Visor de obras.

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Purdue University

In a recent essay entitled «Don Quixote de la Mancha: Analyzable or Unanalyzable?» published in this journal, Henry W. Sullivan makes the case for the psychoanalysis of literary characters. While there is much to ponder in Sullivan's essay, there are two points, both involving dualisms, that I would like to discuss. In the first case, Sullivan argues insightfully and convincingly against an absolute distinction between how we know and think about fictional characters and how we know and think about real people. In the second case, however, Sullivan insists on an absolute (Cartesian) mind-body dualism as a cornerstone of psychoanalytic theory. I would like to repeat and extend Sullivan's argument in the first case, but refute it and deny its validity in the second.

Sullivan cites as representative of a certain widely-shared approach Maud Ellmann's insistence that there is an important distinction between a «human being made of flesh and character made of words» (5), a distinction that allows us to make one kind statement about the former but not the latter. Ellmann is not alone in making the real-life/fictional distinction a fundamental matter of ontology. We are all familiar with arguments like hers, having heard   —159→   them often enough specifically with respect to Cervantes. The case made in terms of fictional characters here is part of a larger issue of the supposedly absolute difference between fact and fiction. The apparent need that so many have felt to assert the existence of a clear and absolute boundary between the real and the fictional can be seen in the many attempts to define fictionality, to determine its unique ontological status, or to distinguish meaningfully between real and possible worlds, that have filled the pages of so many books and scholarly journals for decades.

Sullivan counters this position with the argument that what we can know -and how we know it- of fictional characters, historical personages, and living human beings is in most cases very similar. I would extend that argument to say that what we can know -and how we know it- of anything, regardless of whether it is «fact» or «fiction», is in most cases very similar. I base this assertion on what we have come to know about how the human mind works in perceiving and understanding the world and, by extension, in perceiving and understanding texts, as a part of our world.

Richard J. Gerrig's Experiencing Narrative Worlds (1993) is perhaps the most important book on narrative published in recent years; I recommend it as required reading for anyone interested in narrative. Written by a cognitive psychologist who has studied how real readers read real texts in real contexts, Gerrig's book challenges many fundamental tenets of traditional formalist and structuralist narratology. For Gerrig, narrative texts are seen as intimately related to real-life concerns of their readers, rather than as only self-referential, endlessly deferring, traces of absences. Readers are pragmatic beings who construct personally significant understandings of what they read; they are not abstract or implied entities that somehow exist within the text, as a function of the text, or as a textual norm; nor are they passive, empty spaces upon which language and/or ideology inscribes subjectivity.

Gerrig is particularly critical of the «toggle-switch» mentality, the belief that our minds automatically shift from one mode of comprehension to another depending on whether we are reading fiction or nonfiction. We do not practice Coleridge's «willing suspension of disbelief», but rather what Gerrig calls a «willing construction of disbelief» (230). That is, for Gerrig, we first accept what we read as true and only later, and through a conscious and effortful process, reject some or all of it as false¹⁰⁸ As regards fictional characters, Sullivan is quite   —160→   correct in arguing that we understand them much as we understand the people who inhabit our everyday existence as well as those who populate history¹⁰⁹. Denied access to the total reality of any other person (as to that of ourselves), we always deal with constructs of that person, never with the person him/herself: we assume, infer, compare, imagine, construe, make believe, and thus construct versions of other people¹¹⁰. In real life we can actually observe and interact dialogically with others, taking note of their intonation, gestures, posture, and so forth, as well as reading, hearing and thinking about them; and when we read texts, though we do not have direct perceptual and social access, we use very similar processes to comprehend both fictional and real or historical characters and events. As Baruch Hochman says, «the clues that we take in and use to construct an image of a person are virtually identical in literature and in life» (36)¹¹¹.

Furthermore, the cumulative and convincing evidence from cognitive and developmental psychology, primatology, and neuroscience is that we understand other people, fictional and otherwise, largely because we develop early in life what is called a «theory of mind»: the ability «to understand what another individual is thinking, to ascribe beliefs, desires, fears and hopes to someone else, and to believe that they really do experience these feelings as mental states» (Dunbar 83)¹¹². It is this ability that makes social interactions -and the understanding of historical figures and literary characters- possible.

