in
the process of transíation/interpretation from one sign to the next.
more and more phases of thought or branches of science. The more varied and
rich our employment of signs (so long as such employment be duly critical,
securing that we know well what we are doing, also the indispensable condition
of humour), the greater our power of inter-relating, inter-translating, various
phases of thought, and thus of coming closer and closer to the nature of things
in the sense of starting-points for the acquisition of fresh knowledge, new
truth (Welby 1 9 0 3 , 1 9 8 3 2 :150).
Prof. G. Vailati, [...] shares your view of the importance of that - may I call
it, practical extension? — of the office and field of Logic proper, which I have
called Signifies. For the latter seems to see as I do that the acceptance of such
an extension will bring a time when no one with any sense will any longer say
"Oh, I don't care for (or, am incapable of) the study of Logic. That isn't my
line". For that would be to announce indifference not merely to rational order,
but also to the very attribute which may be said to give its human value to life,
— that is (1) its "Sense" and sense power in every sense from the biological
to the logical, (2) its intention, conscious and increasingly definite and rational,
which we call "Meaning" and (profess to) use language to express, (3) its
"Significance", its bearing upon, its place among, its interpretation of, all
other cosmical facts (Hardwick 1977:6).
of any kind; all that for any reason or in any way arouses attention or claims
interest, excites response or suggests inference, must be subjected to this in-
troductory and exhaustive test.
First of all, what does it signify?
For unless in some sense or degree it signified, we may ignore it;it is indeed
waste of energy to consider it. In some sense and however remotely or in-
directly, it must concern us all, be it only as somewhat to be denied, ignored
or neglected. However abstract or conjectural, even however irrational, it must
needs have some bearing on our knowledge if not on our status or our conduct
(inHardwick 1977:182).
Man questions and an answer is waiting for him [...]. He must discover, observe,
analyse, appraise, first the sense of all that he senses through touch, hearing,
sight, and to realize its interest, what it practically signifies for him; then the
meaning — the intention - of action, the motive of conduct, the cause of
each effect. Thus at last he will see the Significance, the ultimate bearing, the
central value, the vital implication - of what? of all experience, all knowledge,
all fact, and all thought (Welby 1903,1983 2 :5-6).
For the fresh advance which now seems imminent, as it is sorely needed, should
be no mere continuation of the Baconian search, the accumulation of data
for a series of inferences regarding the properties of the material system as
usually understood, but rather the interpretation, the translation at last into
valid terms of life and thought, of the knowledge already so abundantly gained.
While man fails to make his translation — to moralise and humanise his know-
ledge of the cosmos, and so to unify and relate it to himself - this thinking is
in arrears, and mentally he lags behind his enacted experience. That we in this
age do lag behind, and that we have thus far failed to achieve a great and general
act of translation, is a loss chiefly due to our unanimous neglect to understand
Expression, its nature, conditions, range of form and function, unrealised
potencies and full value or worth (Welby 1911, 1985 2 :2-3).
334 Appendix I
3.1.5 Significs/Semantics/Semiotics
coincided with signifies, but, if anything, were a part of it, and in the
entry "Signifies' written for the Encyclopaedia Britannica, Welby
explicitly took her distance from them.
In a letter of July 6, 1900 to the German philosopher and sociologist
Ferdinand Tonnies (partly reproduced in Schmitz 1985:li), Welby
had already specified that she needed a word that would convey the
combined ideas of sign and sense, a word that did not exist. She chose
the name signifies given that it had never been used before and was
consequently free from references to other semantico-philosophical
schools. This rendered it appropriate to expressing the novelty of
her own approach which proposed itself as an ethical-pragmatic ex-
tension of semantic theory and thus stressed the operative and ethical
value of signifying processes. In a letter to Welby of March 18, 1903,
the Italian philosopher and mathematician, Giovanni Vailati, had
proposed that she substitute "signifies" with the term "semiotics"
on the grounds that it had already been introduced by no less an
authority than Locke, with the same meaning. The following explana-
tions for her refusal of such a proposal were offered by Welby in an
unpublished letter of March 28, 1903 to Vailati, who subsequently
fully agreed with her motivations:
Allow me to thank you for the kind words wherewith you have honoured my
book, and to explain that the word "Signifies" was chosen after consultation
with English scholars because (1) it had not been used before and had no
technical associations, like those of semiotic, semasiology, semantic, etc.; and
(2) because in English idiom it appeals not merely to the student and the scholar
but also to what we call 'the Man in the street". All men alike with us ask
naturally "What does it Signify?" and put aside, ignore what does not signify.
They unconsciously give the Sign its true place and value. They say "never
mind that", throw it away, it does not signify (it is no sign and has therefore
no sense). I think it is important to take a case where the popular instinct is
unconsciously philosophical and utilize this in favour of an advance in thought
which must concern us all, though in different ways. I much hope that this
explanation may remove your objection [...]. May I add one more word. Neither
Locke nor any other thinker, it appears has ever analysed on "signifie" lines
the conception of "Meaning" itself.
Welby did not hesitate to repeat her views even to Pierce and in
a letter of January 21, 1909 (in Hardwick 1977:91) she insisted, yet
again, that to her way of thinking, the word semiotics was far too
specialistically connoted since it indicated the technically more
scientific and philosophic aspects of what she more generally intended
by "signifies".
Signifies, Meaning and Signs 337
Vailati wrote to Welby for the first time in 1898 after having read
her 1897 book, Grains of Sense, in which he found confirmation of
his own approach to certain problems relating to the question of
meaning. They corresponded quite intensely that year, discussing such
issues as: the nature of definition and of its contribution to the progress
of knowledge; the use and cognitive value of metaphors, analogy,
and figurative speech in general; the question of the false problems
and misunderstandings posed by science and philosophy owing to
poor and uncritical linguistic usage; the necessity of educational re-
forms with the aim of remedying the lack of a critical consciousness
in general and of a linguistic consciousness in particular. Welby sent
Vailati her 1896 article, "Sense, Meaning and Interpretation", upon
which Vailati commented favourably in a letter to Welby of July 12,
1898. Furthermore, Vailati referred to Welby's writings publically in a
lesson of 1898, published in the subsequent year under the title "Alcune
osservazioni sulle questioni di parole nella storia della scienza e della
cultura" (see Vailati 1987). This exchange of letters was followed
by a period of silence interrupted in 1903 when Welby sent Vailati
a copy of What is Meaning? In the same year Vailati, accompanied
by Calderoni, finally went to visit Welby in England, and this time
they continued writing to each other uninterruptedly until 1908
(cf. 3.1.5).
In a section of his introduction to the 1985 edition of Signifies
and Language (1911) on the correspondence between Vailati and
Welby, Schmitz maintains that though Welby did not really influence
Vailati to any great extent, the latter was anything but indifferent
to some of her intuitions which he took up and developed: the two
scholars shared a common interest in specific questions concerning
language and were also united by the affinity of their working method,
to the point that Welby did not hesitate to consider Vailati's work
as belonging to the domain of signifies. In fact, in a letter of March
28, 1905, to Vailati, she wrote:
You may imagine how great a satisfaction to me it is to find the subject which
I call "Signifies" so ably taken up as it is by you as of course I should be unable
to develop it on the logical side as you so admirably do (in Schmitz 1985:
clxxv).
The Critique of Language in Vailati and Welby 341
Not only did Welby and Vailati aim at clarifying the meaning of words
and signs in general, but they also wished to work for the general
improvement of expression. They shared the conviction that this could
not be achieved through the application of the principle of univocality
nor, therefore, by simply availing oneself of such expedients as def-
inition. Clarity and the development of expression went hand in hand
with total respect for linguistic ambiguity in the sense of semantic
polyvalency, plurilingualism, and the discourse reality of polylogism
and heteroglossia (as Mikhail Bakhtin would say, cf. section 3.3).