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Nicholas Humphrey employs the metaphor of «the inner eye» to discuss the fact that we only have direct access (partial and distorted as it may be) to our own thought processes and emotions. With this reflexive self-awareness, we can also then imagine what it must be like to be someone else; we can model on ourselves the behavior, thoughts, emotions, and feelings of other human beings -and fictional characters¹¹³. This is very similar to the «sympathetic understanding» of Bakhtin: «not a mirroring, but a fundamentally and essentially new valuation, a utilization of my own architectonic position in being outside another's inner life. Sympathetic understanding recreates the whole inner person in aesthetically loving categories for a new existence in a new dimension of the world» (102-03). Humphrey further maintains that our culture makes available to us on a regular basis the experiences of other individuals by means of what he calls «institutionalized fantasy: books, plays, music, paintings, films» (1986, 132). The ability to sympathize and empathize with others, to imagine the reality of others -imaginatively to create the reality of other persons- is one of the qualities that most distinguishes humans from other animals and from machines¹¹⁴ and makes the arts in general, and literature in particular, an essential facet of human life.

All of this suggests that Sullivan is correct in his assertion that fictional characters are every bit as susceptible to psychoanalytic understanding as are human beings of flesh and blood. The question not raised by Sullivan, however, is the degree to which human beings can be understood by means of psychoanalysis.

Sullivan posits as an essential part of his psychoanalytic plea that «human animals and human beings are not the same thing» (9). In his Lacanian terminology, Sullivan states that:

  —162→  

it emerges that the human «being» as an animal «made of flesh» (Ellmann), belongs to the order of the Real. The human subject made of language corresponds to the intermesh of being, founded in the Imaginary, and its subsequent, ego-splitting sublation into the order of meaning in the Symbolic. The human organism and the body, therefore, are not the same thing. What we commonly call the body is, paradoxically, an equivalence of the Imaginary. Indeed, as stated, the very idea of a body is an image that is formed in the Lacanian mirror stage, an image which furnishes a fundamental aspect of the structure of subjectivity.

(10)115

There are two points to be noted here. First, there is the supposed distinction between the body and the human organism. Apparently such a distinction is important for Lacan, but as far as most of the rest of the world is concerned, the word «body» is a perfectly acceptable -in fact, the preferred- term for the «human organism». In what follows here I use the term «body» specifically in its straightforward, standard sense as referring to the organism of flesh and bone -the living, breathing human being who exists in the material world: the human organism- whether that usage is acceptable to Lacan (and Sullivan) or not. Second, Sullivan insists that the biological body is radically and absolutely separate from the mind (in Lacanian terms, the human «subject» as constructed by language). Sullivan's, like Lacan's, aim is «to 'debiologize' human subjects» (14)¹¹⁶. No clearer or more unequivocal reaffirmation of Cartesian mind-body dualism is possible. And this is what I want to reject.

Modern biology, neuroscience, evolutionary science, cognitive psychology, and linguistics have virtually no use for any version of mind-body dualism. Today we make use of concepts like the «embodied mind», «the body in the mind», and the «mind-brain»¹¹⁷. It is   —163→   impossible to separate cognition and emotion, what the body feels and what the brain thinks.¹¹⁸ The mere fact of speaking, for example, has a direct and significant effect on blood pressure¹¹⁹. In today's cognitive science, the prevailing view of human consciousness prominently involves memory, feedback loops, mental imagery, emotion, inner speech, social context, dialogue, representation, and mind-body interaction; it is an emergent, nonlinear, autopoietic, contingent, contextualized, dynamic function or process¹²⁰. Consciousness is «a very special emergent property of the human brain... made possible by a sufficient number of parallel interacting modules» (Restak 135)¹²¹. There is an unbroken continuum from the very molecules of our physical makeup through society at large. In the words of Ira B. Black:

  —164→  

Biology becomes behavior, and behavior becomes biology. Indeed, biology is behavior, and behavior is biology. Environmental or internal exigencies drive the locus and are translated into biologic reality. Thoughts or environmental situations provoking anxiety are immediately translated into neural language. Environmental stimulus, mental state, behavior, and molecular mechanisms are in constant interplay, forming an unbroken, continuous cycle.