Welby often described language as a living organism which con-
tinually grows and develops, and which acquires a fresh impress from the
individual speaker: a new expressive power and meaningful association
each time it is used. Already in her 1893 essay "Meaning and Meta-
phor", Welby criticized the concept of "plain meaning", of meaning
as something obvious, fixed, stable and univocal which she identified
as one of the major causes in the setting of so-called "linguistic traps",
together with the lack of linguistic consciousness in general, the bad
use of language, the proliferation of mistaken metaphors and other
forms of linguistic imprecision:
meaning? How much can he truly classify and relate, how much can be rightly
infer and conclude, how much can he account for, explain, and fruitfully apply?
For after all, results must be our tests (Welby 1893 in Welby 1985a:517).
I believe the exposition and classification of verbal fallacies and, above all,
their caricatures (in jeux de mots), to be one of the most effectual pedagogic
contrivances for creating the habit of perceiving the ambiguities of language.
It is a remedy somewhat analogous to that resorted to by Lacedaemons, who,
in order to keep alive in their sons the horror to intoxication, compelled them
to assist to the dégoûtants deeds and sayings of the ebrious Ilots (Vailati
1971:142).
We strangely ignore the fact that comparison is our one way of acquiring or
imparting knowledge; that no perception has its full "sense", much less meaning,
until we have started from its likeness to or correspondence with some other
perception already ours; as we have seen, we forget that we cannot say one
word to our fellow without assuming the analogy between his "mind" and
our own (ibid. :43).
On many occasions Vailati was careful to point out that his re-
search was very close to Welby's: in 1898 he informed the latter
that the article he was then working on, scheduled to appear under
the title "Alcune osservazioni sulle questioni di parole nella storia
della scienza e della cultura", took up similar issues to those dealt
with by Welby herself in her 1896 article "Sense, Meaning and Inter-
pretation". Moreover, as he explicitly stated in the opening lines,
his article "I tropi della logica", centered upon the analysis of the use
of metaphors derived from the physical world, was directly inspired
by What is Meaning?
346 Appendix I *
Though our considerations up to this point and the facts adduced to illustrate
and support them are insufficient to give an idea of the multiple ways in which
language can, even without us knowing, contribute to suggesting analogies and
therefore to provoking us into imagining hypotheses and constructing experi-
ments, all the same they would appear to be sufficient to help us realize that
this is precisely the main cause of the influence that has always exercised and
continues exercising upon the progress of a scientific theory, the simple fact
that the latter is expressed in one form and not in another.
It is the different degree of suggestiveness which may belong to the varying
ways of representing and of formulating a single theory, and the different
direction in which each of these may push us to generalizing, deducing, com-
paring, and experimenting, that causes us, at times, to consider the invention
of new ways of formulating and of expressing that which we already know as
no less important a contribution to the advancement of the sciences, than
the actual acquisition of new knowledge or the discovery of new laws (Vailati
1987:69).
in the semiotic web of human relations. As Welby put it, the vaster
and richer our use of signs, the greater our interpretative, cognitive
and inter-translative powers.
Both Welby's and Vailati's considerations recall Peirce's theory
of "unlimited semiosis" according to which the meaning of a sign
is the interprétant sign in an open ended chain of renvois from one
interprétant to the next (cf. Peirce 1931-1958:4.127). Just as for
Welby everything suggests or reminds us of something else, in the
perspective of Peirce's cognitive semiotics, meaning is given in the
transformation of one sign into another "equivalent" or possibly
"more developed" (interprétant) sign which further enhances the
overall signifying potential of the preceding sign. Such an approach
makes evident the spirit of investigation that pushes man to probe
the meaning of the universe, to question the nature of meaning
itself. This attitude, as we have seen, is fully captured by Welby with
her analysis of the simple question "What does it mean?", or "What
does it signify?" In that question lies the generating source of in-
tellectual activity, the driving power of all that may be summed up
under the name of philosophy: "The universe may be compared to
a spoken sentence imperfectly heard, while philosophy is the attempt
to articulate it more clearly, thereby revealing what it means" (Jacks in
Cust 1931:12). More than aiming at producing a system of philosophy,
Welby's research may be viewed as the materialization of the driving
force behind her questions ultimately centered upon the question
of why we are pushed to interrogate the sense, meaning and signi-
ficance of humanity and of the universe. This questioning spirit that
characterizes man from childhood is more significant to Welby than
the answers themselves, which, in fact, become the departure point
for a new question. Thus more than offer final solutions, Welby's
studies reveal the dynamic reality of the question itself which carries
the mind forwards in an endless movement to new and wider horizons.
348 Appendix I
When we talk of "heat", we no longer mean what we used to mean even fifty
years ago. And when a man says that he believes in the sun, the planets, the
cosmos, in the heavens and the earth, in mind and matter, in soul and body,
in spirit and flesh, he cannot, if he would, mean just what his forefathers meant,
or indeed anything at all absolutely and finally. Whether we will or no, the
meaning of such terms is changing on our very tongues, and ever swaying be-
tween the extremes which we call literal and metaphorical; "heaven", e.g.,
ranging in value from sky to human destiny; "earth", from soil to the visible
Home of Man. We may appeal, and are right to appeal to "hard, dry" facts;
but we perforce put something of ourselves even into these. They become
"facts" under the quickening touch of "mind", while that emerges from a dim
world of prepossession, bequeathing us many a primitive legacy from pre-
Signs and Meaning in Welby and Bakhtin 355
intelligent sentience, and perhaps from little-suspected sources lying yet further
back (Welby 1893, now in Schmitz 1985).
For both Welby and Bakhtin the verbal sign is of primary importance
to the theory of sign and culture. Differently to nonverbal signs which
as nonsign bodies with an extra-sign function take on a sign function,
verbal signs do not exist outside their sign function, so that the word
is completely absorbed by its sign function and as such is the purest and
most resonant expression of social relations (see Appendix 2): it is
immediately communicative and ideological for it arises directly from
the needs of social communication. Ideology and culture, as expressions
of social communication, are best taken into consideration through
analysis of the word which is the "ideological phenomenon par ex-
cellence". It follows that the verbal sign reaches remarkably high
levels of semantico-ideological pliability, of internal dialogicality
and polylogism.
In the theories of both Welby and Bakhtin, and coherently with the
model of sign as it is proposed by the semiotics of interpretation,
we have a strong opening towards otherness. The word is dialogical
both because it is multi-accentuated internally and also because it
is related on the outside to the word of others. Contrary to the ideal
of language which gives first place to such concepts as signality, "plain
meaning", or to the "interpretation of identification", this sign theory
orientation is dominated by the interpretation of answering compre-
hension, by the relation of alterity. This comes across strongly in
Welby's theory of translation intended, as we have seen (cf. 3.1.3),
not only in the obvious sense of the passage from one language to
another (interlinguistic translation), but more than this, as the trans-
lation of verbal signs into nonverbal sign systems and vice-versa,
and, furthermore, of the translation of verbal signs into other verbal
signs of the same language (intersemiotic and endolinguistic trans-
lation respectively).
For both Bakhtin and Welby semiosis cannot take place without
translation and, indeed, semiosis is a translation process. The formula-
tion of some idea or hypothesis in the language of different spheres
356 Appendix I
Silence and sound. The perception of sound (against the background of silence).
Silence and muteness (absence of words). The pause and the beginning of the
word. The violation of silence by a sound is mechanistic and physiological
(as the condition of perception); the violation of muteness instead by a word
is personalistic and endowed with sense: it is altogether another world. In
silence nothing resounds (or something does not resound), in muteness no-
one speaks (or someone does not speak). Muteness is only possible in the human
world (and only for man). Naturally, both silence and muteness are always
relative. The conditions of sound perception, the conditions of sign under-
standing-recognition, the conditions of the understanding that produces word
sense (Bakhtin 1970-1971, in 1979:337).
358 Appendix I
1929; Eng. trans. 1973:26). Welby may be seen as coming very close
to such a position, and certainly moved along the same lines. In parti-
cular, she too analysed human psychic experience as the sign ex-
pression of the interaction between the individual organism and his
outside environment.