(167)122

Self, mind, brain, body, environment: all interact at every point along the unbroken continuum that makes up reality¹²³. Neurologist Antonio Damasio, in what almost seems like a direct refutation of the Lacanian position, writes:

This is Descartes' error: the abyssal separation between body and mind, between the sizable, dimensioned, mechanically operated, infinitely divisible body stuff, on the one hand, and the unsizable, undimensioned, up-pushpullable, nondivisible mind stuff; the suggestion that reasoning, and moral judgment, and the suffering that comes from physical pain or emotional upheaval might exist separately from the body. Specifically: the separation of the most refined operations of mind from the structure and operation of a biological organism.

(249-50; emphasis added)

The centrality of mind-body dualism to psychoanalytic thought is clearly a major -some would say fatal- shortcoming¹²⁴. Of a kind   —165→   is the distinction made by Freud et al. between the conscious and unconscious minds, the latter a seething cauldron of sexual obsessions that controls much of our life from within its hidden underground. Modern cognitive psychology and neuroscience have little room for the traditional psychoanalytic unconscious and have substituted for it the «cognitive unconscious», that array of cognitive functions that goes on all the time in our mind-brain without our conscious awareness: the regulation of breathing and blood pressure; primary emotional reactions; reactions to many visual, auditory, and olfactory perceptions; our haptic sense; background beliefs and emotions; the schemata that make it possible to perceive things as we do; and much more¹²⁵. Freudian dream theory now competes unfavorably with the simpler and more powerful «activation-synthesis» theory that is based in biology and neuroscience¹²⁶. Sophisticated recent research in sociology, anthropology, infant cognition, and child development has produced results that bear little, if any, resemblance to the models suggested by Freud -anal and oral stages, the Oedipal complex- or Lacan -the so-called «mirror stage»¹²⁷. Repression is one of Freud's foundational concepts that has undergone the most devastating criticism at the hands of the modern understanding of the human mind-brain¹²⁸. Little wonder that a major neuroscientist such as Michael Gazzaniga has written on «Selection Theory and the Death of Psychoanalysis» (159-77)¹²⁹.

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I am not suggesting that there is absolutely no validity to any type of psychoanalytic theory,¹³⁰ but I am suggesting that it is perhaps time, at the dawn of the twenty-first century, to reexamine some of the nineteenth- and early twentieth-century concepts that form the bases of that theory. Recent research in mind and brain empowers us with a set of concepts and a verifiable basis in observation about the nature of human consciousness, cognition, and emotion that cannot legitimately be ignored in the construction and application of theories in the human sciences. To the extent that Freudian and/or Lacanian theories can be understood as consistent with modern neuroscience and cognitive science, they will be considered valid and useful.

In general, dualistic thought -and especially its crown jewel, Cartesian mind-body dualism- is not consistent with modern concepts of human perception and cognition. Cervantine studies have certainly been characterized by their fair share of simplistic binary thinking: Quijote/Sancho, reality/appearance, hard/soft, romance/novel, fact/fiction, and much more. Such absolute distinctions in kind tend not to exist in the world, but only in our theories and beliefs. The Aristotelian bedrock of A vs. not-A has, in modern cognitive science, been replaced by fuzzy sets, human-made boundaries, and prototype theories of categorization¹³¹. The world exists not in stark contrasts of black and white but in subtle and shifting shades   —167→   of gray. Sullivan realizes this and convincingly affirms it in his discussion of the fact/fiction binary, but fails to see it and, as a result, fails to convince in his insistence of the traditional mind/body distinction.

My aim in this response has been less to criticize Henry Sullivan, a brilliant scholar whom I admire, than to suggest that there is, outside of the narrow confines of the predominant paradigms of poststructuralist and psychoanalytic literary theory, an important and largely ignored (by literary scholars) view of the human being that is grounded in modern research in biology and psychology. This «response» has been, as much as anything, a preliminary essay in alternative bibliography¹³².

Sullivan affirms that «the only discipline in the post-Modern era that takes the psyche -psyche or soul- seriously as the scientific object of its study is psychoanalysis» (19). Except for the unsustainable (and unnecessary) claim of scientific status for psychoanalysis, Sullivan is largely correct in this statement. But it can be stated with even greater justification that at the close of the twentieth century the discipline that takes the embodied mind as the scientific object of its study is cognitive science. The vast interdisciplinary activity centered around cognitive science has enormous implications for literary theory and criticism and it will be ignored at our great peril as it continues to form the prevailing mode of discourse of the physical, biological, social, and human sciences in the twenty-first century.

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