Many are the aspects we could continue to relate in Welby and
Bakhtin. Both authors, for instance, made references to popular
culture. Bakhtin's theory of literature rests on a philosophy of language
which also draws from folklore tradition as is evident in his Dostoevsky
and Rabelais. He applied the categories of carnival to the language of
literature. This operation favoured the full expression of what we
have previously described as the dialogicality, otherness and polyphony
of linguistic life, qualities which are exalted through the use of such
carnival categories as the reversal of hierarchical relations, the elimina-
tion of social distances, profanation and joyful relativity. On her part,
Welby also pointed to the creative expressiveness of popular culture.
She spoke of the popular instinct of the "man in the street" as being
unconsciously philosophical and a worthy model to follow when
deciding on the attitude to be taken concerning problems of language,
meaning and value. Furthermore, she emphasized the particular "sig-
nificai" pregnancy of his idiom (one of the main sources for the
renewal of language in general), particularly as it finds expression in
folklore tradition and narrative: ". . . both slang and popular talk,
if intelligently regarded and appraised, are reservoirs from which
valuable new currents might be drawn into the main stream of language
— rather armouries from which its existing powers could be con-
tinuously re-equipped and reinforced" (Welby 1911, 1985 2 :38-39).
and dynamical object, that is, in relation to "the Reality which by some
means contrives to determine the Sign in its Representation" (ibid.), for
Peirce, also, the sign could never be something repetitive. Each time it is
taken up, it makes its appearance in a new semiotic act. This causes the sign
to be continually renewed, so that the interprétant is never established once
and for all: this is Peirce's principle of unlimited semiosis, of the unending
succession of interprétants (a principle connected to the conception of the
hypothetical and approximative nature of knowledge underlying his "cognitive
semiotics").
We saw that in his letter to Welby of March 14, 1909, Peirce ex-
plicitly established a relation between his "immediate interprétant",
"dynamical interprétant" and "final interprétant" and Welby's "sense",
"meaning" and "significance", respectively. In Welby, "sense" concerns
the way the word is understood according to the laws of conventional
use, it concerns the word in relation to the circumstances and universe
of discourse, and not in isolation (which reminds us of the dialectics
described by Bakhtin between "meaning" and "theme"). On the
other hand, Welby's "meaning" is related to the intent one wishes
to convey, the intention of the user. "Significance", instead, involves
the import, implication, the general and ideal value of the utterance
(see 3.1.2). On the basis of Peirce's interpretation of the affinities
between his sign theory and Welby's theory of meaning (critically
evaluated by Gérard Deledalle in his paper "Victoria Lady Welby and
Charles Sanders Peirce: Meaning and Signification", in Schmitz 1988),
and of Ponzio's correlation between the categories of Peirce and of
Bakhtin, we now propose that: what Bakhtin called "meaning" corre-
sponds to Peirce's "immediate interprétant" and to Welby's "sense";
what Bakhtin called "theme", Peirce divided into "dynamical inter-
prétant" and "final interprétant", and Welby divided into "meaning"
and "significance". These correspondences, of course, are only
approximate and could not be otherwise since they concern concepts
that attempt to break down a unitary totality which in fact is in-
divisible. Theoretical distinctions are always abstract and made with
the purpose of focussing better on particular aspects. It must not be
forgotten however, that not only do signs not act independently
of each other, but they also find in each other their signifying value
in the process of the dialectic and dialogic interaction characterizing
semiosis.
4. Appendix II
Susan Petrilli
Signs and Nonsigns 367
It is always in that context that the sign situation, the sign and meaning are
comprehensible. The separation of a fragment of such relations (the relation
between the sign and its designatum; the relation between signs; the relation
between the producer of signs and the signs, etc.) may be necessary for research
purposes and is of course permissible; but it is not permissible to treat such
a fragment as an independent whole, since this involves, as we have seen above,
the dangers of various "fetishisms" (1962:266).
We may say that not all things are signs, though there is nothing
that cannot become a sign. Once it has been caught up within the
network of semiotical processes, any material object, event, natural
fact, or human artifact may be transformed into a sign, even if it
does not arise expressly as such. Anything may potentially move in
or out of the semiotic web.
We have mentioned the existence of entities produced expressly
as signs. These are, first of all, verbal signs, both oral and written.
Verbal signs are not things, and unlike things that may become signs,
they can be nothing else but signs. On the other hand, while it can
be erroneous to divide reality into signs and nonsigns, we may instead
wish to distinguish between signs that are verbal and signs that are
nonverbal. In this case, the question becomes that of characterizing
verbal and nonverbal signs in relation to each other, and of explaining
exactly what we mean when we state that verbal signs are nothing
else but signs, while nonverbal signs can also be nonsigns in certain
situations, or entities that take on a sign function in others.
Verbal and Nonverbal Signs 369
Though such because it has its meaning in another sign, a certain sign retains
an uninterpreted residue with respect to this other sign, i.e. its interprétant,
which in its turn gives rise to other interprétant routes. [...]. In virtue of semiotic
materiality, the interpreted has its own consistency, its own resistance which
the interprétant will have to take into account and adjust to. What is interpreted
and becomes a sign because of this — whether it be an utterance or a whole
line of conduct (verbal or nonverbal), or a written text, or a dream — does
not lie at the mercy of a single interprétant. This is so precisely because the
interpreted is open to several interpretations and is therefore the crossing point
of numerous interpretative routes.
Thus, the sign — in this case the verbal utterance "It's red" — is an
interprétant that may give rise to numerous and differing interpreta-
tions by contrast to the actual colour red of the traffic light which,
according to the conventional codes of a specific society, can only
mean "Stop!". In the case of signals then, semiotic materiality is at
its lowest.
However, to return to the problem of distinguishing between verbal
and nonverbal signs, we soon realize that, similarly to extrasign
physical materiality, sign or semiotic materiality is not a discriminating
factor. Insofar as they are signs, both verbal and nonverbal signs are
characterized by semiotic materiality. Any nonverbal object, image,
artifact, gesture, or event acting as a sign, is a sign because it has
meaning for someone, and, as such, it has semiotic materiality in the
same way as any verbal sign. Whether verbal or nonverbal, signs are
potentially plurivocal, and their plurivocality varies in degree as we
pass from the lowest levels of semantic indeterminacy (for example,
the monologic word or a nonverbal signal) to the highest levels of
semiotic resonance. We speak of sign or semiotic materiality in contrast
to physical materiality because, unlike the latter, semiotic materiality
is determined within the network of semiosis: the uninterpreted residue
of an interpretative route takes shape and subsists inside another
interpretative route.
372 Appendix II
1. Π linguaggio come lavoro e come mercato was published in 1968 and includes
articles dating back to 1965. Semiotica e ideologia (1972) is a collection of
studies from the years 1966 to 1970. Metodica filosofica e scienza dei segni
(1985) covers research from 1971 to 1979. As Rossi-Landi himself informed
us, there still remain to be collected and reorganized numerous writings from
the same period as well as from the years prior to 1965 and after 1979. It is
interesting to note that the 1985 book is connected to Rossi-Landi's 1961
publication in which he places himself in the pioneer line of thought that
goes from Peirce to Morris while relating to Wittgenstein, English Analytical
Philosophy, and neopositivism on the one hand, and to the local tradition as
it is articulated by Cattaneo, Peano, Vailati, Calderoni, Enriques, and Colorni
on the other. It is in such a perspective that Rossi-Landi elaborated his concept
of the methodics of common speech, he used it to examine the general con-
ditions which make meaning and communication possible and which took
him beyond the limits of the Oxonian analyses of linguistic use. Even more
noteworthy is that by 1961, with this approach and similarly to Mikhail Bakhtin,
Rossi-Landi had surpassed the limits of a linguistic science that reduces the
whole of linguistic life to the two poles of the linguistic system, langue and
parole. Concerning all these aspects see Ponzio 1986c.
374 Appendix II
ended process of renvoi. Thus, Rossi-Landi isolated the sign for the
purpose of analysis, and chose to start with the sign totality on the
conviction that it is easier to break down the whole into its com-
ponent parts (and to show that signs are also bodies) than it is to
show, step-by-step, how bodies are transformed into signs while still
remaining bodies. His method vaguely recalls the one employed by
Sherlock Holmes when he explained to Watson, in the last chapter
of A Study in Scarlet, that his success in unravelling apparent enigmas
rests in his capacity of "reasoning backwards" (see Bonfantini in
Ponzio et alii, 1985a:246).
Rossi-Landi (1985) isolated the sign totality or "cell", as he called
it, which he described as the union of the signans and the signatum
(he used these Augustinian terms with the aim, among other things,
of avoiding the mentalistic ambiguity of the Saussurean signifié),
and developed a concept of fundamental importance in his sign theory,
that of the residues of signs. This concept had already been presented
in a 1965 essay and was incorporated in the first edition of Π linguaggio
come lavoro e come mercato (1968¿>). It was further elaborated in
Rossi-Landi (1979Ô), and was updated and re-presented as recently
as 1985 in the third book of his trilogy Metodica filosofica.
Once we descend below the first level, that of the totality, what
remains is no longer the sign, but simply its residues. All signs are
a totality of a peculiar sort, and, as a totality, the sign is a composite
of both sign and nonsign portions. Such portions may or may not
be pre-existent to the totality and are produced or reproduced in the
same process by which the sign totality comes into existence. No single
part may perform the role of the totality, so the sign function no
longer obtains once the totality has been reduced to its parts. What
survives the extinction of the totality is the residue which, in most
cases, is worth analysing in its own right:
The sign is a synthesis of signans and signatum which floats, on the side of
the signans, on an inexhaustible world of material bodies and, on the side
of the signatum, on an inexhaustible world of social actions and institutions.
Both material bodies and institutions are viewed as residues. [...] A signans
therefore always has a bodily aspect which can be detected before, during,
and after the functioning of the sign (the minimal requirement being that it
must be there during such functioning). A signatum, instead, can be something
nonmaterial in the sense in which a feeling, a logical relation, or a commodity
are not material objects. To exit the sign totality on the side of the signans
is to describe the objective furniture of the world; to exit it on the side of the
signatum amounts to extending our sight to the subjective and social worlds
(Rossi-Landi 19790:29).
Bodies and Signs 377
and out of the sign network. Whether they are acting as signs or not,
their specificity as nonsign bodies is constantly retained. A fur coat
carries out the extrasign instrumental function of protecting one
from the cold, it may also, however, be interpreted as a status symbol
indicating financial success. Once such a sign function passes, we are
left with the bodily residue, the actual fur coat used for warmth. A
turkey on display in a shop window is an example of a "natural"
body transformed into a sign indicating that turkeys may be purchased
in that shop. What one eats, however, is not a sign, but the turkey,
the nonsign bodily residue.
Rossi-Landi further clarifies the concept of the instrumentality of
bodily residues by citing Lévi-Strauss who, on applying the categories
of linguistic analysis to his anthropological study of society, main-
tains that communication takes place on at least three levels: that
of marriage and kinship systems whose signs are women, that of the
verbal system proper whose signs are verbal entities, and that of the
economic system whose signs are commodities (in contrast to mere
goods). The economic system is communicative not in the sense that
we use language to talk about it, but because it is a communicative
system based on the exchange of nonverbal messages, of commodities.
Commodities are messages by virtue of the social relations constituting
a specific system of barter and exchange. "A commodity is a com-
modity [. . .] because it is a message", and like the verbal message
it is not a "natural" fact but a human artifact involving varying degrees
of work, of elaboration, as well as differing degrees of signification.
Like the verbal sign, the commodity is a sign, but of a nonverbal type.
It requires a transmitter/seller and a receiver/buyer within the socio-
cultural context of economic exchange. Unlike the verbal sign, how-
ever, once the sign function passes we are left with a product suitable
for nonsign use or consumption. One wears shoes as shoes and not
as signs or commodities, but this does not exclude the possibility of
their being newly transformed into signs as when, for example, they
are interpreted as indicative of one's good (or bad) taste 1 .
1. See, e.g., Rossi-Landi 1968ft; trans. 1983:68-72; also 1974:121-127. The latter,
written between 1970 and 1971, is immediately concerned with the relation
between linguistics and economics. The author views commodities in a Marxian
light, that is, not merely as exchange goods considered separately from human
social relations, but as messages and, therefore, as communicative human re-
lations. He identifies a homological relationship between linguistic production
Bodies and Signs 379
Signs also are particular, material things; and, [...] any item of nature, tech-
nology, or consumption can become a sign acquiring in the process a meaning
that goes beyond its given particularity. A sign does not simply exist as a part
of a reality - it reflects and refracts another reality (Bakhtin-VoloSinov 1929;
Eng. trans. 1973:10).
data and human artifacts populate the world, such pieces of objectual
reality always appear to us in a form conditioned by socio-cognitive
processes. Our awareness of reality is a mediated awareness conditioned
by previous, individual and collective experiences, and by the specific
values, ideologies and orientations of a given community, all of
which find their highest expression in the verbal sign, the purely
ideological sign.
Semiotic ideological materiality refers to the fact that the sign
is organized by and in its turn organizes reality from a certain point
of view, within the historical framework of a given cultural tradition.
Social reality should not be considered as something vague and unde-
fined. Rossi-Landi demonstrates, throughout the whole of his research,
that social reality is developed and articulated in relation to the various
forms of material production, division of labour, economic systems,
therefore, in relation to specific cultural-ideological organizations
in their totality. The verbal sign in particular, itself the product of
social relations, distinguishes itself from the reality of the natural
fact or human artifact which it represents and refracts. In this sense
the verbal sign intervenes upon and organizes objectual reality, and
thus our worldview. For example, the world of the Eskimos contains
numerous different types of snow, each of which is designated with
a different name, while in our own European world we are usually
unaware of such a large variety of different types of snow, and con-
sequently we do not have names for them. However, this does not
exclude the potential capacity of identifying just as many different
types of snow, and of inventing just as many different corresponding
names should the need arise.
As argued by Solimini (1982), who analyses the relationship between
cultural anthropology and economic anthropology, we need to avoid
a tendency towards reductionism in the interpretation of the Marxist
concept of "economic base" and "ideological superstructure". Against
the tendency of distinguishing a priori between social relations and
institutions which because of their "nature" or "essence" act as the
fundamental base structure of social reality, on the one hand, and
the various superstructures, on the other, she argues that we must
not make distinctions between different, set levels which, owing to
some natural quality, are identifiable as either the "base", the "in-
frastructure", or the "superstructure" of society. Depending on the
kind of dialectic interaction regulating a specific social system, any
of the cultural institutions and relations of a given society may act
384 Appendix II
ideology, belong to the same generative process: "they draw from a common
source" [...]. The structures ofthe production of the unconscious, the structures
of oneiric work, the structures of production of individual consciousness and the
structures of the more complex ideological forms, are fundamentally the same.
The different levels of consciousness and of ideology are the different levels
of sign elaboration, of linguistic elaboration (1978:78).
386 Appendix II
The word does not exist in a neutral and impersonal language (it is not, after
all, out of a dictionary that the speaker gets his words!) but rather it exists in
other people's mouths, in other people's contexts, serving other people's in-
tentions: it is from there that one must take the word, and make it one's own
(Bakhtin 1975:293-294).
The relation with the other [...] is intended as a relation with the excedent, as
a surplus, as the overcoming of the objectivating thought, as release from
the relation between the subject and the object and from the relation of
equal exchange. Present as it is in the very make-up of self, it produces: at
the linguistic level, the internal dialogization of the word, the impossibility
of its ever being an integral word, so that it remains a split, divided, dvugolosnoe,
diphonic word, double voiced discourse; at the linguistico-aesthetic level, the
extralocality of writing (its otherness with respect to real life, to the writer,
to "contemporaneity", sovremennosf, to the realm of literature, to the inter-
Further Aspects of Sign Materiality 389
prêtant text); at the moral level, restlessness, obsession with the other, answer-
ability (Ponzio 2.10 this volume).
Extrasign Materiality
physical materiality
instrumental materiality
ideological materiality
extraintentional materiality
Semiotic Materiality
signifying otherness materiality
elaboration materiality
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412 Index òf Names